HomeMy WebLinkAboutResolution - 3954 - Contract - TDOT - Public Transportation Funds, #513-XXF-6019 - 09_10_1992Resolution No. 3954
September 10, 1992
Item #25
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
513-XXF-6019) to be entered into by and between the City of Lubbock
and the Texas Department of Transportation, attached herewith,
which shall be spread upon the minutes of the Council and as spread
upon the minutes of this Coun all constitute and be a part of
this Resolution as if fully opied rein in detail.
Passed by the City Council this 10
ATTEST:
, City Sefretary
AP P VED AS TO CONTENT:
Larry V offma rector of
Transpo ation
APPROVED AS TO FORM:
J. Wo Fullingim, Assistant
City t orney
September 1992.
DAVID R.LANGSTON, MAYOR
Resolution No. 3954
September 10, 1992
' Item #25 ,
CONTRACTOR: CITY OF LUBBOCK/
CITIBUS
CONTRACT NUMBER: 513XXF6019
STATE PROJECT NO.: TX93-90-0105
PUBLIC TRANSPORTATION CONTRACT
THE STATE OF TEXAS X
THE COUNTY OF TRAVIS X
THIS CONTRACT is made by and between the State of Texas, acting
by and through the Texas Department of Transportation,
hereinafter called the State, and the City of Lubbock/Citibus
hereinafter called the Contractor.
W I T N E S S E T H
WHEREAS, the State is the administering agency for the State
Public Transportation Fund as prescribed by Article 6663c,
V.T.C.S.; and
WHEREAS, the Contractor desires to obtain public transportation
funds from the State for the purpose of establishing and
maintaining public and mass transportation systems; and
WHEREAS, the State is authorized under Article 6663b, V.T.C.S.,
to assist the Contractor in procuring federal aid for the purpose
of establishing and maintaining public and mass transportation
projects, hereinafter called the Project; and
WHEREAS, the Texas Transportation Commission passed Commission
Minute Orders Nos. 91951 and 100591 authorizing the State to
enter into the necessary agreements with the Contractor for
funding public transportation projects; and
NOW, THEREFORE, in consideration of the premises and of the
mutual covenants hereinafter set forth, the parties hereby agree
as follows.
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C
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 Public Transportation Director and shall terminate on
August 31, 1993 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 $149,914.00. 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.
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,
C. Payment of costs incurred under this Contract is further
governed by cost principles outlined in applicable Federal
Office of Management and Budget (OMB) publications as
follows:
State or Local Governments OMB Circular A-87
Nonprofit Organizations OMB Circular A-122
Colleges, Universities,
Educational Institutions OMB Circular A-21
D. Costs claimed by the Contractor shall be actual net costs,
that is, the price paid minus any refunds, rebates or other
items or value received by the Contractor that have the
effect of reducing the cost actually incurred. In
particular, fares and other passenger revenues shall be so
identified on the Contractor's billing to the State.
E. All major items or equipment, as described in the capital
budget in Attachment A, shall be included in this contract
as direct costs. The Contractor hereby certifies that items
of equipment included in direct costs have been excluded
from the indirect costs.
F. Requests for payment are to be submitted to the State no
more frequently than on a monthly basis, except as noted
below, on invoice statements acceptable to the State.
Additional documentation to support all costs incurred
during the billing period may be required at the discretion
of the State. As a minimum, each billing must be
accompanied by a -summary by budget line item which indicates
the total amount authorized for each line item, previous
expenditures, current period expenditures and the balance
remaining in the line item. The original invoice with
required documentation is to be submitted to the following
address:
Mr. William M. Pope, P. E.
District Engineer
Texas Department of 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.
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H. The Contractor will submit a final billing within forty-five
days of the contract termination date specified in Article 1
above.
I. The. Contractor shall make payments promptly to all
subcontractors and suppliers. Failure to do so will be
grounds for termination of this Contract by the State. The
State shall not be responsible for the debts of the
Contractor.
ARTICLE 4. CONTRACT AMENDMENTS
Changes in the scope, objectives, cost or'duration of the
Project authorized herein shall be enacted by written amendment
approved before additional work may be performed or additional
costs incurred. Any amendment so approved must be executed by
both parties within the Contract period as specified in Article
1.
ARTICLE 5. SUBCONTRACTS
Any subcontract for professional services rendered by individuals
or organizations not a part of the Contractor's organization
shall not be executed without prior authorization and approval of
the subcontract by the State. Subcontracts in excess of $25,000
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 Executive Director of the Texas Department of
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 % 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:
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(1) If any litigation, claim or audit is started before
the expiration of the three-year period, the records
shall be retained until all litigations, claims or
audit findings involving the records have been
resolved.
(2) Records for nonexpendable property.acquired in whole or
in part with State funds shall be retained for three
years after its final disposition.
(3) When records are transferred to or maintained by the
State sponsoring agency, the three-year retention
requirement is not applicable to the Contractor.
D. The Contractor further agrees to include these provisions in
each negotiated subcontract.
E. Contractor audit procedures shall meet or exceed the single
audit report requirements outlined in Office of Management
and Budget (OMB) publications as follows:
State or Local Governments
Institutions of Higher
Education and Other
Nonprofit Organizations
ARTICLE 7. FINANCIAL MANAGEMENT SYSTEMS
OMB Circular A-128
OMB Circular A-133
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
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safeguard all such assets and shall assure that they are
used solely for authorized purposes.
D. Comparison of actual with budgeted amounts for each contract
and relation of financial information to performance of
productivity data, including the production of unit cost
information, whenever appropriate and required by the State.
E. Procedures for determining the eligibility for reimbursement
and proper allocation of costs.
F. Accounting records which are supported by source
documentation.
G. A systematic method to assure timely and appropriate
resolution of audit finding and recommendations.
ARTICLE 8. PROCUREMENT STANDARDS
Contractor procurement standards shall meet or exceed the
requirements of the "Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local Governments"
(49 CFR Part 18), including insurance and bonding requirements.
The Contractor shall have written selection procedures which meet
the minimum requirements of that document. The Contractor agrees
to comply with applicable Buy America requirements set forth in
Section 401 of the Surface Transportation Assistance Act of 1978
(P.L. 95-599) and the Urban Mass Transportation Administration's
Buy America regulations at 49 CFR 660. The Contractor agrees to
comply with the cargo preference requirements set forth in 46 USC
1241 and Maritime Administration regulations set forth in 46 CFR
381.
The State must concur in the award of all purchase orders for
nonexpendable personal property as defined in 49 CFR Part 18.
The Contractor will meet all obligations incurred in its
subcontracts with its equipment suppliers, to specifically
include the prompt payment of monies due the supplier upon
delivery of acceptable equipment. Should payment be delayed for
any reason, the Contractor agrees not to operate any equipment
that has been delivered without the express permission of the
equipment vendor and to lend it the same protection it would its
own equipment.
N.
ARTICLE 9. PROPERTY MANAGEMENT
The Contractor agrees to comply with the property management
standards specified in the "Uniform Administrative Requirements
for Grants and Cooperative Agreements to State and Local
Governments" (49 CFR Part 18), in its control, use and
disposition of property or equipment governed by those standards.
Further, the Contractor shall comply with the property management
standards adopted by the State in the Texas Administrative Code,
Title 43, Chapter 31. In the event that any project facility and
equipment are not used in the proper manner or are withdrawn from
public transportation services, the Contractor shall immediately
notify the State. The State reserves the right to direct the
sale or transfer of property acquired under this Contract upon
determination by the State that said property has not been fully
and/or properly utilized.
The Contractor shall maintain at least the minimum insurance on
all vehicles and other nonexpendable personal property as
required by the insurance regulations of the State of Texas.
Irrespective of coverage by insurance, unless otherwise approved
in writing by the State, in the event of loss or damage to
project property, whether by casualty or fire, the fair market
value will be the value of the property immediately before the
casualty or fire. Unless otherwise approved by the State, in the
event of loss due to casualty or fire, straight line depreciation
of the asset, based on the industry standard for a useful life,
shall be considered fair market value.
The Contractor shall not execute any lease, pledge, mortgage,
lien or other contract touching or affecting the State interest
in any project facilities or equipment; nor shall the Contractor,
by any 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
Project under the terms and conditions determined
Secretary of the United States Department of Labor
complete the
by the
to be fair and
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equitable, to protect the interests of employees affected by the
Project and meeting the requirements of Section 13(c) of the
Urban Mass Transportation Act of 1964, as amended.
ARTICLE 11. CHARTER AND SCHOOL BUS OPERATIONS
A. The Contractor, or any subcontractor acting on its behalf,
shall not engage in charter bus operations outside the
Project area within which it provides regularly scheduled
public transportation service, except as provided under
Section 3(f) of the Urban Mass Transportation Act of 1964,
as amended, 49 USC 1602(f), and regulations pertaining to
Charter Bus Operations, set forth in 49 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.
B.
(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.
The Contractor shall promptly advise the State in writing of
events which have a significant impact upon the Contract,
including:
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(1) Problems, delays or adverse conditions which will
materially affect the ability to attain program
objectives, prevent the meeting of time schedules and
goals, or preclude the attainment of project work units
by established time periods. This disclosure shall be
accompanied by a statement of the action taken, or
contemplated, and any State assistance needed to
resolve the situation.
(2) Favorable developments or
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
exclusive remedy for any default,
law and in equity may be availed
cumulative.
ARTICLE 15. TERMINATION
considered as specifying the
but all remedies existing at
of by either party and shall be
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
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
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time (hereinafter, referred to as the Regulations),
which are herein incorporated by reference and made a
part.of this Contract.
(2) Nondiscrimination: The Contractor, with regard to the
work performed by it during the Contract, shall not
discriminate on the grounds of race, color, sex or
national origin in the selection and retention of
subcontractors, including procurements of materials and
leases of equipment. The Contractor shall not
participate either directly or indirectly in the
discrimination prohibited by Section 21.5 of the
Regulations, including employment practices when the
contract covers a program set forth in Appendix B of
the Regulations.
(3) Solicitation for Subcontracts, Including Procurements
of Materials and Equipment: In all solicitations
either by competitive bidding or negotiation made by
the Contractor for work to be performed under a
subcontract, including procurements of materials or
leases of equipment, each potential subcontractor or
supplier shall be notified by the Contractor of the
Contractor's obligations under this Contract and the
Regulations relative to nondiscrimination on the
grounds of race, color, sex or national origin.
(4) Information and Reports: The Contractor shall provide
all information and reports required by the Regulations
or directives issued pursuant thereto, and shall permit
access to its books, records,.accounts, other sources
of information and its facilities as may be determined
by the State or the Urban Mass Transportation
Administration (UMTA) to be pertinent to ascertain
compliance with such Regulations, orders and
instructions. Where any information required of a
Contractor is in the exclusive possession of another
who fails or refuses to furnish this -information, the
Contractor shall so certify to the State or the Urban
Mass Transportation Administration, as appropriate, and
shall set forth what efforts it has made to obtain the
information.
(5) Sanctions for Noncompliance: In the event of the
Contractor's noncompliance with the nondiscrimination
provisions of this Contract, the State shall impose
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such contract sanctions as it or the Urban Mass
Transportation Administration may determine to be
appropriate, including, but not limited to:
(a) Withholding of payments to the Contractor under
the Contract until the Contractor complies, and/or
(b) Cancellation, termination or suspension of the
Contract, in whole or in part.
(6) Incorporation of Provisions: The Contractor shall
include the provisions of paragraphs (1) through (6) in
every subcontract, including procurements of materials
and leases of equipment, unless exempt by the
regulations or directives issued pursuant thereto. The
Contractor shall take such action with respect to any
subcontract or procurement as the State or the Urban
Mass Transportation Administration may direct as a
means of enforcing such provisions including sanctions
for noncompliance: Provided, however, that, in the
event a contractor becomes involved in, or is
threatened with, litigation with a subcontractor or
supplier as a result of such direction, the Contractor
may request the State to enter into such litigation to
protect the interests of the State, and, in addition,
the Contractor may request the United States to enter
into such litigation to protect the interests of the
United States.
B. 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, and the Americans with
Disabilities Act.
C. DISADVANTAGED BUSINESS ENTERPRISE PROGRAM REQUIREMENTS
It is the policy of the Department of Transportation and the
State that Disadvantaged Business Enterprises as defined in
the Intermodal Surface Transportation Efficiency Act of
1991, Pub. L. No. 102-240, Sec. 1003, 105 Stat. 1914,
1918-1922 (1922), shall have the maximum opportunity to
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M
E.
participate in the performance of contracts ad subcontracts
financed in whole or in part with Federal funds.
Consequently, the Disadvantaged Business Enterprise
requirements of Pub. L. No. 102-240, Sec. 1003 apply to this
Contract as follows:
The Contractor agrees to insure that Disadvantaged Business
Enterprises (DBE) as defined in Pub. L. No. 102-240, Sec.
1003 have the maximum opportunity to participate in the.
performance of contracts and subcontracts financed in whole
or in part with Federal or State funds. In this regard, the
Contractor shall take all necessary and reasonable steps to
meet the Disadvantaged Business Enterprise goal for this
contract.
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 or
State funds.
These requirements shall be physically included in any
subcontract.
The percentage goal for Disadvantaged Business Enterprise
participation in the activities to be performed under this
contract is a minimum lot of the contract dollars available
for contracting opportunities as defined in Pub. L. o.
102-240, Sec. 1003. The contractor shall submit to the
State reports on DBE compliance efforts and documentation of
good faith efforts to meet the DBE goal. This information
shall be provided to the State on the format(s) and at time
intervals prescribed by the State.
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, which may include reductions
in,future grant awards, as the State deems appropriate.
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).
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.
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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).
(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 construction, signs
satisfactory to the State and the United States
Department of Transportation identifying the project
and indicating that the Government is participating in
the development of the project.
G. ENVIRONMENTAL PROTECTION AND ENERGY EFFICIENCY
The Contractor agrees to comply with all applicable
standards, orders or requirements issued under Section 306
of the Clean Air Act (42 USC 1857[h]; Section 508 of the
Clean Water Act (33 USC 1368); Executive Order 11738 and
Environmental Protection Agency Regulations (40 CFR, Part
15). The Contractor further agrees to report violations to
the State.
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The Contractor agrees to recognize standards and policies
relating to energy efficiency which are contained in the
State energy conservation plan issued in compliance with the
Energy Policy and Conservation Act (P.L. 94-163).
H. CONTROL OF DRUG USE
The Contractor agrees to comply with the terms of the
Omnibus Anti -Drug Abuse Act of 1988 (P.L. 100-890, Title V,
Subtitle D).
I. SUSPENSION AND DEBARMENT
The terms of the Department of Transportation regulation,
"Suspension and Debarment of Participants in DOT Financial
Assistance Programs" set forth at 49 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.
J. RESTRICTIONS ON LOBBYING
Pursuant to Section 319 of Public Law 101-121, which
generally prohibits recipients of Federal funds from using -
those monies for lobbying purposes, the Contractor shall
comply with the attached Special Provision "New Restrictions
on Lobbying", which is included as Attachment C.
K. PROHIBITED ACTIVITIES
The Contractor or any subcontractor shall not use Federal or
State assistance funds for publicity or propaganda purposes
designed to support or defeat legislation pending before
Congress or the Texas Legislature.
No member of or delegate to the Congress of the United
States shall be admitted to any share or part of this
Contract or to any benefit arising therefrom.
No member, officer or employee of the Contract during this
tenure or one year thereafter shall have any interest,
direct or indirect, in this Contract or the proceeds
thereof.
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L.
Texas Transportation Commission policy mandates that
employees of the Department shall not accept any benefits,
gifts or favors from any person doing business or who
reasonably speaking may do business with the State under
this Contract. The only exceptions allowed are ordinary
business lunches and items that have received the advanced
written approval of the State Executive Director for the
Texas Department of 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
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reduced to practice in the course of or under this -Project,
which invention, improvement or discovery may be patentable
under the Patent Laws of the United States of America or any
foreign country; and if said invention, improvement or
discovery has not already become the property of the State
under Article 15.0 above; the Contractor shall immediately
notify the State and provide a detailed report. The rights
and responsibilities of the Contractor, subcontractors and
the United States Government with respect to such invention
will be determined in accordance with applicable Federal
laws, regulations, policies and any waivers thereof.
Further, the Contractor shall comply with the provisions of
41 CFR, Part 1-9.
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.
O. INDEMNIFICATION
To the extent permitted by law, the Contractor shall
indemnify and save harmless the State from all claims and
liability due to activities of itself, its agents or
employees, performed under this agreement and which result
from an error, omission or negligent act of the Contractor
or of any person employed by the Contractor. The Contractor
shall also save harmless the State from any and all
expenses, including attorney fees which might be incurred by
the State in litigation or otherwise resisting said claim or
liabilities which might be imposed on the State as a
result of activities by the Contractor, its agents, or
employees. Such indemnity shall also apply where claims,
losses, damages, causes of actions, suits or liability arise
in whole or in part from the negligence of the State.
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.
17
Q. CONTRACTOR ACKNOWLEDGEMENT
The Contractor acknowledges that it is not an agent, servant
or employee of the State and is responsible for its own act
and deeds and for those of its agents or employees during
the performance of the contract work.
R. LEGAL CONSTRUCTION
In case any one or more of the provisions contained in this
agreement shall for any reason be held to be invalid,
illegal or unenforceable in any respect, such invalidity,
illegality or unenforceability shall not affect any other
provision thereof and this agreement shall be construed as
if such invalid, illegal or unenforceable provision had
never been contained herein.
S. PRIOR AGREEMENTS
This agreement constitutes the sole and only agreement of
the parties hereto and supersedes any prior understandings
or written or oral agreements between the parties respecting
the within subject matter.
Is
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 orders, established policies,
or work programs heretofore
approved and authorized by the
Texas Transportation
Commission under the authority
CONTRACTOR
Title. Mayor
Date: September 10, 1992
of Minute Orders 91951 and ATTEST:
100591.
'4M"to Boyd
City Secretary, City of Lubbock
APPROVED: Date: September 10, 1992
APPROVED AS TO CONTENT:
By: L!irector f �licTransportation
Larry V. Pf
fmanDirector Transportation
Date:
4 Z_ City of Lubbock
RECOMMENDED FOR EXECUTION:
District Engineer, Distr' t 5
19
AS TO FORM:
J. th''Fullingim
As i tant City Attorney
Ci of Lubbock
08/12/92
CONTRACT BUDGET
ATTACHMENT A
CONTRACTOR: CITY OF LUBBOCK/CITIBUS
STATE PROJECT NO.:TX93-90-0105
CONTRACT NUMBER: 513XXF6019
FTA NUMBER: UNKNOWN
LINE ITEM 9 DESCRIPTION TOTAL FEDERAL STATE STATE LOCAL
CSP
TX-90
II. OPERATING 50/25/25
1 OPERATING 2,600,000
1,300,000
141,548
8,366
1,150,086
----------------------
2,600,000
-----------
1,300,000 50%
141,548
-----------
5% 8,366
-----------
0% 1,150,086 44%
----------------------
TOTAL 2,600,000
-----------
1,300,000
141,548
-----------
8,366
-----------
1,150,086
Debarment Certification
(Negotiated Contracts)
(1) The CONTRACTOR certifies to the best of its knowledge and belief, that it and
its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared
ineligible or voluntarily excluded from covered transactions by any federal
department or agency;
(b) Have not within a three-year period preceding this proposal been convicted
of or had a civil judgment rendered against them for commission of fraud or a
criminal offense in connection with obtaining, attempting to obtain, or perform-
ing a public* transaction or contract under a public transaction; violation of
federal or state antitrust statutes or commission of embezzlement, theft, forgery,
bribery, falsification or destruction of records, making false statements, or
receiving stolen property;
(c) Are not presently indicated for or otherwise criminally or civilly charged by
a governmental entity* with commission of any of the offenses enumerated in
paragraph M(b) of this certification; and
(d) Have not within a three-year period preceding this application/proposal had
one or more public transactions* terminated for cause or default.
(2) Where the CONTRACTOR is unable to certify to any of the statements in
this certification, such CONTRACTOR shall attach an explanation to this
certification. ATTEST
1, state
tune
Mayor
Title
September 10, 1992
Vate
Form 1734•A
4-89
id R. Langston
Ran tte Boyd
City Secretary
APP OVED AS TO CONTENT:
Larry V Hoffman
Direct of Transportation
AS TO FORM:
JVVstant
ftth Fullingim
As City Attorney
Lower Tier Participant Debarment Certification
(Negotiated Contracts)
David R. Langston, Mayor , being duly sworn
(insert nume of certifying official)
or under penalty of perjury under the laws of the United States, certifies that
neither City of Lubbock nor its
Iinsen name of lower tier participant)
principals are presently:
• debarred, suspended, proposed for debarment,
• declared ineligible,
• or voluntarily excluded from participation in this transaction
by any Federal department or agency
Where the above identified lower tier participant is unable to certify to any of the
above statements in this certification, such prospective participant shall indicate
below to whom the exception applies, the initiating agency, and dates of action.
Exceptions will not necessarily result in denial of award, but will be considered in
determining contractor responsibility. Providing false information may result in
criminal prosecution or administrative sanctions.
EXCEPTIONS:
Mayor
Title
September 10, 1992
(late of Cenif l[aLIOn
TEST: APP VED AS TO CO TENT:
> r
4tWte iBo,5yd!!7n&5661%;.-
Larry V. fman
-City..$ecretary Director f Tran portation
APPROVED AS TO FORM:
J. Wor fi Pullingim
Assi t t City Attorney
d
Certification Information
This certification is to be used by contractors pursuant to 49 CFR 29 when any of the
following occur.
• any transaction between the contractor and a person (other than a
procurement contract for goods and services), regardless of type, under
a primary covered transaction
any procurement contract for goods or services when the estimated cost is
$25,000 or more
• any procurement contract for goods or services between the con -tractor
and a person, regardless of the amount, under which the person will have
a critical influence on or substantive control over that covered trans-
action. Such persons include principal investigators and providers of
federally -required audit services.
A procurement transaction is the process of acquiring goods and services.
A nonprocurement transaction is the granting of financial assistance to entities to
assist the grantor in meeting objectives that are mutually beneficial to the grantee
and grantor.
A COPY OF THIS CERTIFICATION IS TO BE FURNISHED TO
AUTHORIZED REPRESENTATIVES OF THE STATE OR THE U.S.
DEPARTMENT OF TRANSPORTATION UPON REQUEST.
0
1 f
CERTIFICATION
of
Restrictions on Lobbying
I� David R. Langston, Mayor , hereby certify
(name and title of grantee official)
on behalf of City of Lubbock that:
(name of grantee)
(1) No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of
any agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection
with the awarding of any Federal contract, the 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) If any funds other than Federal appropriated funds have been
paid or will be paid to any person for influencing or attempting
to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with this Federal contract,
grant, loan, or cooperative agreement, the undersigned shall
complete and submit Standard Form-LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all
subawards at all tiers (including subcontracts, subgrants, and
contracts under grants, loans, and cooperative agreements) and
that all subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon
which reliance is placed when this transaction was made or
entered into. Submission of this certification is a prerequisite
for making or entering into this transaction imposed by section
1352, title 31, U.S. Code. Any person who fails to file the
required certification s bject to a civil penalty of not
less than $10,000 and norzaor%ean,$+0"00 for each such
failure.
Executed this 10th day of( ghRf ember" ,,A9 92
ATTEST:
gnatufe of agt�orized'vf-ficial)
David R. Langston, Mayor
Ran tte Boyd (title of authorized official)
Cit Secretary
AP VED S 0 ON T: APP OVED AS TO ORM:
airy V offman J orth Fullingim
Director of Transportation A istant City Attorney
'Federal Register / Vol. 54. No. 24� Wednesday. December 20, ISM / NoVicea 52323
DISCLOSURE Of LOBBYING ACTIVITIES " ,ovd*Omt
OW-00"
Complete this form to disclose lobbying activities pursuant to 71 U.S.C. 1352
Ott reverse for public burden distJosute.)
1. Type of Federal Action:
i Status of Federal Action:
l Report Type:
a. contract
b.
a. bidroffeuapplication
a. initial filing
$rant
b_ initial award
b. material change
cooperative agreement
C. ban
d.
post-awardpost-awardFor
Material Change 00r.
e. ban
Year quarter
insurance
I. ban insurance
date of last report
4. Name and Address of Reporting Entity:
i 9 Re Ealky Is No. 6 is Subawardee, Enter Mane
�
O Prime O Subawardee
and of Prime:
Tier , if known:
Congressional District If knowrr.
Cengresskw4i District, if known:
6. Federal DepartmenL`Agency:
7. Federal Program NameMemriptim
CFDA Number, if applicable:
i. Federal Action Number, d known:
I. Award Amount if known:
S
10. a. Name and Address of lobbying Entity b. Individuals Performing services (mcludafa address d
(d indrvrdual, last name, hrit nacre, M11. Mertnt from No. JO
(last name, first nacre, Mlr
trod CMhnWhon+ 50, IN) Sr-UI-A if M(P7faT'�
11. Amount of Payment (check all that apply):
13. Type of Payment (check all that apply):
S O actual O planned
O a. retainer
O b. one-time fee
O e. commission
12. form of Payment (check all that apply):
O a. ash
O d. contingent fee
O b. in -kind. specify: nature
p h'
O e. deferred
C f. other, specify.
Pe ti=
value
14. Brief Description of Services Performed or to be Performed and Dates) of Service, including oNictAil employ -CM
or Members) contacted for Payment Indicated in Item tt:
aftZA iMO/riAhM' oweffsl S/4ll. 0 owesf
1S. Continuation SheM(s) SFd.LL-A anached: O Yet O No
16, kdw aaaon Nqwft•d ttwm* Ilia Ira a aodaaiwd br ael. at V LC
c;�'•
"
oacvon nia ttra sfCaw..r idler^$ ME -WWI a a saaaart npw»xt bm
+'6Wr.
a/ he coal .ham salv+ca air rarW by oaa tw, laim dMa thn
Prim Nanw.
Pwmwon wo wAdr a wroaod oft rM dr*%m a moaW re-wo is
ai Us C tat) rw, wow-AA-M we be wponad so ow c..s,.fi ww►
T,�
arrAwor Wd we as 020aba, br P66k wspet No AIM Mnsp wMda hto
w s» "6WW saria.,n "w "W1 ao a C" err, it aw b W +aM
r M Ono nor won than wc,ow b 106"
Telephone No.: Date
and a ws. arch
Federal chit oftir.
Aud%* iiad we- laert "ed--
Sian4wi ran" . LU
52324, Federal Regisler / Vol..54. No. 243 / Wednesday, December W. NpI16C3
INSTRUCTIONS FOR COMPLETION OF SF -ELL, DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by pie reporting entity, whether subawardee or prime Federal recipient, at the
Initiation or receipt of a covered Federal action, or a material change to a previous filing, pursuant to title 3! U.S.C.
section 1352. The filing of a forth is required for each payment or agreement to make payment to any lobbying entity for
Influencing or attempting to Influence an officer or employee of any agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in connection with a covered Federal action. Use the
SF-LLL-A Continuation Sheet for additional Information if the space on the form is Inadequate. Complete all items that
apply for both the Initial filing and material change report. Refer to the implementing guidance published by the Office of
Management and Budget for additional Information.
1. Identify the type of covered Federal action for which lobbying activity Is "or has been secured to Influence the
outcome of a covered Federal action.
2. Identify the status of the covered Federal action.
3. Identify the appropriate classification of this report. If this Is a followup report caused by a material change to the
Information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last
previousy submitted report by this reporting entity for this covered Federal action.
4. Enter the full name, address, city, state and zip code of the reporting entity. Include Congressional District, if
known. Check the appropriate classification of the reporting entity that designates if it is, or expects to be. a prime
or subaward recipient. Identify the tier of the subaward", e.g., the first subawardee of the prime is the 1st tier.
Subawards include but are not limited to subcontracts, subgrants and contract awards under grants.
S. If the organization filing the report in item 4 checks "Subawardee", then enter the full name, address, rjr), state and
zip code of the prime Federal recipient. Include Congressional District, if known.
6. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizational
level below agency name, if known. For example, Department of Transportation, United States Coast Guard.
7. Enter the Federal program name or description for the covered Federal action (item 1). It known, enter the full
Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan
commitments.
8. Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g.,
Request for Proposal (RFP) number, Invitation for Bid (IFB) number, grant announcement number, the contract,
grant, or loan award number; the applicatiorvproposal control number assigned by the Federal agency). Include
prefixes, e.g., "1UP-DE-10.001."
9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the
Federal amount of the swardloan commitment for the prime entity identified in item 4 or S.
10. (a)Enter the full name, address, city, state and zip code of the lobbying entity engaged by the reporting entity
identified in item 4 to influence the covered Federal action.
(b)Enter the full names of the individual(s) performing services, and Include full address if different from 10 (a).
Enter Last Name, First Name, and Middle Initial (MI).
11. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (item 4) to the
lobbying entity (item 10). Indicate whether the payment has been made (actual) or will be made (planned). Check
all boxes that apply. If this is a material change report, enter the cumulative amount of payment made or planned
to be made.
12. Check the appropriate box(es). Check all boxes that apply. If payment is made through an In -kind contribution,
specify the nature and value of the In -kind payment.
13. Check the appropriate box(es). Check ale boxes that apply. If other, specify nature. '
14. Provide a specific and detailed description of the services that the lobbyist has perfanned, or w01 be expected to
perform, and the date(s) of any services tendered. Indude all preparatory and related activity, not just time spent in
actual contact with Federal officials. Identify the Federal offidaks) or employee(s) contacted or the officer(s),
employee(s), or Member(s) of Congress that were contacted.
15. Check whether or not a SF-LLL-A Continuation Sheet(s) is attached.
16. The certifying official shall sign and date the form print hishser name, title, and telephone number.
Public reporting burden for this collection of information is estimated to average 3o nuntues per response, inducting tyre for reviewing
instructions, sewching e%nt q dau sources, gathering and maintaining the data needed, and completing and reviewing the collection of
Information. Send comments regarding the burden estimate or any other aspect of this collection of information. including suggestions
for reducing thrs burden. to the Office of hUrsagement and Budget. Paperwork Reductwn Project (034-0046). Wmhwgtom D C. 20503
Federal Register / Vo'.1. 54. No. 243 / Wednesday. December 20, 109 1 Notices 52325
DISCLOSURE Of LOBBYING ACTIVITIES
CONTINUATION SHEET
I It"Wrtke E. I Page -of
"dwand 1w &"
SUFAtW POM - &"
52326 Federal Register { Vol. 54, No, 243 / Wednesday, December 20. 1989 / Notices
Appendlix C to Part - Contract Clause
NEW RESTRICTIONS ON LOBBYING
(a) Definitions. As used in this clause,
"Agency", as defined in 5 U.S.C. 552(f), includes Federal
executive departments and agencies as well as independent
regulatory commissions and Government corporations, as defined in
31 U.S.C. 9101(1).
"Covered Federal action" means any of the following Federal
actions:
(1) The awarding of any Federal contract;
(2) The making of any Federal grant;
(3) The making of any Federal loan;
(4) The entering into of any cooperative agreement; and',
(5) The extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or
cooperative agreement.
Covered Federal action does not include receiving from an agency
a co=itment providing for the United States to insure or
guarantee a loan.
"Indian tribe" and "tribal organization" have the meaping
provided in section 4 of the Indian Self -Determination and
Education Assistance Act (25 U.S.C. 450B). Alaskan Natives are
included under the definitions of Indian tribes in that Act.
"Influencing or attempting to influence" means making, with
the intent to influence, any communication to or appearance
before an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with any covered Federal action.
"Local government" means a unit of government in a State
and, if chartered, established, or otherwise recognized by a
State for the performance of a governmental duty, including a
local public authority, a special district, an intrastate
district, a council of governments, a sponsor group
representative organization, and any other instrumentality of a
local government.
"Officer or employee of an agency" includes the following
individuals who are employed by an agency:
(1) An individual who is appointed to a position iD the
Government under title 5, U.S. Code, including a position
under a temporary appointment;
(2) A member of the uniformed services as defined in
section 101(3), title 37, U.S. Code;
(3) A special Government employee as defined in section
202, title 18, U.S. Code; and,
21
federal Repster col. S�: No. 24S'/ ►veanes.tay, Uece:nuer 20, 1009 i NO'HCef 52327
(4) An individual who is a member of a Federal advisory
committee, as defined by the Federal Advisory Committee Act,
title 5, U.S. Code appendix 2.
"Person" means an individual, corporation, company,
association, authority, firm, partnership, society, State, and
local government, regardless of whether such entity is operated
for profit or not for profit. This tern excludes an Indian
tribe, tribal organization, or any other Indian organization with
respect to expenditures specifically permitted by other Federal
law.
"Reasonable compensation" means, with respect to a regularly
employed officer or employee of any person, compensation that is
consistent with the normal compensation for such officer or
employee for work that is not furnished to, not funded by, or not
furnished in cooperation with the Federal Government.
"Reasonable payment" means, With respect to professibnal and
other technical services, a payment in an amount that is
consistent with the amount normally paid for such services in the
private sector.
"Recipient" includes all contractors and subcontractors at
any tier in connection with a Federal contract. The term
excludes an Indian tribe, tribal organization, or any other
Indian organization with respect to expenditures specifically
permitted by other Federal law.
"Regularly employed" means, with respect to an officer or
employee of a person requesting or receiving a Federal contract,
an officer or employee who is employed by such person for at
least 130 working days within one year immediately preceding the
date of the submission that initiates agency consideration of
such person for receipt of such contract. An officer or employee
who is employed by such person for less than 130 working days
within one year immediately preceding the date of the submission
that initiates agency consideration of such person shall be
considered to be regularly employed as soon as he or she is
employed by such person for 130 working days.
"State" means a State of the United States, the District of
Columbia, the Commonwealth of Puerto Rico, a territory or
possession of the United States, an agency or instrumentality of
a State, and a multi -State, regional, or interstate entity having
governmental duties and powers.
(b) Prohibition.
(1) Section 1352 of title 31, U.S. Code provides in part
that no appropriated funds may be expended by the recipient of a
Federal contract, grant, loan, or cooperative agreement to pay
22
6232E Federal Regter / Vol. 54. No. ?A3 '/ Wednesday, December 20, 19W / htstiteg
any person for influencing or attempting to influence an officer
or employee of any agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in
connection with any of the following covered Federal actions:
the awarding of any Federal contract, the making of any Federal
grant, the making of any Federal loan, the entering into of any
cooperative agreement, and the extension, continuation, reneval,
amendment, or modification of any Federal contract., grant, loan,
or cooperative agreement.
(2) The prohibition does not apply as follows:
(i) Agency and legislative liaison by own Employees.
(A) The prohibition on the use of appropriated
funds, in paragrap*)(1) of this section, does not apply in the
case of a payment or reasonable compensation made to an officer
or employee of a person requesting or receiving a Federal
contract if the payment is for agency and legislative' liaison
activities not directly related to a covered Federal action.
(b)WO
(B) For purposes of paragraph A (A) of this
section, providing any information specifically requested by an
agency or Congress is allowable at any time.
(C) For purposes of paragraph (A) of this
section, the following agency and legislative liaison activities
are allowable at any time only where they are not related to a
specific solicitatiolL for any covered Federal action:
1 (1) Discussing with an agency (including
individual demonstrations) the qualities and characteristics of
the personss products or services, conditions or terms of sale,
and service capabilit4esj and,
4 (fli) Technical discussions and other
activities regarding the application or adaptation of 'the
personss products or services for an agencyls use.
(D) For purposes of paragraph (A) of this
section, the following agency and legislative lia tson activities
are allowable only where they ,are prior to formal solicitation of
any covered Federal motion:
z (f�) Providing any information not
specifically requested but necessary for an agency to make an
informed decision ah=t initiation of a covered Federal actions
i) Technical discussions regarding the
preparation of an unsolicited proposal prior to its official
submission; and,
= (hi) Capability presentations by persons
seeking awards from an agency pursuant to the provisions of the
Small Business Act, as amended by Public Law 95-507 and other
subsequent amendments.
23
Federal Register / Vol. 'S�, No. ;%3 / Wednesday. December 20. 1089 / Notices 62329
(E) only those activities expressly authorized by
paragraphn(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 paragraphal) 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 if payment is for professional
or technical -services rendered directly in the preparation,
submission, or negotiation of any bid, proposal, or application
for that Federal contract or for meeting requirements imposed by
or pursuant to law as a condition for receiving that Federal
contract.
i Cis
(B) 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 lawyer is allowable.
similarly,. technical advice provided by an engineer on the
performance or operational capability of a piece of equipment
rendered directly in the negotiation of a contract is allowable.
However, communications with the intent to influence made by a
professional (such as a licensed lawyer) or a 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 unless the advice
or analysis is rendered directly and solely in the preparation,
submission or negotiation of a covered Federal action. Thus, for
example, communications with the intent to influence made by a
lawyer that do not provide legal advice or analysis directly and
solely related to the legal aspects of his or her client's
proposal, but generally advocate one proposal over another are
not allowable under this section because the lawyer is not
providing professional legal services. Similarly, communications
with the intent to influence'made by an engineer providing an
engineering analysis prior to the preparation or submission of a
bid or proposal are not allowable under this section since the
engineer is providing technical services but not directly in the
preparation, submission or negotiation of a covered Federal
action.
(C) Requirements imposed by or pursuant to law ae
a condition for receiving a covered Federal award include those
required by law or regulation, or reasonably expected to be
required by law or regulation, and any other requirements in the
actual award documents.
24
52330 'relies) Register / Vol. 54. No. 243`j Wednesday, December 20. 19N / .ti;el
(bx*') (D) only those services expressly authorized by
paragraph 4(11) of this section are allowable under paragraph (b)(2)
(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 paragraphal) of this section, does not apply in the
case of any reasonable payment to a person, other than an officer
or employee of a person requesting or receiving a covered Federal
action, if the payment is for professional'or technical services
rendered directly in the preparation, submission, or negotiation
of any bid, proposal, or application for that Federal contract or
for meeting requirements imposed by or pursuant to law as a
condition for receiving that Federal contract.
Cbi(s) C; 0
(B) For purposes of paragraphs (A) of this
section, "professional and technical services" shall be limited
to advice and 'analysis directly applying any professional or
technical discipline. For example, drafting of a legal document
accompanying a bid or proposal by a lawyer is allowable.
Similarly, technical advice provided by an engineer on the
performance or operational capability of a piece of equipment
rendered directly in the negotiation of a contract is allowable.
However, communications with the intent to influence made by a
professional (such as a licensed lawyer) or a 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 unless the advice
or analysis is rendered directly and solely in the preparation,
submission or negotiation of a covered Federal action. Thus, for
example, communications with the intent to influence made by a
lawyer that do not provide legal advice or analysis directly and
solely related to the legal aspects of his or her client's
proposal, but generally advocate one proposal over another are
not allowable under this section because the lawyer is not
providing professional legal services. Similarly, communications
with the intent to influence made by an engineer providing an
engineering analysis prior to the preparation or submission.of a
bid or proposal are not allowable under this section since the
engineer is_providing technical services but not directly in the
preparation, submission or negotiation of a covered Federal
action.
25
Federal ReVister J Vol.'A,, No. 241 / Wednesday, December 20. iWO / 149iices
(C) Requirements imposed by or pursuant to law as
a condition for receiving a covered Federal award include those
required by law or regulation, or reasonably expected to be
required by law or regulation, and any other requirements in the
actual award documents.
(D) Persons other than officers or employees of
a person requesting or receiving a covered Federal action include
consultants and trade associations.
CbX,*) (E) only those services expressly authorized by
paragraph# (iv) of this section are allowable under paragraph�bXL)
(iv) •
(c) Disclosure.
(1) Each person who requests or receives from an agency a
Federal contract shall file with that agency a certification, set
forth in , that the person has not made, and will not make,
any payment prohibited by paragraph (b) of this clause.
(2) Each person who requests or receives fron an agency a
Federal contract shall file with that agency a disclosure form,
Standard Form-LLL, "Disclosure of Lobbying Activities," if such
person has Dade or has agreed to make any payment using
nonappropriated funds (to include profits from any covered
Federal action), which would be prohibited under paragraph (b) of
this clause if paid for with appropriated funds.
(3) Each person shall file a disclosure for at the end of
each calendar quarter in which there occurs any event that
requires disclosure or that materially affects the accuracy of
the information contained in an disclosure form previously filed
by such person under paragrapbCcX2) of this section. An event
that materially affects the accuracy of the information reported
includes:
(i) A cumulative increase of $25,000 or more in the
amount paid or expected to be paid for influencing or attempting
to influence a covered Federal action; o;
(ii) A change in- the person(s) or individual(s)
influencing or attempting to influence a covered Federal action;
or,
(iii) A change in the officer(s), employee(s), or
Member(s) contacted to influence or attempt to influence a
covered Federal action.
(4) Any person who requests or receives from a 'person•
referred to in paragraph(e)(1) of this section a subcontract
exceeding $100,000 at any tier under a Federal contract shall
file a certification, And a disclosure form, if required, to the
next tier above.
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Ur2332• Federal Register J Vol. 54, No-` 43 / w'ednesday, December 30. 154-,,( hoti;,es
(5) All disclosure forms, but not certifications, shall Lie
forwarded from 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 cubmitting the offer agrees not to make
any payment prohibited by this clause.
(e) Penalties.
(1) Any person who makes an expenditure prohibited under
paragraph (b) of this clause shall be subject to a civil penalty
of not less than $10,000 and not more than $100,000 for each such
expenditure.
(2) Any person who fails to file or amend the disclosure
form to be filed or amended if required by this clause, shall be
subject to a civil penalty of not less than $10,000 and not more
than 0,100,000 for each such failure.
(3) Contractors may rely without liability on the
representations.made by their subcontractors in the certification
and disclosure form.
(f) Cost allowability. Nothing in this clause is to be
interpreted to make allowable or reasonable any costs which would
be unallowable or unreasonable in accordance with Part 31 of the
Federal Acquisition Regulation. - Conversely, costs made
specifically unallowable by the requirements in this clause will
not be made allowable under any of the provisions of Part 31 of
the Federal Acquisition Regulation.
.FR Doc. 09-W32 Filed 12-iS-0q; 120.5 pm)
thIM cos[ 31r41t
(End of Clause)
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