HomeMy WebLinkAboutResolution - 2001-R0018 - Grant Agreement With Texas Department Of Transportation For Operating Assistance - 01/25/2001Resolution No. 2001-R0018
January 25, 2001
Item No. 34
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, Amendment No. 1 to Grant
Agreement No. 51105F-1017 between the City of Lubbock and the Texas Department of
Transportation (TxDOT), for operating assistance, and related documents. Said
Amendment is attached hereto and incorporated in this resolution as if fully set forth
herein and shall be included in the minutes of the City Council.
Passed by the City Council this 25th day of January , 2001.
W Y SITT , `MAYOR
ATTEST:
Becky Garza
Interim City Secretary
APPROVED AS TO CONTENT:
Richard Burdine
Assistant City Manager
APPROVED AS TO FORM:
William de Haas
Contract Manager/Attorney
Dh/Ccdocs/TXDOT Grant Agreement.res
January i 6, 2001
SERVICE AREA: City of Lubbock
RECIPIENT: City of Lubbock
PUBLIC TRANSPORTATION (SECTION 5307) GRANT AGREEMENT
GRANT AGREEMENT NO. 51105FI017
STATE PROJECT NO. URB 0101 (05)
AMENDMENT TO GRANT AGREEMENT
THE STATE OF TEXAS §
THE COUNTY OF TRAVIS §
Resolution No. 2001-ROO18
January 25, 2001
Item No. 34
THIS AMENDMENT TO GRANT AGREEMENT made by and between the State of Texas acting by
and through the Texas Department of Transportation, hereinafter called the "State", and City of Lubbock,
herein after called the "Recipient".
WITNESSETH
WHEREAS, on or about September 1, 2000, a Grant Agreement was entered into by and between
the above-mentioned parties, which Grant Agreement provided for the expenditure of funds pursuant to the
provisions of the Transportation Code, Chapter 455, which authorizes the State to assist the Recipient in
procuring aid for the purpose of establishing and maintaining public and mass transportation projects and
to administer funds appropriated for public transportation under Transportation Code, Chapter 456; and,
WHEREAS, the State has not received the full oil overcharge fund appropriation for Fiscal Years
2000-2001, and finds it necessary to revise the funding programmed under this agreement, and,
WHEREAS, the oil overcharge funding requires additional assurances, and,
WHEREAS, the Subrecipient has requested to reprogram state funds originally programmed in
FY 2000 into the FY 2001 grant agreement and the State has approved the request.
NOW, THEREFORE, in consideration of the mutual covenants herein set forth, the parties hereto
agree to amend the above-mentioned Grant Agreement as follows:
I. Article 3A, page 2, sentence 1 is revised to read "The maximum amount payable under this agreement
without modification is $1,240,435.00. Exhibit A attached hereto is the revised project budget and shall
replace the budget included with the above-mentioned Grant.
II. Attachments C -H are hereby incorporated into above-mentioned Grant.
Page 1 of 15
III. All of the other terms, conditions and provisions of the original Grant Agreement shall remain in full
force and effect.
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 of Minute
Order No's 107876.
Carlley
Lubbock District Engineer
The City of Lubboc
By:
Windy Sitto
Mayor
Date: January 25, 2001
APP 0 E AS TO CONTENT:
Richard Burdine
Assistant City Manager
APPROVED
RECIPIENT
Page 2 of 15
Date
ATTEST:
B
Becky Garza C)
Interim City Secretary
A��- /-L /94
illiam de Haas
contract Manager
Resolution No. 2001—R 0018
ATTACHMENT C Contract No. URB 0101 (05)
DOE F 1600.5 OMB Control No.
(06-94) 1910-0400
All Other Editions Are Obsolete
U.S. DEPARTMENT OF ENERGY
Assurance of Compliance
Nondiscrimination in State Assisted Programs
OMB Burden Disclosure Statement
Public reporting burden for this collection of information is estimated to average 15 minutes per response, including the time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of
information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for
reducing this burden, to Office of Information Resources Management Policy, Plans, and Oversight, Records Management Division, HR -422 -
GTN, Paperwork Reduction Project (1910-0400), U.S. Department of Energy, 1000 Independence Avenue, S.W., Washington, DC 20585; and to
the Office of Management and Budget (OMB), Paperwork Reduction Project (1910-0400), Washington, DC 20503.
City of Lubbock (Hereinafter called the "Applicant") HEREBY AGREES to comply with Title VI of the Civil Rights Act
of 1964 (Pub. L. 88-352), Section 16 of the Federal Energy Administration Act of 1974 (Pub. L. 93-275), Section 401 of the
Energy Reorganization Act of 1974 (Pub. L. 93-438), Title IX of the Education Amendments of 1972, as amended (Pub. L.
92-318, Pub. L. 93-568, and Pub. L. 94-482), Section 504 of the Rehabilitation Act of 1973 (Pub. L. 93-112), the Age
Discrimination Act of 1977 (Pub. L. 94-135), Title VIII of the Civil Rights Act of 1968 (Pub. L. 90-284), the Department of
Energy Organization Act of 1977 (Pub. L. 95-91), the Energy Conservation and Production Act of 1976, as amended, (Pub. L.
94-385) and Title 10 Code of Federal Regulations, Part 1040. In accordance with the above laws and regulations issued
pursuant thereto, the Applicant agrees to assure that no person in the United States shall, on the ground of race, color, national
origin, sex, age, or disability, be excluded from participation in, be denied the benefits of, or be otherwise subjected to
discrimination under any program or activity in which the Applicant receives Federal assistance from the Department of
Energy.
Applicability and Period of Obligation
In the case of any service, financial aid, covered employment, equipment, property, or structure provided, leased, or improved
with Federal assistance funding extended to the Applicant by the Department of Energy, this assurance obligates the Applicant
for the period during which the Federal assistance is extended. In the case of any transfer of such service, financial aid,
equipment, property, or structure, this assurance obligates the transferee for the period during which Federal assistance is
extended. If any personal property is so provided, this assurance obligates the Applicant for the period during which it retains
ownership or possession of the property. In all other cases, this assurance obligates the Applicant for the period during which
the Federal assistance is extended to the Applicant by the Department of Energy.
Employment Practices
Where a primary objective of the Federal assistance is to provide employment or where the Applicant's employment practices
affect the delivery of services in programs or activities resulting from Federal assistance extended by the Department of
Energy, the Applicant agrees not to discriminate on the ground of race, color, national origin, sex, and disability, in its
employment practices. Such employment practices may include, but are not limited to, recruitment, advertising, hiring, layoff
or termination, promotion, demotion, transfer, rates of pay, training and participation in upward mobility programs, or other
forms of compensation and use of facilities.
Subrecipient Assurance
The Applicant shall require any individual, organization, or other entity with whom it subcontracts, subgrants, or subleases for
the purpose of providing any service, financial aid, equipment, property, or structure to comply with laws cited above. To this
end, the Subrecipient shall be required to sign a written assurance form; however, the obligation of both recipient and
subrecipient to ensure compliance is not relieved by the collection or submission of written assurance forms.
Data Collection and Access to Records
Page 3 of 15
The Applicant agrees to compile and maintain information pertaining to programs or activities developed as a result of the
Applicant's receipt of Federal assistance from the Department of Vnergy. Such information shall include, but is not limited to
the following: (1) the manner in which services are or will be provided and related data necessary for determining whether any
persons are or will be denied such services on the basis of prohibited discrimination; (2) the population eligible to be serviced
by race, color, national origin, sex, and disability; (3) data regarding covered employment, including use or planned use of
bilingual public contact employees serving beneficiaries of the program where necessary to permit effective participation by
beneficiaries unable to speak or understand English; (4) the location of existing or proposed facilities connected with the
program and related information adequate for determining whether the location has or will have the effect of unnecessarily
denying access to any person on the basis of prohibited discrimination; (5) the present or proposed membership by race, color,
national origin, sex, and disability, in any planning or advisory body which is an integral part of the program; and (6) any
additional written data determined by the Department of Energy to be relevant to the obligation to assure compliance by
recipients with laws cited in the first paragraph of this assurance.
The Applicant agrees to submit requested data to the Department of Energy regarding programs and activities developed by
the Applicant from the use of Federal funds extended by the Department of Energy. Facilities of the Applicant (including the
physical plants, buildings, or other structures) and all records, books, accounts, and other sources of information pertinent to
the Applicant's compliance with the civil rights laws shall be made available for inspection during normal business hours of
request of an officer or employee of the Department of Energy specifically authorized to make such inspections. Instructions
in this regard will be provided by the Director, Office of Civil Rights, U. S. Department of Energy.
This assurance is given in consideration of and for the purpose of obtaining any and all Federal grants, loans, contracts
(excluding procurement contracts), property, discounts or other Federal assistance extended after the date hereto, to the
Applicants by the Department of Energy, including installment payments on account after such date of application for Federal
assistance which are approved before such date. The Applicant recognizes and agrees that such Federal assistance will be
extended in reliance upon the representations and agreements made in this assurance and that the United State shall have the
right to seek judicial enforcement of this assurance. This assurance is binding on the Applicant, its successors, transferees, and
assignees, as well as the person(s) whose signature appears below and who is authorized to sign this assurance on behalf of the
Applicant.
Applicant Certification
The Applicant certifies that it has complied, or that, within 90 days of the date of the grant, it will comply with all applicable
requirements of 10 C.F.R. § 1040.5 (a copy will be furnished to the Applicant upon written request to DOE.)
Designated Responsible Employee
/j/'//)'01 "A 0. G. J Ago, yt e/ td 6 274-- 3
Name and Title (Printed or Typed) Telephone Number
Signature Date
Telephone Number
Address Date
Authorized Official:
WINDY SITTON, May r, City 0, Lubbock
Nam Ad TiflqPrinted Rpe Telephone Number
/ ! i/(�(/ " January 25, 2001
Signature Date
ATTEST:
BECKY GARZA Interim City -cretary
Page 4 of 15
ATTACHMENT D Contract No. URB 0101 (05)
Certification Regarding Debarment, Suspension, Ineligibility,
and Voluntary Exclusion -Lower Tier Covered Transactions
Instructions for Certification
1. The prospective lower tier participant is required to sign the attached certification.
2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction
was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous
certification, in addition to other remedies available to the Federal Government, the department or agency with which
this transaction originated may pursue available remedies, including suspension and/or debarment.
3. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant learns that its certification was erroneous when submitted
or has become erroneous by reason of changed circumstances.
4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant,"
"person," "primary covered transaction," "principle," "proposal," and "voluntarily excluded," as used in this clause,
have the meanings set out in the Definitions and Coverage sections of the rules implementing Executive Order 12549.
You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction
be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred,
suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized
by the department or agency with which this transaction originated.
6. The prospective lower tier participant further agrees by submitting this proposal that it will include the clause titled
"Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Lower Tier Covered
Transaction," without modification, in all solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered
transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it
knows that the certification is erroneous. A participant may decide the method and frequency by which it determines
the eligibility of its principals. Each participant may, but is not required to, check the Nonprocurement List.
8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render
in good faith the certification required by this clause. The knowledge and information of a participant is not required to
exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.
9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or
voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal
Government, the department or agency with which this transaction originated may pursue available remedies, including
suspension and/or debarment.
(1) The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals
is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from
participation in this transaction by any Federal department or agency.
(2) Where the prospective lower tier participant is unable to certify to any of the statements in this certification,
such prospective participant shall attach an explanation to this proposal.
City of Lubbock
Organization Name /J f
Name and Tile of Authorized Representative
Sifnature Date
Page 5 of 15
ATTACHMENT E Contract No. URB 0101 (05)
CERTIFICATIONS REGARDING LOBBYING; DEBARMENT, SUSPENSION AND OTHER
RESPONSIBILITY MATTERS; AND DRUG-FREE WORKPLACE REQUIREMENTS
Applicants should refer to the regulations cited below to determine the certification to which they are required to attest. Applicants should also review the
instructions for certification included in the regulations before completing this form. Signature of this form provides for compliance with certification
requirements under 34 CFR Part 82, "New Restrictions on Lobbying," and 34 CFR Part 85, "Government -wide Debarment and Suspension
(Nonprocurement) and Government -wide Requirements for Drug -Free Workplace (Grants)." The certifications shall be treated as a material
representation of fact upon which reliance will be placed when the Department of Energy determines to award the covered transaction, grant, or
cooperative agreement.
1. LOBBYING
The undersigned certifies, to the best of his or her
knowledge and belief, that:
(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 was 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 shall be subject to a
civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
2. DEBARMENT, SUSPENSION, AND OTHER
RESPONSIBILITY MATTERS
Page 6 of 15
(1) The prospective primary participant 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
receding 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 performing a public
(Federal, State or local) 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 indicted for or otherwise
criminally or civilly charged by a
government entity (Federal, State or local)
with commission of any of the offenses
enumerated in paragraph (1)(b) of this
certification; and
(d) Have not within a three-year period
preceding this application/proposal had one
or more public transactions (Federal, State
or local) terminated for cause or default.
(2) Where the prospective primary participant is
unable to certify to any of the statements in this
certification, such prospective participant shall
attach an explanation to this proposal.
3. DRUG-FREE WORKPLACE
This certification is required by the Drug -Free
Workplace Act of 1988 (Pub.;h. 100-690, Title V,
Subtitle D) and is implemented through additions to
the Debarment and Suspension regulations,
published in the Federal Register on January 31,
1989, and May 25, 1990.
ALTERNATE I
(GRANTEES OTHER THAN INDIVIDUALS)
(1) The grantee certifies that it will or will continue
to provide a drug-free workplace by:
(a) Publishing a statement notifying employees
that the unlawful manufacture, distribution,
dispensing, possession, or use of a
controlled substance is prohibited in the
grantee's workplace and specifying the
actions that will be taken against employees
for violation of such prohibition;
(b) Establishing an ongoing drug-free
awareness program to inform employees
about:
(1) The dangers of drug abuse in the
workplace;
(2) The grantee's policy of maintaining a
drug-free workplace;
(3) Any available drug counseling,
rehabilitation, and employee assistance
programs; and
(4) The penalties that may be imposed
upon employees for drug abuse
violations occurring in the workplace;
(c) Making it a requirement that each
employee to be engaged in the performance
of the grant be given a copy of the
statement required by paragraph (a);
(d) Notifying the employee in the statement
required by paragraph (a) that, as a
condition of employment under the grant,
the employee will:
(1) Abide by the terms of the statement;
and
(2) Notify the employer in writing, of his
or her conviction for a violation of
criminal drug statute occurring in the
work -place not later than five calendar
days after such conviction;
(e) Notifying the agency, in writing, within ten
calendar days after receiving notice under
subparagraph (d)(2) from an employee or
otherwise receiving actual notice of such
conviction. Employers of convicted
employee's must provide notice, including
Page 7 of 15
position title, to energy grant officer or
other designee on whose grant activity the
convicted employee was working, unless
the Federal agency has designated a central
point for the receipt of such notices. Notice
shall include the identification number(s) of
each affected grant;
(f) Taking one of the following actions, within
30 calendar days of receiving notice under
subparagraph (d)(2), with respect to any
employee who is so convicted:
(1) Taking appropriate actions against
such an employee, up to and including
termination, consistent with the
requirements of the Rehabilitation Act
9f 1973, as amended; or
(2) Requiring such employee to participate
satisfactorily in a drug abuse assistance
or rehabilitation program approved for
such purposes by a Federal, State or
local health, law enforcement, or other
appropriate agency;
(g) Making a good faith effort to continue to
maintain a drug-free workplace through
implementation of paragraphs (a), (b), (c),
(d), (e), and (f).
(2) The grantee may insert in the space provided
below the site(s) for the performance of work
done in connection with the specific grant:
Place of Performance:
(Street address, city, county, state, zip code)
801 Texas Avenue
Lubbock, Lubbock County,
Texas 79401
Check if there are workplaces on file that are
not identified here.
ALTERNATE II (GRANTEES WHO ARE
INDIVIDUALS)
(1) The grantee certifies that, as a condition of the
grant, he or she will not engage in the unlawful
manufacture, distribution, dispensing,
possession, or use of a controlled substances in
conducting any activity with the grant.
(2) If convicted of a criminal drug offense
resulting from a violation occurring during
the conduct of any grant activity, he or she
will report the conviction, in writing, within
10 calendar days of the conviction, to every
grant officer or other designee, unless the
Federal agency designates a central point
for the receipt of such notices. When
notice is made to such a central point, it
shall include the identification number(s) of
each affected grant.
4. LOBBYING DISCLOSURE ACT OF 1995,
SIMPSON-CRAIG AMENDMENT
Applicant organization which are described in
section 501 (c)(4) of the Internal Revenue Code of
1986 and engage in lobbying activities after
December 31, 1995, shall not be eligible for the
receipt of Federal funds constituting an award, grant,
or loan. Section 501(c)(4) of the Internal Revenue
Code of 1986 covers:
Civic leagues or organizations not
organized for profit but operated
exclusively for the promotion of social
welfare, or local associations of
employees, the membership of which is
limited to the employees of a designated
persons or person in a particular
municipality, and the net earning of which
are devoted exclusively to charitable,
educational, or recreational purposes.
As set forth in the Lobbying Disclosure Act of 1995
(Public Law 104-65, December 19, 1995), as
amended ["Simpson -Craig Amendment," see
Section 129 of The Balanced Budget
Downpayment Act, I (Public Law 104-99, January
26, 1996)], lobbying activities is defined broadly.
(See section 3 of the Act.)
The undersigned certifies, to the best of his or her
knowledge and belief, that: it IS NOT an
organization described in section 501 (c)(4) of the
Internal Revenue Code of 1986: OR that it IS an
organization described in section 501 (c)(4) of the
Internal Revenue Code of 1986, which, after
December 31, 1995, HAS NOT engaged in any
lobbying activities as defined in the Lobbying
Disclosure Act of 1995, as amended.
As the duly authorized representative of the applicant, I hereby certify that the applicant will comply with the
above certifications.
Name of Applicant
City of Lubbock, URB 0101 05
Pre/Award Number and/or Project Name
Id, II/ ,,, C/C )� (", J71-� -,�)
Printed Name and Title of Authorized Representative
&�_ ZL i4e�
'Signature Date
Page 8 of 15
ATTACHMENT F Contract No. URB 0101 (05)
DISCLOSURE OF LOBBYING ACTIVITIES
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352
1.
Type of Federal Action: B
2. Status of Federal Action: C
3. Report Type: B
a. contract
a. bid/offer/application
a. initial filing
b. grant
b. initial award
b. material change
c. cooperative agreement
c. post award
For Material Change Only:
d. loan
year 2001 quarter 2
e. loan guarantee
date of last report
f. loan insurance
4.
Name and Address of Reporting Entity:
5. If Reporting Entity in No. 4 is Subawardee, Enter
Name and Address of Prime:
Name Citibus
N/A
Address 801 Texas
X Prime Subawardee
Tier, if known:
6.
Federal Department/Agency:
7. Federal Program Name/Description
FTA
20—DOT-509
CFDA Number, if applicable:
8.
Federal Action Number, If known:
9. Award Amount, if known:
10.a. Name and Address of Lobbying Entity:
10.b. Individual Performing Services (including address
(if individual, last name, first name, MI):
if different from No. 10A) (last name, first name, M1):
N/A
N/A
(attach Continuation Sheet(s) SF -LLL -A, if necessary)
11.
Amount of Payment (check all that apply):
12. Form of Payment (check all that apply):
a. cash
S N/A actual
b. in-kind; specify: nature
planned
N/A value
13.
Type of Payment (check all that apply):
_ a. retainer c. commission
e. deferred
b. one-time fee _ d. contingent fee _ f. other; specify
14.
Brief Description of Services Performed or to be Performed and Date(s) of Service, including officer(s),
employee(s), or Member(s) contacted, for Payment indicated in Item 11:
Urban Public Transportation
15.
Continuation Sheet(s) SF -LLL -A attached:
Yes X No
16.
Information requested through this form is authorized by title 31 U.S.C.
Authorized Representative:
section 1352. This disclosure of lobbying activities is a material
representation of fact upon which reliance was placed by the tier above
when this transaction was made or entered into. This disclosure is
A t v ! c
Title: /y
required pursuant to 31 U.S.C. 1352. This information will be reported
Signature:..
to the Congress semi-annual and will be available for public inspection.
Any person who fails to file the required disclosure shall be subject to a
civil penalty of not less than $10,000 and not more than $100,000 for
each such failure
Telephone: �(�6 774_2 1 5 Date:
Page 9
Resolution No. 2001—R0018
ATTACHMENT G Contract No. URB 0101 (05)
ASSURANCES -- NON -CONSTRUCTION PROGRAMS
OMB Approval No. 0348-0040
Note: Certain of these assurances may not be applicable to your project or program. If you have questions,
please contact the awarding agency. Further, certain Federal awarding agencies may require
applicants to certify to additional assurances. If such is the case, you will be notified.
As the duly authorized representative of the applicant, I certify that the applicant:
1. Has the legal authority to apply for Federal assistance, and the institutional, managerial and
financial capability (including funds sufficient to pay the non -Federal share of project costs) to
ensure proper planning, management and completion of the project described in this application.
2. Will give the awarding agency, the Comptroller, the United States, and if appropriate, the State,
through any authorized representative, access to and the right to examine all records, books,
papers, or documents related to the award; and will establish a proper accounting system in
accordance with generally accepted accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from using their positions for a purpose that
constitutes or presents the appearance of personal or organizational conflict of interest, or
personal gain.
4. Will initiate and complete the work within the applicable time frame after receipt of approval of
the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. §§ 4728-4763)
relating to prescribed standards for merit systems for programs funded under one of the nineteen
statutes or regulations specified in Appendix A of OPM's Standards for a Merit System of
Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to nondiscrimination. These include but are not
limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin; (b) Title IX of the Education
Amendments of 1972, as amended (20 U.S.C. §§ 1681-1683, and 1685-1686), which prohibits
discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended
(29 U.S.C. § 794), which prohibits discrimination on the basis of handicaps (d) the Age
Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101-6107), which prohibits
discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L.
92-255), as amended, relating to nondiscrimination on the basis of drug abuse; (f) the
Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of
1970 (P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or
alcoholism; (g) §§ 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and
290 ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h)
Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental or financing of housing; (i) any other nondiscrimination
provisions in the specific statute(s) under which application for Federal assistance is being made;
and 0) the requirements of any other nondiscrimination statute(s) which may apply to the
application.
7. Will comply, or has already complied, with the requirements of Titles II and III of the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which
provide for fair and equitable treatment of persons displaced or whose property is acquired as a
result of Federal or federally assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal participation in purchases.
Page 10
8. Will comply with the provisions of the Hatch Act (5 U.S.C. §§ 1501-1508 and 7324-7328) which
limit the political activities of employees whose principal employment activities are funded in
whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C. §§ 276a to
276a-7), the Copeland Act (40 U.S.C. § 276c and 18 U.S.C. §§ 874), and the Contract Work
Hours and Safety Standards Act (40 U.S.C. §§ 327-333), regarding labor standards for federally
assisted construction sub -agreements.
10. Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the
Flood Disaster Protection Act of 1973 (P.L. 93- 234) which requires recipients in a special flood
hazard area to participate in the program and to purchase flood insurance if the total cost of
insurable construction and acquisition is $10,000 or more.
11. Will comply with environmental standards which may be prescribed pursuant to the following:
(a) institution of environmental quality control measures under the National Environmental
Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (b) notification of violating
facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation
of flood hazards in flood plains in accordance with EO 11988; (e) assurance of project
consistency with the approved State management program developed under the Coastal Zone
Management Act of 1972 (16 U.S.C. §§ 1451 et seq.); (f) conformity of Federal actions to State
(Clear Air) Implementation Plans under Section 176(c) of the Clear Air Act of 1955, as amended
(42 U.S.C. § 7401 et seq.); (g) protection of underground sources of drinking water under the
Safe Drinking Water Act of 1974, as amended, (P.L. 93-523); and (h) protection of endangered
species under the Endangered Species Act of 1973, as amended, (P.L. 93-205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§ 1271 et seq.) related to
protecting components or potential components of the national wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with Section 106 of the National Historic
Preservation Act of 1966, as amended (16 U.S.C. 470), EO 11593 (identification and protection
of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C.
469 a-1 et seq.)
14. Will comply with P.L. 93-348 regarding the protection of human subjects involved in research,
development, and related activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7
U.S.C. 2131 et seq.) pertaining to the care, handling, and treatment of warm blooded animals
held for research, teaching, or other activities supported by this award of assistance.
16. Will comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. §§ 4801 et seq.)
which prohibits the use of lead based paint in construction or rehabilitation of residence
structures.
17. Will cause to be performed the required financial and compliance audits in accordance with the
Single Audit Act of 1984.
18. Will comply with all applicable requirements of all other Federal laws, executive orders,
regulations and policies governing this program.
Page 11
Signature of Authorized Certifying Official Title
City of Lubbock
Applicant Organization
Page 12
Date Submitted
Resolution No. 2001—R0018
ATTACHMENT H Contract No. URB 0101 (05)
Intellectual Property Provisions
AUTHORIZATION AND CONSENT (41 CFR 9-9.102-1)
The Government hereby gives its authorization and consent (without prejudice to any rights of
indemnification) for all use and manufacture, in the performance of this grant or any part hereof or any
amendment hereto or any subcontract hereunder (including all lower -tier subcontracts hereunder), of any
invention described in and covered by a patent of the United States.
(a) embodied in the structure or composition of any article, the delivery of which is accepted by the
Government under this grant, or
(b) utilized in the machinery, tools, or methods, the use of which necessarily results from
compliance by the Grantee or the using subcontractor with
(i) specifications or written provisions now or hereafter forming a part of this grant, or
(ii) specific written instructions given by the Contracting Officer directing the manner of
performance.
The entire liability to the Government for infringement of a patent of the United States shall be determined
solely by the provisions of the indemnity clauses, if any, included in this grant or any subcontract hereunder
(including all lower -tier subcontracts hereunder), and the Government assumes liability for all other
infringement to the extent of the authorization and consent herein above granted.
PATENT INDEMNITY (41 CFR 9-9.103-1)
If the amount of this contract is in excess of $10,000 the contractor shall indemnify the Government and its
officers, agents, and employees against liability, including costs, for infringement of any United States
letters patent (except U.S. letters patent issued upon an application which is now or may hereafter be kept
secret or otherwise withheld from issue by order of the Government) arising out of the manufacture or
delivery of supplies or out of construction, alteration, modification, or repair of real property (hereinafter
referred to as "construction work") under this contract, or out of the use or disposal by or for the account of
the Government of such supplies or construction work. The foregoing indemnity shall not apply unless the
contractor shall have been informed as soon as practicable by the Government of the suit or action alleging
such infringement, and shall have been given such opportunity as is afforded by applicable laws, rules, or
regulations to participate in the defense thereof; and further, such indemnity shall not apply to: (a) an
infringement resulting from compliance with specific written instructions of the Contracting Officer
directing a change in the supplies to be delivered or in the materials or equipment to be used, or directing a
manner of performance of the contract not normally used by the contractor; (b) an infringement resulting
from addition to or change in, such supplies or components furnished or construction work performed
which addition or change was made subsequent to delivery or performance by the contractor; or (c) a
claimed infringement which is settled without the consent of the contractor, unless required by final decree
of a court of competent jurisdiction.
NOTICE AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT (41
CFR 9-9.104(b))
The provisions of this clause shall be applicable only if the amount of this grant exceeds $10,000
(a) The Grantee shall report to the Contracting Officer, promptly and in reasonable written detail,
each notice of claim of patent or copyright infringement based on the performance of this
grant of which the Grantee has knowledge.
Page 13
(b) In the event of any claim or suit against the Government on account of any alleged patent or
copyright infringement arising out of the performance of this grant or out of the use of any
supplies furnished or work or services performed hereunder, the Grantee shall furnish to the
Government, when requested by the Contracting Officer, all evidence and information in
possession of the Grantee pertaining to such suit or claim. Such evidence and information shall
be furnished at the expense of the Government except where the Grantee has agreed to
indemnify the Government.
(c) This clause shall be included in all contracts and subgrants under this grant.
REPORTING OF ROYALTIES (41 CFR 9-9.110)
If this grant is in an amount which exceeds $10,000 and if any royalty payments are directly involved in the
grant or are reflected in the grant price to the Government, the Grantee agrees to report in writing to the
Patent Counsel (with notification by Patent Counsel to the Contracting Officer) during the performance of
this grant and prior to its completion of final settlement the amount of any royalties or other payments paid
or to be paid by it directly to others in connection with the performance of this grant together with the
names and addresses of licensers to whom such payments are made and either the patent numbers involved
or such other information as will permit the identification of the patents or other basis on which the
royalties are to be paid. The approval of DOE of any individual payments or royalties shall not stop the
Government at any time from contesting the enforceability, validity or scope of, or title to, any patent under
which a royalty or payments are made.
RIGHTS IN TECHNICAL DATA (SHORT FORM)
(a) Definitions. The definitions of terms set forth in DEAR 927.401 apply to the extent these terms are
used herein.
(b) Allocation of Rights.
(1) The Government shall have:
(i) Unlimited rights in technical data first produced or specifically used in the performance
of this grant;
(ii) The right of the Contracting Officer or his representatives to inspect, at all reasonable
times up to three years after final payment under this grant, all technical data first
produced or specifically used in the grant (for which inspection the Grantee or its
contractor or subgrantee shall afford proper facilities to DOE); and
(iii) The right to have any technical data first produced or specifically used in the performance
of this grant delivered to the Government as the Contracting Officer may from time -to -
time direct during the progress of the work, or in any event as the Contracting Officer
shall direct upon completion or termination of this grant.
(2) The Grantee shall have:
The right to use for its private purposes, subject to patent, security or other provisions of this
grant, technical data it first produces in the performance of this grant provided the date
requirements of this grant have been met as of the date of the private use of such data. The
Grantee agrees that to the extent it receives or is given access to proprietary data or other
technical, business or financial data in the form of recorded information from DOE or a DOE
contractor or subcontractor, the Grantee shall treat such data in accordance with any
restrictive legend contained thereon, unless use is specially authorized by prior written
approval of the Contracting Officer.
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(c) Copyrighted Material.
(1) The Grantee agrees to, and does hereby grant to the Government, and to others acting on its
behalf:
(i) A royalty -free, nonexclusive, irrevocable, worldwide license for Governmental purposes
to reproduce, distribute, display, and perform all copyrighted material first produced or
composed in the performance of this grant by the Grantee, its employees or any
individual or concern specifically employed or assigned to originate and prepare such
material and to prepare derivative works based thereon; and
(ii) A license as aforesaid under any and all copyrighted or copyrighted work not first
produced or composed by the Grantee in the performance of this grant but which is
incorporated in the material furnished under the grant, provided that such license shall be
only to the extent the Grantee now has, or prior to completion or close-out of the grant,
may acquire the right to grant such license without becoming liable to pay compensation
to others solely because of such grant.
(2) The Grantee agrees that it will not knowingly include any material copyrighted by others in
any written or copyrighted material furnished or delivered under this grant without a license as
provided for in subparagraph (c) (1) (ii) of this section, or without the consent of the copyright
owner, unless it obtains specific written approval of the Contracting Officer for the inclusion of
such copyrighted material.
RIGHTS TO PROPOSAL DATA (TECHNICAL) (48 CFR 52.227-23)
It is agreed that as a condition of award of this grant or modification and notwithstanding the conditions of
any notice appearing on the proposal(s), the Government shall have the right to use, duplicate, and disclose
and have others to do so for any purpose whatsoever, the technical data contained in the proposal(s) upon
which the grant or modification is based.
City of Lubbock
Organization Name
ame and Title of Authorized Representative
Signature
End of Amendment .
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Date