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Resolution - 1185 - Grant Application - DOT - Sec 5 Operating Assistance - 08_26_1982
* RESOLUTION 1185 - 8/26/82 SF('"F' '_RY•TREASURER RESOLUTION 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 obli- gations 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 ac- cord with the provisions of Title VI of the Civil Rights Act of 1964, that in connection with the filing of an application for assistance under the Urban Mass Transportation Act of 1964, as Amended, the applicant give an assurance that it will comply with Title VI of the Civil Rights Act of 1964 and the U.S. Department of Transportation requirements thereunder; and WHEREAS, it is the goal of the Applicant that minority business enter- prise be utilized to the fullest extent possible in connection with this pro- ject, and 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, equip- ment 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 Transpor- tation, to aid in the financing of operating assistance projects pursuant to Section 5 of the Urban Mass Transportation Act of 1964, j as amended, for fiscal year 1981-82. ✓ 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 Transporta- tion may require in connection with the application or the project. 4. That the MAYOR is authorized to set for the execute affirmative minority business policies in connection with the project's pro- curement 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 Trans- portation for aid in the financing of the operating assistance project. Passed by the City Council this 26th day of August 1982 r 9LL cA I ER MXYOR ATTEST: _:Evelyn Gaffga, City SetrdtVh -Treasurer APPROVED AS TO CONTENT: John L. Wilson, Transit Coordinator APPROVED AS TO FORM: I Donald G. Vandiver, First Asst. City Attorney r.� STANDARD ASSURANCES FOR SECTION 5 OPERATING ASSISTANCE The City of Lubbock hereby assures and certifies with respect to any appli- cation which it might submit for operating assistance from the Urban Mass Transportation Administration that: 1. It has the legal authority to apply for and finance a grant. 2. It shall use Federal operating assistance to improve or continue mass transportation services. 3. It has sufficient non -Federal funds to provide required local matching funds. 4. It will apply Federal funds and local matching funds to eligible transit operating expenses incurred on an accrual basis in pro- viding mass transportation services during the project period. 5. It will comply with all requirements of UMTA Circular 1155.1, UMTA Equal Employment Opportunity Policy and Requirements for Grant Recipients, including ,the pre -award review and annual up- date, when mandated. 6. It will comply with all requirements of Title VI, Civil Rights Act of 1966, with UMTA Circular 1160.1, Interim Guidelines for Title VI - Information Specific to UMTA Programs, and with 49 CFR Part 21, Nondiscrimination in Federally Assisted Programs of the Civil Rights Act of 1964, including the pre -award review and the annual update. 7. Its programs will be conducted or its facilities operated in compliance with all requirements imposed by or pursuant to 49 CFR Part 27, Nondiscrimination on the Basis of Handicap in Fed- erally -Assisted Programs and Activities Receiving or Benefitting from Federal Financial Assistance (in satisfaction of the assur- ance requirement of 49 CFR & 27.9(a) (3)); special efforts are being made in its service area to provide transportation that handicapped persons, including wheelchair and semi -ambulatory persons, can use (in satisfaction of the certification require- ment of 49 CFR & 27.77). 8. It will comply with all requirements of 49 CFR Part 23, Partici- pation by Minority Business Enterprise in Department of Transpor- tation Programs, including the pre -award review and annual update, when required. 9. It will comply with all requirements of Section 19, Nondiscrimi- nation, of the UMT Act. 0 10. It, or any mass transportation operator acting on its behalf, will comply with the regulations governing charter bus opera- tions by recipients of UMTA funds in 49 CFR Part 604. 11. It, or any mass transportation operator acting on its behalf, will comply with the regulations governing school bus opera- tions by recipients of UMTA funds in 49 CFR Part 605. 12. Pursuant to the requirements of 49 USC Part 613, Subpart A, . Urban Transportation Planning, and in accordance with Section 5(1) (1) of the UMT Act, consideration.will be given to the economic, social, environmental and other effects of operating assistance projects during the urban transportation planning process and in the development of the Transportation Improve- ment Program and Annual Element. 13. It will comply with all requirements of 49 CFR Part 622, Envi- ronmental Impact and Related Procedures. 14. Prior to submitting an application for operating assistance, it will conduct public hearings or afford the opportunity for such hearings in accordance with the procedures established in Chap- ter II, Paragraph 4(j) of UMTA Circular 9050.1A. 15. The rates charged elderly and hanciapped persons during non -peak hours for transportation utilizing or involving the facilities and equipment assisted under the projects will not exceed one- half of the rates generally applicable to other persons during peak hours. 16. It will comply with all requirements of 49 CFR Part 635, Sub- part A, Service Changes and Hearing Requirements. 17. It, and any mass transportation operator for which it applies, will conform to the reporting system and the uniform system of accounts and records prescribed under Section 15 of the Urban Mass Transportation Act, effective for each local fiscal year ending on or after July 1, 1978. 18. It will" comply with the regulations and requirements included in OMB Circular A-95 (for TIP/AE only) and OMB Circular A-102 and their attachments. 19. It will establish safeguards to prohibit employees from using their positions for a purpose that is or gives the appearance of being motivated by a desire for private gain for themselves or others, particularly, those with whom they have family, business, or other ties. 20. It will give the grantor agency and the Comptroller General,, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the grants. 21. It will comply with the applicable provisions of the Hatch Act. 22. It will operate and maintain any facility constructed as part of a Federal grant in accordance with the minimum standards as may be required or prescribed by the applicable Federal, State, and local agencies for the maintenance and operation of such facili- ties. 23. It recognizes UMTA's authority to conduct audits for the purpose of verifying compliance with the requirements and stipulations stated above. 24. It will promptly remit to UMTA any interest arned on UMTA grant funds, except interest earned on advances by a State or instru- mentality of a State, in accordance with the Intergovernmental Cooperation Act of 1968 (P.L. 90-577). (NOTE: Department of Treasury regulations prohibit recipients of Federal funds from retaining such funds in large amounts for leig peri6,0 of time.) DATE: AUG 2 6 1982 ATTEST: R r BY:'����/// I I ill McAli ter Mayor City of Lubbock Mayor Bill McAlister has the requisite authority under State and local law to comply with the above assurances, and the foregoing assurances have been le- gally and duly given and made by the City of Lubbock. DATE: ,AUG 2 6 1982k� ��'Y �'gKff'n._Donald G. Vandiver First Assistant City Attorney City of Lubbock Private Enterprise Description This project for which assistance is sought will not provide service in com- petition with, or supplementary to service currently provided by private mass transportation companies. Labor Union Information The City of Lubbock or Citibus does not have a labor union representing any employees. 1pv� CITY SECR.E.TARY•7REASUREli 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, 1983 Prepared By The City of Lubbock - Transit Department TABLE OF CONTENTS Application for Federal Assistance Budget Information Form, Part III Authorizing Resolution Exhibit A - Project Budget Exhibit B - Statement of Continued Validity of One -Time Submisssion Exhibit C - Transit System and Urbanized Area Description OMB Approval No. 29-ROZIC FEDERAL ASSISTANCE 2. APPLI• CANT% 1. C PE [i FFLUFLICATION APPLI. ACTION 'S A.MICATION CATION p(A►far ❑ i;OTIFMCIN OF IN704 (DPL) Leave Lost (] P.EPORT OF FEDUAL ACTION 141a113i 4. LEGAL AT-PLiCANT/RECIPIENT a. Applicant Itame City of Lubbock ►. organinticn Unit Transit Department c. Stroct/P.O. act P.O..Box 2000 a. HUMBER S. STATE APPLiCA- TION b. DATE inENT1- rear moetth day FIER .e d• Cly Lubbock Coin'y t Lubbock 1. Veto Texas ZIP code: 79457 b. Contt:t Fsrron (Name & telephone r.e.) : Sandy Stuart (806) 762-6411, ext. 2382 7. TITLE AND DESCRIPTION OF APPLICANT'S PROJECT Operating Assistance - Section 5 for the period October 1, 1982 through September 30, 1983.. s. NUMBER b. DATE Year month day ASSIONED 19 5. FEDERAL EMPLOYER IDENTIFICATION NO, 75-6000-590 W PRO. s• KUIdBI GRAM b. TITLE. (From Federal Catalog) ©D13QIJIVA D. TYPE OF APPLICANT/RECIPIENT A -:laic H-Community Action Agency B-Interstate I- Hither Educational Institution C-Substate J- Ina,an Tribe District K-Other (Spee(fy) t D-County E-City F-Sthooi District G-Specist Purpose District Setter appropriate letter E 9. TYPE OF ASSISTANCE A -Basic Grant D-insurance 9--Supplemental Great E-Other Enter appro- I Loan prate latter(sJ 10. AREA OF PROJECT IMPACT Went" of cities, counties, 12. ESTIMATED NUM- 12. TYPE OF APPLICATION Statts.rete.) 9ER OF PERSONS A-tsw C-Rav?s)on E-Auj=ntction City of Lubbock 6L'NEFITINS G-Renewal D-ContinuaUea 178 480 setter appropriate tatter LUJ 13. PROPOSED FUNDING 14. CONGRESSIONAL DISTRICTS OF: 15. TYPE OF CHANCE (:'or Iso or Ise) A -Increase Dollors F-Other (Spre(fy): B-Decrtaso t:allars a. FEDERAL t 756 058.00" a. APPLICANT b. PROJECT 19 19 L D0V:a% On atiDn Is. APPLICANT CO t-Cencallatton s STATE % . .CC 26. PROJECT START 17. PROJECT DJ:TE £arm nth do y �O DURATION En[cr appro- d. LOCAL 756 05 .00 19 L J. 12 Afenth. grist. letters) e. CTX£R Out 19. ESTIMATED DATE TO Year uwettft day 19, EXISTING FEDERAL IDENTIFICATION NUMBER BE SUBMITTED TO I. TOTAL S 1 51 Z 117 .00 FEDERAL AGENCY P. 19 2 M FEDERAL AGENCY TO REC.11'E REQUEST (Name, City, State, ZIP cods) i 21. REMARKS ADDED DOT IJMTA Washington, DC 2059 Yea ® Na 22. a. To the k:.t of cry kncwledte and belief, 3 b. 11 raiuRespoe".1 dsts io this are structs tin, b epproprfate clearin;haus-s and sit resFcns,a are aittched: sponge attached THE true and cornet, the document has Won APPLICANT duly anthorised by the sovernin; body el ❑ ❑ CERTIFICS the tl;iiesnt and the &PP!;unt will comply ()) THAT p with the attached s=nrcas If the resist- 0 ❑ Inm Is approved. (3) ❑ ❑ 23. a. TYPED IKWE AND TITLE b. SIGNATURE' L DATE SIGNED CERTIFYING P .' month day REFRE- Bill McAlister, Mayor ✓ Wr 6 1982 SENTATiVE 24. AGENCY NAME 25. APPLICA- Year month day 4ION RECFIVED 19 25. ORGANIZATIONAL UNIT 27. ADLtINISTRATIVE OFFICE 23. FEDER.'1L APPLICATION IDENTIFICATION 29. ADDRESS 30. GRAN DENT ATICti $1. ACTION TAKEN 32. FUNDING Year month day 34. Year month day a. FEDERAL s .00 ❑ a. AWARDED 33. ACTION DATE 1+ 19 STARTING DATE 19 b. APPLICANT .00 35. CONTACT FOR ADDITIONAL INFORMA. 36. Year month day ❑1. REJECTED TION (Namo and telephons xunber) ENDING [� a RETURxED FOR s. STATE .00 DATE 19 AMENDMENT d. LOCAL .00 37. REMARKS ADDED ❑ t. DEFERRED a. OTHER .CO e. WfITKOPAWN I. TOTAL I S .OD ❑ Yes 3S. b. In !akin; stim action, any comments Iscrinni from dnartnthcusas were can. b. FEDERAL AGENCY A-95 OFFICIAL sid.red. it agency responu h under provisions of Part 1, CIA$ Circutu ""S. (Name and telephone no.) FEDERAL AGENCY It bus been or Is being trade. A-95 AMON 424-101 STANDARD FORM 424 PACE 1 (10-75) Presembec! by GSA.Fed" Jlfanagement Cirevlar 74-7 PART III — BUDGET INFORMATION' Page 1 0ma No. 8o•Ro•164 SECTION A — BUDGET SUMMARY. Grant Prograny or Activity (al Federal caulag No. Ill) Estlmated Unotilipated Funds New to Revlsad pudpat federal Ie1 Non-Foderal (d1 Federal tel Nws•Fedatal III Total 121 1, 20507 $ $ $756,058 $ 756,059 $1,512,117 2.. 3. 4. 5. TOTALS $ $ $756,058 $ 756,059 $1,512,117 • SECTION B —.BUDGET CATEGORIES 6. Object Class Categories Grant Proerarn• Function or Activity Total 151 III 12i 131 14) .._. a. Personnel $ 80,331 S $ $ $ b. Fringe Benefits 20,083- a Travel 4. 00 d. Equipment _0_ e. Supplies 7,900 f. Contractual 1,826,794 g. Construction -0- ' h. Other 43,744 i. Total Direct Charges 1,974,872 J. Indirect Charges 8,570 k. TOTALS ' $1, 991, 522 S S $ $ 7. Program Income $ 394,405 $ $ $ $ PART 111 — BUDGET INFORMATION Page 2 oull NO. 00•ROISO SECTION C — NON-FEDERAL RESOURCES le) GRANT PROGRAM (it) APPLICANT Ic) STATE Idl OTHER SOURCES tel TOTALS a SECTION 5 OPERATING ASSISTANCE s 756,058• S s s756 058 10. 12. TOTALS s 756,058 rs s ls756,058 SECTION 0 — FORECASTED CASH WEEDS i Total for lit Year lit Quarter 2nd Quarter 3rd Owner 4th Quarter 13. Federal s 756,099 S 189,015 S 189,015 s 189,015 $189,015 14.Not:.Federal -' 756,059 189,016 is 189,016 - 189,016 189,017 15. TOTAL $11512,117 s 378,029 78,029 s 378,029 $3 ,030 SECTION E — BUDGET ESTIMATES OF FEDERAL FUNDS NEEDED FOR BALANCE OF THE PROJECT _ I UTURE : UNDING PERIODS (YEARSI lalGRANTPROGRAM It.) F111"T — I :LCON ii Id) THH1D (e) FOUnTH }S 1 G. S s $ 13. 10r!~___ 20. ?OTALS S is is SECTION F —OTHER BUDGET INFORNIATIO14 lAttach addrtyonat Shcalt of NccevLuYl 21. Dircct Charges: k2. I idirm Charges: 23. P.emarks: SECTION.III - EXHIBIT A PROJECT BUDGET For the Period: October 1, 1982 to September 30, 1983 Transit Operator: Transit Management Company of Lubbock Designated Recipient: City of Lubbock, Texas (1) a. Operating Expenses Personal Services Supplies Utilities - Telephone Professional Services Boards and Commissions Surety Bonds Other Insurance Dues, Training, Travel SUB -TOTAL OPERATING EXPENSES INDIRECT COSTS b;: Contract Costs Labor Fringe Benefits Services Materials and Supplies Utilities Casualty and Liability Costs Taxes Miscellaneous Interest Expense Total Operating and Contract Costs (2) Less Eliminations: a. Non -Mass Transportation Expenses - Charter b. Technical Studies Grants (3) Eligible Operating Expenses (4) Less Farebox Revenue (5) Net Projects Costs $40,000 45,000 85,000 $ 100,414 7,900 6,360. 21,500 1,200 12 14,672 4,100 156,158 8,570 $ 885774° 221,736 109,615 418,978 46,290 60,295 18,362 54,894 10,850 1,826,794 $1,991,522 (1) $ 85,000 (2) $19906,522 (3) $ 394,405 (4) $1,512,117 (5) (6) Local Share City of Lubbock $486,751 University Student Funds 255,928 Senior Citizen Shopper 4,080 Charter Profit 9,300 756,059 (7) Net Expenses Advanced on Operations Before Applying UMTA Funds (8) UMTA Funds Requested Prepared By: John L. Wilson Title:' Transit Coordinator Date: $ 756,059 (6) $ 756,058 (7) $ 756,058 (8) CERTIFICATION OF COMPLIANCE WITH MAINTENANCE OF EFFORT (MOE) PROVISIONS Section 5(f) of the IIMTA Act of 1964, as amended, requires that expenditure of Section 5 funds apportioned for fiscal years ending prior to October 1, 1981 " be supplementary to and not in substitution for the average amount of State and local government funds and other transit revenues, such as advertising, concessions, and property leases, excluding reimbursement payments for the transportation of school children, expended on the operation of mass transpor- tation in the area during the two fiscal years preceding the project year of this application. However, if the Level of Effort (LOE) for the project year falls short of the MOE level, there will be no reduction in the Federal assis- tance for which the applicant is eligible if: 1. The MOE shortfall :is offset (dollar for dollar) by an increase in operating revenues through changes in the fare structure. 2. The reduction in the transit revenue component of the LOE is pro- portional (same percentage) to a reduction in operating costs achieved with no reduction in service levels. Any shortfall from the MOE level during fiscal year 1983 not covered under items (1) or (2) above is reflected in this application for the City of Lubbock by a commensurate (dollar for dollar percentage) reduction in the amount of Section 5 assistance for which this project is eligible. Executed this day of�dl 19 6 <:::�74 e. 'J'� - John L. Wilson, Transit Coordinator 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 ma- terial submitted herein, accurately describes the transit system and the ur- banized area associated with this project and are herein incorporated by ref- erence and made part of this application. The replacement of the Grumman Minibus Fleet is now complete with the new fleet of 34 GMC RTS II Coaches. The last sixteen GMC buses were placed in service on February 1, 1982. The Citibus fleet now consists of: 34 GMC RTS II Coaches, 37-39 passenger ,4 Grumman Minibuses, 21 passenger 1 Grumman Minibus, lift -equipped, 13 passenger 2 Dodge vans, 6 passenger, lift -equipped Twenty Grumman Minibuses were disposed of through the sealed bidding process. A public hearing was held on a fare change on March 9, 1982. The fare change is necessitated by the possible change in Federal Operating Assistance and to increase the ratio between farebox revenues and total operating expenses. The fare increase went into effect on July 1, 1982. The new fare structure is as follows: 75� Regular Adult Fare 50¢ Children 6-12 Free Children Under 6 35¢ Senior Citizen and Handicapped This fare change is consistent with the rational submitted to UMTA in the FY 1981 Operating Assistance Grant (TX-05-4101). STATEMENT OF CONTINUED VALIDITY OF ONE-TIME SUBMISSIONS The following documents have been submitted to UMTA previously, continue to remain valid and accurate, and do not require revisions or updating. - Opinion of counsel, authorizing resolution, standard assurance, labor union on. The applicant understands and agrees that the use of UMTA funds approved for this project shall be consistent with the Section 5 procedures established in UMTA 9050.1A, pertinent Federal laws, and pertinent Federal rules, regulations and circulars, and that the use of UMTA funds is subject to audit and review. Such funds shall be returned to UMTA if, after audit, it is found that they have been used improperly. ATTENTION: Whoever, in any manner within the jurisdiction of any department or agency of the United States knowingly and willfully falsifies or conceals a material fact, or makes or uses any false writing or document knowing the same to contain any false, fictitious or fraudulent statement or entry, shall be fined not more than $10,000 or imprisoned not more than 5 years, or both. 18 U.S.C. 1001. Bi cAlister Dona G. 6anver Mayor of Lubbock First Assistant City Attorney City of Lubbock City of Lubbock DATE: A1lG 2 6 1982 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. INDIRECT COST NEGOTIATION AGREEMENT GRANTEE DATE July 10, 1982w Mr. Robert Massengale ' FILING REF.: This replaces Director of Finance Negotiation Agreement City of Lubbock dated August 14, 1981 P. O. Box 2000 Lubbock, Texas 79408 The. indirect cost rate(s) contained herein are for use on grants and contracts with the Federal Government to which the General Services Administration Financial Management Circular '74-4 (FINK 74-4) applies subject to the limitations contained in FMC 74-4 and in Section II A below. The rate(s) were negotiated by the City of Lubbock and the Department of Housing and Urban Development in accordance with the authority contained in Attachment A, Sections 3.4. and J.S. of FMC 74-4. SEICTION I: RATES ' EffectivePeriod Applicable Type From: To Rate* Locations To *Provisional 10/1/82 9/30/83 60.25X ALL HUD-CDBG Programs *Provisional 10/1/82 9/30/93 43.43% ALL Inten. 'Code Enforcement Provisional 10/1/82 • 9/30/93 22.32% ALL CSA Grant. Provisional 10/1/82 9/30/93 49.37% ALL Health-ICHP Grant Provisional 10/1/82 9/30/83 61.09% ALL UMTA Operating Asst. Provisional 10/1/82 9/30/83 09.8096 ALL UMTA Technical Studies * HUD Circular 1900.13 Principles And Standards for Cost Applicable to Grants and Contracts with Local Government. PIease refer to paragraph 4 a., Recovery of Such Costs From HUD Grants is Subject to Availablity of Funds. -KBASE: Direct salaries and wages including vacation, holiday and sick pay, but excluding all other fringe benefits. Treatment of Fringe Benefits:, Fringe benefits applicable to direct salaries' and wages are treated as direct costs. UNITED STATES OF AMERICA DEPARTMENT OF TRANSPORTATION URBAN MASS TRANSPORTATION ADMINISTRATION NOTIFICATION OF GRANT APPROVAL 49 U.S.C. 51604 (SECTION 5 — OPERATING ASSISTANCE) Project No. TX-05-4142 GRANTEE: Lubbock, Texas DESIGNATED RECIPIENT: Lubbock, Texas MASS TRANSPORTATION SYSTEM: Citibus ESTIMATED NET PROJECT COST: $1,512,117.00 MAXIMUM FEDERAL SHARE: $ 756,058.00 OBLIGATION DATE : J S E p 1619�2 SOURCES OF FEDERAL FINANCIAL ASSISTANCE: 951 - 21.10.00 - FX 79 - $ 80,382.00 XLA - 21.30.00 - FX 80 - $675,676.00 DATE OF SECTION 13(c) CERTIFICATION LETTER FROM THE DEPARTMENT OF LABOR: April 7, 1982 PROJECT TIME PERIOD: October 1; 1982 - September'30, 1983 SEP 301962 "" DATE 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' specifi ed in the Notification of Grant Approval is entered into by and between the United States of America ("Government") and the Grantee named in the Notification of Grant Approval. In consideration of the mutual covenants, promises, and representations herein, the parties hereto agree as follows: Sec. 1. Purpose of Grant - The purpose of this Grant is to provide for the undertaking of an urban mass transportation 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 will be 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 the terms and conditions of this Agreement. Sec. 3. Federal Assistance - 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 fifty (50) percent of the Net Project Cost, as determined by the Department of Transportation or the amount designated as the Federal Share in the Notification of Grant Approval, whichever is the lesser. Federal funds made available under this Page 1 Form UMTA F 2001 Rev. 7/27/82 Section will be from available section 5 apportioned funds. Notwithstanding any provision to the contrary in Section 105.c. of Part II, Form 5F, Rev. 7/27/82, entitled Urban Mass Transportation Agreement, the Federal financial assistance provided under this Gant 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 Office of Management and Budget Circular (C" Circular) A-87, "Cost Principles Applicable to Grants and Contracts with State and Local Governments," and with any guidelines or regulations issued by the Government. c. The obligation of the Government to make Federal Grant payments shall not exceed the amount provided in the Project Budget. Sec. 4. Local Share - The Grantee agrees that it will provide from sources other than (a) Federal funds ( except as may otherwise be authorized by Federal statute), 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 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. Fare and Services - The Grantee assures that for any public mass transportation system receiving financial assistance under this Project, no fare change or substantial change in service as defined in 49 C.F.R. 635.7 has been adopted since May 17, 1980, or since the time of its first award of Federal financial assistance under section 5 of the Act, whichever is the later, and assures that no fare change or substantial change in service as defined in 49 C.F.R. 635.7 will be instituted except: a. After a public hearing is held or an opportunity for such hearing is given after adequate public notice; b. After proper consideration to the views and comments expressed in such hearing is given; and c. After consideration of the effect on energy conservation, and the economic, environmental, and social impact of the change in the fare or service is given. Page 2 Sec. 6. Maintenance of Effort - As may be required by law or regulation: 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 were 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 arty implementing guidelines and regulations: (1) If such State or local government funds or other 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 the 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 or local government funds or other transit revenues are reduced and such reductions are not offset by an increase in operating revenues through changes in the fare structure, or 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 - The Grantee agrees: a. That the Federal financial assistance provided under this Grant Agreement shall be applied to the eligible project operating expenses incurred in the provision of mass transportation service within die urbanized area served by the Grantee as described in the Application with respect to the Project Time Period set forth 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. To 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. Sec. 8 Labor Protection - The Grantee agrees to undertake, carry out, 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. i1609(c), and Department of Labor regulations at 29 C.F.R. Part 215. These terms and conditions are identified in the letter of certification to the 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 to 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 Notification of Grant Approval; this Part I, Form UMTA F 2001, Rev. 7/27182, entitled Grant; and Part II, Form UMTA F 5F, Rev. 7/27/82, 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 latest 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 reallocations do not increase the total amount of the Federal Grant shall be shade in accordance with all UMTA circulars and regulations, and the issuance of a new Project Budget. Page- 4 r Sec. 11. Execution of Grant - This Grant may be simultaneously executed in several counterparts, eac o ich counterparts shall be deemed to be an original having identical legal effect. When the Notification of Grant Approval is signed by the Government, this Grant should be executed by the Grantee within ninety (90) days after the Obligation Date. The Government may withdraw its obligation hereunder if the Grant is not executed within the above ninety -day period. The effective date of the Grant shall be the Obligation Date. The effective date of any Amendment shall be the Obligation Date for the Amendment. The Grantee does hereby ratify and adopt all statements, representations, warranties, covenants, and materials submitted by it, and does hereby accept the Government's award of financial assistance and agrees to all of the terms and conditions of this Grant. Executed this 6th day of October , 1982 - TATTEST: BY: %- IV Evelyn Gaffga, City Secretary Bill McAlister, Mayor City of Lubbock City of Lubbock 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 8-26-82 . 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 6th day of October, 19 82 S'10NATURE -- Donald G.'Vandiver First Assistant City Attorney City of Lubbock TITLE AND ORGANIZATION Page 5 Form UMTA F 5F Rev. 7/27/82 UNITED STATES fF AMERICA DEPARTMENT!' OF TRANSPORTATION URBAN MASS TRANSPORTATION? ADMINISTRATION WASHINGrON, D.C. 20590 ar��tCrr T 'b 9 G 4ATES d URBAN MASS TRANSPORTATION AGREEMENT PART II TERMS AND CONDITIONS for Projects under section 3, 4(1), 5, 6, or 8, of the Urban Mass Transportation Act of 1964, as amended, 49 U.S.C. J 1601 et seq.= for Mass Transportation Projects under the Federal -Aid Highway Act of 1973, as amended, title 23 U.S.C. (Highways) or for section 175 of the Clean Air Act Amendements of 1977, 42 U.S.C. § 7505. a TABLE CF CONTENTS Section,101. Definitions....................s.....................1 Section 102. Accomplishment of the Project....s......s..s.....-s.s2 a. General Requirements.....-s-ss.-s...-.s.....s-..2 b. Pursuant to Federal, State and Local Law ........ 2 c. Funds of the Recipient.......ss.s-.s..s........s2 d. Submission of Proceedings, Contracts, and Other. Documents......................................2 e. Changed Conditions Affecting Performance.-....ss3 f. No Government Obligations to Third Parties......3 g. Land Acquisition Policys...-..s......ss.........3 Section 103. The Project Budget...................................3 Section 104. Accounting Records........................s..........3 a. Project Accounts................................3 b. Funds Received or Made Available for the........ Project.....................s-.s.....s..s..s...3 c. Allowable Costs.............s...................3 d. Documentation of Project Costs..................4 e. Checks, Orders and Vouchers...................ss4 f. Audit and Inspections....s.s-.sss..-s.sssss.ss.s4 Section 105. Requisitions and Payments.-.....-s--..-s.s.....s.-...5 a. Request for. Payment by the Recipients...........5 b. Payment by the Governmentss.sss.-.s-....-......s5 c. Disallowed Costs........ss.s....--.s-.-..-......6 d. Prohibition. Against Use of Federal Funds for.... Lobbying ........... .ss.s-s--..sss.s..s-.ss.-..s6 e. Letter of Credit................................6 f. Interest on Late Payments..s...-.-.s-.ss.s......7 g. Deobligation of Funds...........s..s-..s.-......7 Section 106. Right of Government to Terminate..-9...9s-.sssss.....7 Section 107. Project Completion, Settlement and Close-Outs...s.-.s7 Section 108. Encumbrance of Project Property.........--.ss....9.9.8 Section 109. Restrictions, Prohibitions, Controls, and Labor...-.. Provisions..............s-s.s..-s..s.........s..-...8 a. Equal Employment Opportunity..s.s..s-..s....s..s8 b. Small, Minority and Women's Business... -...-sees Enterprises..s...s..s.s..s.-....s..ss.ss...s...-9 c. Title VI - Civil Rights Act of 1964...... --..solo d. Competition in Procurement..s..-..ss..s-.s.s-..10 e. Force Account-.-......s...s.s..s......s...-...s11 f. Settlement of Third Party Contract Disputes .... 11 or Breaches..-.s..s....s-...-.....sss.s....ss-.s g. Ethics.........................................11 h. Interest of Members of or Delegates tos...s..-. Congress...s..................s...............12 Section 110. Construction Contracts.-s..s....ss...s..s....s...--.12 a. Nondiscrimination...-.........................s.12 b. Specifications..................s.s...s....s-ss14 c. Notice.........................................19 d. Labor Provisions...............................21 e. Contract Security..s..s.....................s-.26 i f. Insurance During Construction.................26 g. Signs.........................................26 h. Safety Standards .......:.....................26 Section 110(i). Liquidated Damages Provi sion...................'..26 Section 111.. Environmental, Resource, and Energy Protection and... Conservation Requirements* so so 000 a so 00000s 00000000 @27 a. Compliance with Environmental Standards.......27 b. Air Pollution......"...........................27 1 c. Use of Public Lands ...........................27 d. Historic Preservation .........................27 e. Energy Cons erva ti o n........................... 28 Section 112. Patent Rights........................................28 S ection 113., Rights i'n Data...........................:...........28 Section 114. Cargo Preference - Use of United States-Flageoisesese Vessels...........................a...............29 Section 115. Buy America..........................................30 Section 116. Charter and School Bus Operations ....................31 a. darter B11S.......••..........................31 b. School Bus.'...................................31 Section 117. Nondi scrims nation on the Basis of Handicap...........31 Section 118. Flood Haza rds.......... .. ..........................31 S ectio n.119. Privacy ............... ..........................31, S ection 120. Mi sc ella nexus ............ ...........................33 a. Bo ms or Commission.............4.............33 b. State and Territorial Law.....................33 c. R'ecords....................................33 d. S ev erability..................................33 11 . DEPARTMENT OF TRANSPORTATION URBAN MASS TRANS PORTAT ION ADMINISTRATION AGREEMENT PART II - TERMS AND CONDITIONS Constituting part of the AGREEMENT providing for Federal financial assistance under the provisions of the Urban Mass Transportation Act of 1964, as amended, and/or the Federal -Aid Highway Act of 1973, and/or the Clean Air Act Amendments of 1977. Section 101. Definitions. As used in this Agreement: a. Application means the signed and dated proposal as may be amended for Federal financial assistance for the Project, together with all explanatory, supporting, and supplementary documents heretofore filed with the Government (UMTA) by or on behalf of the Recipient, which has been accepted and approved by the Government (UMTA) . b. Approval, Authorization, Concurrence, Waiver means a conscious, written act by an authorized official of the Government granting permission to the Recipient to perform or omit an act pursuant to this Agreement which could not be performed or omitted without such permission. An approval, authorization, concurrence, or waiver permitting the performance or omission of a specific act shall not constitute permission to perform or omit similar acts unless such broad permission is clearly stated. Oral permission or interpretations shall have no legal force or effect. c. External Operating Manual means the most recent UMTA manual of that title, which presents information about the UMTA programs, application processing procedures, and guidance for administering approved projectst there are also other UMTA and DOT directives applicable to the Project. d. Government means the United States of America, or its cognizant agency, the Department of Transportation (DOT) or its operating administration, the Urban Mass Transportation Administration (WTA), used hereafter interchangeably. e. Mass Transportation includes public transportation and means transportation by bus, rail or other conveyance, either publicly or privately owned, which provides to the public general or special transportation service (but not including school buses, charter or sightseeing service) to the,public on a regular and continuing basis. f. Project means the task or set of tasks provided for in the Project Budget which the Recipient undertakes to perform pursuant to the Agreement with the Government. Page 1 g. Project Budget means the most recently dated. statement, approved by the Government, of the estimated total cost of the Project, the items to be deducted from such total in 'order to calculate the estimated net project cost, the maximum amount of the Federal assistance for which the Recipient is currently eligible, the specific items (including contingencies and relocation) for which the total may be spent, and the estimated cost of each of such items. h. Recipient means any entity that receives Federal financial assistance from 114TA for the accomplishment of the Project. The term "Recipient" includes "Grantee" and any entity to which Federal funds have been passed through for the accomplishment of the Project . i. Secretary means Secretary of the Department of Transportation or his riuly authorized designee. Section '02. Accomplishment of the Project. a. General Requirements. The Recipient shall commence, carry on, and complete the Project with all practicable dispatch, in a sound, economical, and efficient manner, and in accordance with the provisions hereof, the Application, and all applicable laws and regulations. b. Pursuant to Federal, State, and Local Law. In performance of its obligations pursuant to this Agreement, the Recipient and its contractors shall comply with all applicable provisions of Federal, State, and local law. All limits or standards set forth in this Agreement to be observed in the performance of the Project are minimum renuirements. If there is a conflict between Federal and State reguirements, the Recipient shall inform the Government in order that an appropriate resolt.ttion may tie arranged. The Recipient agrees further that notwithstanding the requirevents in Section 115, below, 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 nrovitle its share of the Project costs at or prior to the time that such funds are needed -to meetProjectcosts. -d.° Submission of. 'Proceedings, Contracts and Other Documents. The Recipient shall .submit to the Covernment such data, reports, records, contracts, and other documents relating to the Project as the Government may .require. The Recipient shall retain intact, for three years following Project close-out, all Project documents, financial records, and supporting documents. Page 2 e. Changed Conditions Affecting Performance. The Recipient shall immediately notify UMTA of any change in conditions or local law, or of,any.other event, which may significantly affect its ability to perform the Project in accordance with the provisions of. this Agreement. f. No Government Obligations to Third Parties., The Government shall not be subject to any obligations or liabilities by contractors of the Recipient or their subcontractors or any other person not a party to this Agreement in connection with the performance of this Project without its express, written consent and notwithstanding its concurrence in or approval of the award of any contract or subcontract or the solicitation thereof. g. Land Acquisition Policy. Any acquisition of land for use in connection with the Project must conform to the policies and procedures set forth in 49 C.F.R. Part 25 and applicable circulars. Section 103. The Project Budget. A Project Budget shall be prepared and maintained by the Recipient. The Recipient shall carry out the Project and shall incur obligations against and make disbursements of Project Finds only in conformity with the latest approved budget for the Project. The Project Budget may be revised, from time to time, in accordance with Federal guidelines. Section 104. Accountina Records. a. Project Accounts. The Recipient shall establish and maintain as a " separate set of accounts, or within the framework of an established accounting system, accounts for the Project in the manner consistent with Office of Management and Budget (OMB) Circular A-102, as amended, or OMB Circular A-110, as may be appropriate. b. Funds Received or Made Available for the Project. In accordance with the provisions of OMB Circular A-102, as amended, or OMB Circular A-110, as may be appropriate, the Recipient shall record in the Project Account, and deposit in a bank or trust company which is a member of the Federal Deposit Insurance_ Corporation, all Project payments received by it from the Government pursuant to this Agreement and all other funds provided for, accruing to, or otherwise received on account of the Project, ("Project Funds"). Any balances exceeding the FDIC coverage must be collaterally secured as provided in 12 U.S.C. § 265 and implementing regulations or in applicable Federal procedures. A separate bank account may be required when drawdowns are made by letter of credit. c. Allowable Costs. Expenditures made by the Recipient shall be reimbursable as allowable costs to the extent that they meet all of the requirements set forth below. They musts (1) Be made in conformance with the Project Description and the Project Budget and all other provisions of this Agreement) (2) Be necessary in order to accomplish the Project: Page 3 (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 the Government-(ENTA) to the contrary is received; (6) Be in conformance with the standards for allowability,of .costs set forth in Office of Management and Budget (CP4B) Circular A-87, Revised, and with any ,guidelines or regulations issued by U4TA; in the case of Projects with educational institutions, the standards for allowability'of costs set forth in Office of Management and Budget (OMB) Circular A-21, Revised, rather than the standards of CMB Circular A-87, Revised, shall apply; and in the case of nonprofit organizations, the standards for allowability of costs set forth in Office of Management and Budget (CMB) Circular A-122, rather than the standards of OMB Circular A-87, Revised, shall apply.`, (7) Be satisfactorily documented; and (8) Be treated uniformly and consistently under accounting principles and procedures approved or prescribed by the Government for the Recipient; and those approved or prescribed by the Recipient for its contractors. d. Documentation of Project Costs. All costs charged to the Project, including any approved services contributed by the Recipient or others, shall be supported by properly executed payrolls, time r-ecords, 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. f. Audit and Inspection. The Recipient shall permit the,Secretary and the Comptroller General of the United.States, or any ,of their duly authorized representatives to inspect all work, materials, payrolls, and other data and records with regard to the Project, and to audit the hooks, records, and .,accounts of the Recipient and its -contractors with regard to the Project. In the case of contracts awarded under other than competitive bidding procedures as defined by the Secretary, the Recipient shall require those contractors to ..permit the Secretary and the Comptroller General of the United StAtes, or any of their duly authorized representatives to inspect all work, materials, Pave 4 payrolls, and other data and records with regard to the Project, and to audit the books, records, and accounts pertaining to such contracts with regard to the Project. A Recipient that is a State or local government or Indian tribal government shall be responsible for meeting the audit requirements of CMB Circular A-102, Attachment P, or any revision or supplement thereto. The Recipient is responsible for auditing third party contracts and agreements. The Government 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 operating projects, financed under section 5 of the Urban Mass Transportation Act of 1964, as amended, subsequent to the close of the local fiscal year for which operating assistance is sought, the Recipient shall furnish a final audit report prepared by a State or local government audit agency or an independent public accountant which shall include as a minimun a Statement of Revenue and Expense, a Statement of Changes in Financial Position, and a Maintenance of Effort Calculation (if applicable) of the mass transportation operator for the assisted local fiscal year. Section 105. Requisitions and Payments a. Requests for Payment by the Recipent. The Recipient may make requests for payment of the Federal share of allowable costs, and the Government (UMTA) will honor such requests in the manner set forth in this section. Payments made to Recipients must comply with 31 C.F.R. Part 205. In order to receive Federal assistance payments, the Recipient must- (1) Completely execute and submit to the Government (UMTA) the information required by Standard Form 2701 (2) Submit to the Government (UMTA) an explanation of the purposes for which costs have been incurred to date or are reasonably expected to be incurred within the requisition period (not more than 30 days after the date of submission); (3) Demonstrate or certify that it has supplied local funds adequate, when combined with the Federal payments, to cover all coststo be incurred to the end of the requisition period; (4) Have submitted to the Government (UMTA) all financial and progress reports required to date under this Agreement= and (5) Identify the source(s) of financial assistance provided under this Project from which the payment is to be derived. b. Payment by the Government. Upon receipt of the requisition and the accompanying information in satisfactory form, the Government will process the requisition if the Recipient is complying with its obligations pursuant to the Agreement, has satisfied the Government of its need for the Federal funds requested during the requisition period, and is making adequate progress towards the timely completion of the Project. If all of these circumstances Page 5 are found to exist, the Government may reimburse apparent allowable costs incurred (or to be incurred during the requisition period) by the Recipient up to the maximum amount of Federal assistance payable through the fiscal year in which the requisition is submitted as stated in the Project Budget. However, reimbursement of any cost pursuant to this section shall not constitute a final determination by the Government of the allowability of such cost and shall not constitute,a waiver of any violation of the terms of this Agreement committed by the Recipient. The Government will make a final determination as to allowability only after final audit of the Project has been conducted. In the event that the Government determines that the Recipient is not currently eligible to receive any or all of the Federal funds requested, it shall promptly notify the Recipient stating the reasons for such determination. Unless prohibited by applicable law, the Government reserves the right to offset any Federal assistance funds to be made available under this Project as may be necessary to satisfy any monetary claims that the Government may have outstanding against the Recipient. ' c. Disallowed Costs. In determining the amount of the Federal assistance that the Federal Government will provide, the Government will exclude all Project costs incurred by the Recipient prior to the elate of this Agreement, or prior to the date of the approved budget for the Project, whichever is earlier, unless an authorized representative of the Government advises in writing to the contrary; any costs incurred by the Recipient which are not provided for in the latest approved budget for the Projects and any costs attributable to goods or services received under a contract or other arrangement which has not been concurred in or approved in writing by the Government (UMTA). Exceptions to the above statement on disallowed costs are contained in the External Operating Manual or in other written Federal (UMTA) guidance. d. Prohibition Against Use of Federal Funds for Lobbying. The Recipient or any subrecipient shall not use Federal assistance funds for publicity or propaganda purposes designed to support or defeat legislation pending before Congress. e. Letter of Credit. Should a letter of credit be issuers to the Recipient, the following terms and conditions in conformance with 31-C.F.R. Part 205, are applicable: (1) The Recipient shrill initiate cash drawdowns only when actually needed for Project disbursements. (2) The Recipient shall report its cash disbursements and balances in a timely manner as required by the Government. (3) The Recipient shall provide for effective control and accountability for all Project funds in accordance with any requirements and procedures issued by the Government for use of the letter of credit. (4) The Recipient shall impose on its subrecipients all the requirements of Section 105.d.(1), (2), and (3) above.as applicable. Page 6 (5) Should the Recipient fail to adhere to the requirements of Section 105.d.(1), (2), (3), or (4) above, the Government may revoke the unobligated portion of the letter of credit. (6) Section 105.a., b., and c. above remain effective to the extent that they do not conflict with the provisions of section 105.e. f. Interest. The following requirements apply to the Recipients (1) Any interest earned on Federal funds by the Recipient must be identified and remitted to the Government, except as provided by section 203 of the Intergovernmental Oooperation Act of 1968, 42 U.S.C. § 4213. (2) Upon notice by the Government to the Recipient of specific amounts due the Government, the Recipient shall promptly remit any excess payment of ' amounts or disallowed costs to the Government (UMTA). Interest may be assessed from the time of notice and charged for any amounts due to the Government that are not paid as set forth in the Treasury Fiscal Requirements Manual. g. Deobligation of Funds. The Government reserves the right to deobligate unspent Federal funds prior to project closeout. Section 106. Right of Government to Terminate. Upon written notice to the Recipient, the Government reserves the right to suspend or terminate all or part of the financial assistance provided herein if the Recipient is, or has been, in violation of the terms of this Agreement, or if the Government determines that the purposes of the Act would not be adequately served by continuation of 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 the Government (UMTA) prior to the date of termination, to the extent those obligations are noncancellable. The acceptance of a remittance by the Government of any or all Project funds previously received by the Recipient or the closing out of Federal financial participation in the Project shall not constitute a waiver of any claim 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 the Government, the Recipient shall, within 90 days of the completion date of the Project, submit a final Financial Status Report (Standard Form 269), a certification or summary.of Project expenses, and third party audit reports, when applicable. Any Recipient covered by OMB Circular A-102 shall undertake the necessary audits as required by CMB Circular A-102, Attachment P. With respect to any Recipient not covered by OMB Circular A-102, upon receipt of this information, the Government (UMTA) or an agency designated by the Government (UMTA) will Page 7 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 UMTA has made payments to the Recipient in excess of the total amount of such Federal assistance, the Recipient shall promptly remit to the Government (MITA) such excess and interest as may be required by section 105.e. and f.. Project close-out occurs when the Government notifies the Recipient and .forwards the final grant payment or when an appropriate refund of Federal grant funds has been received from the Recipient and acknowledged by the Government. Close-out shall not invalidate any continuing obligations imposed on the Recipient by this Agreement or contained in the final notification or acknowledgement from the Government. Section 108. Encumbrance of Project Property. The Recipient shall not execute any lease, pledge, mortgage, lien, or other contract (including a grant anticipation note or "Safe Harbor Lease" under section 168(g)(8) of the Internal Revenue Code of 1954) touching or affecting the Federal interest in any Project facilities or equipment, nor shell it obligate itself in any other manner, with any third party with respect to Project facilities or equipment, unless such lease, pledge, mortgage, lien, contract, or other obligation is expressly authorized in writing by the Government; nor shall the Recipient, by any act or omission of any kind, adversely affect .the Federal interest or impair its continuing control. over the use of Project facilities or equipment. Section 109. Restrictions, Prohibitions, Controls, and Labor Provisions. a. roual Employment Opportunity - The following conditions are applicable: (1) In connection with the carrying out of. the Project, the Recipient shall not discriminate against any employee or applicant for employment because of race,` color, age, creed, sex, or national origin. The Recipient shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, color, religion, sex, age, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion or transfer, recruitment or recruitment advertising, layoff or termination; rates of pay or other forms of compensation.; and selection for training, including apprenticeship. The Recipient shall insert the foregoing provision (modified only to show the particular contractual relationship) in all of its contracts in connection with the development or operation of the Project, except contracts for standard commercial supplies or raw materials and construction contracts subject to the provisions of Section 110.a. of this Agreement, and shall require all such contractors to insert a similar provision in all subcontracts, except subcontracts for standard commercial supplies or raw materials. (2) If_, as a condition of assistance, the Recipient has submitted, and the Government has approved, an equal employment opportunity program that the Recipient agrees to carryout, such programis incorporated into this Agreement by reference. Such program shall he treated as a contractual obligation, and failure to carry out the terris of that equal employment opportunity program shall be treated as a violation of this Agreement. Upon notification to the Recipient of its failure to carry out the approved z'agp R program, the Government will impose such remedies as it may deem appropriate, which remedies may include termination of the Agreement as provided in Section 106 of this Agreement or other measures that may affect the ability of the Recipient to obtain future financial assistance under the Urban Mass Transportation Act of 1964, as amended, or the Federal -Aid Highway Act of 1973, as amended. b. Small, Minority and Women's Business Enterprise. The following provisions are applicable: (1) The Recipient shall be responsible for meeting the applicable regulations regarding participation by minority business enterprises (MBE) in r Department of Transportation programs 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 49 C.F.R. 23.43, the following clauses must be inserted in each third party contract. (a) POLICY. IT IS THE POLICY OF THE DEPARTMENT OF TRANSPORTATION THAT MINORITY BUSINESS ENTERPRISES, AS DEFINED IN 49 C.F.R. PART 23, SHALL HAVE THE MAXIMUM OPPORTUNITY TO PARTICIPATE IN THE PERFORMANCE CF CONTRACTS FINANCED IN WHOLE OR IN PART WITH FEDERAL FUNDS UNDEP. THIS AGREEMENT. CONSEQUENTLY, THE MBE REQUIREMENTS OF 49 C.F.R. PART 23 APPLY TO THIS AGREEMENT. (b) MBE OBLIGATION. THE RECIPIENT AND ITS CONTRACTORS AGREE TO ENSURE THAT MINORITY BUISINESS ENTERPRISES AS DEFINED IN 49 C.F.R. PART 23 SAVE THE MAXIMUM OPPORTUNITY TO PARTICIPATE IN THE PERFORMANCE OF CONTRACTS AND SUBCONTRACTS FINANCED IN WHOLE OR IN PART WITH FEDERAL FUNDS PROVIDED UNDER THIS AGREEMENT. IN THIS REGARD ALL RECIPIENTS AND CONTRACTORS SHALL TAKE ALL NECESSARY AND REASONABLE STEPS IN ACCORDANCE WITH 49 C.F.R. PART 23 TO ENSURE THAT MINORITY BUSINESS ENTERPRISES HAVE THE MAXIMUM OPPORTUNITY TO COMPETE FOR AND PERFORM CONTRACTS. 'RECIPIENTS AND THEIR CONTRACTORS SHALL NOT DISCRIMINATE ON THE BASIS CF RACE, COLOR, NATIONAL ORIGIN OR SEX IN THE AWARD AND PERFORMANCE CP DOT -ASSISTED CONTRACTS. (2) If as a condition of assistance the Recipient has submitted and the Department has approved a minority business enterprise affirmative action program which the Recipient agrees to carry out, this program is incorporated into this financial assistance agreement by reference. This program shall be treated as a legal obligation and failure to carry out its terms shall be treated as a violation of this financial 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, Subpart E, which sanctions may include termination of the Agreement or other measures that may affect the ability of the Recipient to obtain future DOT financial assistance. (3) The Recipient shall advise each subrecipient, contractor, and subcontractor that failure to carry out the requirements set forth in 49 C.F.R. 23.43(a) shall constitute a breach of contract and, after the notification of the Department, may result in termination of the Agreement or contract by the Recipient or such remedy as the Recipient deems appropriate. (4) The Recipient shall take action concerning lessees 49 follows: Page 9 (a) The Recipient shall not exclude MBE's from participation in business opportunities by entering into long-term, exclusive agreements with non -MBE's for operation of major transportation -related activities for the provision of goods and services to the facility or to the public on the facility. (b) A Recipient that is required to submit affirmative action programs under 49 C.F.R. 23.41(a) (2) or (a) (3) that has business opportunities for lessees shall submit to the Department for approval with their programs overall goals for the participation as lessees of firms owned and controlled by minorities and firms owned and controlled by women. These goals shall be for a specified period of time and shall be based on the factors listed in 49 C.F.R. 23.45(g)(5). The Recipient shall review these goals at least annually, and whenever the goals expire. The review shall analyze projected versus actual.MBE participation during the period covered by the review and any changes in factual circumstances affecting the selection of goals. Following each review, the Recipient shall submit new overall goals to the Department for approval. A Recipient that fails to meet its goals for MBE lessees shall demonstrate to the Department, in writing that it made reasonable efforts to meet the goals. (c) Except as provided in this section, the Recipientis required to include lessees in affirmative action programs. Lessees themselves are not subject to the requirements of this Part, except for the obligation of 49 C.F.R. 23.7 to avoid discrimination against MBE's. (5) The Recipient agrees to include the clauses in Subsection (1) and (2) of Section 109.b. above in all subsequent agreements between the Recipient and any subrecipient and in all subsequent DOT -assisted contracts between the Recipient or subrecipients and any third party contractor. c. Title VI Civil Rights Act of 1964. The Recipient will comply and will assure the compliance by contractors and subcontractors under this Project with all the requirements imposed by Title VI of the Civil Rights Act of 1964 (49 U.S.C. § 2000d), the regulations of the Department of Transportation issued thereunder, 49 C.F.R. Part 21 and the Assurance by the Recipient pursuant thereto. d. Competition in Procurement. The Recipient shall comply with the Procurement Standards requirements set forth in Attachment O of OMB Circular A-102, as amended, or A-110, as may be appropriatet and with any supplementary directives or regulations including UMTA Circular 4220.1A and any revisions thereof, as may be appropriate. UMTA reserves the right to review the Recipient's technical specifications and requirements, where such review is necessary for proper project administration. Page 10 e. Force Account. The Government (UMTA) reserves the right to determine the extent to which it will participate in force account costs. f. Settlement of Third Party Contract Disputes or Breaches. The Government has a vested interest in the settlement of disputes, defaults, or breaches involving any Federally -assisted third party contracts. The Government retains a right to a proportionate share, based on the percentage of the Federal share committed to the Project, of any proceeds derived from any third party recovery. Therefore the Recipient shall avail itself of all legal rights &vailable under any third party contract. The Recipient shall notify the Government of any current or prospective litigation pertaining to any third party contract. The Government reserves the right to concur in any compromise or settlement of the Recipient's claim(s) involving any third party contract, before making Federal assistance available to support that settlement. ..If the third party contract contains a liquidated damages provision, any liquidated damages recovered shall be credited to the Project account involved unless the Government permits otherwise. g. Ethics. The Recipient shall maintain a written code or standards of conduct which code or standards shall govern the performance of its officers, employees, or agents engaged in the award and administration of contracts supported by Federal funds. Such code or standards shall provide that no employee, officer, or agent of the Recipient shall participate in the selection, or in the award, or in the administration of a contract supported by Federal funds if a conflict of interest, real or apparent, would be involved. Such a conflict would arise when any of the parties set forth below has a financial or other interest in the firm selected for award: (1) the employee, officer, or agents (2) any member of his or her immediate familyt (3) his or her partner; or (4) an organization that employs, or is to employ, any of the above. The code or standards shall also provide that the Recipient's officers, employees or agents shall neither solicit nor accept gratuities, favors or anything of monetary value from contractors, potential contractors, or parties to the subagreement. The Recipient may set minimum rules where the financial interest is not substantial or the gift is an unsolicited item of nominal intrinsic value. To the extent permitted by State or local law or regulations, such code or standards of conduct shall provide for penalties, sanctions, or other disciplinary actions for violations of such code or standards by the Recipient's officers, employees, or agents, or by contractors or their agents. Page 11 h. Interest of Members of or Delegates to Congress. No member of or delegate to the Congress of the United States shall be admitted to any share or part of this Agreement or to any benefit arising therefrom. Section 110. Construction Contracts. The following provisions are applicable: a. Nondiscrimination. Pursuant to 41 C.F.R. § 60-1.4(b)(1) and (c) (1) The Recipient hereby agrees that it will incorporate or cause to be incorporated into any contract for construction work, or modification thereof, as defined in the regulations of the Secretary of Labor at 41 C.F.R. Chapter 60, which contract or modification is paid for in whole or in part with funds obtained from the Federal Government or borrowed on the credit of the Federal Government pursuant to a grant, contract, loan, insurance, or guarantee, or undertaken pursuant to any Federal program involving such grant, contract, loan, insurance, or guarantee, the following equal opportunity clause: DURING THE PERFORMANCE OF THIS CONTRACT, THE CONTRACTOR AGREES AS FOLLOWS: (a) THE CONTRACTOR WILL NOT DISCRIMINATE AGAINST ANY E4PLOYEE'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 1 RECRUITMENT OR RECRUITMENT ADVERT IS ING 1 LAYOFF OR TERMINATIONi RATES OF PAY OR OTHER FORMS OF COMPENSATIONI AND SELECTION FOR TRAINING, INCLUDING APPRENTICESHIP. THE CONTRACTOR AGREES TO POST IN CONSPICUOUS PLACES, AVAILABLE TO EMPLOYEES AND APPLICANTS FOR M4PLOYMENT, NOTICES TO BE PROVIDED SETTING FORTH THE PROVISIONS OF THIS NONDISCRIMINATION CLAUSE. (b) THE CONTRACTOR WILL, IN ALL SOLICITATIONS OR ADVERTISEMENTS FOR EMPLOYEES PLACED BY OR ON BEHALF OF THE CONTRACTOR, STATE THAT ALL QUALIFIED APPLICANTS WILL RECEIVE CONSIDERATION FOR EMPLOYMENT WITHOUT REGARD TO RACE, COLOR, RELIGION, SEX, OR NATIONAL ORIGIN. (c) THE CONTRACTOR WILL SEND TO EACH LABOR UNION OR REPRESENTATIVE OF WORKERS WITH WHICH HE HAS A COLLECTIVE BARGAINING AGREEMENT OR OTHER CONTRACT OR UNDERSTANDING, A NOTICE TO BE PROVIDED ADVISING THE SAID LABOR UNION OR WORKERS' REPRESENTATIVES OF THE CONTRACTOR'S COMMITMENTS UNDER THIS SECTION 202 OF EXECUTIVE ORDER 11246 OF SEPTE1413ER 240, 1965, AND SHALL POST COPIES OF THE NOTICE IN CONSPICUOUS PLACES AVAILABLE TO EMPLOYEES AND APPLICANTS FOR EM PLO YMENT. (d) THE CONTRACTOR WILL COMPLY WITH ALL PROVISIONS OF EXECUTIVE ORDER 11246 OF SEPTEMBER 24, 1965, AND OF THE RULES, REGULATIONS, AND RELEVANT ORDERS OF THE SECRETARY OF LABOR. Page 12 (e) THE CONTRACTOR *SILL FURNISH ALL INFORIATION AND REPORTS REQUIRED BY EXECUTIVE ORDER 11246 CF SEPTEMBER 24, 1965, AND BY RULES, REGULATIONS, AND ORDERS CF THE SECRETARY OF LABOR, OR PURSUANT THERETO, AND WILL PERMIT ACCESS TO HIS BOOKS, RECORDS, AND ACCOUNTS BY THE URBAN MASS TRANSPORTATION ADMINISTRATION AND THE SECRETARY OF LABOR FOR PURPOSES OF INVESTIGATION TO ASCERTAIN COMPLIANCE WITH SUCH RULES, REGUTATIONS, AND ORDERS. (f) IN THE EVENT OF THE CONTRACTOR'S NONCOMPLIANCE WITH THE NONDISCRIMINATION CLAUSES OF THIS AGREEMENT OR WITH ANY OF THE SAID RULES, REGULATIONS OR ORDERS, THIS AGREE24ENT MAY BE CANCELLED, TERMINATED, OR SUSPENDED IN WHOLE OR IN PART AND THE CONTRACTOR MAY BE DECLARED INELIGIBLE FOR FURTHER GOVERNMENT CONTRACTS OR FEDERALLY ASSISTED CONSTRUCTION CONTRACTS IN ACCORDANCE WITH PROCEDURES AUTHORIZED IN EXECUTIVE ORDER 11246 OF SEPTEMBER 24, 1965, AS AMENDED, AND SUCH OTHER SANCTIONS MAY RE IMPOSED AND RFXEDIES INVOKED AS PROVIDED IN EXECUTIVE ORDER 11246 OF SEPTE71BER 24, 1965, OR BY RULE, REGULATION, OR ORDER CF THE SECRETARY CF LABOR, OR AS OTHE1:44ISE PROVIDED BY LAW. (g) THE CONTRACTOR WILL INCLUDE THE. PORTION OF THE SENTENCE IMMEDIATELY PRECEDING SECTION 110.a. (1) AND THE PROVISIONS OF PARAGRAPHS (a) THROUGH (g) IN EVERY SUBCONTRACT OR PUJRCHASE ORDER UNLESS EXEMPTED BY RULES, REGULAT IONS , OR ORDERS CF THE SECRETARY CF LABOR ISSUED PURSUANT TO SECTION 204 OF EXECUTIVE ORDER 11246 OF SEPTEMBER 24, 1965, SO THAT SUCH PROVISIONS SHALL BE BINDING UPON EACH SUBCONTRACTOR OR VENDOR. THE CONTRACTOR WILL TAKE SUCH ACTION WITH RESPECT TO ANY SUBCONTRACT OR PURCHASE ORDER AS THE URBAN MASS TRANSPORTATION ADMINISTRATION MAY DIRECT AS A MEANS OF ENFORCING SUCH PROVISIONS, INCLUDING SANCTIONS FOR :NONCOMPLIANCE; PROVIDED, HOWEVER, THAT IN THE EVENT A CONTRACTOR BECOMES INVOLVED IN, OR IS THREATENED WITH, LITIGATION WITH A SUBCONTRACTOR OR VENDOR AS A RESULT OF SUCH DIRECTION BY THE URBAN MASS TRANSPORTATION ADMINISTRATION, THE CONTRACTOR MAY REQUEST THE UNITED STATES TO ENTER INTO SUCH LITIGATION TO PROTECT THE INTERESTS OF THE UNITED STATES. .(2) The Recipient shall assure that each nonexempt prime contractor or subcontractor shall include the above clause in each of its nonexempt contracts. (3) The Recipient further agrees that it will be bound by the above equal opportunity clause with respect to its own employment practices when it participates in Federally assisted construction work; provided that if the Recipient so participating is a State or local government, the above equal opportunity clause is not applicable to any agency, instrumentality or subdivision of such government which does not participate in work on or under the Agreement. (4) The Recipient agrees that it will assist and cooperate actively with the Urban Mass Transportation Administration and the Secretary of Labor in obtaining the compliance of contractors and subcontractors with the equal opportunity clause and the rules, regulations, and relevant orders of the Secretary of Labor, that it will furnish the Urban Mass Transportation Administration and the Secretary of Labor such information as they may require for the supervision of such compliance, and that it will otherwise assist the Urban ?Mass Transportation Administration in the discharge of the agency's primary responsibility for securing compliance. Page 13 (5) The Recipient further agrees that it will refrain from entering into any contract or contract modification subject to Fx ecutive Order 11246 of September 24, 1965, as amended, with any contractor debarred from, or who has not demmnstrated eligibility for Government contracts and Federally assisted construction contracts pursuant to the Executive Order; and will carry out such sanctions and penalties for violation of the equal opportunity clause as may be imposed upon contractors and subcontractors by the Urban Mass Transportation Administration or the Secretary of Labor pursuant to Part II, Subpart D of the Executive Order. In addition, the Recipient agrees that if it fails or refuses to comply with these undertakings, the administering agency may take any or all of the following actions: Cancel, terminate, or suspend in whole or in part this Agreement (grant, contract, loan, insurance, guarantee); refrain from extending any further assistance to the Recipient under the program with respect to which the failure or refund occurred until satisfactory assurance of future compliance has been received from such Recipient; and refer the case to the Department of Justice for appropriate legal proceedings. b. Specifications. The Recipient hereby agrees that it will incorporate or cause to be incorporated into its contracts the specifications set forth below in all Federal or Federally assisted construction contracts, or modifications thereof, in excess of $10,000 to be performed in geographical areas designated by the Director, Office of Federal Contract Compliance Programs of the Department of Labor pursuant to the Regulations of the Secretary of Labor at 41 C.F.P. Section 60-4.3 and in construction subcontracts in excess of $10,000 necessary in whole or in part to the performance of nonconstruction Federal contracts and subcontracts covered under Executive Order 11246: STANDARD FEDERAL EQUAL-74PLOYMENT OPPORTUNITY CONSTRUCTION CONTRACT SPECIFICATIONS (EXECUTIVE ORDER 11246): (1) AS USED IN THESE SPECIFICATIONS: (a) "COVERED AREA" MEANS THE GEOGRAPHICAL AREA DESCRIBED IN THE SOLICITATION FRCM WHICH THIS CONTRACT RESULTED; (h) 'DIRECTOR" MEANS DIRECTOR, OFFICE OF FEDERAL CONTRACT COf'1PLIANCE PROGRAMS, UNITED STATES DEPARTMENT Cr LABOR, OR ANY PERSON TO WKIM THE DIRECTOR DELEGATES AW HORITY; (C) "EMPLOYER IDENTIFICATION NUIBER" MEANS THE FEDERAL SOCIAL SECURITY NUPIBER USED ON THE EMPLOYER'S QUARTERLY FEDERAL TAX RETURN, U.S. TRFASTJRY DEPA R'IMF.NT FORM 941. (d) "MINORITY" IMCLUDES: (i) BLACK (ALL PERSONS HAVING ORICI*TS IN ANY OF THE BLACK AFRICAN RACIAL GROUPS NOT OF HISPANIC ORIG,IN);, Page 14 (ii) HISPANIC (ALL PERSONS CF MEXICAN, PUERTO RICAN, CUBAN, CENTRAL OR SOUTH AMERICAN OR OTHER SPANISH CULTURE OR ORIGIN, -REGARDLESS OF RACE) j (iii) ASIAN AND PACIFIC ISLANDER (ALL PERSONS HAVING ORIGINS IN ANY OF THE ORIGINAL PEOPLE CF THE FAR EAST, SOUTHEAST AS IA, THE INDIAN SUBCONTINENT, OR THE PACIFIC ISLANDS); AND (iv) AMERICAN INDIAN OR ALASKAN NATIVE (ALL PERSONS HAVING ORIGINS IN ANY OF THE ORIGINAL PEOPLE OF NORTH AMERICA AND MAINTAINING IDENTIFIABLE TRIBAL AFFILIATIONS THROUGH MEMBERSHIP AND PARTICIPATION OR CC14MUN ITY I DENT IF ICAT ION) . (2) WHENEVER THE CONTRACTOR, OR ANY SUBCONTRACTOR AT ANY TIER, SUBCONTRACTS A PORTION OF THE WORK INVOLVING ANY CONSTRUCTION TRADE, IT SHALL PHYSICALLY INCLUDE IN EACH SUBCONTRACT IN EXCESS OF $10,000 THE PROVISIONS OF THESE SPECIFICATIONS AND THE NOTICE WHICH CONTAINS THE APPLICABLE GOALS FOR MINORITY AND FEMALE PARTICIPATION AND WHICH IS SET FORTH IN THE SOLICITATIONS FROM WHICH THIS CONTRACT RESULTED. (3) IF THE CONTRACTOR IS PARTICIPATING (PURSUANT TO 41 C.F.R. 60-4.5) IN A HOMETOWN PLAN APPROVED BY THE U.S. DEPARTMENT CF LABOR IN THE COVERED AREA, EITHER INDIVIDUALLY OR THROUGH AN ASSOCIATION, ITS AFFIRMATIVE ACTION OBLIGATIONS ON ALL WORK IN THE PLAN AREA (INCLUDING GOALS AND TIMETABLES) SHALL BE IN ACCORDANCE WITH THAT PLAN FOR THOSE TRADES WHICH HAVE UNIONS PARTICIPATING IN THE PLAN. CONTRACTORS MUST BE ABLE TO DEMONSTRATE THEIR PARTICIPATION IN AND CCMPLIANCE WITH THE PROVISIONS Cr ANY SUCH HOMETOWN PLAN. EACH CONTRACTOR OR SUBCONTRACTOR PARTICIPATING IN AN APPROVED PLAN IS INDIVIDUALLY REQUIRED TO COMPLY WITH ITS OBLIGATIONS UNDER THE EEO CLAUSE, AND TO MAKE A GOOD FAITH EFFORT TO ACHIEVE EACH GOAL UNDER THE PLAN IN EACH TRADE IN WHICH IT HAS EMPLOYEES. THE OVERALL GOOD FAITH PERFORIANCE BY OTHER CONTRACTORS OR SUBCONTRACTORS TOWARD A GOAL IN AN APPROVED PLAN DOES NOT EXCUSE ANY COVERED CONTRACTOR'S OR SUBCONTRACTOR'S FAILURE TO TAKE GOOD FAITH EFFORTS TO ACHIEVE THE PLAN GOALS AND TIMETABLES. (4) THE CONTRACTOR SHALL IMPLEMENT THE SPECIFIC AFFIRMATIVE ACTION STANDARDS PROVIDED IN PARAGRAPHS (7) (a) THROUGH (p) OF THESE SPECIFICATIONS. THE GOALS SET FORTH IN THE SOLICITATION FROM WHICH THIS CONTRACT RESULTED ARE EXPRESSED AS PERCENTAGES CF THE TOTAL, HOURS OF EMPLOYMENT AND TRAINING OF MINORITY AND FEMALE. UTILIZATION THE CONTRACTOR SHOULD REASONABLY BE ABLE TO ACHIEVE IN EACH CONSTRUCTION TRADE IN WHICH IT HAS EMPLOYEES IN THE COVERED AREA. COVERED CONSTRUCTION CONTRACTORS PERFORMING CONSTRUCTION WORK IN GEOGRAPHICAL AREAS WHERE THEY DO NOT HAVE A FEDERAL OR FEDERALLY ASSISTED CONSTRUCTION CONTRACT SHALL APPLY THE MINORITY AND FEMALE GOALS ESTABLISHED FOR THE GEOGRAPHICAL AREA WHERE THE. WORK IS BEING PERFORMED, GOALS ARE PUBLISHED PERIODICALLY IN THE FEDERAL REGISTER IN NOTICE FORM, AND SUCH NOTICES MAY BE OBTAINED FROM ANY OFFICE CF FEDERAL CONTRACT COMPLIANCE PROGRAM CFFICE OR FRCM FEDERAL PROCUREMENT CONTRACTING OFFICERS. THE CONTRACTOR IS EXPECTED TO MAKE SUBSTANTIALLY UNIFORM PROGRESS TOWARD ITS GOAL IN EACH CRAFT DURING THE PERIOD SPECIFIED. (5) NEITHER THE PROVISIONS CF ANY COLLECTIVE BARGAINING AGREEMENT, NOR THE FAILURE BY A UNION WITH WHOM THE CONTRACTOR HAS A COLLECTIVE BARGAINING AGREEMENT, TO REFER EITHER MINORITIES OR WaIEN SHALL EXCUSE THE CONTRACTOR'S OBLIGATIONS UNDER THESE SPECIFICATIONS, EXECUTIVE ORDER 11246, OR THE REGULATIONS PROMULGATED PURSUANT THERETO. Page 15 (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 MIST 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 -SITE SUPERVISORY PERSONNEL ARE AWARE OF AND CARRY OUT THE CONTRACTOR'S OBLIGATION TO MAINTAIN SUCH A WORKING ENVIRONMENT, WITH SPECIFIC ATTENTION TO MINORITY OR FEMALE INDIVIDUALS WORKING AT SUCH SITES OR IN SUCH FACILITIES. (b) ESTABLISH AND MAINTAIN A CURRENT LIST OF MINORITY AND FEMALE RECRUITMENT SOURCES, PROVIDE WRITTEN NOT IF ICAT ION 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 CF THE NAMES, ADDRESSES AND TELEPHONE NUMBERS CF EACH MINORITY AND FEMALE CFF-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-JOB 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 SHALL PROVIDE NOTICE OF THESE PROGRAMS TO THE SOURCES COMPILED UNDER (7)(b) ABOVE. Page 16 (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 OBLIGATIONSI BY INCLUDING IT IN ANY POLICY MANUAL AND COLLECTIVE BARGAINING AGREEMENT; BY PUBLICIZING IT IN THE COMPANY NEWSPAPER, ANNUAL REPORT, ETC.1 BY SPECIFIC REVIEW OF THE POLICY WITH ALL MANAGEMENT PERSONNEL AND WITH ALL MINORITY AND FEMALE EMPLOYEES AT LEAST ONCE A YEARr AND BY POSTING THE COMPANY EEO POLICY ON BULLETIN BOARDS ACCESSIBLE TO ALL EMPLOYEES AT EACH LOCATION WHERE CONSTRUCTION WORK IS PERFORMED. (g) REVIEW, AT LEAST ANNUALLY, THE COMPANY'S EEO POLICY AND AFFIRMATIVE ACTION OBLIGATIONS UNDER THESE SPECIFICATIONS WITH ALL EMPLOYEES HAVING ANY RESPONSIBILITY FOR HIRING, ASSIGNMENT, LAYOFF, TERMINATION OR OTHER EMPLOYMENT DECISIONS INCLUDING SPECIFIC REVIEW OF THESE ITEMS WITH ONSITE SUPERVISORY PERSONNEL SUCH AS SUPERINTENDENTS, GENERAL FOREMEN, ETC., PRIOR TO THE INITIATION OF. CONSTRUCTION WORK AT ANY JOB SITE. A WRITTEN RECORD SHALL BE MADE AND MAINTAINED IDENTIFYING THE TIME AND PLACE OF THESE MEETINGS, PERSONS ATTENDING, SUBJECT MATTER DISCUSSED, AND DISPOSITION OF THE SUBJECT !MATTER. (h) DISSEMINATE THE CONTRACTOR'S EEO POLICY EXTERNALLY BY INCLUDING IT IN ANY ADV ATISING IN THE NEWS MEDIA, SPECIFICALLY INCLUDING MINORITY AND FEMALE NEWS MEDIA, AND PROVIDING WRITTEN NOTIFICATION TO AND DISCUSSING THE CONTRACTOR'S EEO POLICY WITH OTHER CONTRACTORS AND SUBCONTRACTORS WITH WHOM THE CONTRACTOR DOES OR ANTICIPATES DOING BUSINESS. (i) DIRECT ITS. RECRUITMENT EFFORTS, BOTH ORAL AND WRITTEN, TO MINORITY, FEMALE AND C04MUNITY ORGANIZATIONS, TO SCHOOLS WITH MINORITY AND FE24ALE STUDENTS AND TO MINORITY AND FEMALE RECRUITMENT AND TRAINING ORGANIZATIONS SERVING THE CONTRACTOR'S RECRUITMENT AREA AND EMPLOYMENT NEEDS. NOT LATER THAN ONE MONTH PRIOR TO THE DATE FOR THE ACCEPTANCE OF APPLICATIONS FOR APPRENTICESHIP OR OTHER TRAINING BY ANY RECRUITMENT SOURCE, THE CONTRACTOR SHALL SEND WRITTEN NOTIFICATION TO ORGANIZATIONS SUCH AS THE ABOVE, DESCRIBING THE OPENINGS, SCREENING PROCEDURES, AND TESTS TO BE USED IN THE SELECTION PROCESS. (3) ENCOURAGE PRESENT MINORITY AND FEMALE EMPLOYEES TO RECRUIT OTHER MINORITY PERSONS AND WOMEN AND, WHERE REASONABLE, PROVIDE AFTER -SCHOOL, SUMMER AND VACATION EMPLOYMENT TO MINORITY AND FEMALE YOUTH BOTH ON THE SITE AND IN OTHER AREAS OF THE CONTRACTOR'S WORKFORCE. (k) VALIDATE ALL TESTS AND OTHER SELECTION REQUIREMENTS WHERE THERE IS AN OBLIGATION TO DO SO UNDER 41 C.F.R. PART 60-3. (1) CONDUCT, AT LEAST ANNUALLY, AN INVENTORY AND EVALUATION AT LEAST OF ALL MINORITY AND FEMALE PERSONNEL FOR PRCMOT IONAL OPPORTUNITIES AND ENCOURAGE THESE EMPLOYEES TO SEEK OR TO PREPARE FOR, THROUGH APPROPRIATE TRAINING, ETC., SUCH OPPORTUNITIES. Page 17 (m) ENSURE THAT SENIORITY PRACTICES, JOB CLASSIFICATIONS, WORK ASSIGNMENTS AND OTHER PERSONNEL PRACTICES, DO NOT HAVE A DISCRIMINATORY EFFECT BY CONTINUALLY MONITORING ALL PERSONNEL AND EMPLOYMENT RELATED ACTIVITIES TO ENSURE THAT THE EEO POLICY AND THE CONTRACTOR'S OBLIGATIONS UNDER THESE SPECIFICATIONS ARE BEING CARRIED OUT. (n) ENSURE THAT ALL FACILITIES AND COMPANY ACTIVITIES ARE NONSEGREGATED EXCEPT THAT SEPARATE OR SINGLE -USER TOILET AND NECESSARY CHANGING FACILITIES SHALL .BE PROVIDED TO ASSURE PRIVACY BETWEEN THE SEXES. (o) DOCUMENT AND MAINTAIN A RECORD OF ALL SOLICITATIONS OF OFFERS FOR SUBCONTRACTS FROM MINORITY AND FEMALE CONSTRUCTION CONTRACTORS AND SUPPLIERS, INCLUDING CIRCULATION OF SOLICITATIONS TO MINORITY AND FEMALE CONTRACTOR ASSOCIATIONS AND OTHER BUSINESS ASSOCIATIONS. (p) CONDUCT A REVIEW, AT LEAST ANNUALLY, OF ALL SUPERVISORS' ADHERENCE TO AND PERFORMANCE UNDER THE CONTRACTOR'S EEO POLICIES AND AFFIRMATIVE ACTION OBLIGATIONS. (8) CONTRACTORS ARE ENCOURAGED TO PARTICIPATE IN VOLUNTARY ASSOCIATIONS WHICH ASSIST IN FULFILLING ONE OR MORE OF THEIR AFFIRMATIVE ACTION OBLIGATIONS SET FORTH IN PARAGRAPHS (7) (a) THROUGH (p). THE EFFORTS OF A CONTRACTOR ASSOCIATION, JOINT CONTRACTOR -UNION, CONTRACTOR COMMUNITY, OR OTHER SIMILAR GROUP,% WHICH THE CONTRACTOR IS A MEMBER AND PARTICIPANT, MAY BE ASSERTED AS FULFILLING ANY ONE OR MORE OF ITS OBLIGATIONS UNDER (7) (a) THROUGH (p) OF THESE SPECIFICATIONS, PROVIDED THAT THE CONTRACTOR ACTIVELY PARTICIPATES IN THE GROUP, MAKES EVERY EFFORT TO ASSURE THAT THE GROUP HAS A POSITIVE IMPACT ON THE EMPLOYMENT OF MINORITIES AND WOMEN IN THE INDUSTRY, ENSURES THAT THE CONCRETE BENEFITS OF THE PROGRAM ARE REFLECTED IN THE CONTRACTOR'S MINORITY AND FEMALE WORKFORCE PARTICIPATION, 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 FUIFIL.L AN OBLIGATION SHALL NOT BE A DEFENSE FOR THE CONTRACTOR'S NONCOMPLIANCE. (9) A SINGLE GOAL FOR MINORITIES AND A S EPA RATE SINGLE GOAL FOR WOMEN HAVE BEEN ESTABLISHED. THE CONTRACTOR, HOWEVER, IS REQUIRED TO PROVIDE EQUAL EMPLOYMENT OPPORTUNITY AND'TO TAKE AFFIRMATIVE ACTION FOR ALL MINORITY GROUPS, BOTH MALE AND FEMALE, AND ALL WOMEN, BOTH MINORITY AND NON -MINORITY. CONSEQUENTLY, THE CONTRACTOR MAY BE IN VIOLATION OF THE EXECUTIVE ORDER IF A PARTICULAR GROUP IS EMPLOYED IN A SUBSTANTIALLY DISPARATE MANNER (FOR EXAMPLE, EVEN THOUGH THE CONTRACTOR HAS ACHIEVED ITS GOAL FOR WOMEN GENERALLY, THE CONTRACTOR MAY BE IN VIOLATION OF THE EXECUTIVE ORDER IF A SPECIFIC MINORITY GROUP OF WOMEN IS UNDERUTILIZED). (10) THE CONTRACTOR SHALL NOT USE THE GOALS AND TIMETABLES OR AFFIRMATIVE ACTION STANDARDS TO DISCRIMINATE AGAINST ANY PERSON BECAUSE OF RACE, COLOR, RELIGION, SEX, OR NATIONAL ORIGIN: ' (11) THE CONTRACTOR SHALL NOT ENTER INTO ANY SUBCONTRACT WITH ANY PERSON OR F IFM DEBARRED FROM GOVERNMENT CONTRACTS PURSUANT TO EXECUTIVE ORDER 11246. Page 18 (12) THE CONTRACTOR SHALL CARRY OUT SUCH SANCTIONS AND PENALTIES FOR VIOLATION OF THESE SPECIFICATIONS AND OF THE EQUAL OPPORTUNITY CLAUSE, INCLUDING SUSPENSION, TERMINATION AND CANCELLATION OF EXISTING SUBCONTRACTS AS MAY BE IMPOSED OR ORDERED PURSUANT TO EXECUTIVE ORDER 11246, AS AMENDED, AND ITS IMPLEMENTING REGULATIONS BY THE OFFICE OF FEDERAL CONTRACT COMPLIANCE PROGRAMS. ANY CONTRACTOR WHO FAILS TO CARRY OUT SUCH SANCTIONS AND PENAIa'IES SHALL BE IN VIOLATION OF THESE SPECIFICATIONS AND EXECUTIVE ORDER 11246, AS AMENDED. (13) THE CONTRACTOR, IN FULFILLING ITS OBLIGATIONS UNDER THESE SPECIFICATIONS, SHALL IMPLEMENT SPECIFIC AFFIRMATIVE ACTION STEPS, AT LEAST AS EXTENSIVE AS THOSE STANDARDS PRESCRIBED IN PARAGRAPH (7) OF THESE SPECIFICATIONS, SO AS TO ACHIEVE MAXIMUM RESULTS FROM. ITS EFFORTS TO ENSURE EQUAL EMPLOYMENT OPPORTUNITY. IF THE CONTRACTOR FAILS TO COMPLY WITH THE REQUIREMENTS OF THE EXECUTIVE ORDER, THE IMPLEMENTING REGULATIONS, OR THESE SPECIFICATIONS, THE DIRECTOR SHALL PROCEED IN ACCORDANCE WITH 41 C.F.R. 60-4.8. (14) THE CONTRACTOR SHALL DESIGNATE A RESPONSIBLE OFFICIAL TO MONITOR ALL EMPLOYMENT RELATED ACTIVITY TO ENSURE THAT THE COMPANY EEO POLICY IS BEING CARRIED OUT, TO SUBMIT REPORTS RELATING TO THE PROVISIONS HEREOF AS MAY BE REQUIRED BY THE GOVERNMENT AND TO KEEP RECORDS. RECORDS SHALL AT LEAST INCLUDE FOR EACH EMPLOYEE THE NAME, ADDRESS, 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, OR LABORER), DATES OF CHANGES IN STATUS, HOURS WORKED PER WEEK IN THE INDICATED TRADE, RATE OF PAY, AND LOCATIONS AT WHICH THE WORK WAS PERFORMED. RECORDS SHALL BE MAINTAINED IN AN EASILY UNDERSTANDABLE AND RETRIEVABLE FORK; HOWEVER, TO THE DEGREE THAT EXISTING RECORDS SATISFY THIS REQUIREMENT, CONTRACTORS SHALL NOT BE REQUIRED TO MAINTAIN SEPARATE RECORDS. (15) NOTHING HEREIN PROVIDED SHALL BE CONSTRUED AS A LIMITATION UPON THE APPLICATION OF OTHER LAWS WHICH ESTABLISH DIFFERENT STANDARDS OF COMPLIANCE OR UPON THE APPLICATION OF REQUIREMENTS FOR THE HIRING OF LOCAL OR OTHER AREA RESIDENTS (E.G., THOSE UNDER THE PUBLIC WORM EMPLOYMENT ACT OF 1977 AND THE COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM.) c. Notice. The Recipient hereby agrees that it will ensure that the notice set forth below shall be included in, and shall be a part of, all solicitations for offers and bids on all Federal and Federally assisted construction contracts or subcontracts in excess of $10,000 to be performed in geographical areas designated by the Director, Office of Federal Contract Compliance Programs of the Department of Labor at 41 C.F.R. Section 60-4.21 Page 19 NOTICE OF REQUIREZIENT FOR AFFIMIATIVE ACTION TO ENSURE. EQUAL TrPLOYMENT OPPORTUNITY (EXECUTIVE. ORDER 11246): (1) THE OFFEROR'S OR BIDDER'S ATTENTION IS CALLED TO THE "EQUAL OPPORTUNITY CLAUSE" AND THE "STANDARD FEDERAI, EQUAL n4PLOYMENT OPPORTUNITY CONSTRUCTION CONTRACT SPECIFICATIONS" SET FORTH HEREIN. (2) (a) THE GOALS AND TIMETABLES FOR MINORITY AND F RIALE PARTICIPATION, EXPRESSED IN PERCENTAGE TERMS FOR THE CONTRACTOR'S AGGREGATT WORKFORCE IN EACH TRADE ON ALL CONSTRUCTION WORK IN THE COVERED AREA, ARE AS FOLLOWS: TIMETABLES 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 ARE APPLICABLE TO ALL THE CONTRACTOR'S CONSTRUCTION WORK (WHETHER OR NOT IT IS FEDERAL OR FEDERALLY ASSISTED) PFRFORMED IN THE COVERED AREA. ZF THE CONTRACTOR PERFORMS CONSTRUCTION WORK IN A GEOGRAPHICAL AREA LOCATED OUTSIDE THE COVERED AREA, IT SHALL APPLY THE GOALS ESTABLISHED FOR SUCH GEOGRAPHICAL AREA WHERE THE WORK IS ACTUALLY PERFORMED. WITH REGARD TO THIS SECOND AREA, THE CONTRACTOR ALSO IS SUBJECT TO THE GOALS FOR BOTH ITS. FEDERALLY INVOLVED AND NONFEDERALLY INVOLVED CONSTRUCTION. -(b) THE CONTRACTOR'S COMPLIANCE WITH THE EXECUTIVE ORDER AND THE REGULATIONS IN 41 C.F.R. PART 60-4 SHALL BE BASED ON ITS IMPLEMENTATION OF THE EQUAL OPPORTUNITY CLAUSE, SPECIFIC AFFIRMATIVE ACTION OBLIGATIONS REQUIRED BY THE SPECIFICATIONS SET FORTH IN 41 C.F.R. 60-4.3(a), AND ITS EFFORTS TO MEET THE GOALS. THE HOURS OF MINORITY AND FEMALE EMPLOYMENT AND TRAINING MUST BE SUBSTANTIALLY UNIFOR4 THROUGHOUT THE LENGTH OF THE CONTRACT, AND IN EACH TRADE, AND THE CONTRACTOR SHALL MAKE A GOOD FAITH EFFORT TO EMPLOY MINORITIES AND WOMEN EVENLY ON EACH OF ITS PROJECTS. THE TRANSFER OF MINORITY OR FEMALE EMPLOYEES OR TRAINEES FROM CONTRACTOR TO CONTRACTOR OR FROM PROJECT TO PROJECT FOR THE SOLE PURPOSE OF MEETING THE CONTRACTOR'S GOALS SHALL BE A VIOLATION OF THE CONTRACT, THE EXECUTIVE ORDER, AND THE REGULATIONS in 41 C.F.R. PART 60-4. COMPLIANCE WITH THE GOALS WILL BE MEASURED AGAINST THE TOTAL WORK HOURS PERFORMED. (3) THE CONTRACTOR SHALL PROVIDE WRITTEN NOTIFICATION TO THE DIRECTOR OF THE OFFICE OF FEDERAL CONTRACT COMPLIANCE ,PROGRAMS WITHIN 10 WORKING DAYS OF AWARD OF ANY CONSTRUCTION SUBCONTRACT IN EXCESS OF $10, 000 AT ANY TIER FOR CONSTRUCTION WORK UNDER THE CONTRACT RESULTING FROM THIS SOLICITATION. THE NOTIFICATION SHALL LIST THE WOE, ADDRESS AND TELEPHONE NUMBER OF THE SUBCONTRACTOR; EMPLOYER IDENTIFICATION NUbIBER OF THE SUBCONTRACTOR; ESTRIATED 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. Page 20 (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) . d. Labor Provisions. Pursuant to regulations set forth at 29 C.F.R. Part 5 the following provisions shall be incorporated in all construction contracts of $2,000 let by the Recipient in carrying out the project. (1) MII31MUM WAGES. (a) ALL MECHANICS AND LABORERS EMPLOYED OR WORKING UPON THE SITE OF THE WORK, WILL BE PAID UNCONDITIONALLY AND NOT LESS OFTEN THAN ONCE A WEEK, AND WITHOUT SUBSEQUENT DEDUCTION OR REBATE ON ANY ACCOUNT (EXCEPT SUCH PAYROLL DEDUCTIONS AS ARE PERMITTED BY REGULATIONS ISSUED BY THE SECRETARY OF LABOR UNDER THE COPELAND ACT (29 C.F.R. PART 3)), THE FULL AMOUNTS DUE AT THE TIME OF PAYMENT COMPUTED AT WAGE RATES NOT LESS THAN THOSE CONTAINED IN THE WAGE DETERMINATION DECISION OF THE SECRETARY OF LABOR WHICH WAGE DETERMINATION DECISION IS ATTACHED HERETO AND MADE A PART HEREOF, REGARDLESS OF ANY CONTRACTUAL RELATIONSHIP WHICH MAY BE ALLEGED TO EXIST BETWEEN THE CONTRACTOR AND SUCH LABORERS AND MECHANICS; AND THE WAGE DETERMINATION DECISION SHALL 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 ANTICIPATED UNDER SECTION 1(b)(2) OF THE DAVIS-BACON ACT, 40 U.S.C.§ 276a(b)(2), 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) (1) (iv). ALSO FOR THE PURPOSE OF THIS CLAUSE, REGULAR CONTRIBUTIONS MADE OR COSTS INCURRED FOR MORE THAN A WEEKLY PERIOD UNDER PLANS, FUNDS, OR PROGRAMS, BUT COVERING THE PARTICULAR WEEKLY PERIOD, ARE DEEMED TO BE CONSTRUCTIVELY MADE OR INCURRED DURING SUCH WEEKLY PERIOD. (b)THE CONTRACTING OFFICER SHALL 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, SHALL BE CLASSIFIED OR RECLASSIFIED CONFORMABLY TO THE WAGE DETERMINATION, AND A REPORT OF THE ACTION TAKEN SHALL BE SENT BY THE DEPARTMENT OF TRANSPORTATION (DOT) TO THE SECRETARY OF LABOR. IN THE EVENT THE INTERESTED PARTIES CANNOT AGREE ON THE PROPER CLASSIFICATIONS OR RECLASSIFICATION 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 SHALL BE REFERRED TO THE SECRETARY OF LABOR FOR FINAL DETERMINATION. (c) THE CONTRACTING OFFICER SHALL 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 IS 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. Page 21 (d) 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 MET. THE SECRETARY OF LABOR MAY REQUIRE THE CONTRACTOR TO SET ASIDE IN A SEPARATE ACCOUNT ASSETS FOR THE MEETING OF OBLIGATIONS UNDER THE PLAN OR PROGRAM. (2) WITHHOLDING. DOT 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 CF FAILURE TO PAY ANY LABORER OR MECHANIC, INCLUDING ANY APPRENTICE OR TRAINEE, EMPLOYED OR WORKING ON THE SITE OF THE WORK, ALL OR PART CF 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 Cr ANY FURTHER PAYMENT, ADVANCE, OR GUARANTEE CF FUNDS UNTIL SUCH VIOLATIONS HAVE CEASED. (3) PAYROLL AND BASIC RECORDS. (a) PAYROLLS AND BASIC RECORDS RELATING THERETO WILL BE MAINTAINED DURING THE COURSE CF THE WORK AND PRESERVED,FOR A PERIOD OF THREE YEARS THEREAFTER FOR ALL LABORERS AND MECHANICS WORKING AT THE SITE CF THE WORK, IN THE CONSTRUCTION OR DEVELOPMENT OF THE PROJECT. SUCH RECORDS WILL CONTAIN THE NAME AND ADDRESS OF EACH SUCH EMPLOYEE, HIS CORRECT CLASSIFICATION, RATES OF PAY (INCLUDING RATES OF CONTRIBUTIONS OR COSTS ANTICIPATED OF THE TYPES DESCRIBED IN SECTION 1(b)(2) OF THE DAVIS-BACON ACT), DAILY AND WEEKLY NUMBER CF HOURS WORKED, DEDUCTIONS MADE AND ACTUAL WAGES PAID. WHENEVER THE SECRETARY OF LABOR HAS FOUND UNDER 29 C.F.R. 5.5(a)(1)(iV) THAT THE WAGES OF ANY LABORERS OR MECHANICS INCLUDE THE AMOUNT CF 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. (b) THE CONTRACTOR WILL SUBMIT WEEKLY A COPY OF ALL PAYROLLS TO THE RECIPIENT FOR TRANSMITTAL TO DOT. THE COPY SHALL BE ACCCMPANIED BY A STATEMENT SIGNED BY THE EMPLOYE R.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 CF LABOR (29 C.F.R. PART 3) AND THE FILING WITH THE INITIAL PAYROLL OR ANY SUBSEQUENT Page 22 r l PAYROLL OF A COPY OF ANY FINDINGS BY THE SECRETARY OF LABOR UNDER 29 C.F.R. 5.5(a)(1)(iv) SHALL SATISFY THIS REQUIREMENT. THE PRIME CONTRACTOR SHALL BE RESPONSIBLE FOR THE SUBMISSION OF COPIES OF PAYROLLS OF ALL SUBCONTRACTORS. THE CONTRACTOR WILL MAKE THE RECORDS REQUIRED UNDER THE LABOR STANDARDS CLAUSES OF THE CONTRACT AVAILABLE FOR INSPECTION BY AUTHORIZED REPRESENTATIVES OF DOT AND THE DEPARTMENT OF LABOR, AND WILL PERMIT SUCH REPRESENTATIVES TO INTERVIEW EMPLOYEES DURING WORKING HOURS ON THE JOB. CONTRACTORS EMPLOYING APPRENTICES OR TRAINEES UNDER APPROVED PROGRAMS SHALL INCLUDE A NOTATION ON THE FIRST WEEKLY CERTIFIED PAYROLLS SUBMITTED TO THE CONTRACTING AGENCIES THAT THEIR EMPLOYMENT IS PURSUANT TO AN APPROVED PROGRAM AND SHALL IDENTIFY THE PROGRAM. (4) APPRENTICES AND TRAINEES. (a) APPRENTICES. APPRENTICES WILL BE PERMITTED TO WORK AT LESS THAN THE PREDETERMINED RATE FOR THE WORK THEY -PERFORMED WHEN THEY ARE EMPLOYED AND INDIVIDUALLY REGISTERED IN A BONA FIDE APPRENTICESHIP PROGRAM REGISTERED WITH THE U.S. DEPARTMENT OF LABOR, EMPLOYMENT AND TRAINING ADMINISTRATION, BUREAU OF APPRENTICESHIP AND TRAINING, OR WITH A STATE APPRENTICESHIP AGENCY RECOGNIZED BY THE BUREAU, OR IF A PERSON IS EMPLOYED IN HIS 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 AN APPRENTICE WAGE RATE, WHO IS NOT A TRAINEE AS DEFINED IN SUBDIVISION (b) OF THIS 'SUBPARAGRAPH OR IS NOT REGISTERED OR OTHERWISE EMPLOYED AS STATED ABOVE, SHALL BE PAID THE WAGE RATE DETERMINED BY THE SECRETARY OF LABOR FOR THE CLASSIFICATION OF WORK HE ACTUALLY PERFORMED. THE CONTRACTOR OR SUBCONTRACTOR WILL BE REQUIRED TO FURNISH TO THE CONTRACTING OFFICER OR A REPRESENTATIVE OF THE WAGE -HOUR DIVISION OF THE U.S. DEPARTMENT OF LABOR WRITTEN EVIDENCE OF THE REGISTRATION OF HIS PROGRAM AND APPRENTICES AS WELL AS THE APPROPRIATE RATIOS AND WAGE RATES (EXPRESSED IN PERCENTAGES OF THE JOURNEYMEN 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, Page 23 BY THE U.S. DEPARTMENT OF LABOR, EMPLOYMENT 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 SHALL 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 CFFICER OR A REPRESENTATIVE OF THE WAGE -HOUR DIVISION OF THE U.S. DEPARTMENT OF LABOR WRITTEN EVIDENCE CF THE CERTIFICATION CF HIS PROGRAM, THE REGISTRATION CF THE TRAINEES, AND THE RATIOS AND WAGE RATES PRESCRIBED IN THAT PROGRAM. IN THE EVENT THE BUREAU OF APPRENTICESHIP AND TRAINING WITHDRAWS APPROVAL CF A TRAINING PROGRAM, THE CONTRACTOR WILL NO LONGER BE PERMITTED TO UTILIZE TRAINEES AT LESS THAN THE APPLICABLE PREDETERMINED RATE FOR THE WORK PERFORMED UNTIL AN ACCEPTABLE PROGRAM IS APPROVED. (c) EQUAL EMPLOYMENT OPPORTUNITY. THE UTILIZATION OF APPRENTICES, TRAINEES AND JOURNEYMEN UNDER THIS PART SHALL BE IN CONFORMITY WITH THE EQUAL EMPLOYMENT OPPORTUNITY REQUIREMENTS CF EXECUTIVE ORDER 11246, AS AMENDED, AND 29 C.F.R. PART 30. (5) COMPLIANCE WITH COPELAND REGULATIONS (29 C.F.R. PART 3), THE CONTRACTOR SHALL COMPLY WITH THE COPELAND REGULATIONS (29 C.F.R. PART 3) OF THE SECRETARY CF LABOR WHICH ARE HEREIN INCORPORATED BY REFERENCE. (6) CONTRACT TERMINATION; DEBARMENT. A BREACH CF CLAUSES (1) THROUGH (9) AND (14) MAY BE GROUNDS FOR TERMINATION OF THE CONTRACT, AND FOR DEBARMENT AS PROVIDED IN 29 C.F.R. 5.6. (7) OVERTIME REQUIREMENTS. NO CONTRACTOR OR SUBCONTRACTOR CONTRACTING FOR ANY PART OF THE CONTRACT WORK WHICH MAY REQUIRE OR INVOLVE THE EMPLOYMENT CF LABORERS OR MECHANICS SHALL 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 CF FORTY HOURS IN SUCH WORKWEEK UNLESS SUCH LABORER OR MECHANIC RECEIVES COMPENSATION AT A RATE NOT LESS THAN ONE AND ONE-HALF TIMES HIS BASIC RATE OF PAY FOR ALL HOURS WORKED IN EXCESS OF EIGHT HOURS IN ANY CALENDAR DAY OR IN EXCESS OF FORTY HOURS IN SUCH WORKWEEK, AS THE CASE MAY BE, Page 24 (8) VIOLATION: LIABILITY FOR UNPAID WAGES: LIQUIDATED DAMAGES. IN THE EVENT OF ANY VIOLATION OF THE CLAUSE SET FORTH IN SUBPARAGRAPH (7), THE CONTRACTOR AND ANY SUBCONTRACTOR RESPONSIBLE THEREFOR SHALL BE LIABLE TO ANY AFFECTED EMPLOYEE FOR HIS UNPAID WAGES. IN ADDITION, SUCH CONTRACTOR AND SUBCONTRACTOR SHALL BE LIABLE TO THE UNITED STATES (IN THE CASE OF WORK DONE UNDER CONTRACT FOR THE DISTRICT CF COLUMBIA OR A TERRITORY, TO SUCH DISTRICT OR TO SUCH TERRITORY), FOR LIQUIDATED DAMAGES. SUCH LIQUIDATED DAMAGES SHALL BE CCMPUTED WITH RESPECT TO EACH INDIVIDUAL LABORER OR MECHANIC EMPLOYED 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 CF EIGHT HOURS OR IN EXCESS CF THE STANDARD WORKWEEK OF FORTY HOURS WITHOUT PAYMENT CF THE OVERTIME WAGES REQUIRED BY THE CLAUSE SET FORTH IN SUBPARAGRAPH (7). (9) WITHHOLDING FOR LIQUIDATED DAMAGES. DOT MAY WITHHOLD OR CAUSE TO BE WITHHELD, FROM ANY MONEYS PAYABLE ON ACCOUNT OF WORK PERFORMED BY THE CONTRACTOR OR SUBCONTRACTOR, SUCH SUMS AS MAY A10MINISTRATIVELY BE DETERMINED TO BE NECESSARY TO SATISFY ANY LIABILITIES OF SUCH CONTRACTOR OR SUBCONTRACTOR FOR UNPAID WAGES AND LIQUIDATED DAMAGES AS PROVIDED IN THE CLAUSE SET FORTH IN SUBPARAGRAPH (8). (10) FINAL LABOR SUMMARY, THE CONTRACTOR AND EACH SUBCONTRACTOR SHALL FURNISH TO THE RECIPIENT, UPON THE CCMPLETION OF THE CONTRACT, A SUMMARY OF ALL EMPLOYMENT, INDICATING, FOR THE COMPLETED PROJECT, THE TOTAL HOURS WORKED AND THE TOTAL AMOUNT EARNED. (11) FINAL CERTIFICATION. UPON CCMPLETION 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 Page 25 (12) NOTICE TO THE RECIPIENT OF LABOR DISPUTES. WHENEVER THE CONTRACTOR HAS ACKNOWLEDGED 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 INFORMATION WITH RESPECT THERETO, TO THE RECIPIENT. , (13) DISPUTES CLAUSE. (a) ALL DISPUTES CONCERNING THE PAYMENT OF PREVAILING WAGE RATES OR CLASSIFICATIONS SHALL BE PROMPTLY REPORTED TO 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, SHALL BE FINAL. (b) ALL QUESTIONS RELATING TO THE APPLICATION OR INTERPRETATION OF THE COPELAND ACT, 40 U.S.C. § 276c, THE CONTRACT WORK HOURS AND SAFETY STANDARDS ACT, 40 U.S.C. §§ 327-333, THE DAVIS-BACON ACT, 40 U.S.C. § 276a, OR SECTION 13 OF THE URBAN MASS TRANSPORTATION ACT, 49 U.S.C. § 1609, SHALL BE SENT TO + .UMTA FOR REFERRAL TO THE SECRETARY OF LABOR FOR RULING OR INTERPRETATION, AND SUCH RULING OR INTERPRETATION SHALL BE FINAL. (14) INSERTION IN SUBCONTRACTS. THE CONTRACTOR SHALL INSERT IN ANY SUBCONTRACTS THE CLAUSES SET FORTH IN SUBSECTIONS (1) THROUGH (14) OF THIS SECTION AND ALSO A CLAUSE REQUIRING THE SUBCONTRACTORS TO INCLUDE THESE CLAUSES IN ANY LOWER TIER SUBCONTRACTS WHICH THEY MAY ENTER INTO, TOGETHER WITH A CLAUSE REQUIRING THIS INSERTION IN ANY FURTHER SUBCONTRACTS THAT MAY IN TURN BE MADE AND SUCH OTHER CLAUSES AS THE GOVERNMENT MAY BY APPROPRIATE INSTRUCTIONS REQUIRE. e. Contract Security. The Recipient shall, follow the requirements of OMB Circular A-102, as amended, or A-110, as may be appropriate, and Federal (UMTA) guidelines with regard to bid guarantees and bo ndi ng r equi r ep ents . f. Insurance During Construction. The Recipient shall at a minimum, follow the insurance requirements normally required by their State and local Gov er nm ent . g. Signs. The Recipient shall cause to be erected at the site of construction, and maintained during construction, signs satisfactory to the Department of Transportation identifying the Project and indicting that the Government is pa rti ci pa ti ng in the d ev el opm ent of the Project. h. Safety Standards. Pursuant to section 107 of the Contract Work Hours and Safety Standards Act and Department of Labor Regulations at 29 C.F.R. § 1926, no laborer or mechanic working on a construction contract shall be required to work in surroundings or under working conditions 'which are unsanitary, hazardous, or dangerous to his or her health and safety as determined under construction and health standards promulgated by the Secretary of Labor. i. Liquidated Damages Provision. The Recipient shall include in all contracts for construction a clause providing for liquidated damages, where appropriate. Liquidated damages clauses are appropriate if the parties may reasonably expect to suffer damages (increased costs on the project involved) from the late completion of the construction and the ettent or amount of such damages would be difficult or impossible to discuss. The assessment for damag es shall b e at a sp eci fi ed rat e p er day for each day of ov errun i n Page 26 t contract time] and the rate must be specified in the third party contract. Any liquidated damages recovered shall be credited to the Project account involved unless the Government permits otherwise. Section 111. Environmental, Resource, and Energy Protection and Conservation Requirements. a. Compliance with Environmental Standards. The Recipient shall comply with the provisions of the Clean Air Act, as amended (42 U.S.C. § 1857 et seq.), the Federal Water Pollution Control Act, as amended (33 U.S.C. § 1251 et seq.), and implementing regulations, in the facilities 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 will be utilized in the accomplishment of the Project are not listed on the Environmental Protection Agency's (EPA) List of Violating Facilities. Contracts, subcontracts, and subgrants of amounts in excess of $100,000 shall contain a provision which requires compliance with all applicable standards, orders, or requirements issued 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), Executive Order No. 11738, EPA regulations (40 C.F.R. Part 15). The Recipient and any third -party contractor thereof shall be responsible for reporting any violations to the Government (UMTA) and to the EPA Assistant Administrator for Enforcement. In addition, the Recipient shall notify UMTA of the receipt of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be utilized in the Project is under consideration for listing by EPA. b. Air Pollution. No facilities or equipment shall be acquired, constructed, or improved as a part of the Project unless.the Recipient obtains satisfactory assurances that they are (or will be) designed and equipped to limit air pollution as provided in accordance with the External Operating Manual and 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 concurrence of the Department of Transportation. d. Historic Preservation. The Recipient shall assist the Government (UMTA) in its compliance with section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. 470), Executive Order No. 11593, and the Archeological and Historic Preservation Act of 1966 (16 U.S.C. § 469a-1 et seq.) by: (1) 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 the Government (UMTA) of the existence of any such properties) and Page 27 (2) Complying with all requirements establi sh e3 by the Government to avoid or mitigate 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 compliance with the Energy Policy and Conservation Act (42 U.S.C. § 6321 et seg.). Section 112. Patent Rights. a. In all third party contracts at any tier with any small business firm, non-profit organization, or university, the patent rights clause of Office of Management and Budget (CMB) Circular A-124, Attachment A, dated February 10, 1982, (implementing the Patent and Trademark Amendments of 1980, 35 U.S.C. § 200 et seq.) will be applicable, when the purpose of its participation is to perform ecperimental, development, or research work. b. In thi rd pa rty contracts at a ny ti er wi th a ny oth er pa rty ( ecc ept a smal l business firm, non-profit organization, or university), the Recipient shall acquire for the Government those rights that would be due to the Government as set forth in the Patent Rights clause - Acquisition by the Government, at 41 C.F.R. 1-9.107-5(a). c. Any deviations from the requirements of this section 112 must be approved in writi ng by the S ecr eta ry or, if appropriate, by his designee. Section 113. Rights in Data. a. The term "subject data" as used herein means recorded information, whether or not copyrighted, that is deliverers or specified to be delivered under this Agreement. The term includes graphic or pictorial delineations in media such as drawings or photographs i text in specifications or r elat e3 performance or design -type documentsi machine forms such as punched,cards, magnetic tape, or computer memory printouts; and information retained in computer memory. Examples include, but are not limited to, engineering drawings and associated lists, specifications, standards, process sheets, manuals, technical reports, catalog item identifications, and related information. The term does not include financial reports, cost analyses, and similar information incidental to contract administration. b. All "subject data" first produced in the performance of this Agreement shall be the sole property of the Government. The Recipient agrees not to assert any rights at common law or equity and not to establish any claim to statutory copyright in such data. Except for its own i nt ernal use, the Recipient shall not publish or reproduce such data in whole or in part, or in any manner or form, nor authorize others to do so, without the written consent of the Government until such time as the Government may have released such data to the public; this restriction, however, does not apply to Agreements with Academic Institutions. c. The Recipient agrees to grant and does hereby grant to the Government and to its officers, agents, and employees acting within the scope of their official duties, a royalty -free, nonexclusive, and irrevocable license throughout the world: Page 28 (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 p erfo rma nc a of this Agreement but which is incorporated in the work furnished under this Agreement; and (2) To authorize others so to do. d. The Recipient shall indemnify and save and hold harmless the Government, its officers, agents, and employees acting within the scope of their official duties against any liability, including costs and expenses, resulting from any willful or intentional violation by the Recipient of proprietary rights, copyrights, or rights of privacy, arising out of the publication, translation, t reproduction, delivery, performance, use, or disposition of any data furnished under this Agreement. e. Nothing contained in this clause shall imply a li c ens a to the Government under any patent or be construed as affecting the scope of any license or other right oth erwi s e granted to the Government under any patent. f. Sections 113.c. and d. above are not applicable to material furnished to the Recipient by the Government and incorporated in the work furni sh ed under th a contract; provid ed that .such i ncorporat ed mat eri al i s identi fi ed by th e Recipient at the time of delivery of such work. g. In the event that the Project, which is the subject of this Agreement, is not completed, for any reason whatsoever, all data generated under that Project shall become subject data as defined in the Rights in Data clause in this Agreement and shall be delivered as the Government may direct. This clause shall be included in all third -party contracts under the Project. Section 114. Cargo Preference- Use of United States -Flag Vessels. a. 46 U.S.C. § 1241 providers in pertinent part as follows: (b) (1) Whenever the United States shall procure, contract for, or otherwise obtain for its own account, or shall furnish to or for the account of any foreign nation without provision for reimbursement, any equipment, materials, or commodities, within or without the United States, or shall advance funds or credits or guarantee the convertibility of for_ eign currencies in connection with the furnishing of such equipment, materials, or commodities, the appropriate agency or agencies shall take such steps as may be necessary and practicable to assure that at least 50 per c entum of the gross tonnage of such equipment, materials, or commodities (computed separately for dry bulk carriers, dry cargo liners, and tankers), which may be transported on privately owned United States flag commercial vessels, to the extent such vessels are available at fair and reasonable rates for United States -flag commercial vessels, in such manner as will insure a fair and reasonable participation of United States -flag commercial vessels in such cargoes by geographic areas: (2) Every department or agency having responsibility under this subsection shall administer its programs with respect to this subsection under regulations issued by the S ecr eta ry of Commerce .. . Page 29 b. Pursuant to regulations publi sh ed by the S ecr eta ry of Commerce at 46 C.F.R. Part 381, the Recipient agrees to insert the following clauses in all contracts let by the Recipi ent under which equipment, materials or commoditi es may be transported by ocean vessel in carrying out the Project: THE CONTRACTOR AGREES -- (1) TO UTILIZE PRIVATELY OWNED UNITED STATES FLAG COMMERCIAL VESSELS TO SHIP AT LEAST 50 PERCENT CF 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 UNITES STATES FLAG COMMERCIAL VESSELS. y (2) TO FURNISH WITHIN 30 DAYS FOLLOWING THE DATE OF LOADING FOR SHIPMENTS ORIGINATING WITHIN THE UNITED STATES, OR WITHIN 30 WORKING DAYS FOLLOWING THE DATE OF LOADING FOR SHIPMENT ORIGINATING OUTSIDE THE UNITED STATES, A LEGIBLE COPY OF A RATED, "ON -BOARD" COMMERCIAL OCEAN BILL -OF -LADING IN ENGLISH FOR EACH SHIPMENT OF CARGO DESCRIBED IN PARAGRAPH (1) ABOVE TO THE RECIPIENT (THROUGH THE PRIME CONTRACTOR IN THE CASE CF SUBCONTRACTOR BILLS -OF -LADING) AND TO THE DIVISION CF NATIONAL CARGO, OFFICE OF MARKET DEVELOPMENT, MARITIME ADMINISTRATION, 400 SEVENTH STREET, S.W., WASHINGTON, D.C. 20590, MARKED WITH APPROPRIATE IDENTIFICATION CF 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. a. Pursuant to section 401 of the Surface Transportation Assistance Act of 1976, 49 U.S.C. §1602, note, and regulations published at 49 C .F . R. Part 660, the Recipient agrees that i f . the total cost of this Project or any amendment thereto exceeds $500,000, and if funds therefor are obligated by the Government after November 6, 1978, the Recipient shall require with respect to any third party contract thereunder that exceeds $500,000 that only such unmanufactured articles, materials, 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 th es a provisions is granted. b. Upon written request to the Secretary, the Recipient may request a waiver of the above provisions. Such waiver may be granted if the Secretary d et ermi nes: (1) Their application would be inconsistent with the public interestt (2) In the case of acquisition of rolling stock, their application would result in unreasonable 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 tax revenues)i Page 30 (3) Supplies of the class or kind to be used in the manufacture of articles, materials, or supplies are not mined, produced, or manufactured in the United States in suffici ent and reasonably available quantiti es and of a satisfactory qualityi 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 service, except as provided under section 3(f) of the Urban Mass Transportation Act of 1964, as amended, 49 U.S.C. § 1602(f), and regulations pertaining to Charter Bus Operations, set forth at 49 C.F.R. Part 604 and any amendments that may be issued. Any agreement entered into under these regulations is incorporated into this Agreement by referenced. b. School Bus. The Recipient, or any operator of mass transportation acting on its behalf, shall not engage in school bus operations, ecclusively for the transportation of students or school personnel, in competition with private school bus operators, except as provided under section 3(g) of the Urban Mass Transportation Act of 1964, as amended, 49 U.S.C. § 1602(g) and regulations pertaining to School Bus Operations, set forth at 49 C.F.R. Part 605 and any amendments thereto that may be issued. _ Any agreement entered into under these regulations is incorporated into this Agreement by reference. Section 117. Nondiscrimination on the Basis of Handicap. The Recipient shall insure that all fixed facility construction or alteration and all new equipment included in the Project comply with applicable regulations regarding No ndi sc ri mi nation on the Basis of Ha ndi cap in Programs and Acti vi ti es Receiving or Benefitting from Federal Financial Assistance, set forth at 49 C.F.R. Part 27, and any amendments thereto. Section 118. Flood Hazards. The Recipient shall comply with the flood • insurance purchase requirements with respect to construction or'acquisition purposes, of section 102 (a) of the Flood Di sast er Protection Act of 1973, 42 U.S.C. § 4012(a). Section 119. Privacy. Should the Recipient, its third party contractors or its employees administer any system of records on behalf of the Federal Goverment, the following terms and conditions are applicable: Page 31 a. The Recipi ent agrees: (1) To comply with the Privacy Act of 1974, 5 U.S.C. § 552a (the Act) and the rules and regulations issued pursuant to the Act when performance under the contract involves the design, development, or operation of any system of •- r ecords on individuals to be operated by the Recipient, its contractors or employees to accomplish a Government function; (2) To notify the Gov ernm ent when the Reci pi ent anticipates op erati ng a system of records on behalf of the Government in order to accomplish the requirements of this Agreement, if such system contains information about individuals which information will be retrieved by the individdal's name or other identifier assigned to the individual. A system of records subject to the Act may not be employers in the performance of this Agreement until the necessary approval and publication requirements applicable to the system have been carried out. The Recipient agrees to correct, maintain, Aisseminate, and use such records in accordance with the requirements of the Act, and to comply with all applicable requirements of the Act; (3) To include the Privacy Act Notification contained in this Agreement in every third party contract solicitation and in every third party contract when the performance of work under the proposed third party contract may involve the design, development, or operation of a system of records on individuals that is to be operated under the contract to accomplish a Government functions and (4) To include this clause, i ncludi ng 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 Gov er nm ent. b. For purposes of the Privacy Act, when the Agreement involves the operation of a system of records on individuals to accomplish a Government function, the Recipient, third party contractors and any of their employees is considered to be an employee of the Government with respect to the Government function and the requirements of the Act, i ncludi ng the civil and criminal penalties for violations of the Act, are applicable except that the criminal penalties shall not apply with regard to contracts effective prior to September 27, 1975. In addition, ,failure to comply with the provisions of the Act or of this clause wi l l make this Agreement subject to t ermi nation. c. The terms used in this clause have the following meanings: (1) "Operation of a system of records" means performance of any of the activities associated with maintaining the system of records on behalf of the Government including the collection, use and dissemination of records. Page 32 . U.&GOV"NMENT PRINTING OFFICE: 1982-361-428/2236