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HomeMy WebLinkAboutResolution - 947 - Application - DOT - Grant Funding Mass Transportation Projects - 10_22_1981DGV:c1 RESOLUTION SOLUTION 947 - 10/22/81 PITY c CRUARY-TREASURER RESOLUTION AUTHORIZING THE FILING OF AN APPLICATION WITH THE DEPARTMENT OF TRANSPORTATION, UNITED STATES OF AMERICA, FOR A GRANT UNDER THE URBAN MASS TRANSPORTATION ACT OF 1964, AS AMENDED. WHEREAS, the Secretary of Transportation is authorized to make grants for mass transportation projects; WHEREAS, the contract for financial assistance will impose certain obliga- tions upon the applicant, including the provision by it of the local share of project.costs; WHEREAS, it is required by the U.S. Department of Transportation in accord with the provisions of Title VI of the Civil Rights Act of 1964, that in con- nection with the filing of an application for assistance under the Urban Mass Transportation Act of 1964, as Amended, the applicant give an assurance that it will comply with Title VI of the Civil Rights Act of 1964 and the U.S. Depart- ment of Transportation requirements thereunder; and WHEREAS, it is the goal of the Applicant that minority business enterprise be utilized to the fullest extent possible in connection with this project, ands that definitive procedures shall be established and administered to ensure that' minority businesses shall have the maximum feasible opportunity to compete for contracts, when procuring construction contracts, supplies, equipment contracts) or consultant and other services: NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK: 1. That the MAYOR is authorized to execute and file an application on behalf of the City of Lubbock with the U.S. Department of Transportation, to aid in the financing of operating assistance projects pursuant to Section 5 of the Urban Mass Transportation Act of 1964, as amended, for fiscal year 1981-82.1 2. That the MAYOR is authorized to execute and file with such appli- cations an assurance or any other document required by the U.S. Department of Transportation effectuating the purposes of Title VI of the Civil Rights Act of 1964. 3. That JOHN L. WILSON, Transit Coordinator, is authorized to furnish such additional information as the U.S. Department of Transportation may re- quire in connection with the application or the project. 4. That the MAYOR is authorized to set forth and execute affirmative minority business policies in connection with the project's procurement needs. 5. That the MAYOR is authorized to execute grant contract agreements on behalf of the City of Lubbock with the U.S. Department of Transportation for aid in the financing of the operating assistance project. Passed by the City Council this 22nd day of October ,1981. r , LL cALI TER, MAYOR 'ATTEST: Evelyn Gaffga, City 'Secr,�t/ary-Treasurer APPROVED AS TO CONTENT: vv John L. Wilson, Transit Coordinator APPROVED AS TO FORM: G. Vandiver, First Asst. City Attorney g, -7 - /o-a 2 -[0 t II UNITED STATES OF AMERICA DEPARTMENT OF TRANSPORTATION URBAN MASS TRANSPORTATION ADMINISTRATION NOTIFICATION OF GRANT APPROVAL 49 U.S.C. 5 1604 (SECTION 5 - OPERATING ASSISTANCE) Project No. TX-054128 GRANTEE: City of Lubbock DESIGNATED RECIPIENT: City of Lubbock MASS TRANSPORTATION SYSTEM: Citibus ESTIMATED NET PROJECT COST: $1,482,792.00 MAXIMUM FEDERAL SHARE: $741,396.00 OBLIGATION DATE: DEC ; 1981 SOURCES OF FEDERAL FINANCIAL ASSISTANCE: 21.30.00 - ADA $741,396.00 DATE OF SECTION 13(c) CERTIFICATION LETTER FROM THE DEPARTMENT OF LABOR: November 17, 1981 PROJECT TIME PERIOD: October 1, 1981 to September 30, 1982 DEC 2 41981 DATE O� REGIONAL ADMINISTRATOR UNITED STATES OF AMERICA DEPARTMENT OF TRANSPORTATION URBAN MASS TRANSPORTATION ADMINISTRATION GRANT 49 U.S.C. § 1604 (SECTION 5 - OPERATING ASSISTANCE) PART I THIS GRANT, effective on the date specified in the Notification of Grant Approval is entered into by and between the United States of America ("Government") and the Grantee named in the Notification of Grant Approval. In consideration of the mutual covenants, promises, and representations herein, the parties hereto agree as follows: Sec. 1. Purpose of Grant - The purpose of this Grant is to provide for the undertaking of an urban mass transpor- tation operating assistance project ("Project") with Government financial assistance to the Grantee in the form of an operating assistance grant ("Grant"), under Section 5 of the Urban Mass Transportation Act of 1964, as amended, ("Act"), and to state the terms and conditions upon which such assistance will be provided and the manner in which the Project will be undertaken and completed and the Project facilities/equipment used. Sec. 2. The Project - (a) The Project involves the continued or improved operation of the mass transit system named in the Notification of Grant Approval for the Project Time Period described in the Notification of Grant Approval. (b) The Grantee agrees to provide for the continued or improved operation of the system, substantially as described in its Application, filed with and approved by the Government, incorporated in this Agreement by reference, and in accordance with terms and conditions of this Agrement. Sec. 3. The Grant - (a) In order to assist the Grantee in financing the project operating expenses that are eligible for federal financial assistance ("Net Project Cost"), such Net Project Cost being estimated to be the amount appearing in the Notification of Grant Approval, the Government will make a Grant in an amount not to exceed 50% of the Net Project Cost, as determined by the Department of Transportation or the amount designated as Federal Share in the Notification of Grant Form UMTA F 2001 Rev. 5/20/80 Page 1 Approval, whichever is the lesser. Federal funds made available under this Section will be from available Section 5 apportioned funds. Nothwithstanding any provision to the contrary in Section 105(c) of Part II, Form UMTA F 5E, Rev. 5/20/80, the Federal financial assistance provided under. this Grant may be applied to Net Project Costs incurred by the Grantee during the Project Time Period specified in the Notification of Grant Approval. (b) For purposes of this Agreement "Net Project Cost" must be in conformance with the requirements of Federal ? Management Circular 74-4 (FMC 74-4), "Cost Principles Applicable to Grants and Contracts with State and Local Governments," and with any guidelines or regulations issued by UMTA. (c) 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 or drawdowns under letter of credit are made. Sec. 4. Local Share - The Grantee agrees that it will provide from sources other than (a) Federal funds (:except as may otherwise be authorized by Federal statute), or (b) revenues of the public transportation system in which such facilities/equipment are used, funds in an amount sufficient, together with the Grant, to assure payment of the actual Net Project Cost. State or local tax revenues which are used for the operation of public mass transportation service in the area involved may be credited (to the extent necessary) toward the non-federal share of the cost of the Project. The Grantee further agrees that no refund or reduction of the amount so provided below the level of Federal assistance will be made at any time, unless there is at the same time a refund to the Government of a proportional amount of the Grant. Sec. 5. Fares and Services - The Grantee agrees and assures that, in compliance wit Section 5(i) of the Act and regulations issued thereunder, at 49 C.F.R. Part 635, Subpart A, it will not institute increases in fares or substantial changes in service during the period after May 17, 1980 for which Section 5 assistance is requested except -- (a) after having held a public hearing or having afforded an opportunity for such hearings, after adequate public notice; (b) after having given proper consideration to the views and comments expressed in such hearings; and (c) after having given consideration to the effect on energy conservation, and the economic, environmental, and social impact of the change in such fare or such service. Page 2 � F t Sec. 6. Maintenance of Effort - (a) The Grantee agrees that the Federal financial assistance provided pursuant to this Grant will be supplementary to and not in substitution for the average amount of State and local government funds and other transit revenues, expended on the operation of public mass transportation service in the area involved for the two fiscal years preceding the fiscal year for which the funds are made available as defined in Section 5(f) of the Act and any implementing guidelines and regulations issued by UMTA, provided, however, that in accordance with Section 5(f) and any implementing guidelines and regulations: (1) If such State and local government funds or other T' transit revenues used to support public mass transportation operations are reduced, there shall be no loss of Federal assistance under Section 5, if such reduction is offset by an increase in operating revenues through changes in fare structure. (2) If the Secretary finds that the Grantee has reduced operating costs without reducing service levels, the Grantee may make a proportionate reduction in the amount of revenues required to be expended under this Subsection. (3) If such State and local government funds or other transit revenues are reduced and (a) such reductions are not offset by an increase in operating revenues through changes in the fare structure, or (b) the Grantee has reduced operating costs which reductions result in reduced service levels, reductions in Federal assistance shall be determined in accordance with guidelines and regulations issued pursuant to Section 5(f). (b) Any failure on the part of the Grantee to comply with this Section shall be deemed a violation of the terms of this Grant, and the Government may in its discretion take either or both of the following actions: (1) terminate all of the financial assistance provided pursuant to this Grant; and (2) require the Grantee to return to the Government any financial assistance provided pursuant to this Grant. Sec. 7. Use of Project Funds - (a) The Grantee agrees that the Fed—e—r—aT71nancial assistance provided under this Grant Agreement shall be applied to the eligible project operating expenses incurred in the provision of mass trans- portation service within the urbanized area served by the Grantee as described in the Application with respect to the Project Time Period described on the Notification of Grant Approval. If, during such period, any Federal financial assistance provided pursuant to this Grant Agreement is not so applied, the Grantee shall immediately notify the Government. Page 3 (b) The Grantee shall keep satisfactory records in the manner described in Part II of this Grant Agreement with regard to the use of Federal financial assistance provided pursuant to this Grant Agreement and shall submit upon request such information as the Government may require in order to assure compliance with this Section. Seca 8. Labor Protection - (a) The Grantee agrees to undertake, carryout, and complete the Project under the terms and conditions determined by the Secretary of Labor to be fair and equitable to protect the interests of employees affected by the Project and meeting the requirements of section 13(c) of the Act, 49 U.S.C. 5 1609 (c), and Department of Labor regulations at 29'C.F.R. Part 215. (b) These terms and conditions are identified in the letter of certification to the Government from the Department of Labor on the date set forth in the Notification of Grant Approval, which letter and any documents cited in that letter are incorporated into this Grant by reference. The Grant is subject,tq the conditions stated in the Department of Labor letter. Sec. 9. Special Conditions - The Grantee agrees and assures that the rates charged elderly and handicapped persons during nonpeak hours for transportation utilizing or involving the facilities and equipment financed pursuant to this Grant will not exceed one-half of the rates generally applicable to other persons at peak hours, whether the operation of such facilities and equipment is by the applicant or is by another entity under lease or otherwise. Sec. 10. The Grant - This Grant consists of the Notifi- cation of Grant Approval; this Part I, Form UMTA F 2001, Rev. 5/20/80, entitled Grant; and Part II, Form UMTA F 5E, Rev. 5/20/80, entitled Urban Mass Transportation Agreement, Terms and Conditions. Should the grant award letter include special conditions for this Project, that letter is incorporated herein by reference and made part of this Grant. The approved Project Budget is incorporated herein by reference and made part of this Grant. Amendments to any of these documents+ shall require a formal amendment to this Grant, except that reallocations of funds among budget items or fiscal years which 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. Page 4 r Sec. 11. Execution of Grant.- This Grant may be simul- taneously executed in several counterparts, each of which shall be deemed to be an original having identical legal effect. When signed by the Government, this Grant should be executed by the Grantee within ninety (90) days after the Obligation Date. The Government may withdraw its obligation hereunder if the Grant is not executed within the above ninety -day period. The effective date of the Grant shall be the Obligation Date. (b) The Grantee does hereby ratify and adopt all statements, representations, warranties, covenants, and materials submitted by it, and does hereby accept the Government's award of financial assistance and agrees to all of the terms and conditions of this Grant. Executed this 19Xv ATTEST: Zt��� day of Evelyn Gaffga, City Secretary -Treasurer Bill McAlister, Mayor City of Lubbock, Texas City of Lubbock, Texas TITLE AND ORGANIZATION TITLE AND ORGANIZATION Certificate of Grantee's Attorney I, Donald G. Vandiver , acting as Attorney for the Grantee do hereby certify that I have examined this Grant and have ascertained that execution of the Grant was authorized on the date of 10-22-81 A copy of this authorization is attached or has previously been submitted to UMTA. The execution of this Grant and the proceedings taken by the Grantee are in all respects due and proper and in accordance with applicable State and local law. I further certify that, in my opinion, said Grant constitutes a legal and binding obligation of the Grantee in accordance with the terms thereof and certify that to the best of my knowledge there is no legislation or litigation pending or threatened which might affect the performance of the Project in accordance with the terms of this Grant. Dated this 30 day of January, n ATU Page 5 Donald G. Vandiver, First Assistant City Attorney, City of Lubbock. Texas TITLE AND ORGANIZATION UNITED STATES OF AMERICA DEPAEO33T OF TRANSPORTATIM UEBM MASS TRANSPQRTATIai MCNISTRATIM WASHWGXV, D.C. 20590 rc�t � TRq�ySAO �P Q, 9� a p p �2 u ATES UMM MASS TRANSPORTATICN AGFMM4T PART II for Projects under Section 3, 5, 6, or 8, of the Urban Mass Transportation Act of 1964 as amended 49 U.S.C. 5 1601 et sect., for Mass Transportation Projects under the Federal -Aid Highway Act of 1973, as amended, 23 U.S.C. 5 103 et seq.,- or for Section 175 of the Clean Air Act AmencIments of 1977, 42 U.S.C. S 7505. F TAR Ic-M-MA F 5E Frew. 5/20/80 Section 101. Definitions.....................0.....................1 Section 102. Ao=gplishment of the Project .........................2 (a) General Requirements .............................2 (b) Pursuant to Federal, State and Local law ......... 2 (c) Funds of the Recipient................. ........2 (d) Sutuission of Proceedings, Contracts, and Other Documents . ............ ....... ................3 (e) Changed Conditions Affecting Performance ......... 3 (f) No Government cbligations to 'Third Parties, ......3 (g) Lam Acquisition Policy.. ... 000.-o ... o_ .... oo..3 Section 103. The,Project Budget., ... o_ ... 000.00 ............ .... 3 Section 104. Accounting Records.. ..........:......................3 (a) Project Accounts.................................3 (b) Funds Received or Made Available for the Project.......................................3 (c) Allowable Costs.... .......... oo .................. 4 (d) Documentation of Project Costs... .... o.o.o ... o...4 (e) Checks, Orders.arri Vouchers......................4 (f) Audit and Inspection .............................5 Section 105. Requisitions and Payments .............................5 (a) Request for Payment by the Recipient.............5 (b) Payment by the Government......... ..... _5 (c) Disallowed Costs.................................6 (d) Letter of Credit.. ..... 6 .(e) Interest on Late Payments ........................7 Section 106. Right of Government to Terminate..... o o o ... o ... _7 Section 107. Project Completion, Settlement and Close -Out...... ... .7 Section 108. Contracts of the Recipient..... ... o ........ _oo ...... 7 Section 109. Restrictions, Prohibitions, Controls, and Labor Provisions.... .... o ......... oo ..... oo.-o-oo ..... o ... 8 (a) Equal Employment Opportunity.__ ..............8 (b) Small, Minority and Women's Business Enterprise . ....................................$ (c) Title VI - Civil Rights Act of 1964.............. 10 (d) Competitive Bidding........... ...... 00 ...... ... o 10 (e) Ethics.... ......... .......................... 10 (f) Interest ofMembers of or Delegates to Congress..... .... *__ ..... 11 Section 110. Construction Contracts................ ....... o ...... ooll (a) Nondiscrimination.................. ...... ....... 11 (b) Specifications...................................14 (c) Notice... o.......................... ..........21 (d) Labor Provisions. 22 (e) Changes in Construction Contracts................29 (f) Contract Security................................29 (g) Insurance During Construction .................... 29 (h) Signs.. .... ...................................... 29 ' (i) Liquidated Damages Provision.....................30 (j) Provisions of Construction Contracts ............. 30 (k) Actual work by Contractor ........................ 30 (1) Fbrce Aoaount.................................... 30 (m) Safety Standards.................,................30 i Section 111. Envirmnental,'Resource, and Energy Protection and Conservation Requirements ............................30 (a) Compliance with Enviro mental Standards .......... 30 (b) Air Pollution....... .............................31 (c) Use of Public Lands..............................31 (d).Historic Preservation ............................31 (e) Energy Conservation..............................31 Section 112. Patent Rights.........................................31 Section 113. Rights in Data .......... .............................34 Section 114. Cargo Preference - Use of United States Flag Vessels...............................................35 Section 115. Buy America.....................0....................36 Section 116. Curter and School Bus Operations .....................37 (a) Charter Bus......................................37 (b) School Bus....... .. ...........................37 Section 117. Compliance with Elderly and Handicapped Regulations..........................................37 Section 118. Flood Hazards......................`...................37 Section 119. Privacy. .....................38 Section 120. Miscellaneous...... .......... ...................39 (a) Bonus or Commissim.......... ................ ..39 (b) State and Territorial Law........................39 (c) Records ......................... ................. o40 (d) Severability......... ............................40 DEPARDM Of TTt4NSPOFfrATICN L OW K%SS TRANSPORTATION ADMINISTRATION AGREEMENT PART II — TEFM AND COMITIONS constituting part of the Ate' providing for federal financial assistance under the provisions of the Urban Mass Transportation Act'of 1964, as amended, and/or the Federal Aid Highway Act of 1973. Section 101. Definitions. As used in this Agreement: "Application" means the signed and dated proposal as may be anended for federal financial assistance for the Project, together with all explanatory, supporting, and supplementary documents heretofore filed with UMTA by or on behalf of the Recipient, which has been accepted and approved by UMTA. "Approval, Authorization, Concurrence, Waiver" means a conscious, written act by an authorized official of the Government granting permission to the Recipient to perform or omit an act pursuant to this Agreement which could not be performed or amitted without such permission. An approval, authorization, concurrence, or waiver permitting the perfomanoe or anission of a specific act shall not constitute permission to perform or amit similar acts unless such broad permission is clearly stated. Oral permission or interpreta- tions shall have no legal force or effect. "External Operating Manual" means the most recent UHM manual of that title, which presents information about the UMTA programs, application processing procedures, and guidance for administering approved projects; There are also tHM and DOT directives applicable to the Project. "Government" means the United States of America, or its cognizant Agency, the Department of Transportation (DOT) or its Agency, the Urban Mass Transportation Administration (UMTA) used hereafter interchangeably. "Mass Transportation" includes public transportation and means transportation by bus, rail or other cmweyanoe, either publicly or privately owned, which provides to the public general or special transportation service (but not including school buses, charter or sightseeing service) to the public on a regular and continuing basis. "Project" means the task or set of tasks provided for in the Project budget which the recipient undertakes to perform pursuant to the Agreement with UHTA. "Project Budget" means the most recently dated statement, approved by T$ M, of the estimated total cost of the Project, the items to be deducted from such total in order to calculate the estimated net project cost, the maximnn amount of the federal grant for which the Recipient is currently eligible, the specific item (including contingencies and relocation) for which the total may be spent, the estimated cost of each of such items, and the maximnn amount of federal funds which may be disbursed in any fiscal year. "Recipient" means any entity that receives federal financial assistance from LHM for the aeccnplishment of the Project. The term "Recipient" includes any entity to which federal funds have been passed through for the accomplishment of the Project. "Secretary" means Secretary of the Department of Transportation or his duly authorized designee. Section 102. Acczmplishment of the Project. (a) General Requirements. The Recipient shall commence, carry on, -and complete the Project with all practicable dispatch, in a sound, economical, and efficient manner, and in accordance with the provisions hereof, the Application, and all applicable laws and regulations. (b) Pursuant to Federal, State, and Imal Iaw. In performance of its o igaUo ns pursuant to this Agreement, the Recipient and its een- tractors shall comply with all applicable provisions of Federal, State, and local law. All limits or standards set forth in this Agreement to be observed in the performance of the Project are minimum requirements, and shall not affect the application of more restrictive State or local standards for the performance of the Project; provided, however, in its procurement actions pursuant to the Project, the Recipient shall not give any preference to or discriminate against goods and.services produced or manufactured in any country, State, or other geographical area except as provided in Section 115 below. The Recipient agrees further that notwithstanding the requirements in Section 115, no Federal funds shall be used to support procurements utilizing exclusionary or discriminatory specifications, nor shall federal funds be used for the payment of ordinary governmental or nonproject operating expenses. (c) Funds of the Recipient. The Recipient shall initiate and prosecute to completion all proceedings necessary to enable the Recipient to provide its share of the Project costs at or prior to the time that such funds are needed to meet Project costs. 2 (d) Submission of P_ sooeadings, Contraict and other Docents. The Hadipient t to Govermrent ` 1 d8ta, reports, records, contracts and other doK'tttmts relatinv to the Project as the Gov enTnent may require. The Recipient shall retain intact, for three years following Project close-out, all Project d=nents, financial records, and supporting dommts. (e) Cmtditicns AffectiN Perfortance. The Recipient shall im-edi- ate y notify UMrA of any change in EBMI—ttians or local law, or of any other event, which may significantly affect its ability to perform the Project in accordance with the provisions of this Agreement. (f) No Government Obligations to Third Parties. The Government shall not be subject to any igations or IMilities by contractors of the recipient or their subcontractors or any other person not a Party to this Aarement in connection with the Performance of this Project'-Vithout its specific consent and notwithstanding its mwrenoe in or approval of the award of any contract or sub- contract or the solicitation thereof. (g) hand Acquisition Policy. Any acquisition of land for use in connection with the Project trust conform to the policies and procedures set forth in 49 C.F.R. Part 25 and applicable Circulars. Section 103. The Project Budget. A Project Budget shall be prepared and maintained by the Recipient. The Recipient shall carry out the Project and shall incur obligations against and make disbursements of Project Funds only in conformity with the latest approved budget for the Project. Section 104. Accounting Records. (a) Project Accounts. The Recipient shall establish and maintain as a separate set of accounts, or within the framework of an established aoeounting system, accounts for the Project in the mwmr consistent with Office of Management and Budget (OM) Circular A-102,as amended, or A-110, as may be appropriate. (b) Raids Received or Made Available for the Project. In a000rdanve with .the provisions of CHB Circular A=IO2, as men -NO, or A-110, as may be appropriate, the Recipient shall record in the Project Account, and deposit in a bank or trust oampany which is a member of the Federal Deposit Insurance Corporation, all Project payments received by it from the Goverment pursuarrt to this Agreement and all other funds provided for, accruing to, or otherwise received on aocount of the Project, ("Project Furids"). Any balances exoeeding the FDIC coverage T=t be collaterally secured as provided in 12 U.S.C. § 265 and implementing regulations or in applicable UMPA procedures. A separate bank acooLmt may be required when drawdowns are made by letter of credit. F 3 (c) Allowable Costs. Eqxmdit=w made by the Recipient shall be reim- e as owable 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 Agreement; (2) be necessary in order to aceouplish the Project; (3) be reasonable in amount for the goods or services purchased; (4) be actual net costs to the Recipient (i.e., the price paid minus any refunds, rebates, or other items of value received by the Recipient that have the effect of reducing the cost actually incurred;) (5) be incurred (and be for work performed) after the date of this Agreement, unless specific authorization from LWA to the contrary is received; (6) be in conformance with the standards for allowability of costs set forth in Federal Management Circular (FMC) 74-4 and with any guidelines or regulations issued by UMM; in the case of Projects with educational institutions, the standards for allowability of cost set forth in Office of Management and Budget (CHID) Circular A-21 Revised, rather than the standards of FMC 74-4, shall apply; (7) be satisfactorily documented; and (8) be treated uniformly and consistently under accounting principles and procedures approved or prescribed by U KrA for the Recipient; and those approved or prescribed by the Recipient for its contractors. (d) Documentation of Project Costs. All costs charged to the Project, 1—mIuding any approved services contributed by the Recipient or others, shall be supported by properly executed payrolls, time records, invoices, contracts, or vouchers evidencing in detail the nature and propriety of the charges. (e) Checks, Orders, and Vouchers. Any check or order drawn by the Recipient with respect to any item that is or will be chargeable against the Project Account will be drawn only in accordance with a properly signed voucher then on file in the office of the Recipient stating in proper detail the purpose for which such check or order is drawn. All checks, payrolls, invoices, contracts, vouchers, orders, or other accounting documents pertaining in whole or in part to the Project shall be clearly identified, readily accessible, and, to the extent feasible, kept separate and apart from all other such documents. 4 (Om*'� � r- (f) It ir+*�.. Mir Recipient shall permit, arxl shall require its contractors to peanit, the Secretary and the Comptroller General of the United States, or any of their duly authorized respresentatives to inspect all work, materials, payrolls, and other data and records with regard to the Project, and to audit the books, records, and accounts of the Recipient and its contractors with regard to the Project. Recipients that are State or local goverzrmts or Indian tribal govern- ments shall be responsible for meeting the audit requirements of CM Circular A-102, Attacnt P, or any revision or supplement thereto. The Recipient is responsible for auditing third party contracts and agreements. UMTA also may require the Recipient to furnish at any time prior to closeout of the Project, audit reports prepared in accordance with generally accepted accounting principles. In the case of Section 5 operating projects, subsequent to the close of the local fiscal year for which which operating assistance is sought, the Recipient shall furnish a final audit report prepared by a State or local government independent audit agency or an indeperrient public accountant W11-uch shall include as a minimum a Statement of Revenue and Expense, a Statement of Charges in Financial Position, and a Maintenance of Effort Calculation of the mass trarsl-ortation operator for the assisted loml fiscal year. Section 105. Requisitions and Payments. (a) Requests for Payment by the Recipient. The Recipient may make requests for payment of the federalof allowable costs, and LEA will honor such requests in the manner set forth in this section. Payments made to Recipients must comply with 31 C.F.R. Part 205. Recipients shall follow the procedures set forth in UNTA Circular 9050.1. In order to receive federal assistance payments, the Recipient must: (1) completely execute and submit to UKrA the information required by StAndard Fom 270; (2) submit to UPS an explanation of the purposes for which oasts have been incurred to date or are reasonably expectod to be incurred within the regsisition period (not more than 30 days after the date of subm. ssion) ; (3) dercnstrate or certify that it has supplied local funds adequate, when cmibi*ed with the federal payments, to cover all costs to be incurred to the and of the requisition period; (4) have submitted to LMM all financial and progress reports required to date Linder this Agreement; and (5) identify the (s) of financial assistance provided under this Project fran. vttich the payment is to be dprivud. (b) Payment bXthe C rr..Twnt. Upon receipt of the requisition arni the acoompanysrg "foi-m-a ionLn satisfactory form, the Gcv�ent will process the requir{t.icaaa ii the Recipient is oarplying with its obligations purEu:rant to the Agreenent, has satisfied U CA of its need for the fe3er_O. f -As reqawted during the requisition period, and is meki.rg ade,-p;,ate progress towards the ti.,rely ccmtplsati.on of the Project. If all c:f these cirom tanves are fom-4 to exist-, 5 the Gov+errtent will reimburse apparent allowable costs incurred (or to be incurred during the requisition period) by the Recipient up to the maxirnrn amount of the federal assistance payable through the fiscal year in which the requisition is submitted as stated in the Project Budget. However, reimbursament of any cost pursuant to this section shall not constitute a final determination by the Government of the alloarability of such cost and shall not constitute a waiver of any violation of the terms of this Agreeant committed by the Recipient. The Government will make a final determination as to allowability only after final audit of the Project has been conducted. In the event that UMTA determines that the Recipient is not currently eligible to receive any or all of the federal funds requested, it shall pramptly notify the Recipient stating the reasons for such determination. (d) Disallowed Costs. In determining the amount of the federal assistance, LIMA will exclude al ject costs incurred by the Recipient prior to i the date of this Agreement, or prior to the date of the approved budget for the Project, whichever is earlier unless an authorized representative of UMTA advises in writing to the contrary; any costs incurred by the Recipient which are not provided for in the latest approved budget for the Project; and any costs attributable to goods or seivioee received under a contract or other arrangement which has not been concurred in or approved in writing by LMrA. Exceptions to the above statement on disallowed costs are contained in the External Operating Manual or in written guidance from iMrA. (d) Letter of Credit. Should a letter of credit be issued to the Recipient, the ollari.ng terms and conditions in confortmman©e with 31 C.F.R. Part 205, are applicable: (1) the Recipient shall initiate cash drawdowns only when actually needed for Project disbursemwts. (2) the Recipient shall report its cash disbursements and balances in a timely manner as required by the Government. (3) the Recipient shall provide for effective control and accountability for all Project funds in aeoordanoe with require- ments and procedures issued by the Government for use of the letter of credit. (4) the Recipient shall impose on its suhrecipients all the requirements of Section 105(d) (1) (2) and (3) above as applicable. (5) should the Recipient fail to adhere to the requirawnts of Section 105(d) (1) (2) (3) and (4) above, the Government may revoke the unobligated portion of the letter of credit. C r-� r- IN (6) Section 105(a), (b), and (c) above remain effective to the extent that they do not conflict with the provisions of section 105(d). (e) Interest on Late P mimts. Upon notice by UK% to the Recipient of specs zc amxints (amdie Govemvent, the Recipient shall promptly remit any excess payment of ammmts or disallowed costs to UMIA. Interest may be assessed from the time of notice and charged for any amorous due to the Government that are not paid as set forth in the Treasury Fiscal Requirements Manual. Section 106. Right of Government to Terminate. Upon written notice to the Recipient, the Government reserves the right to suspend or terminate all or part of the financial assistance provided herein if the Recipient is, or has been, in violation of the terms of this Agreement or if UMTA determines that the purposes of the Act would not be adequately served by continuation of federal financial assistance for the Project. Any failure to make progress or other violation of the Agreement which significantly endangers substantial performance of the Project within a reasonable time shall be deemed to be a violation of the terms of this Agreement. Termination of any part of the financial assistance will not invalidate obligations properly incurred by the Recipient and concurred in by tHM prior to the date of termination, to the extent they are noncancellable. The acceptance of a remittance by the Government of any or all Project Funds previously received by the Recipient or the closing out of federal financial participation in the Project shall not constitute a waiver of any claim which the Government may otherwise have arising out of this Agreement. Section 107. Project Completion, Settlement, and Close-out. Upon successful completion of the Project or upon termination by UMTA, the Recipient shall, within 90 days of the acMIeticn date of the Project, submit a final Financial Status Report (Standard Form 269), a certification or su miary of Project expenses, and third party audit reports, when applicable. Upon receipt of this information, UMTA or an agency designated by U-EA will perform a final audit of the Project to determine the allowability of costs incurred, and will make settlement of the federal grant described in Part I of this Agreement. If LKTA has made payments to the Recipient in excess of the total amount of such federal assistance, the Recipient shall prommptly remit to UMI'A such excess and interest as may be required by section 105(e). Project closerout occurs when UMTA notifies the Recipient and forwards the final grant payment or when an appropriate refund of federal grant funds has been received from the Recipient and acknowledged by UMTA. Close-out shall not invalidate any continuing obligations imposed on the Recipient by this Agreement or contained in the final notification or acknowledgement from LUM. Section 108. Contracts of the Recipient. The Recipient shall not execute any lease, pledge, mortgage, lien, 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 Recipient, 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. Fl Section 109. Restrictions, Prohibitions, Controls, and Labor Provisions. (a) Equal F�lont Oortunity. In connection with the carrying out of the Project, the Recipient shall not discriminate against any enployee or applicant for employment because of race, color, age, creed, seat, or national origin. The Recipient shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, color, religion, sex, age,or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion or transfer, recruitment or recruitment advertising, layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Recipient shall insert the foregoing provision (modified only to show the particular contractual relationship) in all of its contracts in connection with the development or operation of the Project, except contracts for standard ccum~rcial supplies or raw materials and construction contracts subject to the provisions of Section 110 (a) of this Agreerpant, and shall require all such contractors to insert a similar provision in all subcontracts, except subcontracts for, standard oo merical supplies or raw materials. If,as a condition of assistance, the Recipient has submitted,and the Government has approved, an equal employment opportunity program that the Recipient. agrees to carry out, such program is incorporated into this Agreement by reference. Such program shall be treated as a contractual obligation; and failure to carry out the terms of that equal employment opportunity program shall be treated as a violation ,,A this Agreement. Upon notification to the Recipient of its failure to carry out the approved program, the Government will impose such rem&es as it may deeds appropriate, which remedies may include termination of the Agreement as provided in Section 106 of this Agreement or other measures that Tray affect the ability of the Recipient to,.obtain future financial assistance under the Urban Mass Transportation Act of 1964, as amended, or the Federal Aid Highway Act of 1973, as ar*Med. (b) Minority and Woum's Business Enterprise. The Recipient shall be responsible for meeting the applicable regulations regarding participation by minority business enterprise (MBE) in Department of Transportation program set forth at 49 C.F.R. Part 23, 45 F.R. 21172 et seq., March 31, 1980, or any revision or supplement thereto. Pursuant to the requirements of section 23.43 of those regulations: (I) PoZiey. It is the policy of the Department of Transportation that minority business enterprises, as defined in 49 C.F.R. Part 23, shalt have the maximum opportunity to participate in the performance of contracts financed in whole or in part with federal funds under this agreement. Consequently, the MBE requirements of 49 C.F.R. Part 23 appZy to this agreement. 8 - � (2) MBE Obligation. The Recipient and its contractors agree to ensure that minority business enterprises as defined in 49 C.F.R. Part 23 have the maximum opportunity to participate in the performance of contracts and subcontracts financed: in whole or in part with -federal funds provided under this Agreement. In this regard aZZ Recipients and contractors shalt take aZZ necessary and reasonable steps in accordance with 49 C.F.R. Part 23 to ensure that minority business enterprises have the maximum opportunity to compete for and perform contracts. Recipients and their contractors shaZZ not discriminate on the basis of race,. coZor, national origin or sex in the ward and performance of DOT - assisted contracts. (3) If as a cxnditi:on of assistance the Recipient has submitted and the Department has appro%red a minority business enterprise affirmative action program which the Recipient agrees to carry out, this program is incorporated into this financial assistance agreement by reference. This program shall be treated as a legal obligation and failure to carry out its terms shall be treated as a violation of this financial assistance agreement. Upon notification to the. Recipient of its failure to carry out the approved program, the Department shall impose such sanctions as noted in 49 C.F.R. Part 23, Stuart E, which sanctions may include termination of the Agreement or other measures that may affect the ability of the Recipient to obtain future DOT financial assistance. (4) The Recipient shall advise each subrecipient, contractor, and subcontractor that failure to carry out the requirements set forth in 23.43(a) shall constitute a breach of contract and, after the notification r of the Department, may result in termination of the Agreement or contract by the Recipient or such remedy as the Recipient deers appropriate. (5) Recipients shall take action concerning lessees as follows: (A) Recipients shall not exclude MBE's from participation in business opportunities by entering into long-term, exclusive agreements with nn-+ME's for operation of major transportation -related activities for the provision of goods and services to the facility or to the public on the facility. (B) Recipients required to submit affirmative action programs under section 23.41(a)(2) or (a)(3) that have business opportunities for lessees shall submit to the Department for approval with their programs overall goals for the participation as lessees of firms owned and controlled by minorities and firm owned and controlled by women. These goals shall be for a specified period of time and shall be based on the factors listed in section 23.45(g)(5). Recipients shall review these goals at least annually, and whenever the goals expire. The review shall analyze projected versus actual MBE participation during the period covered by the review and any changes in factual circumstances affecting the selection �. 9 of goals. Following each review, the Recipient shall submit new overall goals to the Department for approval. Recipients that fail to meet their goals for ME lessees shall demonstrate to the Department in writing that they made reasonable efforts to meet the goals. (C) Except as provided in this section, Recipients are requried to include lessees in their affirmative action programs. Lessees themselves are not subject to the requirements of this Part, except for the obligation of section 23.7 to avoid discrimination against MBE's. (6) The Recipient agrees to include the clauses in Subsection (1) and (2) of Section 109(b) above in all subsequent agreements between the Recipient and any suhracipient and in all subsequent Dar -assisted contracts between the Recipient or subrecipients and any third party contractor. (c) Title VI Civil Rights Act of 1964. The Recipient will comply and will assure the cccpp lance by contractors and subcontractors under this Project with all the requirements imposed by Title VI of the Civil Rights Act of 1964 (49 U.S.C. S 2000d), the Regulations of DOT issued thereunder, 49 C.F.R. Part 21 and the Assurance by the Recipient pursuant thereto. (d) Competition in Procurement. The Recipient shall comply with the Procurement Standards requirements set forth in Attachment O of CMID Circular A-102, as amended, or A-110, as may be appropriate; and with any supplementary guidelines or regulations as may be promulgated by the Goverrament. (e) -`hics. The Recipient shall maintain a written code or standards oT—c-ciOuct which shall govern the performance of its officiers, employees or agents engaged in the award and administration of contracts supported by Federal funds. Such code shall provide that no employee, officer or agent of the Recipient shall participate in the selection, or in the a-vTard or administration of a contract supported by federal funds if a conflict of interest, real or apparent, would be involved. Such a conflict would arise when any of the parties set forth below has a financial or other interest in the firm selected for award: 10 1. the eQployoe, officer or agents 2. any mwber of his imred3ate familyt 3. his or her Partner; or 4. an organization which employs, or is about to employ, any of the above. The code shall also provide that the Recipient's officers, employees or agents shall neither solicit nor accept gratuities, favors or anything of =netary value fzm contractors, potential oon-tors, or parties to subagreeNIAlamli►tr;. The Recipient may set min= n rules where the,financial interest is not substantial or the gift is an unsolicited iten of nominal intrinsic value. To the extent permitted by State or local law or regulations, such standards of conduct shall provide for penalties, sanctions, or other disciplinary actions for violations of such standards by the Recipient's officers, employees, or agents, or by contractors or their agents. (f) Interest of Members of or Delegates to Congress. No member of or delegate to the Congress of the Muted States sball be admitted to any share or part of this agreement or to any benefit arising (00� therefrm. Section 110. aonstrucction Contracts. (a) Nondiscrimination. The Recipient hereby agrees that it will incorporate or cause rporated into any contract for construction work, or modification thereof, as defined in the Ragula46 of the Secretary of Labor at 41 C.F.R. 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: 11 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, color, religion, sex, or national origin. The contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to the following: Employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; mates of pay or other forma of compensation; and selection for training, ncluding apprenticeship. The contractor agrees to post in conspicuous places, dvailable to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. (2) The contractor will, in all solicitations or advertise- ^lents for employees placed by or on behalf of the contractor, statc that all quaZified appZicante will receive consideration ."or employment without regard to race, color, religion, sex, or national origin. (3) The contractor will send to each labor union or repre- sentative 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 pZaoee available to employees and applicants for employment. (4) The contractor will comply with all provisions of Executive Order 11246 of September 24, 1966, 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, and will permit access to his books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders. (6) In the event of the contractor's noncompliance with the non-discrimination clauses of this Agreement or with any of the said rules, regulations or orders, this Agreement may be 12 cancelled, terminated, or suspended in mhots or in part and t the, contractor may be declared ineligible for farther Government contracts or federally assisted construction contracts in accordance with procedures authorised in Executive Order 11246 of September 24, 1965, as amended, and -such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246'of September 24, 1965, as amended, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law. (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 subcontractor purchase order as the administering agency 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 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 Recipient further agrees that it will be bound by the above equal opportunity clause with respect to its own erplelment practices when it participates in federally assisted construction work; Provided That if the Recipient so participating is a State or local government, the above equal opportunity clause is not applicable to any agency, instrumentality or subdivision of such government which does not participate in work on or under the Aunt. The Recipient agrees that it will assist and cooperate actively with the administering agency and the Secretary of Labor in obtaining the ccnpliance of contractors and subcontracinrs 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 sipervision of such oomplianoe, and that it will otherwise assist the administering agency in the discharge of the agency's primary responsibility for securing ompliance. The Recipient further agrees -that it will refrain from entering into any contract or contract modification subject to Executive order 11246 of September 24, 1965, as amended, with any 13 contractor debarred froln, or u o has not demonstrated aliaibility for Government contracts and federally assisted oonstruetian contracts pursuant to the Executive Order and will carry out such sanctions and penalties for violation of the equal Opportunity clause as may be imposed upon contractors and subcontractors by the administering agency or the Secretary of Labor pursuant to Part II, Subpart D of the Executive Order. In addition, the iecipient agrees that if it fails or refuses to oamply with these undertakings, the administering agency may take any or all of the following actions: Cancel, terminate, or suspend in whole or in part this Agreement (grant, contract, loan, insurance, guarantee); refrain from extending any further assistance to the Recipient under the program with respect to which the failure or refund occurred until satisfactory assurance of future c.crrpliance has been received from such Recipient; and refer the case to the Department of Justice for appropriate legal proceedings. (b) Specifications. Recipient hereby agrees that it will incorporate or cause to be incorporated the specifications set forth below in all federal and federally assisted oontruction contracts, or modifi- cations thereof, in excess of $10,000 to be performed in geographical areas designated by the Director, Office of Federal Contract Compliance Programs of the Department of Labor pursuant to the Regulations of the Secretary of Labor at 41 C.F.R. Section 60-4.6 and in construction subcontracts in excess of $10,000 necessary in whole or in part to the performance of nonconstruction federal oontracts and subcontracts covered under Executive Order 31246; STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION CONTRACT SPECIFICATIONS (Executive Order 11246): 1. As used in these specifications: a. "Covered area" means the geographical area described in the solicitation from which this contract resulted; b. 'Director" means Director, Office of Federal Contract Compliance Programs, United States Department of Labor, or any person to whom the. Director delegates authority; C. "Employer identification number" means the Federal Social Security number used on the Employer's Quarterly Federal Tax Return, U.S. Treasury Depart- ment Form 941. 14 d. "Minority" inoludes: (i) Black (aZZ persons having origins in any of the BZack African racial groups not of Hispanic origin); (ii) Hispanic (aZZ persons of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish Culture or origin, regardless of race); (iii) Asian and Pacific Islander (aZZ persons having origins in any of the original people of the Far East, Southeast Asia, the Indian Subcontinent, or the Pacific Islands); and (iv) American Indian or Alaskan Native fall persone wing origins in any of the original people of North America and maintaining identifiable tribal affiliations through membership and participation or community identification). 2. Whenever the contractor, or any subcontractor at any tier, subcontracts a portion of the work involving any con- struction trade, it shall physically include in each subcontract in excess of $ZO,000 the provisions•of these specifications and the Notice which contains the applicable goaZe for minority and female participation and which is set forth in the solicitations from which this contract resulted. 3. If the contractor is participating (pursuant to 41 C.F.R. 60-4.5) in the covered area either individually or through an association, its affirmative action obligations on all work in the Plan area (incZuding goals and timetables) shalt be in accordance with that Plan for those trades which have unions participating in the Plan. Contractore must be able to demonstrate their participation in and compliance with the provisions of any such Hometown Plan. Each contractor or subcontractor participating in an approved Plan is individuaZZy required to comply with its obligations under the EEO clause, and to make a good faith effort to achieve each goat under the Plan in each trade in which it has employees. The overall good faith performance by other contractors or subcontractors toward a goat in an approved Plan does not excuse any covered contractor's or suboncontractor'a failure to take good faith efforts to achieve the Plan goals and timetables. is 4. The contractor shall implement the specific affirmative action standards provided in paragraphs 7a through p of these specifications. The goals set forth in the solicitation from which this contract resulted are expressed as percentages of the total hours of employment and training of minority and female utilization the contractor should reasonably be able to achieve in each construction trade in which it has employees in the eoverd area. The contractor is expected to make substantially uniform progress toward its goal in each craft during the period specified. S. Neither the provisions of any collective bargaining agreement, nor the failure by a union with whom the contractor has a collective bargaining agreement, to refer either minorities or women shall excuse the contractor's obligations under these specifications, Executive Order 11246, or the reoulatione promulgated pursuant thereto. 6. In order for the nonworking training hours of apprentices and trainees to be counted in meeting the goals, such apprentices and trainees must be employed by the contractor during the training period, and the contractor must have made a commitment to employ the apprentices and trainees at the completion of their training, subject to the availability of employment opportunities. Trainees must be trained pursuant to training programs approved by the U.S. Department of Labor. 7. The contractor shall take specific affirmative actions to ensure equal employment opportunity. The evaluation of the contractor's compliance with these specifications shall be based upon its effort to achieve maximum results from its actions. The contractor shall document these efforts fully, and shall implement affirmative action steps at least as extensive as the following: a. Ensure and maintain a working environment free of harassment, intimidation, and coercion at all sites, and in all facilities at which.the contractor's employees are assigned to work. The contractor, where possible, will assign two or more women to each construction project. The contractor shall specifically ensure that all foremen, superintendents, and other on-sita supervisory personnel are aware of and carry out the contractor's obligation to maintain such a working environment, with specific attention to minority or female individuals working at such sites or in such facilities. MA b. Establish and maintain a current Zist of minority and female recruitment sources, provide written notification to minority and female recruitment sources and to community organizations when the contractor or its unions have employment opportunities available, and maintain a record of the organizations' responses. c. Maintain a current file of the names, addresses and telephone numbers of each minority and female off -the - street applicant and minority or female referral from a union, a recruitment source or community organization and of what action was taken with respect to each such individual. If such individual was sent to the union hiring hall for referral and was not referred back to the contractor by the union or, if referred, not employed by the contractor, this shall be documented in the file with the reason therefor, along with whatever additional actions the contractor may have taken. d. Provide immediate written notification to the Director when the union or unions with which the contractor has a collective bargaining agreement has not referred to the contractor a minority person or woman sent by the contractor, or when the contractor has other information that the union referral process has impeded the contractor's efforts to meet its obligations. e. Develop on -the -site training opportunities and/or participate in training programs for the area which expressly include minorities and women, including upgrading programs and apprenticeship and trainee programs relevant to the contractor's employment needs, especially those programs funded or approved by the Department of Labor. The contractor shaZZ provide notice of these programs to the sources compiled under 7 b above. f. Disseminate the contractor's EEO policy by providing notice of the policy to unions and training programs and requesting their cooperation in assisting the contractor in meeting its EEO obligations; by including it in any policy manual and collective bargaining agreement; by publicizing it in the company newspaper, annual report, etc.; by specific review of the policy with all management personnel and.with all minority and female employees at least once a year; and by posting the company EEO policy on bulletin boards accessible to all employees at each Zocation where construction work is performed. 17 g. Review, at least annually, the company's EEO policy and affirmative action obligations under these specifications with all employees having any responsi- bility for hiring, assignment, layoff, termination or other employment decisions including specific review of these items with onsite supervisory personnel such as Superintendents, General Foreman, etc., prior to the initiation of construction work at any job site. A written record shaZZ be made and maintained identifying the time and place of these meetings,persons attending, subject matter discussed, and disposition of the subject matter. h. Disseminate the contractor's EEO policy externally by including it in any advertising in the news media, specifically including minority and female news media, and providing written notification to and discussing the contractor's EEO policy with other contractors and sub- contractors with whom the contractor does or anticipates doing business. i. Direct its recruitment efforts, both oral and written, to minority, female and community,.organizations, to schools with minority and female students and to minority and fsmaZe recruitment and training organizations serving the contractor's recruitment area and employment needs. Not later than one month prior to the date for the acceptance of applications for apprenticeship or other training by any recruitment source, the contractor shalt send written notification to organizations such as the above, describing the openings, screening procedures, and tests to be used in the selection process. j. Encourage present minority and female employees to recruit other minority persons and women and, where reasonable, provide after school, summer and vacation employment to minority and female youth both on the site and in other areas of contractor's workforce. k. Validate all tests and -other selection require- ments where there is an obligation to do so under 41 C.F.R. Part 60-3. 1. Conduct, at least annually, an inventory and evaluation at least of all minority and female personnel for promotional opportunities and encourage these employees to seek or to prepare for, through appropriate training, etc., such opportunities. 18 m. Ensure that seniority practices, job olassifi- cations, work assignments and other personnel practices, do not have a discriminatory effect by continually monitoring all personnel and employment related activities to ensure that the EEO policy and the contractor's obligations under these specifications are being carried out. n. Ensure that all facilities and company activities are nonsegregated except that separate or singZe-user toilet and necessary changing facilities ehaZZ be provided to assure privacy between the sexes. o. Document and maintain a record of all solicita- tions of offers for subcontracts from minority and female construction contractors and suppliers, including circulation of„solicitations to minority and female contractor associa- tions and other business associations. p. Conduct a review, at least annuaZZy, of all supervisors' adherence to and performance under the contractor's EEO policies and affirmative action obli- gations. 8. Contractors are encouraged to participate in voluntary associations which assist in fulfilling one or more of their affirmative action obligations Pa through p). The efforts of a contractor association, joint contractor -union, contractor - community, or other similar group of which the contractor is a member and participant, may be asserted as fulfi.lZing any one of more of its obligations under 7a through p of.these Specifications provided that the contractor actively participates in the group, makes every effort to assure that the group has a positve impact on the employment of minorities and women in the industry, ensures that the concrete benefits of the program are reflected in the contractor's minority and female workforce participation, makes a good faith effort to meet its individual goals and timetables, and can provide access to documentation which demonstrates the effectiveness of actions taken on behalf of the contractor. The obligation to comply, however, is the contractor's and failure of such a group to fulfill an obligation shall not be a defense for the contractor's noncompliance. 8. A single goat for minorities and a separate single goat for women have been established. The contractor, however, is required to provide equal employment opportunity and to take affirmative action for all minority groups, both male 19 and female, and a1Z women, both minority and non -minority. Consequently, the contractor may be in violation of the Executive Order if a particular group is employed in a substantiaZZy disparate manner (for example, even though the contractor has achieved its goals for women generally, the contractor may be in violation of the Executive Order if a specific minority group of women is underutilized). 10. The contractor shall not use the goals and timetables or affirmative action standards to discriminate against any person because of mace, color, religion, sex, or nationa.1 origin. 11. The contractor shall not enter into any subcontract with any person or firm debarred from Government contracts pursuant to Executive Order 11246. 12. The contractor shall carry out such sanctions and penalties for violation of these specifications and of the Equal Opportunity Clause, including suepension, termination and cancellation of existing subcontracts as may be imposed or ordered pursuant to Executive Order 11246, as amended, and its implementing regulations by the Office of Federal Contract Compliance Programs. Any contractor Who fails to carry out such sanctions and penalties shall be in violation of these specifications and Executive Order 11246, as amended. 13. The contractor, in fulfulling its obligations under these specifications, shall implement specific affirmative action steps, at least as extensive as those standards prescribed in paragraph 7 of these specifications, so as to achieve maximum results from its efforts to ensure equal employment opportunity. If the contractor fails to comply with the requirements of the Executive Order, the implementing regulations, or these specifications, the Director shall proceed in accordance with 41 C.F.R. 60-4.8. 14. The contractor shall designate a responsible official to monitor aZZ employment related activity to ensure that the company EEO policy is being carried out, to submit reports relating to the provisions hereof as may be required by the Government and to keep records. Records shall at least include for each employee the name, address, telephone numbers, construction trade, union affiliation if any, employee identification number when assigned, social security number race, sex, status (e.g., mechanic,apprentice, trainee, helper, 20 or Zaborer), dates of changes in status, hours worked per meek in the indicated trade, rate of pay, and locations at which the work was performed. Records shall be maintained in an easily understandable and retrievable form; however, to the degree that existing records satisfy this requirement, contractors shalt not be required to maintain separate records. Z5. Nothing herein provided shalt be construed as a limitation upon the application of other laws which establish different standards of compliance or upon the application of requirements for the hiring of local or other area residents (e.g., those under the Public forks Employment Act of 1977 and the Community Development Block Grant Program.) (c) Notice. Recipient hereby agrees that it will ensure that the rZUce set forth below shall be included in, and shall be a part of, all solicitioms for offers and bids on all federal and federally assisted construction contracts or subcontracts in excess of $10,000 to be performed in graphical areas designated by the Director, Office of Federal Contract Coopliance Programs of the Department of Labor at 41 C.F.A. Section 60-4.6: NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL EMPLOYMENT OPPORTUNITY (Executive Order 11246): 1. The Offeror's or Bidder's attention is called to the "Equal Opportunity Clause" and the "Standard Federal Equal OnpZoyment Opportunity Construction Contract Specifi- cations" set forth herein. 2. The goals and timetables for minority and female participation, expressed in percentage terms for the contractor's aggregate workforce in each trade on all construction work in the covered area, are as follows: Timetable Goals for Goals for female minority participation participation in for each trade each trade Insert goals for Insert goals for each year. each year. These goals arm applicable to all the contractor's con- struction work (whether or not it is federal or federally assisted) performed in the covered area. 21 The contractor's oonpZianoe with the Executive Order and the regulations in #1 C.F.R. Part eO-4 shall be based on its impte mentation of the EquaZ Opportunity Clause, specific affirmative action obligations required by the specifications set forth in 41 C.F.R. 60-4.3(a), and its efforts to meet the goals established for the geographical area where the contract resulting from this solicitation is to be performed. The hours of minority and female employment and training must be substantially uniform throughout the length of the contract, and in each trade, and the.contractor ehaZZ make a good faith effort to empZoy minorities and women evenly on each of its projects. The transfer of minority or female employees or trainees from contractor to contractor or from project to project for the sole purpose of meeting the contractor's goals shall be a violation of the contract, the Executive Order and the regulations in 41 C.F.R. Part 60-4. Compliance with the goats will be measured against the total work hours performed. 3. The contractor shall provide written notification to the Director of the Office of Federal Contract Compliance Programs within 10 working days of award of any construction subcontract in excess $10,000 at any tier for construction work under the contract resulting from this solicitation. The notification shall list the name, address and telephone number of the subcontractor; employer identification number; estimated dollar amount of the subcontract; estimated starting and completion dates of the subcontract; and the geographical area in which the contract is to be performed. 4. As used in this Notice, and in the contract resulting from this solicitation, the "covered area" is (insert description of the geographical areas where the contract is to be performed giving the State, county and city, if any). W Labor Provisions. Pursuant to regulations set forth at 29 C.F.R-the — o�Il—wing provisiom shall be in=porated in all ooristructien Contracts of $2,000 let by the Recipient in carrying out the Project. (1) Minimum wages._ (i) All mechanics and laborers employed or wor ik'ng 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 regu- Zations issued by the Secretary of Labor under the Cope- land Act (29 C.F.R. Part 3)), the J%ZZ amounts due at time of payment computed at wage rates not less than 22 those contained in the wage determination decision of the Secretary of Labor applicable to the Project, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics; and the wage determination decision shalt be posted by the contractor at the site of the work in a prominent place where it can be easily seen by the workers.. For the purpose of this clause, contributions made or costs reasonably antici- pated under section Z(c)(2) of the Davis -Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of 29 C.F.R. 5.5 (a)(Z)(iv). Also for the purpose of this clause, regular contributions made or costs incurred for more than a weekly period under plane, funds, or programs,.but covering the particular weekly period, are deemed to be constructively made or incurred during such weekly period. (ii) The contracting officer shalt require that any class of laborers or mechanics, including apprentices and trainees, which is not listed in the wage determination and which is to be employed under the contract, shalt be classified or reclassified conformably to the wage deter- mination, and a report of the action taken shall be sent by DOT to the Secretary of Labor. In the event the interested parties cannot agree on the proper classification or recZassifi,- cation of a particular class of laborers and mechanics, including apprentices and trainees, to be used, the question accompanied by the recommendation of the contracting officer, shalt be referred to the Secretary of Labor for final determination. (iii) The contracting officer shaZZ require, whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a'fringe benefit which is not expressed as an hourly wage rate 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. 23 (iv) If the contractor does not make payments to a trustee or other third person, he 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 of a type expressly listed in the wage determination decision of the Secretary of Labor which is a part of this contract: Provided, however, the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis -Bacon Act have been meta 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 contractor 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, 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 flurther payment, advance, or guarantee of funds until such violations have ceased. (3) Payroll and Basic Records. (i) Payrolls and basic records relating thereto will be maintained during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work. Such records will contain the n=e 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 1(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 C.F.R. 5.5 (a)(1) NO that the wages of any laborers or mechanics include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in , section: 1(b) (2) (B) of the Davis -Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, and that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. 24 (ii) The contractor wilt submit weekly a copy of all payrolls to the Recipient for transmittal 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 to be performed. A submission of the "weekly Statement of Compliance" which is required under this contract and the Copeland regulations of the Secretary of Labor (29 C.F.R., 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.F.R. 5.5 (a)(1)(iv) shall satisfy thie 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 empZoyees during working hours on the job. Contractore employing apprentices or trainees under approved programs shall include a notation on the first weekly certified payrolls submitted to the contracting agencies that their employ- ment is pursuant to an approved program and shall identify the [ program. (4) Apprentices and Trainees. (A) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they perform when they are employed wid individually registered in a bona fide apprenticeship program registered with the U.S. Depart- ment of Labor, &VZoyment end Training Administration, Bureau of Apprenticeship and Training, or with a State Apprenticeship Agency recognized by the Bureau, or if a person is employed in his first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by.the Bureau of Apprenticeship and Training or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen 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 25 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 mate determined by the Secretary of Labor for the classification of work he actually performed. The contractor or subcontractor will be required to furnish to the contracting officer or a representative of the Gage -Hour Division of the U.S. Department of Labor written evidence of the regietration of his program and apprentices as well as the appropriate ratios and wage rates (expressed in percentages of the journeyman hourly rates) for the area of construction prior to using any apprentices on the contract work. The wage rate paid apprentices shall not be less than the appropriate percentage of the journeyman's rate contained in the applicable wage determination. (B) Trainees. Except as provided in 29 C.F.R. 5.15, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to or individually registered in a program which has received prior approval, evidenced by formal certification, by the U.S. Department of Labor, E3npZoyment and Training 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 than 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 Apprenticeship and Training shaZZ be paid not less than the wage rate determined by the Secretary of Labor for the classification 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 utilise 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 C. F. R. Part 30. 26 (5) Compliance with Cppetand Rea Zations (29 C.P.R. Part 3). The contractor shalt comply with.the Cope Zand,Regulations (29 C.F.R. Part 3) of the Secretary of Labor which are herein incorporated by reference. (6) Contract Termination; Debarment. A breach of clauses (.1) through (5) may be grounds for termination of the contract, and for debarment as provided in 29 C. F.R. 5.6. (7) Overtime Requircments. No contractor or subcontractor contracting for any part of the contract work which may require or involve the empZoy- ment of laborers or mechanics shaZZ require 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 workweek unless such taborer or mechanic receives compensation at a mate not less than one and one-half times hie basic mate of pay for aZZ 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 violation of the clause set forth in subparagraph (7), the oontractor and any subcontractor responsible therefor shalt be liable to any affected employee for hie upaid wages. In addition, such contractor and sub- contractor shalt 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 shalt be computed with respect to each individual laborer or mechanic employee in violation of the clause set forth in subparagraph (7), in the sum of $10 for each calendar day on which such employee is 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 Liquidated Dwwaee. DOT may withhold or oause-to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor, such sums as may administrativeZy be determined 27 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 Summar The contractor and each subcontractor shall furnish to the Recipient, upon the 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 contract, the contractor shall submit to the Recipient with the voucher for final payment for any work performed under the contract 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 a 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 Recipient of Labor Disputes. Whenever the contractor has knowledge that any 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 in- formation with respect thereto, to the Recipient. (13) Dilates Clause. (i) All disputes concerning the payment of prevailing wage mates or classification shall be promptly reported to 28 the Recipient for its referral to DOT for decision or, at the option of DOT, DOT referral to the Secretary of Labor. The decision of DOT or the Secretary of Labor as the case may be, shalt be final. (ii) All questions relating to the application or interpretation of the Copeland Act, 40 U.S.C. $ 276c, the Contract Work Hours Standards Act, 40 U.S.C. SS 327-333, the Davis -Bacon Act, 40 U.S.C. S 276a, or Section 13 of the Urban Mass Transportation Act, 49 U.S.C. S Z609, shalt be sent to UMTA for referral to the Secretary of Labor for ruling or interpretation, and such ruling or interpretation shall be final. (14) Convict Labor. In connection with the performance of work under this contract the contractor agrees not to employ any perton undergoing sentence of imprisonment at hard labor. This does not include convicts who are on parole or probation. (16) Insertion in Subcontracts. The contractor shall insert in all construction subcontracts the clauses set forth in subsections (1) through (15) of this section so that all of the provisions 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. (e) Changes in Construction Contracts. Any changes in a Construction contracts ail be summitred to WT for prior approval Mess the gross amount of the changes is $100,000 or less, the contract was originally awarded cn a Coupetitive basis, and the change does not change the scope of work or exceed the contract period. Construction contracts shall include a provision specifiying that the above requirwmt will be met. (f) Contract Security. The Recipient shall follow the requirensnts o CM rcular A-10Z as mended, or A-110, as may be appropriate, and ZMM guidelines with regard to bid guarantees and bonding requirements. (g) Insurance.DurLn Contruction. The Recipient shall follow the nsuranoe requirements n=mlly required by their State and local goverruents. (h) Signs. The Recipient shall cause to be erected at the site of construction, and maintained during construction, signs 29 f' satisfactory to DOT` identifying the Project and indicating that the Mwernment is participating in the develagmaat of the Project. �. (i) �1a ted DamasProvision. The Recipient shall include in all contracts or oonstruct n, a clause satisfactory to DOT providing for liquidated damages, if (1) DOT may reasonably expect to suffer damages (increased costs on the grant project involved) from the late completion of the construction and (2) the extent or amount of such damages would be difficult or possible 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. (j) Provisions of Construction Contract. The terns and conditions of each oorrpetitive y bid consstrucU&i contract are subject to prior approval by DOT if the estimated cost will exceed $25,000, unless and to the extent that such prior approval is waived in writing by DOT. In addition to the requirements of this Section 110, each construction contract shall contain, among others, provisions required by subsections (e), and (f) of Section 109 hereof. (k) Actual Work by Contractor. The Recipient shall require that a construction contractor perform, oa the site and with his own staff, work equivalent to at least 10 percent of the total amount of construction work covered by his contract. (1) Force Account. If costs of construction performed by employees of the Recipient are estimated to exceed $25,000, prior approval of DOT must be obtained or else such costs may not be included as eligible Project Costs. (m) Safety Standards. Pursuant to Section 107 of the Contract Work Hours and safety Standards Act and Department of Labor Regulations at 29 C.F.R. S 1926, no laborer of mechanic working on a construction contract shall be required to work in surroundings or under work- ing conditions which are unsanitary, hazardous, or dangerous to his or her health and safety as determined under construction and health standards prc milgated by the Secretary of Labor. Section 111. Environmental, Resource, and Energy Protection and Conservation Requirements. (a) Compliance with Environmental Standards. The Recipient shall oanply withtheof the C can Air Act, as amended (42 U.S.C. S 1857 et seq.); the Federal Water Pollution Control Act, as mended (33 U.S.C. S 1251 et seq.); and implementing regulations, in the facilities which are involved in the Project for which federal assistance is given. The Recipient shall ensure that the Facilities under ownership, lease or supervision, whether directly or under contract, that shall be utilized in the accomplishment of the Project are not listed on the EPA's List of Violating Facilities. Contracts, w ontracts, and subgrants of amounts in excess of $100,000 shall contain a provision which requires compliance with all applicable standards, orders, or requirements issued under section 306 of the Clean Air Act (42 U.S.C. 1857(h)), Section 508 of the Clean Water Act (33 U.S.C. 1368), Dwoutive Order No. 11738,. and Environmental Protection Agency (ERA) regulations (40 C.F.R. Part 15). The Recipient and any third -party contractor thereof shall be responsible for reporting any violations to UMM and to 30 the EPA Assistant Adninistratar for Enforcement. In addition, the Recipient shall notify UMT.A of the receipt of any communication fram the Director of the EPA Office of Federal Activities indicating that a facility to be utilized in the Project is under consideration for listing in EPA. (b) Air Pollution. No facilities or equipment shall be acquired, constructed, or improved as a part of the Project unless the Recipient obtains satis- factory assurances that they are (or will be) designed and equipped to limit air pollution as provided in the External Operating Manual and f in accordance with all other applicable standards. (c) 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 ooncurrence of DCM (d) Historic Preservation. The Recipient shall assist UMI'A in its compliance with Section 106—R—Me National Historic Preservation Act of 1966, as amended (16 U.S.C. 470), Executive Order No. 11593, and the Archeological and Historic Preservation Act of 1966 (16 U.S.C. 469a-1 et seq.) by (a) consulting with the State Historic Preservation Officer on the conduct of investigations, as necessary, to identify properties listed in or eligible for inclusion in the National Register of Historic Places that are subject to adverse effects (see 36 C.F.R. Part 800.8) by the activity, ( and notifying UITA of the existence of any such properties, and by (b) complying with all requirements established by UKM to avoid or'mitigate adverse effects upon such properties. (e) Energy Conservation. The Recipient and its third party contractors shall recognize mandatory standards and policies relating to energy efficiency which are contained in the State energy conservation plan _issued in oomplianoe. with the Energy Policy and O=uwvation Act (P.L. 94-163). Section 112. Patent Rights. (a) Whenever any invention, irnprovsment, or discovery (whether or not patentable) is conceived or for the first time actually reduced to practice, by the Recipient or its employees, in the course of, in connection with, or under the teens of this Agreement, the Recipient shall immediately give the Secretary of Mr, through UNM, or his authorized representative written notice thereof; and the Secretary 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, imprave- ment, or discovery, including title to and rights under any patent appli- cation or patent that may issue thereon. The determination of the Secretary on all these matters shall be accepted as final, and the Recipient 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. 31 (b) Ec-capt as otherwise authorized in writing by the Secretary or his authorized representative, the Recipient shall obtain patent agreements to effectuate the provisions of this clause from all per who perform any part of the work urder this Agreement, except such clerical and manual labor personnel as will have no access to technical data. (c) Except as otherwise authorized in writing by the Secretary or his authorized representative, the Recipient will insert in each third -party contract having design, test, experimental, develop- mental, or research work as one of its purposes, provisions making this clause applicable to the third -party contractor and its employees. (d) (1) The Recipient and the third -party contractor, each, may reserve a revocable, nonexclusive, royalty -free license in each patent application filed in any country on each invention subject to this clause and resulting patent in which the Government aoquires title. The license shall extend to the third -party contractor's domestic subsidiaries and affiliates, if any, within the corporate structure of which the third -party contractor is a part and shall include the right to grant sublicenses of the same scope to the extent the third -party contractor was legally obligated to do so at the time the contract was awarded. The license shall be transferable only with approval of UMTA except when transfered to the successor of that part of the third -party contractor's business to which the invention pertains. (2) The third -party contractor's nonexclusive domestic license retained pursuant to paragraph (d)(1) of this clause may be revoked cx rodified by UMMA to the extent necessary to achieve expeditious practical application of the Subject Invention under 41 C.F.R. 101-4.103-3 pursuant to an application for exclusive license submitted in accordance with 41 C.F.R. 101-4.104-3. This license shall not be revoked in that field of use and/or the geographical areas in which the third -party contractor has brought the invention to the point of practical application and continues to make the benefits of the invention reasonably accessible to the public. The third party contractor's nonexclusive license in any foreign country reserved pursuant to paragraph (d)(1) of this clause may be revoked or modified at the discretion of LEA to the extent the third -party contractor or his domestic subsidiaries or affiliates have failed to achieve the practical application of the invention in that foreign country. (3) Before modification or revocation of the license, pursuant to paragraph (d)(2) of this clause, LWA shall furnish the third -party contractor a written notice of its intention to modify or revoke the 32 license, and the third -party contractor shall be allowed 30 days �* (or such longer period as may be authorized by UWA for good cause shown in writing by the third -party contractor) after the notice to show cause why the license should not be modified or revoked. The third -party contractor shall have the right to appeal, in accordance with procedures prescribed by tP M any decisi= irrning the modification or revocation of his license. (e) In the event no inventions, inprovemants, or discoveries (whether or not patentable) are om=eived, or for the first time actually reduced to practice by the Recipient, its employees, its third - party contractors, or their employees, in the course of, in connection with, or under the terns of this Agreement, the Recipient shall so certify to the Secretary or his authorized representative, no later than the date on which the final report of work done, is due. (f) If the Recipient or the third -party contractor is permitted to file patent applications pursuant to this Agreement, 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 Project with the Department of Trans- portation. /^ (g) In the event the Recipient 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 mwerntion to the point of practical application, the Secretary or his authorized representative may revoke such rights or require the assign ent of such rights to the Government. (h) The Secretary or his authorized representative ahall, before the expiration of three (3) years after final pay ent under this grant, have the right to "uaine any books, records, documents, and other supporting data of the Recipient which the Secretary or his authorized representative shall reasonably dam directly pertinent to the discovery or identification of inventions falling within the criteria set cut'in paragraph (a), or to ompliance by the Recipient with the requirements, of this clause. The Secretary or his authorized representative shall, during the period specified above, have the further right to require the Recipient to exanttne any boors, records, documents, arx! other supporting data of the third -party contractor which the Recipient shall reasonably doer directly pertinent to the discovery or ' 33 memtification of inventions failing within the criteria set out in paragraph (a) or to carp iance 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 information, whether or not copyrighted, that is delivered or specified to be delivered under this Agreement. The term includes graphic or pictorial delineations in media such as drawings or photographs; text in specifications or related performance or design -type docucrents; machine forms such as punched cards, magnetic tape, or commuter memory printouts; and information retained in oaq:uter mersory. Examples include, but are not limited to, engineering drawings and associeted 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 Agree- ment shall be the sole property of the Government. The Recipient agrees not to assert any rights at common law or equity and not to establish any claim to statutory oopyright in such data. Except for its own internal use, the Recipient shall not publish or reproduce such data in whole or in part, or in any mariner or form, mi authorize others to do so, without the written consent of the Government until such time as the Government may have released such data to the public; this restriction, however, does not apply to Agreements with Academic Institutions. (c) The Recipient agrees to grant and does hereby grant to the Govern- ment and to its officers, agents, and employees acting within the soope 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 Agrewmt but which is incorporated in the work furnished under this Aunt; and (2) to authorize others so to do. (d) The Recipient shall indemnify and save and hold Mrrmless the Govern- ment, its officers, aunts, and employees acting within the scope of their official duties against any liability, including costs and expenses, resulting from, any willful or intentional violation by the Recipient of proprietary rights, copyrights, or rights of 34 privacy, arising out of the publication, translation, repuction, ny delivery, perfornianoe, use, or disposition of adata fu=iahed under this Agreement. (e) Nothing oontained in this clause stall inply a license to the Government under any patent or be oonstrued as affecting the scope of a4y license or other right otherwise granted to the Govert r=t under any patent. (f) In the event that the Project, which is the subject of this Agraennnt, is not c upleted, for any reason whatsover, all data generated under that Project shall be=w subject data as defined in the Rights in Data clause in this Agrement 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 Recipient by `the Government and inopoerated in the work furnished under the contract; provided that such incorporated material is identified by the Recipient at the time of delivery of such work. Section 114. Cargo Preference - Use of United States -Flag Vessels. (a) 46 U.S.C. S 1241 provides in pertinent part as followers: (b) (1) M*xw ver the United States shall procure, contract for, or otherwise obtain for its own account, or shall furnish to our for the account of any foreign nation without provision for reimbursement, any equipment, materials, or commodities, within or without the United States, or shall advance funds or credits or guarantee the convertibility of foreign currencies in'omvv3cticn with the furnishing of such equipment, materials, or ooramodities, the appropriate agency or agencies shall take such steps as may be necessary and practicable to assure that at least 50 per eentum of the gross tonnage of such equipment, materials, or camudities (eonputed separately for dry bulk carriers, dry cargo liners, and tankers), which may be transported on privately owned United States - flag connercial vessels, to the extent such vessels are available at fair and reasonable rates for United States -flag oammercial vessels, in such manner as will insure a fair and reasonable partici- pation of United States -flag commercial vessels in such cargoes by geographic areas: ... . (2) Every department or agency having responsibility under this subsection shall administer its programs with respect to this .��,..� subsection under regulations issued by the Secretary of 35 (b) Pursuant to regulatians published by the Secretary of Oomeree at 46 C.F.R. Part 381, the Recipient agrees to insert the following clauses in all contracts let by the Recipient under which equipment, materials or ornrrodities may be transported by ocean vessel in carrying out the Project: The contractor agrees -- (Z) To utilize privately owned United States -flag commercial vessels to ship at least 50 percent of the gross tonnage (computed separately for dry bulk carriers, dry cargo liners, and tankers) involved, whenever shipping any equipment, materials, or commodities pursuant to this section, to the extent such vessels are available at fair and reasonable rates for United States -flag commerciaZ vessels. (2) To furnish within 30 days following the date of loading for shipments originating within the United States, or within 30 working days following the date of loading for shipment originating outside the United States, a legible copy of a rated, "on -board" commercial ocean bill -of -lading in English for each shipment of cargo described in paragraph (Z) above to the Recipient (through the prime contractor in the case of subcontractor bills-of-Zading) and to the Division of National Cargo, Office of Market Develop- ment, Maritime Administration, Washington, D.C. 20230, marked with appropriate identification of the Project. (3) To insert the .substance of the provisions of this clause in all subcontracts issued pursuant to this contract. Section 115. Buy America. Pursuant to Section 401 of the Surface Transportation Assistance Act of 1978 P.L. 95-599, Nov. 6, 1978, and regulations published thereunder, #* Recipient agrees that if the total cost of this Project or dny amer4ment thereto exoseds $500,000,and if funds therefor are obligated by the Goverment after Nov ber 6, 1978, the Recipient shall require with respect to any third party contract thereunder that exceeds $500,000 that only such urmanufactured articles, mnterials, and supplies as have been mined or produced in the United States, and only such manufactured articles, materials, and supplies as have been manufactured in the United States substantially all from articles, materials, and supplies mined, produced, or manufactured, as the case may be, in the United States, will be used in such Project, unless a waiver of these provisions is. -granted. .36 i Upon written request to the Secretary, the Recipient may request j a waiver of the above provisions. Such waiver may be granted if the Secretary determiness (1) their application would be inconsistent with the public b interest; f (2) in the case of acquisition of rolling stock, their appli- cation would result in tau�easonable cost (after granting appropriate price adjustments to domestic products based on that portion of Project cost likely to be returned to the United States and to the States in the form of taut revenues) ; (3) supplies of the class or kind to be used in the manufacture of articles, materials, supplies are not misled, produced, or manufactured in the United States in sufficient and reasonably available quantities and of a satisfactory quality; or (4) that inclusion of domestic material will increase the cost of the overall Project contract by more than 10 per centum. Section 116. Charter and ,School Bus Operations. (a) Charter Bus. The Recipient, or any operator of mass transportation., acting on its behalf, shall not engage in charter bus operations outside the urban area within which it provides regularly scheduled mass transportation servioe, exoept as provided under Section 3(f) of the Urban Mass Transportation Act of 1964, as amended, 49 U.S.C. S 1602(f), and regulations published thereunder. (b) School Bus. The Recipient, or any operator of mass transportation acting on its behalf, shall not engage in school bus operations, exclusively for the transporation 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 amendIed, -49 U.S.C. S 1602(q) and requlations vublisW. thereunder. Section 117. Compliance with Elderly and Handicapped Regulations. . The Recipient shall insure that all fixed facility construction or ' alteration and all new equipment included in the Project comply with • applicable regulations regarding Transportation for Elderly and Handi- capped Persons, set forth at 49 C.F.R. Part 27. Section 118. Flood Hazards. The Recipient shall comply with the flood insurance purchase require - meets with respect to construction or aoquisitian purposes, of Section 102(a) of the Flood Disaster Protection Act of 1973, 42 U.S.C. S 4012(a). 37 Section 119. Privacy. Should the Recipient, its third party cxmtrmctors or its employees administer any rystam, of reoords on behalf of the Fbderal Government, the following terms and conditions are applicable. (a) The Recipient agrees: (1) to oaply with the Privacy Act of 1974, 5 U.S.C. S 552a (the Act) and the rules and regulations issued pursuant to the Act wi,en performance under the contract involves the design, development, or operation of any system of records an individuals to be operated by the Recipient, its contractors or employees to accomplish a Government function; (2) to notify the Government when the Recipient anticipates operating a systen of records an behalf of the Government in order to accomplish the requirenmts of this Agreement, if such system contains information about individuals which will be retrieved by the individual's name or other identifier assigned to the individual. A system of records subject to the Act may not be employed in the perfonmance of this Agreement until the necessary approval and publication requirements applicable to the system have been carried out. The Recipient agrees to correct, maintain, disseminate, and use such records in accordanoe'with the requirements of the Act, and to comply with all applicable requirements of the Act; (3) to include the Privacy Act Notification contained in this Agreement in every third party contract solicitation and in every third party contract when the performance of work Under the proposed third party contract may involve the design, development, or operation of a systen of records on individuals that is to be operated under the contract to acccuplish a Government function; and (4) to include this clause, including this paragraph, in all third party contracts under which work for this Agreement is performed or which is awarded pursuant to this Agreement or which may involve the design, development, or operation of such a system of records on behalf of the Qrvvxrament. (b)Fbr purposes of the Privacy Act, when the Agreement involves the operation of a system of records on individuals to accWlish a Government function, the Recipient, third party contractor and any of their employees is considered to be an enployee of the Government with respect to the Government function and the requirements of the Act, including the 38 y civil and criminal penaltiss for violation .of the Act, are applicable except that the criminal penalties shall not apply with regard'to contrdcts effective prior to September 27, 1975. In addition, failure'to amply with the pm isians of the Act or of this clause will, make this Agreement subject to termi- nation. e (c) Zhe tearis used in this clause have the following meanings: i f (1) "Operation of a system of records" means performanoe ' of any of the activities associated with maintaining the system of records an behalf of the Goverptrent including the collection, 1 use anddissemination of records. (2) "Record" means any item, collection, or grouping of j information about an individual that is maintained by the Recipient on behalf of the Goverment, including, but not limited to, his education, financial transactions, medical history, and criminal or eMloyment history and that contains ? his name, or the identifying number, symbol, or other 1 identifying particular assigned to the individual, such as a finger or voice print, or a photograph. (3) "System of records" on individuals means a group of any records under the control of the Recipient an behalf of the Goverment from which information is retrieved by the mane of the individual or by same identifying number, symbol, or other identifying particular assigned to the individual. Section 120. Miscellaneous. (a) Bonus or Commission. 1lae Recipient warrants that it has not pay.d, and also agrees not to pay, any bonus or commission for the purpose of obtaining an approval of its application for the financial assistance hereunder. (b) State or Territorial Law. Anything in the Agreement to the contrary notwiffMZOUTg, nothing in the Agreement shall require the recipient to dx* voe or enforce oemplianee with fb any provision thereof, perform any otter act or do any other thing in contravention of any applicable State or territorial law; Provided, That if any of the provisions of the Agreement violate any applicable State or territorial law, or if ocnplianoe with the provisions of the Agreement would require the Recipient to violate any applicable State or territorial law► the Recipient will at once notify DOT in writing in order that appropriate changes and modifications may be made by DOT and the Recipient to the end that the Recipient may proceed as soon as possible with the Project. r 39: (c) Accords. The Mcipient, and ate mass tsanspm titton cperatcc 3�' c it appliss will, for each local fiscal year endtrq an or after July 1, 1978, omd= to the z postinq system and the uniform system of a000unts attd tes=tu to the extent required by section 15 of the Ud= less Act of 1964, as amwvded, 49 O.S.C. S 1611, effective for each local fiscal year ending cn or after 3ttly 1, 1978, and UNTA regulations. (d) Severability. If any provision of this Agreement is held invalid, the rwainder of this Agrmmsnt shall not be affected dMeby if such remainder uwld then centime to oonfoim to the tam and requirea�eats of applicable law. 0 40 I q RESOLUTION 947 - 10/22/81 !!! STY SECRETARY-Tf RE R APPLICATION FOR OPERATING ASSISTANCE UNDER SECTION 5 PROVISIONS OF THE NATIONAL MASS TRANSPORTATION ACT OF 1964 AS AMENDED SECTION III In Behalf of THE CITY OF LUBBOCK, TEXAS For the Year Ending September 30, 1982 Prepared By The City of Lubbock - Transit Department TABLE OF CONTENTS SECTION III Section 5 Operating Assistance Applications Application for Federal Assistance Budget Information Form, Part III Authorizing Resolution Applicant Eligibility Documentation and Assurances Exhibit A - Project Budget Exhibit B - Maintenance of Effort Level of Effort Schedule F.Y. 1982 Level of Effort Schedule F.Y. 1981 Level of Effort Schedule F.Y. 1980 Exhibit C - Transit System and Urbanized Area Description Exhibit D - Public Hearing and Standard Certifications Notice of Public Hearing Public Hearing Transcript Standard Certifications Exhibit E - Charter and School Bus Operations go SECTION III Section 5 Operating Assistance Applications Application for Federal Assistance Budget Information Form, Part III Authorizing Resolution Applicant Eligibility Documentation and Assurances Exhibit A: Project Budget Exhibit B: Maintenance of Effort Exhibit C: Transit System and Urbanized Area Description Exhibit D: Public Hearing and Standard Certifications Exhibit E: Charter and School Bus Operations OMS Approval No. 24-R0218 FEDERAL ASSISTANCE L APPLI- CANT'S L TYPE ❑ FRUFFLICATION APPLI• A--nON ® APPLICATION CATION (Markep• ❑ NOTIFICATION OF IMENT (Opts Lane. Wiate ❑REPORT OF FFDEML ACTION Bunk 4. LEGAL APPLICANT/RECIPIENT a. Applicant Rams City of Lubbock b.OrsaniatiesUnit Transit Department C. Straat/P.D. Bax P.O. Box 2000 d. city Lubbock, 4. aunty f. Sato Texas 1. ZiP We: L Contact Perna (Name Sandy Stuart & telephone No.) 806 762-6411 ext. 238 7. TITLE AND DESCRIPTION OF APPLICANrS PROJECT Operating Assistance - Section 5 for the period October 1, 1981, throug September 30, 1982. ti( - a. NU1,10LR 3. STATE a• 1fUMBER APPLICA- TION IDENTI. FIER b. DATE Ymonth lay ,,��qqr 19 Z31 b. DATE Year month day ASSIGNED 19 5. FEDERAL EMPLOYER IDENTIFICATION NO. 75-6000-590 W PRO- GRAPH .. HuusER 2 Ole 1510171 Lubbock h. TITLE 79457 (From Federal Formula Grants Catalog) 2 4. TYPE OF APPLICANT/RECIPIENT h A-Ststo H-Community Action Atcm !-tateatate I- Niahar Educational Mstitution C-Substats J-lnaiea Tribe Oho trio K-Other (Specify) s E-City F-School District • C-Spacht Purpose District tinter appropriate letter 9. TYPE OF ASSISTANCE - A -Basic grant D-Insurana S-Supplemental Grant E-0thsr Enter appro- C-Loan priate Iatter(eJ 10. AREA OF PROJECT IMPACT (Nawtes of aitica, cotsntiss, 11. ESTIMATED NUM. States, ate.) BER OF PERSONS BL•'NEFITINO City of Lubbock 178,480 IL PROPOSED FUNDING 14. CONGRESSIONAL DISTRICTS OF: a. FEDEI<AL Is 741,396 .00 a• APPLICANT It. PRQIECT h. APPLICANT 1 19 1 19 17. 12. TYPE OF APPLICATION A -New C-Revislon t4w1 rertctloo D-Rsnowal D-40onflnuatioa Enter appropriate letter IL TYPE OF CN.ANGE (For 22a or 28s) A -increase Doliats F-Other (Specify): "acreaao Dollars C-Increaso Duration D-Dacrease Duration L-Cancellation Enter appso- priate tctterfs) ETTI a. OTHER ,D4 1& ESTIMATED DATE TO Year asonth lag 19. EXISTING FEDERAL IDENTIFICATION NUMBER FEDERAL AGENCY 0- 1981 I. raTu s 1,482,792 .00 2U. FEDERAL AGENCY TO RECEIVE REQUEST (Namc, City, Staffs, ZIP code) T 21. REMARKS ADDED DOT/UMTA Washington, DC 20590 1 0 Yes ® No 22. a. To am !d of my hnowiedge and belief, b H rrtiairsd by CM8 Circular A'95 this application was submitted, pursuant to in. Non. servonee talc Is this prearplication/appllatba are atrucAons ther$In, bs approsrtate elesrin;hous.% sad all respons= an sttuAvd: apones attached THE true and esrract. the document bee been APPLICANT duly authorized by the governing body at ❑ ❑ CERTIFiES the axilant and the apptieaat will comply the H the acslst- tl) ❑ ❑ THAT b with attached =uraaass a) sou k approM. 0) ❑ ❑ 21. a. TYPED HAL!£ AHD TITLE b. it KATU s DATE SiGI:EDCERTIF REPRE- r • r� o�lh y V 1 z �g131 Bill McAlister Mayor 19x SENTATIVE 24. AGENCY NAME 25. APPUCA• Year month day TION RECEIVED 19 25. ORGAWATIONAL UNIT ADMINISTRATIVE OFFICE 2L FEDE L APPLICATION TION ' 127. IDENK 29. ADDRESS 10. ELGRNTFEDERAL NT 3L ACTION TAXEm FUNDING Year month day 34. Year month day [3a. AWARDED 33. ACTION DATE tr 19 STARTING DATE 19 a. FEDERAL S .00 b. APPLICANT .00 3L CONTACT FOR ADDITIONAL INFORMA• TION (Name and telephone number) 31L Year month day 0 1. AVECiO e. STATE .O0 E3 A RFTI)RHED fOR ENDING DATE 19 d. LOCAL •00 37. REMARKS ADDED .. AMENDME)IT C] d. DEFERRED a. OTHER .00 (. TOTAL i .00 ❑ a. IYITIIDRAIYH 0 Yaa C)No 33. s. la taking above actim any comments recafeed from olnaringhousa were eon. L FEDEP.AL AuENCY A-95 DITIC1AL sidered. If agency taponsa Is dus under prorddons of Part 1, 0148 Circular A-S5, (Name and tatephone so.) FEDERAL AGENCY It W been or is Ming made. A,95 ACTION 424-101 STANDARD FORM 424 PACE 1 (10-75) Proscribed by GSA. Federal Management Cirautar Y4-r PART III — BUDGET INFORMATION Page 2 oud 1140.00.II0185 SECTION C — NON-FEDERAL RESOURCES Ia1 GRANT PROGRAM thl APPLICANT It) STATE Id) OTHER SOURCES lel TOTALS a SECTION_ 5 OPERATING ASSISTANCE S 741,396 S S 7413396 S 1 482 792 10. - 11. 12. TOTALS S 741,396 sue'— s 741,396 is 1,48 ,792 SECTION D — FORECASTED CASH WEEDS e Total for 1st Year 1st Ovarter tad Ouarter 3rd Quarter 4th Ooarttr 13. Federal S 741,396 s 185,349 S 185,349 S 1 IS 185,349 14.Nor-Federal 741,396 185,349 8 $ 85, , 9 15. TOTAL S , , —�- S , _ ' S—�� S 370,698 S + SECTION E - BUDGET ESTIMATES OF FEDERAL FUNDS NEEDED FOR BALANCE OF THE PROJECT I UTtIlIE ! UNDING PERIODS IYEARSI tat GRANT PROGRAM wi rmir }} -1 M.CONU Id) THIRO let FOURTH S IS.� S 3 20. TOTALS S ! S is Is SECTION F — OTHER BUDGET INFORMATION Wink addst.onal Sheets of Necoway) 21. Direct Charges: 22. Indirect Charges: 23. Pemarkr I PART III - BUDGET INFORMATION • Page 1 oms No. sano•tee • . SECTION A - OUDGET SUMMARY, Gam Program Function of Activity lei Federal catalog No. Ibl Estimated Unobligatd Funds Ntvv or dtte Revised Ot federal fsl Non•Fdeal Idl Federal let NotaFderal IIl Totd III Ossistan e .20507 $ $ S 741,396 $ 741,396 $ 741,396 2.. 4. 5. TOTALS $ S $ 741,396 $ 741,396 $ 741,396 • Wes SECTION 8 -BUDGET CATEGORIES 6.Objcct Class Categories .Ill Gant Program. Function or activity Tetd tsl u� Is1 � t41 a. Personnel S 38,213 S S $ S b. Fringe Benefits • 7,035 c. Travel 4;200 d. Equipment -0- e. Supplies 3,700 1. Contractual 1,756,049 g. Constriction -0- h.Other 22,788 i. Total Direct Charges 1 831 985 j. Indirect Charges 5,984 k. TOTALS' S 1,837,969 S S $ S 7. Program Income S 31714.40 is S- S S ra SECTION III APPLICANT ELIGIBILITY DOCUMENTATION AND STANDARD ASSURANCES "The Applicant Eligibility Documentation and'Standard Assurances submitted to UMTA on October 27, 1977, as subsequently.updated or as updated by the additional material submitted herein, are herein incorporated by reference and made part of this application." The City of Lubbock conforms to the requirements of the Title VI of the 1964 Civil Rights Act, Section 601 which states: "No person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or acti- vity receiving Federal financial assistance." The City of Lubbock also conforms with subsequent changes to the 1964 Civil Rights Act as shown in the submission of an updated Title VI program as approved for Section 5 Operating Assistance Grants on June 8, 1981. tom' SECTION III - EXHIBIT A PROJECT BUDGET For the Period: October 1, 1981 to September 30, 1982 Transit Operator: Transit Management Company of Lubbock Designated Recipient: City of Lubbock, Texas (1) a. Operating Expenses Salaries - Permanent Stability Pay Retirement Social Security Group Insurance Workmen's Compensation Office Supplies Professional & Technical Utilities - Telephone Building Insurance (Fire & Surety Bonds Dues Travel & Training SUB -TOTAL OPERATING EXPENSES INDIRECT COSTS (7.88%) b. Contract Costs Labor Fringe Benefits Services Materials & Supplies Utilities Casualty & Liability Costs Taxes Miscellaneous Interest Expense Total Operating and Contract Costs (2) Less Eliminations: a. Non -Mass Transportation - Expenses - Charter 37,737 37,737 $ 38,213 300 2,871 2,580 1,034 250 3,700 8,000 4,776 10,000 12 4,200 $ :75,936 5,984 815,211 178,840 94,744 480,064 30,624 78,266 16,945 51,875 9,480 $ 1,756,049 $ 1,837,969 (1) 37,7.37 (2) (3) Eligible Operating Expenses (4) Less Farebox Revenue (5) Net Projects Costs (6) Local Share City of Lubbock $ 493,128 University Student Funds 232,765 Senior Citizen Shopper 3,640 Charter Profit LOCH SHARE 11,863 741,396 (7) Net Expenses Advanced on Operations Before applying UMTA Funds (8) UMTA Funds Requested Prepared by: John L. Wilson Title: Transit Coordinator Date: $ 1,800,232 (3) 317,440 (4) 1,482,792 (5) $ 741,396 (6) 741,396 (7) $ 741,396 (8) SECTION III - EXHIBIT B 59 For the Period: MAINTENANCE OF EFFORT Level of Effort Schedule 1 Oct. 1981 through 30 Sept. 1982 Transit Operator: Transit Management Company of Lubbock Designated Recipient: City of Lubbock Based on: Audited Statements or Independent Certifications X Estimated Net Level of Effort for this Period: 493,128 CERTIFICATION: Check One X Project Year Project Year-1 Project Year-2 "I, the undersigned; hereby certify that the Level of Effort Schedule for the Project Year 1981-82 is a fair presentation of the amounts of State and local government funds, special purpose tax revenues, auxiliary transportation rev- enues, and other applicable sources of funds applied or expected to be applied against eligible transit operating expenses, as defined in UMTA Circular C 9050.1. To the best of my knowledge and understanding, the projected Net Level of Effort for this period is sufficient to comply with all requirements of Section 5 (f) of the Urban Mass Transportation Act of 1964, and as summarized below: Net LOE, Project Year-2 Net LOE, Project Year-1 Total, Lines (1) + (2) } Line (3) Net LOE, Project Year $ 343,369 (1) $ 461,732 (2) $_ 805,101 (3) $ 402,550 (4) Required MOE $ 493,128 (5) The amount of Line (5) being greater than or equal to the amount on Line (4), as supported by the accompanying Level of Effort Schedules, certifications, and financial statements, I submit that the documentary requirements for Section 5 applications with regard to Maintenance of Effort are herewith satisfied. d�L 46JJ_�, John L. Wilson Transit Coordinator DATE LEVEL OF F-FFUIJT 5i;Hi_IJULt: 1982 APPLIED TO EL1618LE EXPENSES APPLIED TO REVENUE CATEGORY TOTAL .' OTHER THAN ELIGIBLE ITEMIZE OTHER THAN ELIGIBLE Source Source NOT REVENUE Subject to MOE Subject to MOE EXPENSES EXPENSES`. 401 Passenger Fares • $ 317,440 $ 3179440 $ 402 Special Transit Fares University Student Funds 232,765 s s 232,765 $ 413 chool Bus Revenues 404 Freight Tariffs 405 Charter Service Revenue $ 49,600 $ $ 37,137 406 Auxiliary Transportation Revenue , • s $ s s 407 Nontransportation Revenue • s a s 408 Taxes Lcvied by Transit System C, $ s $ Local Cash Grants/ Reimbursements s 493,128 's 493,128 is $ 410 Local Special Fare Assistance S s $ $ 422 State Cash Grants/ Reimbursements a a a s 422 State Special Fare Assistance s $ $ $ 41S Federal Grants Reimbursements 430 Contributed Services s $ 440 Other Sector Subsidy s S s s Other Sources Currently Applied TOTAL EACH COLUMN C� 'l $ 1,092,933 $ 493,128 Net LOE $ 550,205 $ 37,137 SECTION III - EXHIBIT B MAINTENANCE OF EFFORT Level of Effort Schedule For, the Period: 1 Oct. 1980 through 30 Sept. 1981 Check One Transit Operator: Transit Management Company of Lubbock Project Year X Project Year-1 Project Year-2 Designated Recipient: City of Lubbock Based on: Audited Statements or Independent Certifications X Estimated Net Level of Effort for this Period: $461,732 CERTIFICATION: "I, the undersigned, hereby certify that the Level of Effort Schedule for the Year ending 1980-81 is a fair presentation of the amounts of State and local government funds, special purpose tax revenues, auxiliary trans- portation revenues, and other applicable sources of funds applied, or expect- ed to be applied, against eligible transit operating expenses, as defined in UMTA Circular C 9050.1, based upon estimated and/or unaudited financial state- ments for the subject period. Audited financial statements or other inde- pendent verification of the actual Level of Effort for the subject period are not available at this time. The applicant understands on this basis that UMTA approval of the application for which this Schedule is submitted shall be conditional upon the submission of a revised Level of Effort Schedule based upon audited financial statements or other independent verification of the Level of Effort for the Subject period." John L. Wil son Transit Coordinator / l V -1 1 DATE LEVEL OF EFF09T SCHEDULE i/ r` ;L980-1981 Y i APPLIED TO EL1618LE EXPENSES APPLIED TO �* •* 'b TOTAL I. OTHER THAN ITEMIZE OTFlER 7NAN ELIGIBLE REVENUE CATEGORY REVENUE Source Source NOT ELIGIBLE EXpEHSE' Subject to MOE Subject to MOE EXPENSES 401 Passenger Fares 350,200 �1. ,-Senior oer Uit z1 t s 353,735 402 Special Transit Fares402.3 niversity Student Funds s 196.316 s• $ 403 School Bus Revenues $ $ >; 404 Freight Tariffs $ $ $ 405 Charter Service Revenue $ 85,875 a a 85,875 406 Auxiliary Transportation Revenue $ a a a 407 Nontransportation Revenue 408 Taxes Levied by Transit System ILocal Cash rants/ RtT 6T0thbock $ 461,732 s 461,732 s $ 410 Local Special Fare Assistance 411 State Cash Grants/ Reimbursements $ $ 5 $ 412 State Special Fare Assistance s s s $ 413 Federal Grants Reimbursements $ $ $ 73 -Contributed Services � a 440 Other Sector Subsidy Other Sources Currently Applied $ S $ $ TOTALEACHCOLUMN lei, = 1,097,658 ; 461,732 s 550,051 85,875 . ( I Net LOE $ PROJECT BUDGET For the Year ending September 30, 1981 Based on the Uniform Accounting Principles Prescribed in Circular UMTA C 9050.1 Operatina Expenses Operating Expenses $ 1,494,490 Other Insurance 132,000 Other Transit Expenses 172,751 1,799,241 Less Eliminations Charter Operations ( 85,875) UMTA Section 9 Technical Grant 40,000) $ (125,875) Less Farebox Revenue (350,200) NET PROJECT COST $ 1,323,166 Local Share City of Lubbock $ 461,732 University Student 196,316 Senior Citizen Shopper 3,535 $ 661,583 Net expense advanced on Operations Before Applying UMTA Funds $ 661,583 UMTA Funds Requested $ 661,583 For the Period: Transit Operator: SECTION III - EXHIBIT B MAINTENANCE OF EFFORT Level of Effort Schedule 1 Oct. 1979 through 30 Sept. 1980 Lubbock Transit Designated Recipient: City of Lubbock Based on: X Audited Statements or Independent Certifications Estimated Net Level of Effort for this Period: 343,369 CERTIFICATION: Check One Project Year Project Year-1 3(- Project Year-2 "I, the undersigned, hereby certify that the Level of Effort Schedule for the Year ending September 30, 1979 is a fair presentation of the amounts of State and local government funds, special purpose tax rev- enues, auxiliary transportation revenues, and other applicable sources of funds applied against eligible transit operating expenses as defined in UMTA Circular C 9050.1, based upon audited financial statements or other independent verifications for the subject period." John L. Wilson Transit Coordinator /0 -/-/ ATE LEVEE. OF EFF08TSCHEDULi li 1979-80' APPLIED TO ELIGIBLE EXPENSES APPLIED TO TOTAL OTHER THAN ITEMIZE OTHER THAN ELIGIBLE REVENUE CATEGORY REVENUE Source Source NOT ELIGIBLE EXPENSES: Subject to MOE Subject to MOE EXPENSES 401 Pamenger Fares • $ 241,401 $ 2419401 $ 402 Special Transit Fares402, 03 University Student Fund !$ 176,936 a $ 176 S 403 School Bus Revenues S ; E 404 Freight Tariffs 405 Charter Service Revenue $ 41,884 >s 41,884,; 406 Auxiliary Transportation Revenue~ 407 Nontransportation Revenue 408 Taxes Lcvied by Transit System Ccai tash Grantsl Reimbursements a 309,563 s 309,463 $ s 410 Local Special Fare Assistance 412 State Cash Grants/ Reimbursements s a s a 422 State Special Fare Assistance $ a a $ 413 Federal Grants Reimbursements $ _ $ .430 Contributed Services $ 33 906 s 33,906 440 Other Sector Subsidy Other Sources Currently Applied $ $ i TOTAL EACH COLUMN $ 803,690 $ 343,369 $ 418,337 41,884 fit'' C({ i Net LOE � PROJECT BUDGET For the Year ending September 30, 1980 Based on Uniform Accounting Principles Prescribed in Circular UMTA C 9050.1 Operatina Expenses Operating Expenses $ 1,053,300 Management Fee 69,004 Other Insurance 108,804 Contributed Services 33,906 Other Transit Expenses 80,879 T1,345,893 Less Eliminations Charter Operations (20,085) Less Farebox Revenue (241,401) NET PROJECT COSTS $ 1,084,407 Local Share City of Lubbock $ 343,469 University Student Funds 176,936 Charter profit 21,799 $ 542,204 Net Expense Advanced on Operations Before Applying UMTA Funds $ 542,204 UMTA Funds Requested $ 542,203 SECTION III - EXHIBIT C TRANSIT SYSTEM AND URBANIZED AREA DESCRIPTION The Transit System and Urban Area Descriptive Information submitted to UMTA on October 27, 1977, as subsequently updated or as updated by the additional material submitted herein, accurately describes the transit system and the urbanized area associated with this project and are herein incorporated by reference and made part of this application. The experimental S-Tech Route was discontinued November 11, 1977 after 2} months of service due to an acute lack of ridership. On April 24, 1980, a public hearing was held on the fare change policy. The outline of the fare change was submitted with the application for Operating Assistance FY 1981 (TX-05-4101). The changes in fares, as outlined, were implemented on August 1, 1980. SECTION III - EXHIBIT D PUBLIC HEARING AND STANDARD CERTIFICATIONS RE: FY 1982 Operating Assistance Notice is hereby given that a public hearing will be held by the City of Lubbock in the Transit Department Conference Room, 801 Texas Avenue, on October 20, 1981, at 12:30 p.m. for the purpose of considering a project for which Federal Operating Assistance under Section 5 of the Urban Mass Transportation Act of 1964, as amended, is being sought, generally described as follows: . The City of Lubbock is seeking for transportation services in the Lubbock urbanized area provided by Transit Management Company of Lubbock from October 1, 1981 to September 30, 1982. No persons, families, or businesses will be displaced by this project. There will be no significant environmental impact upon the urban service area. The project is in conformance with transportation planning in the area and is consistent with the adopted programming of projects in the Trans- portation Improvement Program. The City of Lubbock will provide a demand -response system, which will service the needs of the elderly and handicapped, and half fare on all regular transit routes. Transit Management Company of Lubbock provides the incidental charter service in the Lubbock urbanized area. At the hearing, the City of Lubbock will afford an opportunity for inter- ested persons or agencies to be heard with respect to the social, environmental,. and economic aspects of the project. Interested persons may submit orally or in writing evidence and recommendations with respect to said project. A copy of the application and the Transportation Improvement Program for the area is currently available for public inspection in the City Secretary's Office at the City of Lubbock, Evelyn Gaffga, City Secretary. SECTION III - EXHIBIT D Standard Certifications The City of Lubbock HEREBY CERTIFIES THAT, in the development of this application for a Mass Transportation Operating Assistance Grant under the Urban Mass Transportation Act of 1964, as amended, it: 1. Has afforded opportunity for public hearings pursuant to adequate prior notice, and has held such hearing, in accord- ance with the requirements set forth by the Urban Mass Transportation Administration. 2. Has considered the economic and social effects of this project and its impact on the environment, including requirements under the Clean Air Act, the Federal Water Pollution Control Act and other applicable Federal environmental statutes, and its consistency with goals and objectives of such urban planning as has been promul- gated by the community. 3. Has found that this project is consistent with official plans for the comprehensive development of the urban area. 4. Has found the project is made in the best overall public interest taking into consideration the need for fast, safe, and efficienct transportation, public services, and conserv- ation of environmental and natural resources and the cost of eliminating or minimizing any adverse effects. +DST 2 2 1981 C-iU of Lubbock Date r By : MIT cliser Mayor Till.: STATE OF T.EXAS � (� Refore mc, onnie �ICKee ___ ,I Notary Public in and for Lubbock County, Texas on this day persfinally appeared TwiJ aEG I som,_HUsi.ness^af_f_i_"_M_a_na_g_e� of the Southwestern Newspa- pers Corporation, publishers of the 1,ubbock Avalanche -,journal -- Morning. Evening and Sundae. who heing by me duly sworn did depose and say that said newspaper has been published continuously for more than fifty-two weeks prior to the first insertion of this Ugal Notice-278 words@50t per word—S139.00 _ No. 971619 — at Lubbock County. Texas and the attached print- ed copy of the ___— is a true cop'v of the original and was printed in the Lubbock Avalanche -Journal on the following dates: September 20 & October 491981. ___J 164 -- - -- _.._B 115_lIl_ Q_5_Q—�11� t<L Smolmestern Newspapers Corporation Soh<c riheil and sworn to hefore nle this _.5th.ciay of _October !. 19 81 FORM 59-lif 1 t ' SECTION III — EXHIBIT D PUBLIC HEARING ANO STANDARD CERTIFICATIONS• RE: FY 1982Operatinf Assistance Notice is hereby 1¢►en the" pub- lic hearing will be held by the City of Lubbock In the rransit Depart. merit Conference Room, Sol Texas Avenue, on October 20, 1931, at l 12:30 p.m. for the purpose of consi- dering a project for which Federal Operating Assistance under Section ' 5 Of the Urban Mass Transpartafian Act of 1964, as amended, Is being sought, generally described as fol- lows: The City Of Lubbock Is seeking for transportaton services In the Lub- bock urban ited area provided by Transit Management Company of Lubbock .from October 1, 1961 to September 30, 1902. No persons, families. of business- es w111 be displaced by this project. There will be no significant envi. ronmental Impact upon the urban service area. The project is In Conformance with transportation planning in the area and is consistent with the adopted programming Of projects in the Transportation Improvement Pro- gram. The City of LubbOCk will provide a demand -response system, which will service the needs Of the elderly and handicapped, and halt fare on all regular transit routes. Transit Management Company of Lubbock provides the Incidentai Charter service in the Lubbock utbaniied area. At the hearing, the City of Lub- bock will afford an Opportunity for Interested persons or agencies to be heard with respect t0 the social, en. vironmental, and economic aspects of the project. Interested persons may submit orally or in writing ev- Idence and recommendations with respect to said project. A copy Of the.application and the Transportation Improvement Pro - .gram for the area is currently available for public inspeCliOn In the City Secretary's Office at the City of Lubbock, Evelyn Gaffga. City Secretary. "the newspaper of today Your weekly community with ideas and ideals newspaper with YOU, for the 80's and beyond" the people, in mind 506 East 23rd St. (806) 762.3612 P.O. Box 2553 Lubbock, Texas 79404 Lubbock, Texas 79408 The State of Texas County of Lubbock Before me, a notery public in and for Lubbock County, Texas, personally appeared before me,F die D� P�ieh�rdre�r , Managing Editor of KATHBOB and ASSOCIATES, publishers of. the "Lubbock Digest", weekly newspaper, who being by me duly sworn did dispose and say that said newspaper has been published continually for more than 262 TGG„PG prior to the Second insertion of this p„h1;r Re.-fngyg words @/per word for S bS.50 VOL. V NO. 3 at Lubbock County, Texas and the attached printed copy of original and was printed in the "Lubbock Digest" on the following date: nrrnFiPr R 1�f31 Managing Editor Lubbock Digest, Weekly Newspaper I:ATHBOB and ASSOCIATES Subscribed and sworn before this ,�r'L day of 61,q,;�_, 1981 __ Charles Terrell Notary Public in and for Lubbock County, Texas My Commission Expiees AJ-- 30�69'5" ",Bvbirateb to Areebow, T ulstiCE, artb jEqu llitg" e*1 Thurlsday,,October;8, 198.1„Lubbock. Digest; Pagel, ►���S;�CTION}�,III'=�E�XY�I�IT,�D aW'}b} _k� r •vi,"`c�a Sr�,i.s.Fe i pY�+fh%Si,_c-ak . �'ha��e ��Ji�'9 ;�`�, t� � fi�^�f+'a.... �� � pr,��M '�+ ,�•r ti r� EtYitIN G�. AID S'ANDA'RD rrCE]�rTIFI: =�A'�';I�O1�tS ° 6.3E' �at� F���tli r + 1� os4 :• ; � � ! .v •k� KE R Noticetjs herb gienfhata public hearing wilt: 64 be held. by the ity obbock� in;'the 'Transit ; Department t{tCoriie#fence Room;' ,R801 ` Texas �A,veriue ,an 4,ctober 0 #081; at 1256gip: m. f6r1 the, Urban Mass firanvortation'Act of 1964, as amendgdis , .being sought;: genera lly described as follows:., f� r ' The', City, .of 4y .Lubbock:`. is :seeking > .tor. transportation servires.in the Luikk urbanized area.provided by: i ransitManagerrient;Company of Lubbock from October .1, 1981 to September .30, 1982. . No .persons,,"families; & businesses will tie: displaced by ,this- ptoject .:;There will be !ono significanf environmental impact upon the urban jservice:area'ir A ,The: project:In".-eon ` is forniance"withr transportation ,plannitag r in :the, area ..and As; consistent '; with `the°''adopted' programming :of projects'�in' the, Transportation Improvement Program The City` of l:ubbock will provide" a demand;" .response-'syste n`,�which will.servue; 6 needs' 'f the elderly SM , hand!capped -and half tare on all regular - transit 'routes: .Transit Ainaoement Company of;lttbbotk licovides�alfe";in charter service in the'Lubbockiurbanized area-cidental, At the hearing, the City of Lubbock will affot an opportunityy''for interested persons' agencies to ; be }heard'°°,with -. respect to' -the- social, enyironrnental, and economic aspects of :ahe Project .Interested personOfiay.subrnit-omliy or in writjng ,evidence. 'and recommendations with respcfct,tAsaid ppiroject A:; copy �bf £the ;application and: the 'Transportation -A? M cov'emenf:, Prdg am 4dr: the area is currently, axailable_tor. public inspection in the ; City' Secretary:s Office'` at the, City of Lubbock,x ,r `E llyn ^:Caffga .iCity. 7 SecretaryC' "the newspaper of today with Ideas and Ideals for the 80's and beyond" 506 East 23rd St. Lubbock, Texas 79404 The State of Texas County of Lubbock Your weekly community newspaper with YOU, the people, In mind ?:Izhhvrk piged (806) 762.3612 P.O. Box 2553 Lubbock, Texas 79408 Before me, CharlPg Tprroll a notery public in and for Lubbock County, Texas, personally appeared before me, Eddie Managing Editor of KATHBOB and ASSOCIATES, publishers of the "Lubbock Digest," weekly newspaper, who being by me duly sworn did dispose and say that said newspaper has been published continually for more than ?Kl Tz5„pS prior to the Firct 25� insertion of this Publin HParinn g 778 words @/,der word for 9 68.50 VOL. V NO. 2 at Lubbock County, Texas and the attached printed copy of original and was printed in the "Lubbock Digest" on the following date: Octohrt 1, 1981 Managing Editor Lubbock Digest, Weekly Newspaper RATHBOB and ASSOCIATES Subscribed and sworn before this day of c9'e,44 1981. Charles Terrell Notary Public in and for Lubbock County, Texas My Commission Expiers '�t — 3 o — /:2 ty,5'` " PPDira#eb to ArrrDum, Justine, :tnb 3iquali#g" Y+ ber'1 + 1981 rLubbock` DigesR; age, ' ti (00111. SECTION III - EXHIBIT E CHARTER AND SCHOOL BUS OPERATIONS A. CHARTER BUS OPERATIONS "The mass transportation operator to be assisted under this project does not engage in charter bus operations outside its transit service area and/or did not derive more than $15,000 from charter bus operations during its more recently completed fiscal year. Therefore, the project requirements of 49 CFR 604 do not apply to this project." B. SCHOOL BUS OPERATIONS "The mass transportation operator to be assisted under this project does not engage in school bus operations exclusively for the transportation of students and school personnel. Therefore, the requirements of 40 CFR 605 do not apply to this project." As of October 1, 1979, the City of Lubbock Transit Department was approved for a cost allocation plan. The following letter and documentation verifies that plan. Mr. Larry Cunningham, City Manager City of Lubbock Attention - Mr. Wayne Covey P. 0. Box 200D - Lubbock, Texas 79457 Deal Mr. Cunningham: DATE OCT 12 1979 FILING REF: this replaces Negotiation Agreement not applicable - initial agreement. Pursuant to Federal Management Circular 74-4, The Department of Housing and Urban Development approves the central service costs cited in this agreement. This approval is subject to the conditions contained.in Section III. SECTION I: Costs Distributed Through Central Service Cost Allocation Plan The central service costs listed in Exhibit A, attached,are approved on' a fixed with carry -forward basis for the fiscal year ending September 30, 1980 and may be included as part of the costs of the departments indicated in Exhibit A for further allocation to Federal grants and contracts per- formed by the respective departments. SECTION II: Costs Distributed Through Billing Mechanisms In addition to the costs distributed through cost allocations cited in Section I, the costs of the general services listed below may be billed to user departments. Office of General Services 'l. Automatic Data Processing 2. Reproduction 3. Communication Motor Pool 1. Automobiles 2. Buses 3. Trucks Charges for the above services shall be biilled in accordance with rates established by the locality as described in its Central Service Cost Allocation Plan. Department indirect cost rate proposals must clearly identify those costs that have been distributed through billing mechanisms as well as costs included in Section I of this Agreement. SECTION III A. LIMITATIONS: Use of the amounts contained,in this agreement are subject to any statutory or administrative limitations and when ultimately allocated Cc, /,C/90c c/(- .r� ' 2 W to individual grants or contracts through the indirect -cost rates of each "local department", are applicable only to the extent that the funds are available. Acceptance of the'amounts agreed to herein is predicted on the conditions: (1) that no costs other than those incurred by the locality were included for'distribution in its local wide cost allocation plan as finally accepted and that such costs are legal obligations of the locality and --allowable under the governing cost principles, (2) that similar types of costs have been accorded consistent accounting treatment, (3) that the information provided by the State/locality which was used as the basis for acceptance of the amounts or rates agreed to herein is not subsequently found to be materially incomplete or inaccurate. B. -CHANGES: If fixed or predetermined amounts are contained in this agree- ment, they are based on the organizational structure and the accounting system in effect at the time the plan was prepared and the agreement was negotiated. These amounts are subject to modification if changes are made in the organizational structure or in the method of accounting for costs which affect the amount of reimbursement resulting from use of the amounts. The authorized representative of the responsible negotiation agency must be notified of such changes prior to their effective date. Failure to provide this notification may result in subsequent cost disallowances. C. FIXED AMOUNTS: If fixed amounts are contained in this agreement, they are based on an•estimate of the costs that will be incurred during the period to which the amounts apply. When the actual costs for such period are de- . termines,.adjustmetirs will be made in a subsequent negotiation to compensate foz the differences between.the costs used to establish the fixed amounts and the actual costs. D. BILLED COSTS: Charges for the services cited in Section II will be billed in accordance with rates established by the Locality and recorded on the books of 'the operating department responsible for providing the services. Such charges will be based on the actual, allowable costs, as defined in FMC 74-4, incurred by the operating department, responsible for providing the services. Variances resulting from differences between billed allowable costs and the actual allowable costs for a particular accounting period will be compensated for by adjusting the rates in a subsequent ac- counting period. E. NOTIFICATION TO FEDERAL AGENCIES: Copies of.this document may be provided to other Federal Agencies as a means:of notifying them of the agree- ment contained herein. F. SPECIAL REMARKS: None. 3 BY THE LOCALITY Name v cry Title Date By the Cognizant Negotiation Agency on behalf of the Federal Government Department of Sousing & Urban Develovmenl Agency Jane. Russell Name Director, Community Planning &.Developme Title Date Negotiated by V. A. Stites Telephone:,(214) 767-8322 r Page 41 CITY OF LUBBOCK, TEXAS INDIRECT COST RATE PROPOSAL Public Services For the Year Ended September 30, 1982 Computation of Indirect Cost Rate Exclusions b Expenditures Expenditures Indirect For All Other Not Allowed Cost Purposes Total Totals from Pg. 42 $3,125,690 $464,336 $5,892,080 $9,482,106 (A) (B) Rate A . B 464,336 5, 92,080 = 7.88 % of direct cost less exclusions and expenditures not allowed. eo� (00,111, Page 42 CITY OF LUBBOCK, TEXAS INDIRECT COST RATE PROPOSAL Public Services For the Year Ended September 30, 1982 Cost Classifications Exclusions & Expenditures Expenditures Indirect For All Other Not Allowed Cost Purposes Activity Public Services Adm. $ 937 $ 58,392 $ 3,605 Transit 500,440 20,094 291,676 Health 283,384 46,041 734,993 Property Management 48,372 508 Animal Shelter 10,222 17,762 173,400 Engineering 1,019 31,358 444,616 Streets 229,761 22,428 1,570,169 Sanitation 653,499 28,190 2,168,005 Building Use -City Hall 1,787 Building Use-1010 9th 199 Building Use-1001 Texas 158 Building Use -All Other 7,507 Building Maintenance 2,399 Utilities 5,586 Grant Activity Community Development 714,317 117,932 Revenue Sharing 335,055 UMTA TX-09-0101 20,000 UMTA TX-05-4050 348,684 105.763 Community Services 261,413 Health Central Services City Manager 24,225 City Secretary 5,315 Microfilm 4,113 Internal Safety 3,744 Public Information 9,579 Finance Administration 20,379 Accounting S Reporting 269149 Data Processing 17,242 Personnel 44,924 Payroll 9,715 Communications 3,095 Direct Billing Services 7,197 4,904 3,125,690 422,482 5,892,080 Pius (Minus) Carry -Forward 41,854 TOTAL $3,125,690 $464,336 $5,892,080 CITY OF LUBBOCK FISCAL NOTE 1. State as clearly as possible the goals and objectives of the proposed project. Primary responsibilities include: State and Federal grant administration; planning, monitoring, and evaluation of transit systems and services; super- vision of marketing efforts; fiscal planning; capital improvement planning, programming and implementation; special elderly and handicapped services -coord- ination management contract administration; and the general supervision of transit operations. The Transit Department's objective:- "Have the greatest possible impact on the - economic and social vitality of the City of Lubbock, while subsequently attempt- ing to maintain the lowest possible charges to direct customers and the lowest possible need for the taxpayer support." 2. State indicators of goals and objectives expected to be achieved from the proposed project. Public transportation would be provided by 19 buses on 13 routes during peak period weekdays and 16 buses on 11 routes during peak period Saturday with 13 buses (maximum) on non -peak weekdays on 11 routes (same for Saturday). The system would operate on 30 minute headways during peak periods and would provide reduced Saturday service. Demand response service will be provided by two life equipped vans with the 1976 Grumman lift equipped bus serving as a back up vehicle. D.R.S. will operate 12 hours a day with the 2nd vehicle providing additional peak period service. This system also provided for the operation of 9 buses in the Texas Tech sub -system, a senior citizen shopper, special route guarantee service for Texas Tech, and other incidental charter. 3. What specific accomplishments can be expected from the proposed project? Projected 1981-82 Passengers City Routes 1,066,770 Miles Of Service City Routes 888,976 Tech SUb-System 100,748 Sec. Tech Contract 4,660 Sen. Cit.Shopper 2,080 DRS 44,880 44,880 Charter 10,000 Hours Of Service Tech Sub -System 10,663 Sec. Tech Contract 888 12(c) Unit Costs: Sen Cit.Shopper 170 DRS 4,080 Revenue City Routes 320,031 Tech SUb-System 223,923 Sec. Tech Contract 18,640 Projected 1981-82 Revenue Sen.. Cit. Shopper 3,640 DRS 8,160 Charter 61,500 4. What groups will be affected by the proposed project? Retention of basic transit service for the citizens of Lubbock. This service is necessary to enable a portion of the population to maintain employment out- side of their immediate neighborhoods. It also provides mobility to schools, shopping, senior citizens centers, human resource agencies, governmental agencies, medical facilities, recreational areas, etc... This package provides a sufficient level of effort to maintain federal grant eligibility. The continued introduction of federal funds into the local economy provides employment for operational personnel, and stimulation to retail commerce. Studies have shown that industries are attracted to cities that have adequate transit systems. 5. Are there other organizations in the city +that provide the services stated in - the project? No. 6. What other alternative sources for providing the services were considered but not chosen? N/A 7. What projects or programs would be postponed or eliminated in order to implement the proposed project within existing revenue sources. Very limited public transportation would be provided. Citizens. of Lubbock would be forced to seek other means of transportation to and from work, shopping, etc... Especially those citizens who used the bus system during mid -day - mostly senior citizens and handicapped individuals. The City would have to secure other sources of funding since this level would not qualify for UMTA Section 5 funding. Also, the loss of eligibility for capital assistance would eliminate pending capital] improvements. 8. Other Comments. See proposed FY 1981-82 Budget for further information. CITY OF LUBBOCK EXPENDITURES AND REVENUE PROJECTION Expenditures 1981-82 19!Z-83 1913-84 193A-85 Personnel 42,161 67,103 75,155 92,000 Supplies 4,195 13,284 14,878 17,500 Maintenance -0- -0- -0- -0- Other Charges * 1,436,436 1,475,,072 1,696,310 2,090,500 Capital TOTAL 1,482,792 1,555,459 1,786,343 2,2000000 Sources of Funds 19 19 19 19 Federal 741,396 824,364 917,288 1,000,000 State -0- -0- -0- -0- Local 493,128 577,775 658,663 830,000 Other %`* 248,268 153,320 210,392 370,000 TOTAL 1,482,792 1,555,459 1,786,343 2,200,000 Anticipated Revenues 19 19 19 19 From Project * Other Charges - Revenue is subtracted from expenditures in the City Budget before calculation. ** Other - Charter profit and various route guarantees. 19 19 19