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HomeMy WebLinkAboutResolution - 5258 - Contract - TDOT - #517-XXF-6016, UPTG Program - 09/10/1996RESOLUTION NO.5258 September 10, 1996 Item #18 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 Contract No. 517-XXF-6016 and related documents to be entered into by and between the City of Lubbock and the Texas Department of Transportation, attached hereto, which shall be spread upon the minutes of the Council and as spread upon the minutes of this Council shall constitute and be a part of this Resolution as if fully copied herein in detail. Passed by the City Council this loth day of September _ 1996. Alex "Ty" Cooke,�Mayor Pro Tem ATTEST: u," NW.I —d —Willard, Interim City Secretary APPROVED AS TO CONTENT: Mildred Cox, Director of Transportation APPROVED AS TO FORM: 4�tW �V�e�� — fL�rold Willard, Assistant City Attorney DESIGNATED RECIPIEN'Ts City of Lubbock URBANIZED PUBLIC TRANSPORTATION (SECTION 53M CONTRACT RESOLUTION NO. 5258 September 10, 1996 Item #18 CONTRACTOR NAME: City of Lubbock CONTRACT NO. 517=6016 STATE PROJECT NO. URB -9701(5)2 FEDERAL/STATE URBANIZED PUBLIC TRANSPORTATION GP'.ANT PROGRAM CONTRACT THE STATE OF TEXAS THE COUNTY OF TRAVISI THIS CONTRACT is made by and between the state of Texas, acting through the Texas Department of Transportation, hereinafter called. the "State% and the CITY OF LUBBOCK, hereinafter called the "Contractor". WITNESSETH WHEREAS, the Federal Transit Administraban ("FTA")49 U.S.C., Section 5307, Urbanized Public Transportation Grant Program, provides that urbanized areas may receive federal funds to enhance the access of persons in those areas for purposes such as health care, shopping, education, recreation, public services, and employment by encouraging the maintenance, development, improvement, and use of passenger transportation systems; and WHEREAS, the Governor of the State of Texas has designated the State to administer the Urbanized Public Transportation Grant Program; and, WHEREAS, the State is authorized under Transportation Code, Chapter 455 to assist the Contractor 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 Contractor has been approved to receive funds from this program through the State; and, WHEREAS, the state public transportation monies may be used in conjunction with Federal funds authorized under Section 5307; NOW, TORE, is consideration of the premises and of the mutual covenants hereinafter set forth, the parties hereto agree as follows. AGREEMENT ARTICLE 1. CONTRACT PERIOD This Contract becomes effective on September 1, 1996, and shall terminate on August 31, 1997, unless otherwise terminated or modified as hereinafter provided. Termination of the Contract shall not release the Contractor from the requirements outlined in Articles 10 and 14. ARTICLE 2. PROJECT DESCRIPTION The Contractor shall undertake the public transportation project as described in its application, which is included as 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. SCHOLARSHII' TRANSIT ASSISTANCE PROGRAM The purpose of this program is to provide financial assistance for training, technical assistance, research and support services related to public transportation in urbanized areas. Scholarship funds may be used to support urbanized transit activities in four categories: training, technical assistance, research and related support services. There is no Federal requirement for a local match for the Scholarship funds. Special requirements for scholarship funds are included in Attachment D. ARTICLE 4. COMPENSATION A. The maxhurm amount payable under this Contract without modification is $430,817. 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 inchided in the project budget contained in Attachment A. C. Payment of costs incurred under this Contract is further governed by cost principles outlined in applicable Federal Office of Management and Budget (OMB) publications as follows: Cost Principles for Educational Institutions OMB Circular A-21 Cost Principles for State and Local Governments OMB Circular A-87 Cost Principles for Nonprofit Organizations OMB Circular A-122 D. Costs claimed by the Contractor shall be actual net costs, that is, the price paid minus any refunds, rebates or other items of value received by the Contractor that have the effect of reducing the cost actually incurred. E. All major items of 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. R Travel costs for lodging, meals, and incidental expenses incurred by Contractor personnel shall be considered to be reasonable and allowable to the extent they do not exceed on a daily basis the per diem set forth in the Federal Travel Regulations or the published travel policy of the Contractor. G. Requests for payment are to be submitted to the State on a monthly basis, except as noted below, on invoice statements acceptable to the State. Requests for payment must be furnished to the State within forty-five (45) days of the end of the month during which the costs were incurred. 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 Revised 7/96 Page 2 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 Contractor must also document the purchase of goods and services from certified disadvantaged and women - owned business enterprises in the format prescribed by the State. The original invoice with required documentation is to be submitted to the following address: CARL R. UTLEY, P.E. District Engineer Texas Department of Transportation P.O. Box 771 Lubbock, Texas 79408 H. The State will make payment within thirty (30) days of the receipt of properly prepared and documented requests for payment. I. The Contractor will submit a final billing within forty-five (45) days of the Contract termination date specified in Article 1 above. J. 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. K. The federal source of funding (Catalogue of Federal Domestic Assistance Number "CFDA") for this agreement is 20.509. The entity contracting with the Texas Department of Transportation is a subrecipient with respect to this agreement and therefore should report federal revenues and expenditures in its financial statements. ARTICLES. CONTRACT AMENDMENTS Changes in the scope, objectives, cost or duration of the project authorized herein shall be eructed 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 specified in Article 1. ARTICLE 6. SUBCONTRACTS 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 7. 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 United States Secretary of Transportation, the Comptroller General of flus United States, the State's Executive Director, the Texas State Auditor, or any of their duly authorized representatives, shall have access to the records described in paragraph A above at all reasonable times during the- contract period and for the period set forth in paragraph C below for the purpose of making audits, examinations, excerpts and transcripts. C. Financial records, supporting documents, statistical records and all other records pertinent to the Contract shall be retained for a period of four years from final payment, with the following qualifications: 1. K any litigation, claim or audit is started before the expiration of the four 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 with Federal or State funds shall be retained for four Revised 7/96 Page 3 years after its final disposition. 3. When. records are transferred to or maintained by the Federal or State sponsoring agency, the four 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: Audits of State and Local Government OMB Circular A-128 Audits of Institutions of Higher Education and OMB Circular A-133 other Nonprofit Institutions ARTICLE 8. FINANCIAL MANAGEMENT SYSTEMS The Contractor's financial management system shall meet or exceed the requirements of the 'Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments' (49 CFR Part 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 and Federal reporting requirements. B. Records which identify adequately the source and application of funds for grant -supported activities. These records shall certain information pertaining to grant awards and authorization, obligations, commitments, assets, liabilities, outlays and income. C. Effective control over and accountability for all funds, property and other assets. The Contractor shall adequately safeguard all such assets and shall assure that they are used solely for authorized purposes. D. Comparison of actual with budgeted amounts for each contract, and relation of financial information to performance or 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. R Accounting records which are supported by source documentation. G. A systematic method to assure timely and appropriate resolution of audit findings and recommendations. ARTICLE 9. 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 minimwn requirements of that document. The Contractor will have written protest procedures and provide these to all vendors upon request. The Contractor agrees to comply with applicable Buy America requirements set forth in 49 U.S.C. 5323() and 49 CFR Part 661. The Contractor agrees to comply with the cargo preference requirements set forth in 46 U.S.C. 1241 and Maritime Administration regulations set forth in 46 CFR Part 381. The State must concur in the award of all purchase orders for nonexpendable personal property as defined in 49 CFR Part 18. Revised 7/% Page 4 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 las been delivered without the express permission of the equipment vendor and to lend it the same protection it would its own equipment. The Contractor shall insure that any vehicles purchased for use in this project will comply with the Motor Vehicle Safety Standards as established by the United States Department of Transportation. Further, the Contractor shall insure that any vehicles purchased for the project caanply with all Federal motor vehicle pollution requirements. Any vehicles purchased using Federal Transit Administration funds must comply with the Bus Test requirements 49 U.S.C. 5323® and 49 CFR Part 665. ARTICLE 10. 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 Fart 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 transportatiort 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 Federal or State interest in any project facilities or ega4mx nt; nor shall the Contractor, by any act or omission of any kind, adversely affect the Federal or 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 11. COORDINATION The Contractor will at all times coordinate the provision of public transportation services with other transportation operators, both public and private, in the area. The Contractor will furnish the State copies of any such coordination agreements. Agreements which authorize the payment of project funds to another entity are subject to the approval requirements described in Article S. ARTICLE 12. LABOR PROTECTION PROVISIONS The Contractor agrees to undertake, carry out and complete the project under the terms and conditions determined by the Secretary of the United States Department of Labor to be fair and equitable to protect the interests of employees affected by the project and meeting the requirements of U.S.C. 5333(b). Documentation on compliance efforts is attached hereto as Attachment B. ARTICLE 13. CHARTER AND SCHOOL BUS OPERATIONS A. The Contractor, or any suboontractor acting on its behalf, shall not engage in charter bus operations outside the Revised 7/96 Page S project area within which it provides regularly scheduled public transportation service, except as provided under 49 CFR Part 604.9, and regulations pertaining to Charter Service Operations set forth at 49 U.S.C. 5323(d) and 49 CFR Part 604. 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 49 U.S.C. 5323(f) and 49 CFR Part 605. Any subcontract entered into under these regulations is incorporated into this Contract by reference. ARTICLE 14. MONITORING AND REPORTING A. The Contractor shall submit to the State reports in the format prescribed by the State. Further, the Contractor shall assist the State in the completion of the annual physical inventory of project equipment. Noncompliance with state and federal program requirements will be resolved in accordance with the TAC, Section 31.48(d). B. The Contractor shall promptly advise the State in writing of events that have a significant impact upon the Contract, including: 1. Problems, delays or adverse conditions that 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 sball be accompanied by a statement of the action taken, or contemplated, and any State assistance needed to resolve the situation. 2. Favorable developments or events that will enable meeting time schedules and goals sooner than anticipated or producing more work units than originally projected. ARTICLE 1S. DISPUTES A. The Contractor shalll be responsible for the settlement of all contractual and admini arative issues arising out of procurement entered in support of contract work. B. Ile State shall act as referee is all disputes regarding non -procurement issues, and the State's decision shall be final and binding. ARTICLE 16. REPAMIES Violation or breach of contract terms by the Contractor shall be grounds for termination of the Contract, and any increased cost arising from Contractor's default, breach of contract or violation of terms shall be paid by the Contractor. This agreement shall not be considered as specifying the exclusive remedy for any default, but all remedies existing at law and in equity may be availed of by either party and shall be cumulative. ARTICLE 17. TERMINATION A. The State may terminate this Contract at any time before the date of completion whenever it is determined that the Contractor has failed to comply with the conditions of the Contract. The State shall give written notice to the Contractor at least seven (7) days prior to the effective date of termination and specify the effective date of termination and the reason for the termination. B. Hboth 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. Revised 7196 Page 6 C. Upon. termination of this Contract, whether for cause or at the convenience of the parties hereto, all finished or unfinished documents, data, studies, surveys, reports, maps, drawings, models, photographs, etc., prepared by the Contractor shall become the property of the State. 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 an 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 18. GENERAL PROVISIONS A. CIVIL RIGHTS During the performance of this Contract, the Camtractor, for itself, its assignees and successors in interest agrees as follows: 1, inn ptiancp with Regulations: ations: The Contractor shall comply with the regulations relative to nondiscrimination in federally assisted programs of the Department of Transportation (hereinafter DOT") 49 CFR, Part 21 and 23 CFR, Part 710.405(b), as they may be amended from time to time (hereinafter, referred to as the Regulations), which are herein incorporated by reference and made a part of this Contract. 2, 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 mixxmtractors, =l using procurement 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. Srlicitatinn far Snhcnntracte, Ineh,ding Promirement of Mate 'ale and FTripment: In all solicitations either by competitive bidding or negotiation made by the Contractor for work to be performed under a subcontract, including procurement 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. Dnfa atian 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 Federal Transit Administration (FTA) to be pertinent to ascertain compliance with such Regulations, orders and instructions. Where aW 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 Federal Transit Administration, as appropriate, and shall set forth. what efforts it has made to obtain the information. 5, Sane inns far Noncompliance: In the event of the Contractor's noncompliance with the nondiscrimination provisions of this Contract, the State shall impose such contract sanctions as it or the Federal Transit 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; Revised 7196 Page 7 and/or (b) Cancellation, termination or suspension of the Contract, in whole or in part. 6, : The Contractor shall include the provisions of paragraphs (1) through (6) in every subcontract, including procurement 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 Federal Transit 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 anter into such litigation to prated 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 DISABILITY The Contractor agrees that no otherwise qualified person with disability(s) shall, solely by reason of his/her disability, be excluded frown 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 equip included in the project comply with applicable regulations regarding Nondiscrimination on the Basis of Handicap m Programs and Activities Receiving or Benefitting from Federal Financial Assistance, set forth at 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 that Disadvantaged Business Enterprises as defined in 49 CFR Part 23 shall have the maximum opportunity to participate in the performance of contracts financed in whole or in part with Federal funds. Consequently, the Disadvantaged Business Enterprise requirements of 49 CFR Part 23 apply to this Contract as follows: 1. The Contractor and any subcontractor agrees to insure that Disadvantaged Business Enterprises as defined in 49 CFR Part 23 have the maximum opportunity to participate in the performance of contracts and subcontracts financed in whole or in part with Federal funds. In this regard, the Contractor shall take all necessary and reasonable steps is accordance with 49 CFR Part 23 to insure that disadvantaged business enterprises have the maximum opportunity to compete for and perform contracts. 2. The Contractor and any nZeantractor 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 put with Federal funds. 3. 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 of 15% of the Contract dollars available for contracting opportunities as set forth in 49 CFR Part 23 and amended by Section 1060 of the Surface Transportation Assistance Act of 1987. Failure to carry out the requirements set forth above shall constitute a breach of contract and, after the notification of the State, may result in termination of the contract by the State or other such remedy as the State deems appropriate. D. EQUAL EMPLOYMENT OPPORTUNITY The Contractor agrees to comply with Executive Order 11246 titled 'Equal Employment Opportunity" as amended by Executive Order 11375 and as supplemented in Department of Labor Regulations 41 CFR Part 60. Revised 7196 Page 8 E. AFFIRMATIVE ACTION The Contractor warrants that affirmative action programa as required by the rules and regulations of the Secretary of Labor 41 CFR 60-1 and 60-2 have been developed and are on file. R 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 U.S.C. 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 U.S.C. 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 U.S.C. 276a -276a-5) 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. S. Insurance and Bonding The Cadractor 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 constriction, 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 Cantractor agrees to comply with all applicable standards, orders or requirements issued under Section 306 of the Clean Air Act (42 U.S.C. 1857(hD; Section 508 of the Clean Water Act (33 U.S.C. 1368); Executive Order 11738 and Environmental Protection Agency regulations (40 CFR, Part 15). The Contractor further agrees to report violations to the State. The Contractor agrees to recognize standards and policies relating to energy efficiency which are contained m the State energy conservation plan issued in compliance with the Energy Policy and Conservation Act (P.L. 94- 163). H. CONTROL OF DRUG AND ALCOHOL USE The Contractor agrees to comply with the terms of Federal Transit Administration regulations on drug and Revised 7/96 Page 9 alcohol use set forth at 49 CFR Part 653 and 654. I. SUSPENSION AND DEBARMENT The terms of the Department of Transportation regulation, "Suspension and Debarment of Participants in DOT Financial Assistance Programs", set forth in Executive Order 12549 as implemented by 49 CFR Part 29, are applicable to this contract and Contractor must complete the Debarment Certification which is included as Attachment C. Furthermore, any subcontractor employed by the Contractor is also bound by the terms of 49 CFR Part 29 and must complete the Lower Tier Participant Debarment Certification which is also included as Attachment C. L RESTRICTIONS ON LOBBYING Pursuant to Section 31 U.S.C. 1352, 49 CFR Part 19 and 49 CFR Part 20, contractors who apply or bid for an award of $ 100,000 or more shall file the certification required by 49 CFR Part 20 which generally prolubits 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 E. 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 Contractor during his tenure or one year thereafter shall have any interest, direct or indirect, in this Contract or the proceeds thereof. 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's Executive Director. 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 here above. Failure on the part of the Contractor to adhere to this policy may result in the termination of this Contract. L. DELINQUENT TAX CERTIFICATION Pursuant to Article 2.45 of the Business Corporation Act, Texas Civil Statutes, which prolubits the State from awarding a contract to a corporation that is delinquent in paying taxes under Chapter 171, Tax Code, the Cantnrctor hereby certifies that it is not delinquent in its Texas franchise tax payments, or that it is exempt from or not subject to such tax. A false statement concerning the Contractor's franchise tax status shall constitute grounds for cancellation of the contract at the sole option of the State. M. ASSURANCES The Contractor will comply with Texas Government Code, Chapter 573 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 agy 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. Revised 7/96 Page 10 r 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 Government Code, Chapter 551 unless otherwise expressly provided by law. The Contractor will comply with Texas Government Code, Chapter 552, 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. N. PATENT RIGHTS If any invention, improvement or discovery of the Contractor or any of its subcontractors is conceived or first actually reduced to practice m 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 mvenhon, improvement or discovery has not already become the property of the State under Article 17.0 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. O. COPYRIGHTS The State and the United States Department of Transportation shall have the royalty -free, non-exclusive and irnavocable right to reproduce, publish or otherwise use, and to authorize others to use, the work for government purposes. P. INDEMNIFICATION The Contractor shall indemnify and save harmless the State from all claims and liability due to activities of itself, its agents, employees or volunteers, 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, employees or volunteers. Q. SUCCESSORS AND ASSIGNS The Contractor binds himself, his successors, assigns, executors and administrators in respect to all covenants of this agreement. The Contractor shall not sign, sublet or transfer his interest in. this agreement without the written consent of the State. R. CONTRACTOR ACKNOWLEDGMENT The Contractor acknowledges that it is not an agent, servant or employee of the State and is responsible for its own acts and deeds and for those of its agents or employees during the performance of the contract work. S. 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. Revised 7/96 Page 11 T. 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. IN TESTIMONY WBEREOF, 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 105871. APPROVED: By: District r Lubbock District Date: CONTRACTOR Title: Mayor Pro Tem l: IM WMITIM ATTEST: Hrbld Willard Interim City ecretary Date: G� APPROVED AS TO CONTENT: Mildred Cox Director of Transportation 4��a J�/-444� arold Willard Assistant City Attorney Cooke Revised 7/96 Page 12 TOTAL REIMBURSABLE AMOUNT 430,817 ATTACHMENT A CONTRACT BUDGET CONTRACTOR: CITY OF LUBBOCK CONTRACT NUMBER: 517XXF6016 STATE PROJECT NO.: URB 9701(5)2 UNE ITEM # TOTAL FEDERAL STATE LOCAL CAPITAL XX.XX.XX 800,000 640,000 0 160,000 0 0 0 0 0 0 0 0 0 0 0 0 600,000 640,00080% 0 0% 160,00020% PLANNING XX.XX.XX 125,000 56,800 0 68,200 125,000 56,80045% 0 0% 68,20055% OPERATING XX.XX.XX 4,098,000 1,699,000 429,817 1,969,183 4,098,000 1,699,000 41% 429,81710% 1,969,183 48% nc aaxo�scnaa�wv) ECHOLARSH 2,000 1,000 1,000 2,000 1,000 1,000 0 0% TOTAL 5,025,000 2,396,800 430,817 2,197,383 STATE FUNDING SPLIT: FORMULA CSP DISCRETIONARY TOTAL CAPITAL 0 0 0 0 PLANNING 0 0 0 0 OPERATIN 430,817 0 0 430,817 430,817 0 0 430,817 TOTAL REIMBURSABLE AMOUNT 430,817 ATTACHMENT A Debarment Certification (Negotiated Contracts) (1) The CONTRACTOR certifies to the best of its imowledge 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 pmfoaming a public* h ansactiar 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; ® Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity* 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* 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. *federal, state or local ATTEST: Hfifold Willard Interim City Secretary APPROVED AS TO CONTENT: Mildred Cox Director of Transportation F+a old Willard Assistant City Attorney Form 1734-A 4-89 %tim.," 4k�" signature of Cert4hig official Alex "Ty" Cooke Mayor Pro Tem Title September 10. 1996 Date Attachment C (Page 1 of 3) Lower Tier Participant Debarment Certification (Negotiated Contracts) Alex "Ty" Cooke, &0ayor°Prro Uem °1ft7aors over $100,000) being duly sworn or under penalty of perjury under suetname the laws of the United States, certifies that neither C 1 ty o f L u b k nor its (insert Hama= o of lower tis puticipard) 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 sball indicate below to whom the exception applies, the initiating agency, and dates of action. Fxceptions 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: ATTEST: 9L I ­ 19- -J'0— H ld Willard Interim City Secretary APPROVED AS TO CONTENT: Mildred Cox Director of Transportation a old Wil and Assistant City Attorney Form 1734 Rev. 4-89 Signature of Certifying Official Mayor Pro Tem Alex "Ty" Cooke Title September 10, 1996 Date of Certification See Next Page for Information Attacbment C (Page 2 of 3) 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 se renes between the Contractor and a person, regardless of the amount, under which the person will have a critical influence on or substantive control over that covered transaction. Such persons include principal investigators and providers of federally required audit services. A procurement transaction is the process of acquiring goods and services. Anonprocurement 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. Attachment C (Page 3 of 3) SCHOLARSHIP GUIDELINES 1. BUDGET Each Section 5307 system will be responsible for budgeting and planning for urbanized training funds. Each system will provide a description of urbanized training funds expenditures for the Contract year in the amount of $1,000. 2. ELIGIBLE EXPENSES In addition to training activities, other reimbursement opportunities include urbanized modules, videos, instructional materials such as notebooks and newsletters for information exchange. Audio visual equipment may be purchased for use in presentations and informational exchange; standard purchasing procedures should be followed. Federal travel guidelines under the urbanized program continue to be in effect unless written system policies are filed with the agency administering the program. Other travel expenses shall be included under Section 5307 technical assistance. Emphasis wdl be in expanding local training opportunities. Guidelines to follow as outlined by the Department: ♦ Training is defined as an activity to improve employee performance through achievement of specific, measurable, predetermined training objectives. ♦ Non&ainhW achiOks include meetings and conferences designed to disseminate policy, procedures, or supervisory guidance, to provide information, or allow for exchange of information related to program functions. THESE ACTIVITIES ARE NOT ELIGIBLE FOR URBANIZED FUNDING. ♦ Education assistance may provide for tuition, required fees, and books needed for approved courses at colleges and universities and any service or part of a state institution of higher education. Billing Procedures - A written description of use and expenditures must accompany each billing. All standard Department billing requirements under the Section 5307 program shall continue to be in effect. Attachment D DISCLOSURE OF LOBBYING ACTIVITIES Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352 (See reverse f or public burden disclosure.) Appfoved by of.te 0344-0046 1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type: Qa'contract F-1 a. bidlofferhpplication F1a. initial filing b. grant b. initial award b. material change C. cooperative agreement c. post -award For Material Change Only: d. loan year quarter e. loan guarantee date of Iasi report f. loan insurance 4. Name and Address of Uport)ng Entity: S. If Reporting Entity in No.4 is Subawardee, Entar Name and Address of Prime: ❑ Prime ❑ Subawardee Tier , if known Congressional District, if known: Congressional District if known: 6. Federal Department Agency: 7. Federal Program NamelDescription: CFDA Number, if applicable: S. Federal Action Number, if known: 9. Award Amount, if known: S 10. a. Name and Address of Lobbying Entity b. Individuals Performing Services (including address if (if individual, last name, first name. Ml): different from No. 10a) (last name, first name, Ml): (attach Continuation Shee t(s) SF -LLL -A. if neceuo y) 11. Amount of Payment (check all that apply): 13. Type of Payinent (check all that apply): S ❑ actual ❑ planned ❑ a. retainer _ ❑ b. one-time fee ❑ c. Commission 12- Form of Payment (check all that apply): ❑ a. cash ❑ d. contingent fee ❑ b. in-kind; specify: nature ❑ e. deferred value ❑ f. other; specify: 14. Brief Description of Services Performed or to be Performed and Date(s) of Service, including officer(s), employee(%), or Member(s) contacted, for Payment indicated in ttem 11: (attach Continuation Sheriff) SFdLL-A doccessary) 15. Continuation Sheet(s) SF -ILL -A attached: ❑ Yes ❑ No 16. kwormst:on rog astrd through v%k form k authoritod by tido at u.s.c. Signature: section13SL This duWroreotbbllr4rgacWtuN4ornwtorbrRpewntnion of lap opon which ratiarwo was placed by the tier aboeo when this trarl.attien war wseee or entered into. This dwclosero 4 r gwftd Pursuant 10 Print Name: at Y.S.C. t1s7. TMs adonmetlon will be toporsad to tM Congress bawd - annually end was be s.sltsbtr tot public Insprcoon. Any penes who folk 10 Title: A4 W rapuoed ducloswes shod be s,rblen to a "I pinky of net Iots Nen %10.000 end not.w.. It.. s+rn.000 to, 6,04A 6.0 faa„•e Telephone Date: Federal Use Only: •e-nentw to, cool ltapr d.ctlon tuK,.o Io—Ac INSTRUCTIONS FOR COMPLETION OF SF -LLL, DISCLOSURE OF LOBBYING ACTIVITIES This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the initiation of receipt of a covered Federal action, or a material change to a previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form 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 and/or has been secured to influence the outcome of a covered Federal Yction. 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 previously 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 subawardee, 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, city, 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). If known. enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements. loans. and loan commitments. S. 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 (IF8) number; grant announcement number; the contract, grant, or loan award number; the application/proposal control number assigned by the Federal agency). Include prefixes, e.g.. 'RFP -DE -90-001.' 9. For a covered Federal action where there has been a award or ban commitment by the Federal agency. enter the Federal amount of the award/loan 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 all boxes that apply. If other, specify nature. 14. Provide a specific and detailed description of the services that the lobbyist has performed. or will be expected to perform, and the date(s) of any services rendered. Include all preparatory and related ai:tivity. not just time spent in actual contact with Federal officials. Identify the Federal official(s) 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. 116. The certifying offical shall sign and date the form, print his/her name, title. and telephone number. Public reponsrsg burden for this collection of rnformatron is estimated to average 30 minutes per response. including time for renewing instructions, searching eanling data sources. gathering and maintaining the data needed. and completing and renewing the collection of information. Send comments regarding the burden estimate or any other aspect at this collection of information, including suggestsons tot reducing this burden, to the office of Management and Budget. Paperwott Reduction Project (0348-0046). Washington. D.C.10S03. TEXAS DEPARTMENT OF TRANSPORTATION Public Transportation Fund General Information Fiscal Year 1997 1._ Legal Name of Applicant: City of Lubbock 2. Mailing Address: P.O. Box 2000 Lubbock, Texas 79457 3. Street Address (if different from above.) 801 Texas Avenue Lubbock, Texas 79401 4. Name, Title, Telephone Number, and FAX Number of Contact person: John L. Wilson, General Manager (806) 767-2380 (806) 767-2387 (fax) 5. Applicant's Vendor Identification (VID) Number: 30070 - City of Lubbock Vendor Identification Number for Citibus 75-6000590 - City of Lubbock Tax Exempt Number 6. Date that application will be submitted to the Federal Transit Administration (FTA): August 8, 1996 7. Date Federal Approval is expected: October 1, 1996 8. Federal Project Number (if known). n/a 9. Section 5313 scholarship funds for training only in the amount of $1,000 is available. Please indicate if you want it and can use it. These additional funds for training would be useful to Citibus; application for these is included in cover letter. For the Period: Transit Operator. (Designated Recipient: (1) Contract Costs PROJECT BUDGET October 1. 1996 to September 30, 1997 City Transit Management Company, Inc. City of Lubbock, Texas Labor $2,029,250 Fringe Benefits 651,000 Services 225,000 Materials & Supplies 905,000 Utilities 105,000 Casualty & Liability 275,000 Taxes 75,000 Miscellaneous 125,000 Interest Expense 4,750 Total Operating & Capital Maintenance Cost $4,475,000 $4,475,000 (2) Less Eliminations Non -Mass Transportation Expenses Capital Maintenance Parts $250,000 Technical Study $125,000 (3) Eligible Operating Expenses (4) Less Farebox. Revenue (5) Net Project Costs (6) Local Share Total Eliminations City of Lubbock University Student Funds Route Guarantee State Public Transportation Funds Total Local Share (7) Net Expenses Advance on Operations Before Applying FTA Funds (8) Federal Transit Administration Funds Required $375,000 $705,000 502,000 62,183 430,617 $1,700,000 $375,000 $375,000 $4,100,000 $700,000 $3,400,000 $1,700,000 $1,700,000 $1,700,000 ' . Lobbying Certification for Contracts, Grants, Loans, and Cooperative Agreements (For Contracts Exceeding $100,000) The undersigned certifies to the best of his or her knowledge and belief, that: (1) No Federal appropriated fiords have been paid or will be paid by or on behalf of the undersigned, to any person for influencing or attempting to iafhrence an officer or employee of any Federal 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 malting of nay Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, ami, 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 suix wards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. kris 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 f uls to file the required certification shall be subject to a civil penalty of not less than S10,000 and not more than $100,000 for each m ATTEST: H&�Oa yz-&:�40 arold Willard Interim City Secretary APPROVED AS TO CONTENT: Mildred Cox Director of Transportation TxDOT 4-90 JhWj4xRxx6A!R%f&RRxx1AAX9rJc Alex "Ty" Cooke Name and Title of Contractor's Authorized Official Mayor Pro Tem Citi of Lubbock Contractor September 10, 1996 Date APPROVED AS TO FORM; arold Willard Assistant City Attorney Attachment E DESIGNATED RECIPUMs Qty of IAbbodc URBANIZED PUBLIC TRANSPORTATION (SECTION 5307) CONTRACT RESOLUTION NO. 5258 r--:ptember 10, 1996 Item #18 CONTRACTOR NAAM Qty d tabbock CONTRACT NO.517XXF6016 NATE PROJECT NO. URB-970UM FEDERAUSTATE URBANIZED PUBLIC TRANSPORTATION GRANT PROGRAM CONTRACT THE STATE OF TEXASI THE COUNTY OF LUBBOCB1 THIS CONTRACT is made by and between the state of Texas, acting through the Texas Department of Transportation, hereinafter called the 'State', and the CITY OF LUBBOCK, bereinaRer called the 'Cmhactor'. WITNESSETH WHEREAS, the Federal Transit Administration CM -)49 U.S.C., Section 5307, Urbanized Public Transportation Gnat Program, provides that urbsuized areas may receive federal funds to enhance the access of persons is those areas for purposes such as health care, shopping, education, recreation, Public services, and employment by encouraging do maintenance, development, improv, and use of passenger transportation systems; and WHEREAS, the Governor of the State of Texas has designated the State to administer the Urbanized Public Transportation Grant Program; and, WHEREAS, the State is authorized under Transportation Code, Chapter 45S to assist the Contractor in procuring aid for the purpose of establishing and maintaining public and mass transportation projects; and to administer fimds appropriated for Public Transportation under Transportation Code, Chapter 456; and, WHEREAS, the Contractor has been approved to receive funds from this program through. the State; and, WHEREAS, the state public transportation, monies may be used in conjunction with Federal funds authorized under Section 5307; NaW,1iEREFOIiE, in consideration of the premises and of the aartual covenants hereinafter set forth, the parties hereto agree as follows. AGREEMENT ARTICLE 1. CONTRACT PERIOD This Contract becomes effective on September 1, 1996, and shall terminate an August 31, 1997, unless otherwise terminated or modified as hereinsRer provided. Termination of the Contract shall not release the Contractor from tine requirements outlined in Articles 10 and 14. ARTICLE 2. PROJECT DESCRIPTION The Contractor shall undertake the public transportation Project as descnbed in its application, winch a included as Attachment A, and in accordance with the terms and conditions of this Contract. Further, the COWrActor 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 sand, economical and efficient manner in accordance with tine provisions of Attachment A. ARTICLE 3. SCHOLARSHIP TRANSIT ASSISTANCE PROGRAM The purpose of this program is to provide frnancW assistance for training, technical assistance, research and support services related to public transportation in urbanized arms. Scholarship funds may be used to support urbanized transit activities in f= categories: training, technical assistance, research and relsted support services. Ther is no Federal requirement for a local match for the Scholarship funds. Special requirements for scholarship funds are inch" in Attachanent D. ARTICLE 4. COMPENSATION A. The mwnarm amount payable under this Contract without modification. is $430,817. The State will reimburse the Contractor for the authorized costs incurred in carrying out this project which are further deacnbed 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 Contactor or its aboaatradaas, vendors, mamifacturers or suppliers if sufficient Federal or State funds are not available to pay the Contractor's claims. B. To be eligible for rimbursunder this Contract, a cost roust be mcuned within the Centrad period specified in Article 1 above and be included in the project budget contained in Attachment A. C. Payment of costs mccxured under this Contract is further governed by cost principles outlined is applicable Federal Ounce of Management and Budget (OMB) publications as follows: Cost Principles for Educational lnstiprtions ONE Circular A-21 Cost Principles for State and Local Governments OMB Circular A-87 Cost Principles for Nonprofit Organizations OMB Circular A-122 D. Costs claimed by the Contractor shall be actual net costs, that is, the price paid minus any refunds, rebates or other items of value received by the Contractor that have the effect of reducing the cost actually incurred. E. All major items of equipment, as described in the capital budget in Attachmesd A, shall be included in this Contract as direct costs. The Contractor hereby certifies that items of equipm=t included is direct costs have been excluded from the indirect costs. A Travel costs for lodging, meals, and incidental expenses incurred by Contractor personnel shall be considered to be reasonable and allowable to the extent they do not exceed an a daily basis the per diem set forth in the Federal Travel Regulations or the published travel policy of the Contractor. G. Requests for payment are to be submitted to the State an a monthly basis, except as noted below, on iavoiee statements acceptable to the State. Requests for payment must be furnished to the State within forty-five (45) days of the and of the mmth during which the costs were incurred. Additional documentation to support all costs incurred during do billing period may be required at the discretion of the State,. As a minim rem, each billing Revised 7/% Page 2 must be accompanied by a summary by budget lice item which indicates the total amount authorized for each line item, Frvious expenditures, current Period a Tenditurea and the balance remdwiag m the line item. The Contractor must also document the purchase of goods and services from certified disadvantaged and women - owned business enterprises in the format prwcn'bed by the State. The original i woke with required documentation is to be submitted to the following address: CARL R. UTLEY, F.E. District Engineer Texas Department of Transportation RO: Box 771 Lubbock, Texas 79408 H. The State wa maim payment within diidyy M days of the receipt of properly prepared and doomed req osts for payment. L 1be Contractor will submit a final billing within "-five (45) days of the Contract termination date specified in Article 1 above. L The Contractor shall make payments promptly to all subcontractors and suppliers. Failure to do so will be grounds for termination of this Om tract by the State. The State shalt not be responsible for the debts of the Contractor. IC. The Wmil source of 5mding (Catalogue of Federal Domestic Assistance Number "CFDA') for this agreement is 20.509. The entity contracting with the Texas Department of Tiansportatim is a subsbcipient with respect to this agreement and therefore should report federal revenues and expenditures in its financial statements. ARTICLE S. CONTRACT ANUMMENTS Cbamges 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 specified in Article I. ARTICLE 6. SUBCONTRACTS Subcontmcis in access of $25,000 shall contain all required provisions of this Contract. No subcontract will relieve the Contractor of its responsibility under this Contract. ARTICLE 7. 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 United States Secretary of Transportation, the Comptroller General of the United States, the State's F.xeaitive Director, the Texas State Auditor, or any of their duly authorized representatives, shall have a«xss to the records described in paragraph A above at all reasonable times during the contract period and for the period set forth in paragraph C below for the purpose of making audits, examinations, excerpts and transcripts. C. Fina= d records, supporting documents, statistical records and all other records pertinent to the Contract shall be retained for a period of four years from final payment, with the following qualifications: 1. If any► litigation, claim or audit is started before the expiration, of the four 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 with Federal or State fuaads shall be retained for four Revised 7196 Page 3 years after its final disposition. 3. When records are hmsf mored to or maintained by the Federal or State sponsoring agency, the fotr year retention requires 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 cweed the single sudd report requirements outlined m Office of Management and Budget (OMB) publications as follows: Audits of state and Local Government OMB Circular A-128 Audits of Batons of Higher Education and OMB Circular A-133 other Nonprofit Institutions ARTICLE & EINANCiAL MANAGIIVMNT SYSTEMS The Contractor's financial management system shall meet or exceed the requirements of the 'Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments' (49 CFR Part 18). Those requites include, but am not limited to: A. Accurate, current and complete discdowre of die f nancisl results of each grant program in accordance with State and Federal repotting requirements. B. Records which identify adequately the source and application of funds for grant: -supported activities. These records shah contain zA m bm pertaining to grant awards and authorization, obligations, commitments, assets, liabOies, o tisys and income. C. Effective control over and accountability for all fiords, property and other assets. The Contractor shall adequately safeguard all such assets and shall assure that they am used solely for authorized purposes. D. Comparison of actual with budgeted amounts for each contract, and relate of financial information to performance or 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 findings and recommendations. ARTICLE 9. PROCUREN YM STANDARDS Coctractor 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 will have written protest procedures and provide these to all vendors upon request. The Canhactw agrees to comply with applicable Buy America requirements set forth in 49 U.S.C. 53230 and 49 CFR Part 661. The Contrador agrees to comply with the cargo preference requirements set forth in 46 U.S.C. 1241 and Maritime Administration regulations set forth in 46 CFR Part 381. The State mia concur in the and of all purchase orders for ndable personal property as defined in 49 CFR Part 18. Revised 7/% Page 4 The Contractor will meet all obligations incurred in its subcontracts with its equipment supper, to specffically 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. The Contractor shall insure that any vehicles purchased for use in this project will comply with the Motor Vehicle Safety Standards as established by the United States Department of Transportation. Fiuther, the Contractor shall insure that any ve wJm pu d ased for the project comply with all Federal motor vehicle pollution requirements. Any vehicles purchased using Federal. Transit Administration finds must comply with the Bus Test requirements 49 U S.C. 53230 and 49 CFR Part 665. ARTICLE 10. PROPERTY 14IANAGEIMTIVT The Contractor agrees to comply with the property management standards specified in do 'Uniform Administrative RNuiremenb for and Cooperative ASreemeats to State and Local Government,' (49, CFR Part 18) in its control, use and disposition of property at equipmtat 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 firarlity and equipment are not used in the proper manner or are withdrawn from public transportation services, the Contractor shall immediately notify tine State. The State reserves the right to direct the axle or treader of property acquired under this Contract upas determination by the State that said property has not been fully and/or properly utilized. The Contractor shall maiataia at least the minimum insurance on all vehicles and other noneapendable personal property as required by the insurance regulations of the State of Texas. Irrespective of coverage by insurance, uakesa otherwise approved in writing by the State, in the event of loss or damage to prc jed 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 hxhutry standard for a useful life, shall be considered fair market value. The Cootractor shalt not execute any lease, pledge, mortgage, lien or other contract touching or affecting the Federal or State interest in any project fncilitiea or equipm w4 nor shall the Contractor, by any ad or omission of any kind, adversely affect the Federal or State interest or impair its continuing control over the use of progect facilit' lea or equ4xnent. The Contractor shall notify the State immediately of theft, wreck, vandalism or other destruction of projed-related facilities or equipment. ARITCIE 11. COORDINATION The Contractor will at all times coordinate the provision of public transportation services with other transportation operators, both public and private, in the area. The Contractor will furnish the State copies of any such coordination agreements. Agreements which authorize the payment of project funds to another entity are subject to the approval requirements described in Article S. ARTICLE 12. LABOR PROTECTION PROVISIONS The Contractor agrees to undertake, carry out and complete the project under the terms and conditions determined by the Secretary of the United States Department of Labor to be fair and equitable to protect the interests of employees affected by the project and meetin the requirements of U.S.C. 5333(b). Documentation on compliance efforts is attached hereto as Attachment B. ARTICLE 13. CHARTER AND SCHOOL BUS OPERATIONS A. Tie Contractor, or any s uixonbador acting on its behalf, &hall not engage in charter bus operations outside the Revised 7196 Page 5 Project area within which it provides regularly scheduled public transportation service, except as provided tinder 49 CFR Peart 604.9, and regulations pertaining to Charter Service Operations set forth at 49 U.S.C. 5323(d) and 49 CFR Fart 604. Any subcontract entered into under these regulations is incorporated into this Contract by reference. B. The Color, or any subcontractor acting on its behalf, shall ad engage in school bus operations, exclusively for the transportation of students or school personnel, m coopetition with private school bus operators, except as provided under 49 U.S.C. 5323(f) and 49 CFR Part 605. Any sibcastmct entered into under these regulations is incorporated Tato this Contract by reference. ARTICLE 14. MONITORING AND REPORTING A. The Contractor shall submit to the State reports in the Format prescribed by the State. Further, the Contractor abate assist the State is the completion of the annual physical inventory of project equip. Noncompliance with state and federal program requirements will be resolved in accordance with the TAC, Section 31.48(d). B. The Contractor shall promptly advise the State in writing of events that have a significant impact upon the Contract, including: 1. Problems, delays or adverse conditions that will materially affect the ability to attain program cbjectives, prevent the suing of time schedules and goals, or prechude 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 events that will enable meeting time schecild" and goals sooner than anticipated or producing more work units than originally projected. ARTICLE 1S. DL%gnU A. The Contractor shall be responsible for the settlement of all contractual and administrative issues arising out of procurement entered m support of contract work. B. The State shall act as referee in all disputes regarding ren -procurement issues, and the State's decision shall be final and binding. ARTICLE 16. REMEDIES Violation or breach of contract terms by the Contractor shalt be grounds for termination of the Contract, and any increased cost arising front Contractor's default, breach of contract or violation of terms shall be paid by the Contractor. This agreement shall not be considered as specifying the exclusive remedy for any defauH:, but all remedies existing at law and in equity may be availed of by either party and shall be cumulative. ARTICLE 17. TERAMMON 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 (7) days prior to the effective data of termination and specify the effective date of termination and the reason for the termination. B. Nboth parties to this Contract agree that the c om imuatiam of the Contract would not produce beneficial results commensnrata with the further cgxmdiim of funds, the patties 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. Revised 7196 Page 6 C. Upon termination of this Contract, whether for cause or at the convenience of the parties hereto, all finished or unfinished documents, data, studies, surveys, reports, maps, drawings. models. Photographs, etc-, prepared by the Contractor shall become the property of the State. D. The State shall Compensate the Cat ctor 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 5dlure in performance of this Contract is accordance with its terms, inchuling any film by the Contractor to progress in the performance of the wouic. Failure an the part of the Contractor to fulfill its obligations as ad forth in this Contract will be waived by the State for causes due to Ads of Clod or force majeure. ARTICLE 18. GENERAL PROVISIONS A. CIVIL RIGHTS During the perfarmanoe of this Contract, the Contractor, for itself, its assignees and successors in interest agrees as follows: 1, Cnmpfianm wAffi lRag lattrm!! The Contractor shall comply with the regulations relative to nondiscrimination in federally assisted programs of the Department of Transportation (hereinafter -DOT-) 49 CFR, Part 21 and 23 CFR, Part 710.405(b), as they may b) amended from time to time (hereinafter, referred to as the Regulations), which are herein incorportled by reference and made a part of this Contract. 2, • The Cantrador; with regard to the work performed by it during the Contract, shall not discriminate on the grounds of race, color, sec; or national origin in the selection and retention of ah000tradCrs, iucbidmg procurement of materials and leases of eWipmerit. The Contractor shall not participate either directly or indirectly is the discrimination proWled by section 21S of the Reguladons, inchidi°g ewj&ymx%it practices when. the Contract covers a piogram set forth in Appendix B of the Regulations. 3. S; li&iNtinn fnr t`nMltr+trar4:� T ,h�1i_n_g Prwiircmant of MatPrialc and Epip Pet: In all solicitations either by competitive bidding or negotiation made by the Contractor for work to be performed under a subcontract, mchrdigg proem 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 on the grounds of race, color, sex or national origin. 4. Trfhrmsttinn and Repotts 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 Federal Transit Administration (FTA) to be pertinent to ascertain compliance with such Regulations, orders and instructims. Where any infinmation. required of a Contractor is in the exclusive possession of anotlra who fails or refuses to furnish this information, the Contractor shall to certify to the State, or the Federal Transit Administration, as appropriate, and shall set forth what efforts it has made to obtain the information. 5. SanMntu inr Nn.Conail;sn= In the event of the Contractor's noncompliance with the plmvimns of this Contract, do State shall impose such Contract sanctions as it or the Federal Transit Adinhoistration may determine to be appropriate, including, but not limited to: (a) Withboldmg of payments to the Contractor under the Contract until the Contractor complies; Revised 7/96 Page 7 and/or (b) cancellation, termination or suspension of the Contract, in whole or in part. 6, h=mmfim nf PmAsims: Tie Contractor shall include the provisions of paragraphs (1) through (6) in every subcontract, including procurement 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 sabom tact or procurement as the State or the Federal Transit Administration may direct as a means of enforcing such provisions including sanctions for nou000Vhance: Provided, however, that, in the event a Contractor becomes involved in, or is thrrataned with, litigaticaQ 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 additiom, the Contractor may request the United States to inter into such litigation to protect the interests of the United States. B. NONDISCR]MINATION ON THE BASIS OF DISABnITY The Contractor agrees that no otherwise qualified person with disability(s) shall, solely by reason of hu/ber disability, be enc bxW %nm participation in, be denied the benefits of, or otherwise be subject to discriminstim under the project. The Contractor shall insure that all fixed facu'lut' y construction tion or alteration and all new equipment inciuded in the project comply with applicable regulations regarding Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving or Benefitting from Federal Fimancial Assistance, set forth at 49 CFR Part 27, and any amendments thereto, and the Americans with Disabilitim Act. C. DISADVANTAGED BUSINESS ENTERPRISE PROGRAM REQUIREMENTS it is the policy of the Department of Transportation that Disadvantaged Business Enteprises as defined is 49 CFR Part 23 shall bave the maximi= opportunity to participate in the performance of contracts financed in whole or in part with Federal funds. Consequently, the Disadvantaged Business Enterprise requirements of 49 CFR Part 23 apply to this Contract as follows: 1. The Contractor and any subcontractor agrees to insure that Disadvantaged Business Enterprises as defined in 49 CFR Part 23 have the maximum opportunity to participate in the Performance of contracts and aubcoamcts financed in whole or in part with Federal funds. In this regard, the Contractor small Wm all necessary and reasonable steps in accordance with 49 CFR Part 23 to insure that disadvantaged business enterprises have the maximum opportunity to compete for and perform contracts. 2. The Ccatractor and any subcontractor shall not discriminate on the basis of race, color, national origin or sem in the award and performance of contracts fcmded in whole or in part with Federal funds. 3. These requirements shall be physio included in any subcontract. The percentage goal for Disadvantaged Business Enterprise participation in the activities to be performed under this Contract is a minimum of 15 % of the Contract dollars available for contracting opportunities as set forth in 49 CFR Part 23 and amended by Section lobo of the Surface Transportation Assistance Act of 1987. Failure to carry out the requirements set forth above shall constitute a brea.h of contract and, after the notificatiom of the State, may result in termination of the contract by the State or other such remedy as the State deems appropriate. D. EQUAL EMPLOYMENT OPPORTUNITY The Contractor agrees to comply with Executive Order 11246 titled 'Equal Employment Opportunity as amended by Five Order 11375 and as supplemented in Department of Labor Regulations 41 CFR Put 60. Revised 71% Page 3 E. AFFIRMATIVE ACTION The Contractor warrants that affirmative action programs as required by the rules and regulations of the Secretary of Labor 41 CFR. 60-1 and 60-2 have been developed and are on file. F. SPECIAL PROVISIONS FOR CONSTRUCTION OR REPAIR CONTRACTS 1. Contract %zk Hours and Safety Standards Ad The Contractor agrees to comply with Sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. Part 327-330) as supplemented by Department of Labor regulations (29 CFR, Pat S). 2. Copeland 'Anti-KiCldaacic' Ad The Contractor agrees to comply with the Copeland 'Anti-Kicld=k' Ad (18 U.S.C. 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 U.S.C. 276a 276a-5) as supplemented by Department of Libor regulations (29 CFR, Part S). 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. S. Insurance and Bonding The Contractor shall comply with insurance and bonding requirements as established is 49 CFR Part 18. 6. Signs The Contractor shall cause to be erected at the site of construction, and maintained during mon, sips 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 requuv=mts issued under Section 306 of the Clean Air Ad (42 U.S.C. 1857(hD; Section 508 of the Clean Water Act (33 U.S.C. 1368); Executive Order 11738 and Environmental Protection Agency regulations (40 CFR, Pfart 15). The Contractor further agrees to report violations to the State. The Contractor agrees to recognize standards and policies relating to energy efficu cy which are contained is the State energy carie nation plan issued in compliance with the Energy Policy and Conservation Act OU- 94- 163). H. CONTROL OF DRUG AND ALCOHOL USE The Contractor agrees to comply with the terms of Federal Transit Administration regulations on drug and Revised 7196 Page 9 alcohol use set forth at 49 CFR Part 653 and 654. L SUSPENSION AND DEBARMENT The terms of the Department of Transportation regulation, 'Suspension and Debarmcct of Participants in DOT Financial Assistance Programs', set forth in Executive Order 12549 as implemeoted by 49 CFR Part 29, are applicable to this contract and Contractor must complete the Debarment Certification which is included as Attachment C. Furthermore, any subcontractor employed by the Contractor is also bound by the terms of 49 CFR Part 29 and must complete the Lower Tier Participant Debarment Certification which is also inchxied as Attachment C. 7 RESTRICTIONS ON LOBBYING Pursuant to Section. 31 U.S.C. 1352, 49 CFR Part 19 and 49 CFR Part 20, contrudors who apply or bid for an award of $100,000 or more shall file the certification required by 49 CFR Part 20 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 F- K. PROH BITED ACTIVITIES The Contractor or any sulcantractor shall not use Federal or State assistance fimds 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 Contrad or to any befit arising tberefivm. No member, officer or empicyee of the Contractor during his tenure or one year thereafter shall have any interest, direct or indirect, in this Contract or the proceeds thereof. Texas Transportation Commission policy mandates that employees of the Department shall not accept any beuefits, gifts or favors fiomr any person doing business or who reasonably speaking may do business with the State under this Comtrad. The only cmeptions allowed are ordinary business hmches and items that have received the advanced written approval of the State's Executive Director. 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 ficvors to Departmental employees, c=pt as mentioned here above. Faffm on the part of the Contractor to adhere to this policy may result in the termination of this Contract. L. DELINQUENT TAX CERT1NICATION Pursuant to Article 2.45 of the Business Corporation Act, Texas Civil Statutes, which prob1its the State from awarding a contract to a corporation that is delinquent in paying taxes under Chapter 171, Tax Code, the Contractor hereby testifies that it is not delinquent in its Texas franchise tax payments, or that it is exempt from or not subject to such tax. A false statement concerning the Contractor's franchise tax status shall constitute grounds for cancellation of the contract at the sole option of the State. M. ASSURANCES The Contractor will comply with Texas Government Code, Chapter 573 by iawmg that no officer, employee or member of the Contractor's governing board or of the Contractor's subcontractor shall vote or confirm the asoploymm t 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 oftieer, employee, governing body member related to such person in the prohibited degree. Revised 7/% Page 10 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 Government Code, Chapter SS 1 unless otherwise expressly provided by law. Tho Ca tmctor wilt comply with Texas Government Code, Chapter SS2, 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 Cin. N. PATENT RIGHTS If any invention, improvement or discovery of the Contractor or any of its subcontractors is conceived or find actually reduced to practice in the coarse of or under this project, which invention, improvement or discovery may be patentable under the Patent Law: of the United States of America or any foreign country; and if said imvemtion, improvement or discovery has not already become the property of the State wader Article 17.0 above the Contractor shall immediately notify the State and provide a detailed report. The rights and respenarbrilldies of the Contractor, tubcontractors and the United States Government with respect to such invention will be determined im accordance with applicable Federal laws, regulations, policies and nay waivers thereof Further, the Contractor shall comply with the provisions of 41 CFR, Part 1-9. O. COPYRIGHTS The State and the United States Department of Transportation shall have the royalty -free, non-exclusive and irrevocable right to reproduce, publish or otlerv+ise use, and to authorize others to use, the work for government purposes. P. INDEIVOMCATION The C da maw shall indemnify and am barmless the State fram all claims and liabBily due to activities of itself, its agents, employees or volunteers, performed under this agreement and which result from an error, anussion or negEgeat act of flm 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 mcurred by the State in litigation or otherwise resisting said claim or liabilities which might be imposed an the State as a result of activities by the Contractor, its agents, employees or volunteers. Q. SUCCESSORS AND ASSIGNS The Cofactor binds himself, his successors, assigns, executors and admimistraicas in respect to all covenants of this ate. The Contractor shall not sign, sublet or transfer his interest in this agreement without the written consent of the State. R. CONTRACTOR ACKNOWLEDGMENT The Contractor aclawwledges that it is not an agent, servant or employee of the State and is responsible for its own acts and deeds and for those of its agents or employees during the performan= of the contract work. S. LEGAL CONSTRUCTION In case any nae or moire of tine provisions contained in this agreement shall for any ransom be held to be invalid, illegal or unenforceable in any respect, such invalidity, illegality or unenforceabilit' y shall not affect any other provision thereof and this agreema t shall be construed as if such invalid, illegal or unenforceable provision had never been contained herein. Revised 7/% Page It T. 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. IN TESTIMONY WHEREOF, the pasties hereto have caused these presents to be executed. STATE OF TEXAS Certified as being executed for the purpose and effect of activating and/or earryiag art the orders, established policies, or work programs hereta fiwo approved and authorized by the Texas Transportation Commission ander the authority of Minute Order 105871. By: District Engineer Lubbock District Date: CONTRACTOR: T.itle, Mayor Pro Tem fie: -. -�,.- � ••. ATTEST: R6rbld Willard Interim City ecretary Date: APPROVED AS TO CONTENT: Mi Bred Cox Director of Transportation 91�w� V�� arold Willard Assistant City Attorney Cooke Revised 71% Page 12 CONTRACTOR: CITY OF LUBBOCK CONTRACT NUMBER: 517XXF6016 STATE PROJECT NO.: URB 9701(5)2 UNE REM S CAPITAL. XX.XX.XX TOTAL CONTRACT BUDGET FEDERAL STATE LOCAL 800,000 640,000 0 160,000 0 0 0 0 0 0 0 0 0 0 0 0 800,000 840.00080% 0 0% 160,000 20% PLANNING XX.XX.XX 125,000 56,800 0 68,200 125,000 56,800 45% 0 0% 68,200 55% OPERATING )00xXX 4,098,000 1,699,000 429,817 1,969,183 4,098,000 1,899,000 41% 429,81710% 1,869,183 48% nua�mo�amowti�l ECHOLARSH 2,000 1,000 1,000 2,000 1.000 1,000 0 0% TOTAL 6,025,000 2,396,800 430,817 2,197,383 STATE FUNDING SPLIT: FORMULA CSP DISCRETIONARY TOTAL CAPITAL 0 0 0 0 PLANNING 0 0 0 0 OPERATIN 430,817 0 0 430,817 430,617 0 0 430,817 TOTAL REIMBURSABLE AMOUNT 450,817 ATTACHMENT A Debarment Certification (Negotiated Contracts) (1) The CONTRACTOR certifies to the best of its knowledge and belies; that it and its principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded firm 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 tendered against them for commission of fi-aud or a criminal offense in connection with obtaking, attempting to obtain, or performing a public* transaction or contract under a public transaction, violation of federal or state antitrust statutes or commission of embealemcnt, the&, forgery, bribery, falsification or destruction of records, malting false statements, or receiving stolen property- 0 roperty © Arc not presently indicted for or otherwise criminally or civilly charged by a governmental entity* with commission of any of the offenses enumerated in paragraph (l)(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. *federal, state or local ATTEST: Hfifold Willard Interim City Secretary APPROVED AS TO CONTENT: Mildred Cox Director of Transportation &Z,� U� t+a o d Willard Assistant City Attorney Form 1734-A 4-89 - "',, Signature of Official Alex "Ty" Cooke Mayor Pro Tem Title - .I 74MUffin VVI . Attachment C (Page 1 of 3) Lower Tier Participant Debarment Certification ������ (Negotiated Contracts) Alex "Ty" Cooke,(F a or Pro Te Q� r $100,000) being duly sworn or under pity ofpm7my under the laws of the United States, certifies that neither City o f L u bboc k nor its (nsat tante orbwatia paa:ti4mt) 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 ad 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: ATTEST: H 1 d Wi and Interim City Secretary APPROVED AS TO CONTENT: Mildred Cox Director of Transportation Waylold Wil and Assistant City Attorney Form 1734 Rev. 4-89 G/ Signature of Ce ing Official Mavor Pro Tem Alex "Ty" Cooke September 10, 1996 Date of Certification See Next Page for Information Attachment C (Page 2 of 3) 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 pmcuremevt contrad for goods or services between the Contractor and a person, regardless of the amount, wader which the parsonn will have a critical influence on or substantive control over that covered transaction. Such persona mchide principal investigators and providers of federally required audit services. A prommnent transaction is the process of acquiring goods and services. A narlpnxurrment transaction is the granting of financial assistance to entities to assist the grantor in meeting objectives that aro 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. Attachment C (Page 3 of 3) SCHOLARSHIP GUIDELINES 1. BUDGET Each Section 5307 system will be responsible for budgeting and Planning for urbanized training funds. Each system will provide a description of urbanized training funds expenditures for the Contract year in the amount of $1,000. 2. EUGIBIE EXPENSES In addition to training activities, other reimbursement opportunities include urbanized modules, videos, instructional materials such as notebooks and newsletters for information cwhange. Audio visual equipment may be purchased for use in presentations and informational exchange; standard purchasing procedures should be Mowed. Federal travel guidelines under the urbanized program continue to be in effect unless written system policies are filed with the agency administering the program. Other travel expenses shall be included under Section 5307 technical assistance. Emphasis will be in aupanding local training opportunities. Guidelines to follow as outlined by the Department: ♦ Tralnins is defined as an activity to improve employee performance through achievement of specific, measurable, predetermined training objectives. ♦ Non4rdhbg adiv &s include meetings and conferences designed to disseminate policy, procedures, or supervisory guidance, to provide information, or allow for exchange of information related to program funds. THESE ALT[V'ITIES ARE NOT ELIGIBLE FOR URBANIZED FUNDING. ♦ Education assist== may provide for tuition, required fees, and books needed for approved courses at colleges and universities and any service or part of a state institution of higher education. ♦ Billing Procedures - A written description of use and expenditures must accompany each billing. All standard Department billing requirements under the Section 5307 program. shall continue to be in effect. Attachment D DISCLOSURE OF LOBBYING ACTIVITIES ApprovedbyOMB Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 13S2 0349-0046 (See reverse for public burden disclosure.) 1. Type of federal Action: 2. Status of Federal Action: A Report Type: aa. contras ❑ a. bidloffertapplication 11a. initial filing b. grant b. initiaf award b. material change C. cooperative agreement a post -award for lutaterlal Change Only d. loan C. loan guarantee year Quarter f. loan insurance date of fart report 4. fume and Address of Repotting Entity: S. U Reporting Entity in No.4 is Subawardee. Enter Name and ❑ Prime ❑ Subawardee Address of Prime: Tier , if known Congressional District if known: Congresdonaf District. ilknown: L Federal Department Agency: 7. Federal Program l4ame/Description: CFDA Number, if applicable: S. Federal Action Number, if known: 9. Award Amount if known: S 10. a. Name and Address of Lobbying Entity b. individuals Performing Services (including address if Gf individual, last name, first name. MIR different from No. 10a) (last name, two name, Mt): (attach Continuation Sheet(t) VUL A daeceuayl 11. Amount of Payment (check all that apply): 13. Type of Payinent (dteck of that apply): S ❑ actual ❑ planned ❑ a. retainer _ ❑ b. one-time fee ❑ c. commission 1L forts of Payment (check ate that apply): ❑ a. cash ❑ d. contingent fee ❑ b. in-kind; specify: nature ❑ e. deferred value ❑ f. other. specify: 14. Brief Description of Services Performed or to be Performed and Dates) of Service, including offrcer(s), employes(s), or Member(s) eontased. for Payment Indicated in hem 11: Of ach Contuwarson Sheet(r) SF-tLt-AL if neceaary) 1S. Continuation Sheet(%) SFALL-A attached: ❑ Yes ❑ No 16- Nroenlu:en rogw4sted We"% Mi form k wtuerlted by tide 1/ Y.S.C. sectientasL Thltdadose►oetlsee yww ecdrllin k � estto/sor w►rwntsrtJen Signature: W of fan upon MaKs felience rot pieced by the tier New open this tr&#%4Cti0n vee ewe or entered We. This dWMGWO k M4WMd parwant to Print Name: 31 U.S.C. 1I1). The enlennn.•e .fit be reported so the Cengrest soeta- annueay end er.e he oeedrlle for peWc Mtpomen My person rhe blk to Title: I" {N "tueod dlscre+ere ehdd he s.AreA to • OWN to" of net less Ilan f16.0m and net ewe tern 1100.000 so, eecr+we ledwr Telephone: Date: Federal Use Only: a,nwewced le. Ley) eepnrdva16A twee •.d /ear M INSTRUCTIONS FOR COMPLETION OF SF -LLL, DISCLOSURE OF LOBBYING ACTIVITIES This disclosure form shall be completed by the 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 31 U.S.C. section 1352. The filing of a form 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 and/or has been secured to influence the outcome of a covered Federal rction. 2. Identify the status of the covered Federal action. 3. Identify the appropriate classifiationof this report. if this is a fonowup reportcaused 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 previously submitted report by this reporting entity for this covered Federal action. 4. Enter the full name. address. city. state and tip code of the.reporting entity.'Include Congressional District, if known. Check the appropriate dassification of the reporting entity that designates if it is. or expects to be. a prime or subaward recipient. Identify the tier of the subawardee. 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, city. state and zip code of the prime Federal recipient Include Congressional District, if known. 6. Enter the name of the Federat 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). If known. enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements. loans, and loan commitments. 6. 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 (IF6) number; grant announcement number; the contract. grant, or loan award number; the applicationiproposal control number assigned by the Federal agency). Include prefixes, e.g.. 'RFP -DE -90-001.' 9. For a covered Federal action where there has been a award or ban commitment by the Federal agency, enter the Federal amount of the award/loan commitment for the prime entity identified in item 4 or S. 10. (a) Enter the full name, address, city. state and tip 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 all boxes that apply. If other. specify nature. 14. Provide a specific and detailed description of the services that the lobbyist has performed. or will be expected to perform, and the date(%) of any services rendered. Include all preparatory and related activity, not just time spent in actual contact with Federal officials. identify the Federal official(s) or employee(s) contacted or the officer(s), employee(s), or Members) of Congress that were contacted. 15. Check whether or not a SF -LLL -A Continuation Sheet(s) is attached. 16. The certifying offical shall sign and date the form, print his/her name, title. and telephone number. Public reponsng bwden for that, cofteetion of nrormat-on is estimated to average 30 minutes per response, indudwV tune fon rewew-ng srsstructtont, searching east -ng data sources, gatheruq and manun-ng the data needed, and compfetng and rewew" the collection of information. Send comment► eegard-ng the burden estrrnate or any other aspect of sh-s coeect-on of nformatson, nclud+ng uVgcstrors for cadac-ng this bwden, to the Off-ce of Management and audget. Paxrwora Reduct-on rioted (03484046), wash-ngton. O.C. 20503. TEXAS DEPARTMENT OF TRANSPORTATION Public Transportation Fund General Information Fiscal Year 1997 1. Legal Name of Applicant: City of Lubbock 2. Mailing Address: P.O. Box 2000 Lubbock, Texas 79457 3. Street Address (if different from above.) 801 Texas Avenue Lubbock, Texas 79401 4. Name, Title, Telephone Number, and FAX Number of Contact person: John L. Wilson, General Manager (806) 767-2380 (806) 767-2387 (fax) 5. Applicant's Vendor Identification (VID) Number: 30070 - City of Lubbock Vendor Identification Number for Citibus 75-6000590 - City of Lubbock Tax Exempt Number 6. Date that application will be submitted to the Federal Transit Administration (FTA): August 8, 1996 7. Date Federal Approval is expected: October 1, 1996 8. Federal Project Number (if known). n/a 9. Section 5313 scholarship funds for training only in the amount of $1,000 is available. Please indicate if you want it and can use it. These additional funds for training would be useful to Citibus; application for these is included in cover letter. (3) Eligible Operating Expenses (4) Less Farebox Revenue (5) Net Project Costs (6) Local Share Total Eliminations City of Lubbock University Student Funds Route Guarantee State Public Transportation Funds Total Local Share (n Net Expenses Advance on Operations Before Applying FTA Funds (8) Federal Transit Administration Funds Required $375,000 $375,000 $4,100,000 $700,000 $3,400.000 $705.000 502,000 62,183 430,817 $1,700,000 $1.700.000 $1.700,000 $1,700.000 PROJECT BUDGET For the Period: October 1, 1996 to September 30, 1997 Transit Operator. City Transit Management Company, Inc. Designated Recipient: City of Lubbock, Texas (1) Contract Costs Labor $2,029,250 Fringe Benefits 851,000 Services 225.000 Materials & Supplies 905.000 Utilities 105,000 Casualty & Liability 275,000 TUN 75,000 Miscellaneous 125,000 Interest Expense 4,750 Total Operating S Capital Maintenance Cost $4,475,000 $4.475,000 (2) Less Eliminations Non -Mass Transportation Expenses Capital Maintenance Parts $250,000 Technical Study $125,000 (3) Eligible Operating Expenses (4) Less Farebox Revenue (5) Net Project Costs (6) Local Share Total Eliminations City of Lubbock University Student Funds Route Guarantee State Public Transportation Funds Total Local Share (n Net Expenses Advance on Operations Before Applying FTA Funds (8) Federal Transit Administration Funds Required $375,000 $375,000 $4,100,000 $700,000 $3,400.000 $705.000 502,000 62,183 430,817 $1,700,000 $1.700.000 $1.700,000 $1,700.000 Lobbying Certification for Contracts, Grants, Loans, and Cooperative Agreements (For Contracts &reeding $100,000) The undersigned certifies to the best of his or her lmowledge and belief, that: (1) No rvdad appcvpcisted firods have been. paid or will be paid by or an behalf of the undersigned, to any person for influencing or attempting to kBueooe an doer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or as employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Fvdersl grant, the. making of any Federal loan, the entering into of any cooperative agrees, and the Win, continuation, renev4 amedum t, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any fiords other than Federal appropriated fiords have been paid or will be paid to any person for inh.enciug or attempting to influence an ober or employee of any agency. a Member.of Congress, an officer or employee of Congress, or an empkyee 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 subamuds at all than (including subcontracts, subgrants. aid contracts under grants, loans, and cooperative ams) and that all subreeipients shall certify and disclose a=m1iggly. This oertificatioa 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, Tutt 31, U.S. Code. Any persai who fi& to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each e - ATTEST: luso d Wi I lar Interim City Secretary APPROVED AS TO CONTENT: L— O% A% Mildred Cox Director of Transportation TaDOT 490 PH1l xRxx6U9K$ 2Rxx #—XRTC Alex "Ty" Cooke Name and Title of Contractor's Authorized Official Mayor Prc Tete IRKIVAffnelm... J 5: K September 10, 1996 Data APPROVED AS TO FORM; arold Willar Assistant City Attorney Attachment E