HomeMy WebLinkAboutResolution - 3641 - Contract - TDHPT - #511-XXF-6032, Capital Assistance - 06_13_1991Resolution No. 3641
June 13, 1991
RESOLUTION
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK:
THAT the Mayor of the City of Lubbock BE and is hereby
authorized and directed to execute for and on behalf of the City of
Lubbock a Transportation Contract (being numbered Contract 511-XXF-
6032) to be entered into by and between the City of Lubbock and the
Texas State Department of Highways and Public Transportation,
attached herewith, which shall be spread upon the minutes of the
Council and as spread upon the minutes of this Council shall
constitute and be a part of this Resolution as if fully copied
herein in detail.
Passed by the City Council this
AT'r.�EST :
4�n c :-, Rai d, City Se tart'
APP OVEC AS TO CONTENT:
Larry i Hoffman/ Director of
Transportation
APP�OVED AS TO FORM:
J Worth Fullingim, Assista;.:
City Attorney
13th day of
June
, 1991.
'B. C. McMINN, MAYOR
Resolution No. 3641
June 13, 1991
Item, #24
CONTRACTOR: City of Lubbock
STATE PROJECT NUMBER: LMT-0901(005)
STATE CONTRACT NUMBER: 511XXF6032
LOCAL MATCH FOR TRANSIT PROVIDERS
(LMT) GRANT PROGRAM CONTRACT
THE STATE OF TEXAS §
THE COUNTY OF TRAVIS §
THIS CONTRACT is made by and between the State of Texas, acting
by and through the State Department of Highways and Public
Transportation, hereinafter called the State, and the City of
Lubbock, P.O. BOX 2000, Lubbock, TX 79457 hereinafter called the
Contractor.
W I T N E S S E T H
WHEREAS, the State Department of Highways and Public
Transportation has been designated as the Supervising Agency for
the Local Match for Transit Providers (LMT) program by the Office
of the Governor, consistent with Texas Civil Statutes, Article
4413(56), Oil Overcharge Restitutionary Act; and,
WHEREAS, the State is authorized under Article 6663b, V.T.C.S.,
to assist the Contractor in procuring aid for the purpose of
establishing and maintaining public and mass transportation
projects, hereinafter called the Project; and
WHEREAS, the State Highway and Public Transportation Commission
passed Commission Minute Order No. 91559 authorizing the State to
enter into the necessary agreements with the Contractor for
funding public transportation projects for the Local Match for
Transit (LMT) Providers Program; and
WHEREAS, the Contractor has been approved to receive funds from
these programs through the State;
NOW, THEREFORE, in consideration of the premises and of the
mutual covenants hereinafter set forth, the parties hereby agree
as follows.
Rev. 07/90 PAGE 1 OF 19
CONTRACTOR: City of Lubbock
STATE PROJECT NUMBER: LMT-0901(005)
STATE CONTRACT NUMBER: 511XXF6032
A G R E E M E N T
ARTICLE 1. CONTRACT PERIOD
This contract becomes effective on the final date of execution by
the State's Director, Public Transportation and shall terminate
on August 31, 1992 unless otherwise terminated or modified as
hereinafter provided. Termination of the Contract shall not
release the Contractor from the property management standards
outlined in Article 9 below.
ARTICLE 2. PROJECT DESCRIPTION
The Contractor shall undertake the public transportation project
as described in Attachment A and in accordance with the terms and
conditions of this Contract. Further, the Contractor shall
comply with the provisions of the Uniform Grant and Contract
Management Standards prepared in response to the Uniform Grant
and Contract Management Act of 1981.
The Contractor shall commence, carry on and complete the Project
with all practicable dispatch, in a sound, economical and
efficient manner in accordance with the provisions of Attachment
A.
ARTICLE 3. COMPENSATION
A. The maximum amount payable under this Contract without
modification is $396,000. The State will reimburse the
Contractor for the authorized costs incurred in carrying out
this project which are further described in the budget
contained in Attachment A. The State's payment to the
Contractor is contingent upon the availability of Federal
and/or State appropriated funds. The State shall have no
liability for any claim submitted by the Contractor or its
subcontractors, vendors, manufacturers or suppliers if
sufficient Federal or State funds are not available to pay
the Contractor's claims.
B. To be eligible for reimbursement under this Contract, a cost
must be incurred within the contract period specified in
Article 1 above and be included in the project budget
contained in Attachment A.
C. Payment of costs incurred under this Contract is further
governed by cost principles outlined in applicable Federal
Rev. 07/90 PAGE 2 OF 19
CONTRACTOR: City of Lubbock
STATE PROJECT NUMBER: LMT-0901(005)
STATE CONTRACT NUMBER: 511XXF6032
Office of Management and Budget (OMB) publications as
follows:
State or Local Governments OMB Circular A-87
Nonprofit Organizations OMB Circular A-122
Colleges, Universities,
Educational Institutions OMB Circular A-21
D. Costs claimed by the Contractor shall be actual net costs,
that is, the price paid minus any refunds, rebates or other
items or value received by the Contractor that have the
effect of reducing the cost actually incurred. In
particular, fares and other passenger revenues shall be so
identified on the Contractor's billing to the State.
E. All major items or equipment, as described in the capital
budget in Attachment A, shall be included in this contract
as direct costs. The Contractor hereby certifies that items
of equipment included in direct costs have been excluded
from the indirect costs.
F. Requests for payment are to be submitted to the State no
more frequently than on a monthly basis, except as noted
below, on invoice statements acceptable to the State.
Additional documentation to support all costs incurred
during the billing period may be required at the discretion
of the State. As a minimum, each billing must be
accompanied by a summary by budget line item which indicates
the total amount authorized for each line item, previous
expenditures, current period expenditures and the balance
remaining in the line item. The original invoice with
required documentation is to be submitted to the following
address:
Mr. William M. Pope, P. E.
District Engineer
State Department of Highways
and Public Transportation
P. O. Box 771
Lubbock, TX 79408-0771
G. The State will make payment within thirty days of the
receipt of properly prepared and documented requests for
payment.
H. The Contractor will submit a final billing within forty-five
days of the contract termination date specified in Article 1
above.
Rev. 07/90 PAGE 3 OF 19
CONTRACTOR: City of Lubbock
STATE PROJECT NUMBER: LMT-0901(005)
STATE CONTRACT NUMBER: 511XXF6032
I. The Contractor shall make payments promptly to all
subcontractors and suppliers. Failure to do so will be
grounds for termination of this Contract by the State. The
State shall not be responsible for the debts of the
Contractor.
ARTICLE 4. CONTRACT AMENDMENTS
Changes in the scope, objectives, cost or duration of the
Project authorized herein shall be enacted by written amendment
approved before additional work may be performed or additional
costs incurred. Any amendment so approved must be executed by
both parties within the Contract period as specified in Article
1.
ARTICLE 5. SUBCONTRACTS
Any subcontract for professional services rendered by individuals
or organizations not a part of the Contractor's organization
shall not be executed without prior authorization and approval of
the subcontract by the State. Subcontracts in excess of $10,000
shall contain all required provisions of this Contract. No
subcontract will relieve the Contractor of its responsibility
under this Contract.
ARTICLE 6. RECORDS AND AUDITS
A. The Contractor agrees to maintain financial records,
supporting documents, statistical records and all other
records pertinent to this Contract.
B. The Engineer -Director of the State Department of Highways
and Public Transportation, the Texas State Auditor or any of
their duly authorized representatives shall have access to
the records described in Paragraph A above at all reasonable
times during the contract period and for the period set
forth in Paragraph C below for the purpose of making audits,
examinations, excerpts and transcripts.
C. Financial records, supporting documents, statistical records
and all other records pertinent to the Contract shall be
retained for a period of three years from final payment,
with the following qualifications:
(1) If any litigation, claim or audit is started before
the expiration of the three-year period, the records
Rev. 07/90 PAGE 4 OF 19
CONTRACTOR: City of Lubbock
STATE PROJECT NUMBER: LMT-0901(005)
STATE CONTRACT NUMBER: 511XXF6032
shall be retained until all litigations, claims or
audit findings involving the records have been
resolved.
(2) Records for nonexpendable property acquired in whole or
in part with State funds shall be retained for three
years after its final disposition.
(3) When records are transferred to or maintained by the
State sponsoring agency, the three-year retention
requirement is not applicable to the Contractor.
D. The Contractor further agrees to include these provisions in
each negotiated subcontract.
E. Contractor audit procedures shall meet or exceed the single
audit report requirements outlined in Office of Management
and Budget (OMB) publications as follows:
State or Local Governments OMB Circular A-128
Institutions of Higher OMB Circular A-133
Education and Other
Nonprofit Organizations
ARTICLE 7. FINANCIAL MANAGEMENT SYSTEMS
The Contractor's financial management system shall meet or exceed
the requirements of the "Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local Governments"
(49 CFR 18). Those requirements include, but are not limited to:
A. Accurate, current and complete disclosure of the financial
results of each grant program in accordance with State
reporting requirements.
B. Records which identify adequately the source and application
of funds for grant -supported activities. These records
shall contain information pertaining to grant awards and
authorization, obligations, commitments, assets,
liabilities, outlays and income.
C. Effective control over and accountability for all funds
property and other assets. The Contractor shall adequately
safeguard all such assets and shall assure that they are
used solely for authorized purposes.
Rev. 07/90 PAGE 5 OF 19
CONTRACTOR: City of Lubbock
STATE PROJECT NUMBER: LMT-0901(005)
STATE CONTRACT NUMBER: 511XXF6032
D. Comparison of actual with budgeted amounts for each contract
and relation of financial information to performance of
productivity data, including the production of unit cost
information, whenever appropriate and required by the State.
E. Procedures for determining the eligibility for reimbursement
and proper allocation of costs.
F. Accounting records which are supported by source
documentation.
G. A systematic method to assure timely and appropriate
resolution of audit finding and recommendations.
ARTICLE 8. PROCUREMENT STANDARDS
Contractor procurement standards shall meet or exceed the
requirements of the "Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local Governments"
(49 CFR Part 18), including insurance and bonding requirements.
The Contractor shall have written selection procedures which meet
the minimum requirements of that document. The Contractor agrees
to comply with applicable Buy America requirements set forth in
Section 401 of the Surface Transportation Assistance Act of 1978
(P.L. 95-599) and the Urban Mass Transportation Administration's
Buy America regulations at 49 CFR 660. The Contractor agrees to
comply with the cargo preference requirements set forth in 46 USC
1241 and Maritime Administration regulations set forth in 46 CFR
381.
The State must concur in the award of all purchase orders for
nonexpendable personal property as defined in 49 CFR Part 18.
The Contractor will meet all obligations incurred in its
subcontracts with its equipment suppliers, to specifically
include the prompt payment of monies due the supplier upon
delivery of acceptable equipment. Should payment be delayed for
any reason, the Contractor agrees not to operate any equipment
that has been delivered without the express permission of the
equipment vendor and to lend it the same protection it would its
own equipment.
ARTICLE 9. PROPERTY MANAGEMENT
The Contractor agrees to comply with the property management
standards specified in the "Uniform Administrative Requirements
for Grants and Cooperative Agreements to State and Local
Rev. 07/90 PAGE 6 OF 19
CONTRACTOR: City of Lubbock
STATE PROJECT NUMBER: LMT-0901(005)
STATE CONTRACT NUMBER: 511XXF6032
Governments" (49 CFR Part 18), in its control, use and
disposition of property or equipment governed by those standards.
Further, the Contractor shall comply with the property management
standards adopted by the State in the Texas Administrative Code,
Title 43, Chapter 31. In the event that any project facility and
equipment are not used in the proper manner or are withdrawn from
public transportation services, the Contractor shall immediately
notify the State. The State reserves the right to direct the
sale or transfer of property acquired under this Contract upon
determination by the State that said property has not been fully
and/or properly utilized.
The Contractor shall maintain at least the minimum insurance on
all vehicles and other nonexpendable personal property as
required by the insurance regulations of the State of Texas.
Irrespective of coverage by insurance, unless otherwise approved
in writing by the State, in the event of loss or damage to
project property, whether by casualty or fire, the fair market
value will be the value of the property immediately before the
casualty or fire. Unless otherwise approved by the State, in the
event of loss due to casualty or fire, straight line depreciation
of the asset, based on the industry standard for a useful life,
shall be considered fair market value.
The Contractor shall not execute any lease, pledge, mortgage,
lien or other contract touching or affecting the State interest
in any project facilities or equipment; nor shall the Contractor,
by any act or omission of any kind, adversely affect the State
interest or impair its continuing control over the use of project
facilities or equipment.
The Contractor shall notify the State immediately of theft,
wreck, vandalism or other destruction of project -related
facilities or equipment.
ARTICLE 10. LABOR PROTECTION PROVISIONS
The Contractor agrees to undertake, carry out and complete the
Project under the terms and conditions determined by the
Secretary of the United States Department of Labor to be fair and
equitable, to protect the interests of employees affected by the
Project and meeting the requirements of Section 13(c) of the
Urban Mass Transportation Act of 1964, as amended.
ARTICLE 11. CHARTER AND SCHOOL BUS OPERATIONS
A. The Contractor, or any subcontractor acting on its behalf,
shall not engage in charter bus operations outside the
Rev. 07/90 PAGE 7 OF 19
CONTRACTOR: City of Lubbock
STATE PROJECT NUMBER: LMT-0901(005)
STATE CONTRACT NUMBER: 511XXF6032
Project area within which it provides regularly scheduled
public transportation service, except as provided under
Section 3(f) of the Urban Mass Transportation Act of 1964,
as amended, 49 USC 1602(f), and regulations pertaining to
Charter Bus Operations, set forth in 49 CFR Part 604 and any
amendments that may be issued. Any subcontract entered into
under these regulations is incorporated into this Contract
by reference.
B. The Contractor, or any subcontractor acting on its behalf,
shall not engage in school bus operations, exclusively for
the transportation of students or school personnel, in
competition with private school bus operators, except as
provided under Section 3(g) of the Urban Mass Transportation
Act of 1964, as amended, 49 USC 1602(g) and regulations
pertaining to School Bus Operations, set forth at 49 CFR
Part 605 and any amendments thereto that may be issued. Any
subcontract entered into under these regulations is
incorporated into this Contract by reference.
ARTICLE 12. MONITORING AND REPORTING
A. The Contractor shall submit quarterly performance reports
that provide as a minimum the following:
(1) A comparison of actual accomplishments to the goals
established for the period.
(2) Reasons why established goals were not met.
(3) Other pertinent information including, when
appropriate, analysis and explanation of cost overruns
or high unit costs.
B. The Contractor shall promptly advise the State in writing of
events which have a significant impact upon the Contract,
including:
(1) Problems, delays or adverse conditions which will
materially affect the ability to attain program
objectives, prevent the meeting of time schedules and
goals, or preclude the attainment of project work units
by established time periods. This disclosure shall be
accompanied by a statement of the action taken, or
contemplated, and any State assistance needed to
resolve the situation.
Rev. 07/90 PAGE 8 OF 19
CONTRACTOR: City of Lubbock
STATE PROJECT NUMBER: LMT-0901(005)
STATE CONTRACT NUMBER: 511XXF6032
(2) Favorable developments or
time schedules and goals
producing more work units
ARTICLE 13. DISPUTES
events which enable meeting
sooner than anticipated or
than originally projected.
A. The Contractor shall be responsible for the settlement of
all contractual and administrative issues arising out of
procurements entered in support of contract work.
B. The State shall act as referee in all disputes regarding
non -procurement issues, and the State's decision shall be
final and binding.
ARTICLE 14. REMEDIES
Violation or breach of contract terms by the Contractor shall be
grounds for termination of the Contract and any increased cost
arising from Contractor's default, breach of contract or
violation of terms shall be paid by the Contractor.
This agreement shall not be considered as specifying the
exclusive remedy for any default, but all remedies existing at
law and in equity may be availed of by either party and shall be
cumulative.
ARTICLE 15. TERMINATION
A. The State may terminate this Contract at any time before the
date of completion whenever it is determined that the
Contractor has failed to comply with the conditions of the
Contract. The State shall give written notice to the
Contractor at least seven days prior to the effective date
of termination and specify the effective date of termination
and the reason for the termination.
B. If both parties to this Contract agree that the
continuation of the Contract would not produce beneficial
results commensurate with the further expenditure of funds,
the parties shall agree upon the termination conditions,
including the effective date. In the event that both
parties agree that resumption of the Contract is warranted,
a new contract must be developed and executed by both
parties.
C. Upon termination of this Contract, whether for cause or at
the convenience of the parties hereto, the State shall
retain unlimited and royalty free usage rights of all
Rev. 07/90 PAGE 9 OF 19
CONTRACTOR: City of Lubbock
STATE PROJECT NUMBER: LMT-0901(005)
STATE CONTRACT NUMBER: 511XXF6032
finished or unfinished documents, data surveys, reports,
maps, drawings, models, photographs, etc., prepared by the
Contractor.
D. The State shall compensate the Contractor for those eligible
expenses incurred during the contract period which are
directly attributable to the completed portion of the work
covered by this Contract, provided that the work has been
completed in a manner satisfactory and acceptable to the
State. The Contractor shall not incur new obligations for
the terminated portion after the effective date of
termination.
E. Except with respect to defaults of subcontractors, the
Contractor shall be in default by reason of any failure in
performance of this Contract in accordance with its terms,
including any failure by the Contractor to progress in the
performance of the work. Failure on the part of the
Contractor to fulfill its obligations as set forth in this
Contract will be waived by the State for causes due to Acts
of God or force majeure.
ARTICLE 16. GENERAL PROVISIONS
A. CIVIL RIGHTS
During the performance of this Contract, the Contractor, for
itself, its assignees and successors in interest agrees as
follows:
(1) Compliance with Regulations: The Contractor shall
comply with the regulations relative to
non-discrimination in federally assisted programs of
the Department of Transportation (hereinafter "DOT")
Title 49, Code of Federal Regulations, Part 21 and 23
CFR 710.405(b), as they may be amended from time to
time (hereinafter, referred to as the Regulations),
which are herein incorporated by reference and made a
part of this Contract.
(2) Nondiscrimination: The Contractor, with regard to the
work performed by it during the Contract, shall not
discriminate on the grounds of race, color, sex or
national origin in the selection and retention of
subcontractors, including procurements of materials and
leases of equipment. The Contractor shall not
participate either directly or indirectly in the
Rev. 07/90 PAGE 10 OF 19
CONTRACTOR: City of Lubbock
STATE PROJECT NUMBER: LMT-0901(005)
STATE CONTRACT NUMBER: 511XXF6032
discrimination prohibited by Section 21.5 of the
Regulations, including employment practices when the
contract covers a program set forth in Appendix B of
the Regulations.
(3) Solicitation for Subcontracts, Including Procurements
of Materials and Equipment: In all solicitations
either by competitive bidding or negotiation made by
the Contractor for work to be performed under a
subcontract, including procurements of materials or
leases of equipment, each potential subcontractor or
supplier shall be notified by the Contractor of the
Contractor's obligations under this Contract and the
Regulations relative to nondiscrimination on the
grounds of race, color, sex or national origin.
(4) Information and Reports: The Contractor shall provide
all information and reports required by the Regulations
or directives issued pursuant thereto, and shall permit
access to its books, records, accounts, other sources
of information and its facilities as may be determined
by the State or the Urban Mass Transportation
Administration (UMTA) to be pertinent to ascertain
compliance with such Regulations, orders and
instructions. Where any information required of a
Contractor is in the exclusive possession of another
who fails or refuses to furnish this information, the
Contractor shall so certify to the State or the Urban
Mass Transportation Administration, as appropriate, and
shall set forth what efforts it has made to obtain the
information.
(5) Sanctions for Noncompliance: In the event of the
Contractor's noncompliance with the nondiscrimination
provisions of this Contract, the State shall impose
such contract sanctions as it or the Urban Mass
Transportation Administration may determine to be
appropriate, including, but not limited to:
(a) Withholding of payments to the Contractor under
the Contract until the Contractor complies, and/or
(b) Cancellation, termination or suspension of the
Contract, in whole or in part.
(6) Incorporation of Provisions: The Contractor shall
include the provisions of paragraphs (1) through (6) in
Rev. 07/90 PAGE 11 OF 19
go
C.
CONTRACTOR: City of Lubbock
STATE PROJECT NUMBER: LMT-0901(005)
STATE CONTRACT NUMBER: 511XXF6032
every subcontract, including procurements of materials
and leases of equipment, unless exempt by the
regulations or directives issued pursuant thereto. The
Contractor shall take such action with respect to any
subcontract or procurement as the State or the Urban
Mass Transportation Administration may direct as a
means of enforcing such provisions including sanctions
for noncompliance: Provided, however, that, in the
event a contractor becomes involved in, or is
threatened with, litigation with a subcontractor or
supplier as a result of such direction, the Contractor
may request the State to enter into such litigation to
protect the interests of the State, and, in addition,
the Contractor may request the United States to enter
into such litigation to protect the interests of the
United States.
NONDISCRIMINATION ON THE BASIS OF HANDICAP
The Contractor agrees that no otherwise qualified
handicapped person shall, solely by reason of his handicap,
be excluded from participation in, be denied the benefits
of or otherwise be subject to discrimination under the
project. The Contractor shall insure that all fixed
facility construction or alteration and all new equipment
included in the project comply with applicable regulations
regarding Nondiscrimination on the Basis of Handicap in
Programs and Activities Receiving or Benefitting from
Federal Financial Assistance, set forth in 49 CFR Part 27,
and any amendments thereto.
DISADVANTAGED BUSINESS ENTERPRISE PROGRAM REQUIREMENTS
It is the policy of the Department of Transportation that
Minority Business Enterprises as defined in 49 CFR Part 23
shall have the maximum opportunity to participate in the
performance of contracts financed in whole or in part with
Federal funds. Consequently, the Minority Business
Enterprise requirements of 49 CFR Part 23 apply to this
Contract as follows:
The Contractor agrees to insure that Minority Business
Enterprises as defined in 49 CFR Part 23 have the maximum
opportunity to participate in the performance of contracts
and subcontracts financed in whole or in part with Federal
funds. In this regard, the Contractor shall take all
necessary and reasonable steps in accordance with 49 CFR
Rev. 07/90 PAGE 12 OF 19
CONTRACTOR: City of Lubbock
STATE PROJECT NUMBER: LMT-0901(005)
STATE CONTRACT NUMBER: 511XXF6032
Part 23 to insure that minority business enterprise have the
maximum opportunity to compete for and perform contracts.
The Contractor shall not discriminate on the basis of race,
color, national origin or sex in the award and performance
of contracts funded in whole or in part with Federal funds.
These requirements shall be physically included in any
subcontract.
Failure to carry out the requirements set forth above shall
constitute a breach of contract and, after the notification
of the State, may result in termination of the Contract by
the State or other such remedy as the State deems
appropriate.
D. EQUAL EMPLOYMENT OPPORTUNITY
The Contractor agrees to comply with Executive Order 11246
titled "Equal Employment Opportunity" as amended by
Executive Order 11375 and as supplemented in Department of
Labor Regulations (41 CFR, Part 60).
E. AFFIRMATIVE ACTION
The Contractor warrants that affirmative action programs as
required by the rules and regulations of the Secretary of
Labor (41 CFR 60-1 and 60-2) have been development and are
on file.
F. SPECIAL PROVISIONS FOR CONSTRUCTION OR REPAIR CONTRACTS
(1) Contract Work Hours and Safety Standards Act
The Contractor agrees to comply with Sections 103 and
107 of the Contract Work Hours and Safety Standards Act
(40 USC, Part 327-330) as supplemented by Department of
Labor Regulations (29 CFR, Part 5).
(2) Copeland "Anti -Kickback" Act
The Contractor agrees to comply with the Copeland
"Anti -Kickback" Act (18 USC 874) as supplemented in
Department of Labor regulations (29 CFR, Part 3).
Rev. 07/90 PAGE 13 OF 19
Cep
CONTRACTOR: City of Lubbock
STATE PROJECT NUMBER: LMT-0901(005)
STATE CONTRACT NUMBER: 511XXF6032
(3) Davis -Bacon Act
The Contractor agrees to comply with the provisions of
the Davis -Bacon Act (40 USC 176a to 9-7) as
supplemented by Department of Labor regulations (29
CFR, Part 5).
(4) Relocation and Land Acquisition
The terms of the Department of Transportation
regulations "Uniform Relocation and Real Property
Acquisition for Federal and Federally Assisted
Programs" (49 CFR Part 25) are applicable to this
Contract.
(5) Insurance and Bonding
The Contractor shall comply with insurance and bonding
requirements as established in 49 CFR Part 18.
(6) Signs
The Contractor shall cause to be erected at the site of
construction, and maintained during contraction, signs
satisfactory to the State and the United States
Department of Transportation identifying the project
and indicating that the Government is participating in
the development of the project.
ENVIRONMENTAL PROTECTION AND ENERGY EFFICIENCY
The Contractor agrees to comply with all applicable
standards, orders or requirements issued under Section 306
of the Clean Air Act (42 USC 1857(h]; Section 508 of the
Clean Water Act (33 USC 1368); Executive Order 11738 and
Environmental Protection Agency Regulations (40 CFR, Part
15). The Contractor further agrees to report violations to
the State.
The Contractor agrees to recognize standards and policies
relating to energy efficiency which are contained in the
State energy conservation plan issued in compliance with the
Energy Policy and Conservation Act (P.L. 94-163).
Rev. 07/90 PAGE 14 OF 19
H.
I.
J.
K.
CONTROL OF DRUG USE
The Contractor agrees to
Omnibus Anti -Drug Abuse
Subtitle D).
SUSPENSION AND DEBARMENT
CONTRACTOR: City of Lubbock
STATE PROJECT NUMBER: LMT-0901(005)
STATE CONTRACT NUMBER: 511XXF6032
comply with the terms of the
Act of 1988 (P.L. 100-890, Title V,
The terms of the Department of Transportation regulation,
"Suspension and Debarment of Participants in DOT Financial
Assistance Programs" set forth at 49 CFR Part 29, are
applicable to this Contract and the Contractor must complete
the Contractor Certification which is included as Attachment
B. Further, any subcontractor employed by the Contractor is
also bound by the terms of 49 CFR Part 29 and must complete
a Contractor Certification (Lower Tier) form.
RESTRICTIONS ON LOBBYING
Pursuant to Section 319 of Public Law 101-121, which
generally prohibits recipients of Federal funds from using
those monies for lobbying purposes, the Contractor shall
comply with the attached Special Provision "New Restrictions
on Lobbying", which is included as Attachment C.
PROHIBITED ACTIVITIES
The Contractor or any subcontractor shall not use Federal or
State assistance funds for publicity or propaganda purposes
designed to support or defeat legislation pending before
Congress or the Texas Legislature.
No member of or delegate to the Congress of the United
States shall be admitted to any share or part of this
Contract or to any benefit arising therefrom.
No member, officer or employee of the Contract during this
tenure or one year thereafter shall have any interest,
direct or indirect, in this Contract or the proceeds
thereof.
State Highway and Public Transportation Commission policy
mandates that employees of the Department shall not accept
any benefits, gifts or favors from any person doing business
or who reasonably speaking may do business with the State
under this Contract. The only exceptions allowed are
ordinary business lunches and items that have received the
Rev. 07/90 PAGE 15 OF 19
L.
FWV
CONTRACTOR: City of Lubbock
STATE PROJECT NUMBER: LMT-0901(005)
STATE CONTRACT NUMBER: 511XXF6032
advanced written approval of the State Engineer -Director for
Highways and Public Transportation. Any persons doing
business with or who may reasonably speaking do business
with the State under this Contract may not make any offer of
benefits, gifts or favors to Departmental employees, except
as mentioned hereabove. Failure on the part of the
Contractor to adhere to this policy may result in the
termination of this Contract.
ASSURANCES
The Contractor will comply with Texas Civil Statutes,
Article 5996a, by insuring that no officer, employee or
member of the Contractor's governing board or of the
Contractor's subcontractor shall vote or confirm the
employment of any person related within the second degree by
affinity or third degree by consanguinity to any member of
the governing body or to any other officer or employee
authorized to employ or supervise such person. This
prohibition shall not prohibit the employment of a person
who shall have been continuously employed for a period of
two years prior to the election or appointment of the
officer, employee, governing body member related to such
person in the prohibited degree.
The Contractor will insure that all information collected,
assembled or maintained by the applicant relative to this
project shall be available to the public during normal
business hours in compliance with Texas Civil Statutes,
Article 6252-17a, unless otherwise expressly provided by
law.
The Contractor will comply with Texas Civil Statutes,
Article 6252-17, which requires all regular, special or
called meetings of governmental bodies to be open to the
public, except as otherwise provided by law or specifically
permitted in the Texas Constitution.
PATENT RIGHTS
If any invention, improvement or discovery of the Contractor
or any of its subcontractors is conceived or first actually
reduced to practice in the course of or under this Project,
which invention, improvement or discovery may be patentable
under the Patent Laws of the United States of America or any
foreign country; and if said invention, improvement or
discovery has not already become the property of the State
Rev. 07/90 PAGE 16 OF 19
CONTRACTOR: City of Lubbock
STATE PROJECT NUMBER: LMT-0901(005)
STATE CONTRACT NUMBER: 511XXF6032
under Article 15.0 above; the Contractor shall immediately
notify the State and provide a detailed report. The rights
and responsibilities of the Contractor, subcontractors and
the United States Government with respect to such invention
will be determined in accordance with applicable Federal
laws, regulations, policies and any waivers thereof.
Further, the Contractor shall comply with the provisions of
41 CFR, Part 1-9.
N. COPYRIGHTS
The State and the United States Department of Transportation
shall have the royalty -free, non-exclusive and irrevocable
right to reproduce, publish or otherwise use, and to
authorize others to use, the work for government purposes.
0. INDEMNIFICATION
To the extent permitted by law, the Contractor shall
indemnify and save harmless the State and the Office of the
Governor from all claims and liability due to activities of
itself, its agents or employees, performed under this
agreement and which result from an error, omission or
negligent act of the Contractor or of any person employed by
the Contractor. The Contractor shall also save harmless the
State and the Office of the Governor from any and all
expenses, including attorney fees which might be incurred by
the State or the Office of the Governor in litigation or
otherwise resisting said claim or liabilities which might be
imposed on the State or the Office of the Governor as a
result of activities by the Contractor, its agents, or
employees. Such indemnity shall also apply where claims,
losses, damages, causes of actions, suits or liability arise
in whole or in part from the negligence of the State or the
Office of the Governor.
P. SUCCESSORS AND ASSIGNS
The Contractor binds itself, its successors, assigns,
executors and administrators in respect to all covenants of
this agreement. The Contractor shall not sign, sublet or
transfer its interest in this agreement without the written
consent of the State.
Q. CONTRACTOR ACKNOWLEDGEMENT
The Contractor acknowledges that it is not an agent, servant
or employee of the State and is responsible for its own act
Rev. 07/90 PAGE 17 OF 19
CONTRACTOR: City of Lubbock
STATE PROJECT NUMBER: LMT-0901(005)
STATE CONTRACT NUMBER: 511XXF6032
and deeds and for those of its agents or employees during
the performance of the contrac.t work.
R. LEGAL CONSTRUCTION
In case any one or more of the provisions contained in this
agreement shall for any reason be held to be invalid,
illegal or unenforceable in any respect, such invalidity,
illegality or unenforceability shall not affect any other
provision thereof and this agreement shall be construed as
if such invalid, illegal or unenforceable provision had
never been contained herein.
S. PRIOR AGREEMENTS
This agreement constitutes the sole and only agreement of
the parties hereto and supersedes any prior understandings
or written or oral agreements between the parties respecting
the within subject matter.
Rev. 07/90 PAGE 18 OF 19
CONTRACTOR: City of Lubbock
STATE PROJECT NUMBER: LMT-0901(005)
STATE CONTRACT NUMBER: 511XXF6032
IN TESTIMONY WHEREOF, the parties hereto have caused these
presents to be executed.
STATE OF TEXAS
Certified as being executed
for the purpose and effect of
activating and/or carrying out
the order, established
policies or work programs
heretofore approved and
authorized by the State
Highway and Public
Transportation Commission
under the authority of
Minute Order 91559.
APP O ED:
: BY
Director, Public
Transportation
Date: ('" 2--1'C�
RECOMMENDED FOR EXECUTION:
District Engineer, Dist ct 5
CONTRACTOR
City of Lubbock
14
By: ke C & - ���
B. C. M Minn
Title: Mayor
Date: June 13, 1991
ATTEST:
C:]�
Ra ette Boyd 17
City Secretary, City of Lubbock
Date: June 13, 1991
APPROVED AS TO CONTENT:
An V A ��j
Larry V. offman
Director of Transportation
City of Lubbock
APPROVED AS TO FORM:
i.
As
Ci
1, f- - �L
rth Fullingim
tant City Attorney
of Lubbock
Rev. 07/90 PAGE 19 OF 19
CONTRACT BUDGET
CONTRACTOR: CITY OF LUBBOCK
PROJECT NUMBER: LMT-0901(005)
CONTRACT NUMBER: 511XXF6032
ATTACHMENT A
LINE ITEM # DESCRIPTION TOTAL FEDERAL STATE OOC
I. CAPITAL 80/20
2 21 PASS. VANS W/LIFTS 130,000 104,000 80% 0 0% 26,000
TRANSFER CENTER 2,500,000 2,000,000 80% 0 0% 370,000
SUBTOTAL CAPITAL 2,630,000 2,104,000 0 396,000
TOTAL 2,630,000 2,104,000 0 396,000
LOCAL
20% 0 0%
15% 130,000 5%
130,000
130,000
Contractor Certification
Mayor B . C. McMinn , being (1)
duly sworn or under penalty of perjury under the laws of the United States,
certifies that, except as noted below, City of Lubbock, or (2)
any person associated therewith in the capacity of owner, partner, director,
officer, principal investigator, project director, manager, auditor, or any
position involving the administration of federal funds:
• is not currently under suspension, debarment, voluntary exclusion, or
determination of ineligibility by any federal agency;
• has not been suspended, debarred, voluntarily excluded or determined
ineligible by any federal agency within the past three years;
• does not have a proposed debarment pending; and
• has not been indicted, convicted, or had a civil judgment rendered
against it by a court of competent jurisdiction in any matter involving
fraud or official misconduct within the past three years.
Exceptions will not necessarily result in denial of award, but will be considered
in determining bidder responsibility. For any exception noted, indicate below
to whom it applies, initiating agency, and dates of action. Providing false
information may result in criminal prosecution or administrative sanctions.
Exceptions: (3)
t
(4)
Name of certifying official b • c . McMinn
Mayor
Title
June 13, 1991
Date APPROVED AS TO CONTENT: ATTEST:
Lower Tier Participant Debarment Certification
(Negotiated Contracts)
B. C. McMinn, Mayor , being duly sworn
unae►t name of ce"MS official!
or under penalty of perjury under the laws of the United States, certifies that
neither City of Lubbock nor its
unmr. name of lower uer parucipanu
principals are presently:
• debarred, suspended, proposed for debarment,
• declared ineligible,
• or voluntarily excluded from participation in this transaction
by any Federal department or agency
NVbere the above identified lower tier participant is unable to certify to any of the
above statements in this certification, such prospective participant shall indicate
below to whom the exception applies, the initiating agency, and dates of action.
Exceptions will not necessarily result in denial of award, but will be considered in
determining contractor responsibility. Providing false information may result in
criminal prosecution or administrative sanctions.
EXCEPTIONS:
C
tun orcertiytns Official b . G . Mc
Mayor
Tula
June 13, 1991
Date of cerufuauon
APPROVED AS TO FORM: APPROVED AS TO CONTENT: ATTEST:
J//
J Worth Fullingim 61Larry V. offman Rane to Boyd
ssistant City Attorney Director of Transportation City Yecretary
C OM FI CiTI ON
OF
RbBTRILTIONS ON LDRBYIM
B. C. McMinn, Mayor , hereby certify on
(nave and title of grantes official)
behalf of City of Lubbock that
(Haas of grantes)
(1) No Federal appropriated funds have been paid or will be paid,
by or on behalf of the undersigned, to any person for influencing
or attempting to influence an officer or wWloyes of any agency, a
Member of Congress, an officer or employee of Congress, or an
aaployea of a Member of Congress in connection with the avarding
of any Federal contract, the taking of any Federal grant, the
making of any Federal loan, the entering into of any cooperative
agreemant, and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or cooperative
agreement.
(2) If any funds other than Federal appropriated funds have been
paid or will be paid to any parson for influencing or attempting
to influence an officer or employ" of any agency, a Member of
Congress, an officer or akployes of Congress, or an employee of a
Member of Congress in connection with this Federal oontract,
grant, loan, or eooparative agreasent, the undersigned shall
complete and submit Standard For:-LLL, *Disclosure Form to Report
Lobbying,8 in accordance with its instructions.
(3) The undersigned shall require that the language of this
:certification be included in the award aoausente for all subavards
at all tiers (including subcontracts, subgrants, and contracts
under grants, loans, and cooperative agreamants) and that all
subrecipients shall mortify and disclose accordingly.
This certification is a material representation of tact igen which
reliance is placed when this transaettwn was made er entered into.
Submission of this certification is a prerequisite for makimq or
entering into this transaction i0"p Med by section 13521 title 311
V. S: CodeAny person who tails to tale the nWaired
certification shall be subject to a civil penalty of sot less than
$10,000 and not sore than $1O0,O00 for each such failure.
Executed this 133 t_ h� day of June , "..L.-
APPROVED AS TO -FORM:
ortn ruiiingim
A istant City Attorney
AP/� �OVEDj A�S/TO CONTENT:
Larry Moffmdnt`I
Direc r of Transportation
11Y Vf-
signature of authorized official)
B. C. McMinn y3jmr
(title of authorized official)
qtT:te Boyd
City Secretary
52324 Fedetal Register I Vo' 5e No 243 I Wednesda%. December 20. 1999 1 Notices
INSTRUCnONS FOR COMPLETION OF SF•LLI. DISCLOSURE OF LOSSYINC ACTIVITIES
This disclosure form shall be completed by the reporting entry, wAether subawardee or prime Federal recipient, at the
Initiation or receipt of a covered federal anion, or a material change to a previous filing, pursuant to the 31 U.S.C.
section 1352. The filing of a form Is required for each payment or apenwi to make payment to any lobbying entity for
(influencing or anemptln$ to influence an officer p employee of any agency, a Member of Con$resa. an officer or
employee of Congress, or an employee of a Member of Congress in connection with a covered Federal action. Use the
SF.LLI-A Continuation Sheet for additional Information H the space on the form is Inadequate. Complete all items that
apply for both the initial Alin$ and material change M!PWL Refer to ft implementing Suldance published by"Office of
Management and Budget foe addib&W YdOfflWon.
1. IdentRy the type of covered Federal action for nhfudh Iobbytng attivlty Is an*or has been wind to Much" the
outcome of a covered Federal action.
2. Identify the suhn of the covered Federal action.
3. Identify the appropriate dassiAution of dws report. M this Is a folio" report caused by a noterfal dMi nge to the
Information previously reported, enter the year and quarter in which the eharw occired. Into the daft of flit tut
previously submitted report by this reporting entity for this covered Federal action.
e. Enter the fun name, address, dty, state and tip code of the reporttnjj entity. Include Ca+g "Bond Oistr" if
known. Check the appropriate di ssiAcation of the rtporb, 9 entity that designates If It kt or egtinlcts t4 ba a prime
or subaward recipient. Identfy the tier of the subawsrdee, e g , tihe,Frst PAWWardee of the prime is the 1st tier.
Subawards include but are not Wmlted to'subcontracts. subgrants and contract awards under VWds.
S. If the organization fling the report in item 4 checks 'Subswwdee•, then enter the full name, address, dty, state and
zip code of the prime Federal recipienL include t ongressiorW Dittrict If known.
6. Enter the name of the Federll agency mAUng the award or ban car rnitmnsL Include at kit ant ergsrbalional
level below agency narne, If known. For eumple, Department of Trarhsportation, NNted States Cow C4Wd.
f. Enter the Federal program name or description br the aoreeed Federal action Owen U. N knowrb erect flu lull
CaWog of Federal Domatic Assistance (CFCW number for Rranot, toopwoe agteeslnentt. Istrht; and ban
Comrtitrrments. .
g. Enter the most appropriate Federal identifying number r4Aabk br die Federal wctton IdenW*d In Aem'1 fe{.,
Request for Proposal (RFn number, Invitation for Bid OFg? nnanber, grant ati+ouncerrent number, the contract,
grant, or loan award number the apphabongroposal control a weber n0rad by Ow Federal agtacy)` Incickadt
prefixes, e.g.'RF►•DE-9M1.-
!. For a covered Federal action where there has been an award or ban oommib++em by the Federal spowy, enter Ow
Federal afnowd of the &wdloan oorwriftma for (fht p*m entry kkr4MW In barn a o►i
10. W Enter the foal name, address, dly, state and dp bode of drat fobbylrtb aridly engaged by the feporth awlty
Identified in Hem 4 to ir►fluetmte Ow covered Federal at3bn.
�(b3Ente► the fun names of the Indlv(dwKs) perforttdrhg senrioea, sync irKltsdt bit sdd�ten M dMleraet boon 10 W.
triter Last Name, First Nana, and Middle W" OMt).
11. Enter the armour of contpenuftn paid or ntuensbly a rpm pis to be peed by tin Way Asrn n b the
labdw eOtem I1f ). wpeeiAlo the p ynnent has bean mAde (aMtssd or srM be rnAde QAmntidl. Chm*
to be mods. � stpwwL a w ft amAadne awww of pejtwnent wA& or planned
11 O*d the app oprlAre border). 0" at boles tAAt spply. If payment is Duds tlrosagh w bn4Md oortlllbtrttert.
epedfy tthe ahn and value of ft b4ind prpn .
11 Chid tine 8WW18te ba". Chid at bo acts 00 ap*. d odwk gftoy atone. .
1t. hovtde a spedAc and desaAed desafptioa M /rat aefhkas drat wine lobbyist lose perkr+twe4 e► wl lot ttft�gN w
Sow contact wfdhtFed"ooNickk Mentily Ibe faded as) of any lendes Includit aside ee�itployee(t) wPM:3-d "bad soft. am a "W s Ks�
of iployee(A ar hhmberW of Congress go we wow amL
IM Chad whedna or not a SF{LL-A cattdrnssadan to" Is MM*Ad.
to The cootortg ofaidaf anal Ngrh and date me foentr rw hWW erne. WNW alit 1A m atWbM
FAk r" r f None" for ft caiecom of r4or om is asernsM ss owing 30 wi om per seso I indeft"1W A"11811111110d
Yhatnrceons. sea►ehmng t■etina data rourceL p" and ehenNrnrt$ tin data mtdaan/ etorrpW% m/ whsehwft tilt eeMefrh of
01wrnaoaem. tend comment regardw$ the Inkier nwpiaair airy Cow aCow upset of #0 ceiation of Nke"hsdrr► bK3ift swe"M
lo► rtduura to brden, to fin Office of Mena no! sr/ iu ftet. ►aoer»M ASAC en /pact t0)*4W" Warhrt "Dr— am
Federal Register ! Vol 5/. No. 243 / Wedneaday. December M iM / Notices
DISCLOSURE Of LOBBYING ACTIMES 004oft
U--piete Irw tom- to disclose lobbying aerMcin peluant to 31 U.M 1332
(Sire nve+x be public burden dndosurej
1. Type of ►ederal Aefbnc
L IWO M hAt- Adder
a fkW TW
a aa+eaa
a bldoffWappkaden
a fMtfal am
C. fla^
b. Yitial award
�. snatenal rt;e
0" svvty ervt
d ban
a pottowrd
for WeW ch"t Omer
e. ban pummee
/w *"4W
t ban ~Arica
I
daft of lot 1"Wrt
is. Kame aW A/drM of RgWftkq bl"
a r Reporl % Erigby he Me► A Is fs6ewrties.1*W Manse
o p me 0 $ubewydee
tied Adires& r f HW.
e Db&§i rft WWW..
t eDbMa rioww*r
L Federal OeparbrwWyw4r.
7 redw# taespaa
f:4A nwt+te�r, rr:
L fede ai Agtk a kuobw, r Apwm
a Arai Amna rfi -itltr
*WW"WM
IL a Name and Addnw r ieibfl� 6rR_ k Dias
ly r dr,", last name, list arse, wA Ma tOJ
free! nYeM, fist ebnlee, fifD
11. faarmad lcM A affTAf RI t af�wf tdite! aI tl1t(t It
: O now O �lWAW o a tewa '
O ► *mow to
1% ►am r Pulmnt w4dt aft (Lill Ap*4 O a anwh o
O a lt ar0 4 tlt M
O b. leokW4 spur. wvR O • a t1lM�/
O L few qw*#t
x elf W Drwgpdm r So*" pofw.d «r eleee pItfwntd Odom" d fiaello, eledetil� lae�tlll iO�MY
ar Msaflsetal eerebdo< let t�rbe! YiMle/ r frtue tt>e� �_
to Ce�nelsbatlos ffte!sffai l�i3tr1 laar�ed: Ores O N.
Ie. .r....m�r ebiaO' alb aOs b rOlrwf tr ea as rat
raw nu an eaa,bw IkIN" aft b a ear dow I"I
r as ow ~ r m iiis ~ b1 of so, am rr ear
ehY ecir,ts
&SIM �r as nob a WROW ru nt sal r, a Godw e+�w
11�R
s1 U." lest as liftnu a se r sera/ a ` am"sir
�•w�drra,
a meoninP"bPat•.. •n
ar on +r.w Mmama N in ofto a a M t1Mft / o, bo so
Oar lia
ilel�eel rem
low owes MW /ORa• ar r ass
•. .. 5v O� L'IfIIR =wlj* M ME W. OF I srw ft- • to
Fodaral Rooter / Vol. $4. No 243 / We&eeday. December 20 ton I Nobeee sz
DISCLOSURE OF LOBBYING ACTIMES
CONTINUATION SHEET
lit"*" Lvft • Per of
52326 Federal Repiter / Vol 64. No. 243 / We&eedey. December 20. 19V / Notices
Appendix C to Part _.._ — Contract Clause
NLV RESTRICTIONS ON LOBBYING
(a) Definitions. As used in this clause,
"Agency", as defined in S V.S.C. 552(f), includes federal
executive departments and agencies as well as independent
regulatory commissions and Government corporations, as defined in
31 V.S.C. 9101(1).
•Covered Federal action" sears any of the following Federal
actions:
(1) The awarding of any Federal contracts
(2) The making of any Federal grants
(3) The making of any Federal loans
(4) The entering into of any cooperative agreements and,
(5) The extension, Continuation, renewal, amendsant, or
modification of any Federal contract, grant, loan, or
cooperative agreement.
Covered Federal action does not include receiving from an agency
a commitment providing for the United States to insure or
guarantee a loan.
'Indian tribe" and •tribal organisations have the seahinq
provided in section 4 of the Indian "If-Oeteraination and
Lducation Assistance Act (25 U.S.C. 4503) . Alaskan Natives are
included under the definitions of Indian tribes in that Act.
"Influencing or attempting to influence" sehns making, with
the intent to influence, any communication to or appearance
before an officer or employ" - of any agency, a !(pber of
Congress, an officer or employ" of Congrww, or an employee of a
Member of Congress in connection with any covered Federal action.
&Local government& means a snit of govermwmt in a State
and, if chartered, establishad, or otherwise recognised by a
state for the performance of a goverceantal duty, incl-Al a
local public authority, a speoial district, an intrastate
district, a council of goverasents a sponsor group
representative organisation, and aW ;ZZ4W strusantality of a
local government.
•Officer or employee of an agenoye includes thi following
Individuals who are employed by an agenert
(1) An individual who is appointed to a position to the
Government under title S, Q.S. Code, including a position
under a temporary appointments
(2) A saaber of the uniforsed services as defined• in
section 101(1), title 17,-O.S. Code! -
(3) A special Government employee as defined in •sedan
202, title lot O.S. Codas and,
21
feleral Retnster ; Vol 54 No 243 / Wrdno-sde%. Dccer-ber: 1989 ! Notices S:3
(4) An individual vho is a member of a Federal advisory
co=ittee, as defined by the federal Advisory Co=ittee Act,
title S, U.S. Cods appendix 2.
"Person" means an individual, corporation, company,
association, authority, firm, partnership, society, State, and
local government, regardless of whether such entity is operated
for profit or not for profit. This tars excludes an Indian
tribe, tribal organization, or any other Indian organisation with
respect to expenditures specifically permitted by other Federal
law.
*Reasonable compensation* tears, with respect to a regularly
employed officer or employee of any person, compensation that is
consistent with the normal compensation for such officer or
employee for work that is not furnished to, not funded by, or not
furnished in cooperation with the Federal Government.
' *Reasonable payment* means, with respect to profissibnal &rid
other technical services, a payment in an amount that is
consistent with the amount normally paid for such services in the
private sector.
*Recipient" includes all contractors and subcontractors at
any tier in connection with a federal contract. Ste tars
excludes an Indian tribe, tribal organisation, or any other
Indian organization with respect to expenditures specifically
permitted by otter Federal law.
*Regularly employedN means, with respect to an officer or:
employee of a person requesting or receivioq a Tedaral contract,
an officer or employee who is employed by such parson for 'at :
least i3o vorking dayy within one Year lasediateiy preoedirq the
date of the subaissioo that initiates "01M oo>ssideration of... -
such person for receipt of sueb contract, An officer or employee
'who is employed by such person for lees than 130 workb q days
within one year iasediately reoediaaq the date of the LouNoplss
that initiates agency consideration of .ee& person snail be
considered to be regularly e*ployed er soon as be W..fte Is
employed by sucb person for •330 werW q da"s
*8tate* *sans a- Pat* of the ftited States; Via Oietriat of
Colu#bia, the • Co■ooaeesaith of Puerto ee, a harsh y Or
Possession of no Vatted etatss, an ageady or LnetrunantaUty of
a State, and a multi -state, regio'nat# or interetate entity he4h q .
governmental duties and povers.
(b) prohibition.
(2) section 13st of title 311 Q.i. code prvddea 1h part
that no appropriated funds may be expended by the recipient of a -
Tederal contract, grant, loan, or cooperative agreement to pay
22
WUS Ftderall Register / Vol 54 Na 2+43 1 Wednesday December 2C. low I Notice@ -
any person for influencing or attempting to influence an officer
or employes of any agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in
connection with any of the following covered Federal actions:
the awarding of any Federal contract, the making of any Federal
,grant, the making of any Federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any Federal contract, grant, loan,
or cooperative agreement.
(2) The prohibition does not apply as follows:
(1) Agency and legislative liaison by Own taploress.
(A) The prohibition on the use of appropriated
funds, in paragrap*(j(1) of this section, does not apply its the
case of a payment or reasonable compensation made to an officer
or employee of a person requesting or receiving a Federal
contract if the payment is for agency and logislotiw' liaison.
activities not directly related to a covered federal action.
tow(;)
(a) for purposes of paragraph A (A) of this
section, providing any information specifically requested by an
agency or Congrass is allowable at any tins.
(C) For purposes of parsgrag � (1) of this
section, the following agency and legislative 1 activities
are allowable at any time only bbare they an not related to a
Specific solicitati�ofor any covered Federal action:
Uscuasliq with an agency (taciudieq
.individual demonstrations) the qualities and stica of
the person@s products or sarviaes, oeaditions or tans of sale; -
and service capabilittesi and,
S ( ) Technical discussiow and etber
activities regasdinq the application or adaptation of tea
person@& products or sesvices for an agencrts use.
jO) Tor purposes of. •paragsaA (A) of this
section, the following agency mad lSOisiatire liaison activities
are allowable only rbare they .are prior to tosul solicitation of
any covered Federal font
i (4) Providing any Infornatien -not
specifically requested but seoeswW f=1= o make and
informed decision oel t initiatiof a astieot
i) nabalcal discussions s�egardinq its effiafAw
preparation of an snsolictted proposal prior 0ial
submissions add,* - •*L--------
n (ki) Capability presentations br ep.
seeking awardsfrom an agency pursuant to the provisions iUs
small Business Act, as amended by public Lay 95-507 and ether
subsequent anw ments.- -
23
federal Rooster I Vni 54 No 243 1 Wednesdv.. Drremh 1.40 1989 1 32
(E) Only those
activities expressly authorized by
paragrap ,(i)
of this section
are allowable under paragraph (i).
(ii) Professional and technical services by Own
Employees.
(A) The prohibition on the use of appropriated
funds, in paragraph&l) of this section, does not apply in the
case of a payment or reasonable compensation made to an officer
or employee of a person requesting or receiving a Federal
contract or an extension, continuation, renewal, amendment, or
modification of a Federal contract it payment is for professional
or technical services rendered directly in the preparation,
submission, or negotiation of any bid, proposal, or application
for that Federal contract or for meeting requirements imposed by
or pursuant to law as a condition for receiving that Federal
contract.
(5) For purposes of paragraph (A) of this
section, "professional and technical services" shall be limited
to advice and analysis directly applying -any professional or
technical discipline. For example, drafting of a legal document
accompanying a bid or proposal by a lavyor is allowable.
'Similarly, technical advice provided an engineer on the
performanoe or -operational capability oo a piece of equipment
rendered directly. In -the negotiation of a contract is allowable.
However, eo=unications with the Intent' to influence sad* by a
professional (such as a licensed lavyor) or a technical person
(such as a licensed accountant) are not allowable under this
section unless they provide advice and analysis directly applying
their professional or technical expertise and ulal*as the advice
or analysis is readarod dirwUy and solely is the prapafatien,
submission or negotiation of a owrered tideral action. 'WO# for
oxamplee communications vith the Intent to influence made by a
lawyer that do not provide legal advice or analysis directly and,
solely related to the legal aspacts • of bis ew bar client's.
proposal, but generally advocate me proposal ovor another are
not allowable' under this sortim because•the laWar Is mot
providing professional iKai awwUme • iiailaslt• ooaslpnieatlens
withes
the intent to ' svds_ aA erginees an
siag w%Jjv is prior to the psapasatles at -sub ission . of a
bid o
proposal are not allowable u WWW this - Notion slAoi the
engineer is providirg.feohnical services but eet direoMy is tee
preparation; • submission or. negotiation of a covered' Mont
action. ..
law
a. condition for criceis vim Bomants reda t�ed� art in lode those
required by law or regulation, or reasonably 0060ted to be
required by law or regulation, and any other regairaa*nts in the
actual award documents,
24
S2330 raderal Rrpetrr / Vol 54 No 243 / Kretn•!leeNUMber 20 1989 I Notice$
Cpl;) (D) Only those services expressly authorized by
paragraph A(ii) of this section are allowable under paragraph (Oca)
(ii).
(iii) Reporting for Own Employees.
No reporting is required with respect to payments of reasonable
compensation made to regularly employed officers or employees of
a person.
(iv) Professional and technical services by Other than
own Employees.
(A) The prohibition on the use of appropriated
funds, in paragraphU l) of this section, does not apply in the
case of any reasonable payment to a person, other than an officer
or employee of a person requesting or receiving a covered Federal
action, if the payment is for professional or technicaal services
rendered directly in the preparation; wAmission, or negotiation
of any bid, proposal, or application for that Federal contract or
for meeting requirements imposed by or parsuant to law as a
condition for receiving that Federal contract. (bX'%) G.f)
(a) for* purposes of paragrapb t (A) of this
section, Sprofegsioul. and -technical. setviosse small No limited
to advice and wiysis directly applying any professional or
technical discipline. !br example, drafting of a legal doeament
accompanying a bid or by a lawyer is allowable.
Similarly, technical adviI oa Had by an engineer ® the
performance or operational capability of a piece of oqu41 e t
rendered directly in the negotiation of a contract is allowable.
Howevere communications with for intent to Influence Naas by a
professional (such as a licensed lawyar) or a larhnical 'person
(such as a licensed t000unt wt) are not allowable ceder this
section unless they provide advice and analysis direclr applying
taeis professional or technical expertise aua endless Me advice
or anal & os s steered directly ana solely In tee p !oi aubai lasg tice of a covered Federal fatten.
exaapl o, commications with the intent is Infloenoe lade by a
lawyer that do cot prwide loW advice, or analysls dig"Uy and
solely related to the lsgat aspects ff "Us or her taunt's -
ptoposal, but generally advocate aw prspesal war are
rot allowable under this on sectibeceosa the Uvyw Is tat
providing professieaal legal services. Similarly, ooiml stiems
rith the intent to influence made -by an engineer p widW an
engineering analysis prior to the preparation or adidealm of a
bid or proposal are not allovablo tender this section amines the
engineer 1s ,providing techld l sarvicale but not directly in Us
preparation, submission or Mgotiation oz a covered Federal
action.
25
Federal Reeder ! VoL 5C No 243 / Wednesday. December M. 19M / Noticii
([) Requirements imposed by or pursuant to law as
a condition for receiving a covered Federal avard include those
required by law or regulation, or reasonably expected to be
required by law or regulation, and any other requirements in the
actual award documents.
(D) persons other than officers or employees of
a person requesting or receiving a covered Federal action include
consultants and trade associations.
C1(s) (E) Only those services expressly authorized by
paragraph# (iv) of this section are allowable under paragraphtb.L)
(iv) .
(c) Disclosure.
(1) Each person who requests "Or receives from an agency a
Federal contract shall file with ttigt agency a certification, sat
forth in , that the parson ties hot made, and will not make,
any payment prohibited by paragraph (b) of. this clause.
(2) Each parson wbo requests or receives trom an agency a -
Federal contract shall tale with that Activit uosure to cD
Standard Form LLL, Disclosure of LoDby�
person has made or has a to sake any payment using
nonappropriated tends (too � profits trot any oovared
Federal action), which would be prohibited under paragrapb (b) of
this clause it paid for with apprvpriatod funds..
(3) Each parson shall file a disclosure fora at the and of
each calendar quarter in whiff there ocean my went - that
requires disclosure or that materially affects the accuracy of
the information contained In saw disclosure form previously tiled
by such person under paragrsW4(2) of this section. An went
that materially affects the accuracy of the information reported
Includes: .
(1) A cumulative increase of $25,000 or more in the
amount paid or expected to be paid for tmfluenaLng or atta�pting
to influence a coyered•tedoral avtiosf or
(11) A e"e is the n (s) or tn"T"Mal-M--- • . .
-� influencing or attempting to latlwnvarow-bovered Metal actions
or,
(ill) A cbange in the offic"Ca , aployee(a)a or
Kember(s) contacted to influanae or attaspt to Influence .a
covered Federal action.
(4) Any person who requests or rsceivu fro4: a 'Person
referred to in paragrapb(d(i) of this section a subcontract
exceeding $100,000 at any tier under a 'rederal contract shall
file a certification, AW a disclosure form, it isquired, to the
next tier above.
26
622332 Federal Retdater ! Vol. St. No 243 / Wednesday Dezember 20. Ion / Notices
(5) All disclosure forms, but not certifications, shall be
forwarded frcm tier to tier until received by the person referred
to in paragraphCL)I) of this section. That person shall forward
all disclosure forms to the agency.
(d) Agreement. In .accepting any contract resulting from this
solicitation, the person submitting the offer &gross not to sake
any payment prohibited by this clause.
(a) Penalties.
(1) Any person who sakes an expenditure prohibited under
paragraph (b) of this clause shall be subject to a civil penalty
of not less than $10,000 and not more than $100#000 for each such
expenditure.
(2) Any person who fails to file .or amend the disclosure
form to be filed or amended if required by this clause, shall be
subject to *a civil penalty of not less than $1000" wW riot sore
than $100,000 for each such failure.
(3) . Contractors say rely without liability on the
representations made by their subcontractors in the certification
and disclosure fora.
(f) Cost allovability. Nothing in this clause is to be
interpreted to make allowable or reasonable any oosts which would
be unailovable or unreasonable in aocordanw with Part 31 of the
Tederal Acquisition Regulation. Conversely, costs made
specifically unallovable by the tequirwnts in this clause will
not be made allowable under any of the provisions of Part 31 of
the Tederal Acquisition Xogulation.
pa � tea rn.a s�itu,aR ssan�
f ftd of Clause) .
27