HomeMy WebLinkAboutResolution - 2309 - Grant Application - USDOT - Section 9(A) Capital Assistance, Citibus - 05/08/1986Resolution 92309
May 8, 1986
Agenda Item #19
Authorizing Resolution
Resolution 02309
A RESOLUTION? OF THE CITY COUNCIL OF LUBBOCK, TEXAS, AUTHORIZIMG THi FILING OF AN
APPLICATION WITH THE DEPARTMENT OF TRANSPORTATION, UNITED STATES OF AMERICA FOR A
GRANT UNDER THE URBAN MASS TRANSPORTATION ACT OF 1964, AS AMENDED.
WHEREAS, the Secretary of Transportation is authorized to make grants for mass
transportation projects; and
WHEREAS, the contract for financial assistance will impose certain obligations upon
the applicant, including the provision by it of the local share of project costs;
and
WHEREAS, it required by the United States Department of Transportation in
accordance with the provisions of Title VI of the Civil Rights Act of 1964, as
amended, the applicant give an assurance that it will comply with Title VI of the
Civil Rights Act of 1964 and the United States Department of Transportation
requirements thereunder; and
WHEREAS, it is the goal of the applicant that disadvantaged business enterprise be
utilized to the fullest extent possible in connection with this project, and that
definitive procedures shall be established and administered to ensure that
disadvantaged businesses shall have the maximum feasible opportunity to compete for
contracts when procuring construction contracts, supplies, equipment contracts or
consultant and other services.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF LUBBOCK, TEXAS, ON THIS
8TH DAY OF MAY, 1986, AS FOLLOWS;
1. That the MAYOR is authorized to execute and file applications on behalf of the
City of Lubbock with the United States Department of Transportation to aid in
the financing of planning, capital, and/or operating assistance projects
pursuant to Section 9(A) of the Urban Mass Transportation Act of 1964, as
amended.
2. That the MAYOR is authorized to execute and file with such applications an
assurance or any other document required by the United States Department of
Transportation effectuating the purposes of Title VI of the Civil Rights Act o
1964.
3. That the GENERAL MANAGER of CITY TRANSIT MANAGEMENT COMPANY, INC., is
authorized to furnish such additional information as the United States
Department of Transportation may require in connection with the application fo
the program of projects.
4. The the MAYOR is authorized to set forth and execute affirmative minority
business policies in connection with the program of projects' procurement
needs.
5. That the MAYOR is authorized to execute grant agreements on behalf of Lubbock,
Texas, with the United States Department of Transportation for aid in the
financing of the planning, capital and/or operating assistance program of
projects.
6. That this resolution shall take eff&ct immediately upon its adoption.
Passed by the City Council this 8th-- day of May, 1986.
C
S.C. McMinn, Mayor
ATTEST:
RanetteUoyd, City Secretary `.
Appy oed as to Content:
y+sr f° -
Larry Ht f ..an, Dir w >r of
Tran ortation
Approved as// [to Form
J. Wo. Fullingim, .4ssistan
City Attorney
&LI.CITY OF LUBBOCK
�IFX'*-W
\� P.O. sox 2000
Lubbock, Tx. 794.57
(806) 762-6411
Mr. Wilbur Hare
UMTA Regional Office
819 Taylor Street, Suite 9A32
Fort Worth, TExas 76102
Resolution #2309
APPLICATION
FOR
CAPITAL ASSISTANCE
UNDER SECTION 9A PROVISIONS OF
THE NATIONAL MASS TRANSPORTATION ACT OF 1964, AS AMENDED
In Behalf of
THE CITY OF LUBBOCK, TEXAS
For the Year Beginning October 1, 1986
Prepared by
The City of Lubbock - Transit Department
Resolution #2309 and #2310
bMS Approval Na. 29-00218
13. PROPOSED FUNDING IA. CONGRESStONAL DISTRICTS OF:
A. FEDERAL S 112,204 .00 L AFPUC-W ►. "WECT
1k. AMIWR 28, 051 _ .00 19 1 12
a STATE .00 1L PROJECT STAN _ )a PROJECT --
a OTHER 00 1R. W1SUBMITTED GAATE TO rear soma �
f,y S 140, 255 00 FEDERAL AGENCY 1W1!
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CA 96100) Capital Assistance
N A �pAe„e No.) _
and Technical Studies
7. TITLE AND DESCRIPTION OF APPUCAmrs PROJECT
L TYPE OF AJ'PLI .i
Capital Assistance for purchase of 2 support
Amita M..taaM aitt Athos Alengr
a-1=«+�+b 1_,= u�;"w t.actcut)ea
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vehicles, pressure washer,. spare engine and trans-
Dula u-o"M (s,«;r:):
mission, bus route signs, and various tools and
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equipment.
¢ Prase.
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13. PROPOSED FUNDING IA. CONGRESStONAL DISTRICTS OF:
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1k. AMIWR 28, 051 _ .00 19 1 12
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M REMARKS ADDED
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;OT'TCE OF PUBLIC: HFARIyG
RE: City of Lubbock Section 9 (A) Capita] and Technical Assistance Grant
Applications and Section 5 Operating Assistance Grant Application.
Notice is hereby given that an opportunity for a public hearing will be afforded in
the Citibus Conference Room, 801 Texas Avenue, at 12:30 p.m., Tuesday, Apri1.22,
1986, for the purpose of considering projects for which financial assistance is
being Sought from the Urban Mass Tr.ansporLati.on Act of 1964, as amended, generally
described as follows:
CAPITAL GRANT Program o.1 Projects: The projecL will consist of the purchase of two
support vehicles; pressure washer; spare engine and transmission; bus route signs;
and various shop tools/equipment.
Total cost is estimated at $95,255. Of this amount, the City of Lubbock will
provide S19,051 and $76,204 will come .from UMTA Section 9 (A) funds_ The pro ect is
proposed to begin October 1, 1986.
TECHNICAL STUDIES GRANT Program of Projects: The project will consist of four
elements: alternative financial and operational scenarios; monitoring the system
and service development; maintenance of eligibility; and private sector
participation.
Total cost is estimated at 545,000. Of this amount, the City of Lubbock will
provide S9,000 and $36,000 will come from UMTA Section 9 (A) funds. The project is
proposed to begin October 1, 1986.
OPERATING ASSISTANCE GRANT Program of Projects: This program will consist of the
transportation services in the Lubbock urbanized area provided by City Transit
Management Company, Inc., from October 1, 1986, to September 30, 1987. Total cost
is 51,672,440, of which 5836,220 will come from UMTA Section 5 funds, and 5542,845
from the City of Lubbock and 5293,375 from non-farebox revenues.
No persons, families, or businesses will be displaced by these projects. There will
be no significant environmental impact upon the urban area. The proposed projects
are in conformance with comprehensive land use and transportation plans for the
area.
The City of Lubbock will provide a demand -responsive system, which will service: the
needs of the elderly and handicapped, and half fare on all regular transit routes.
City Transit Management, Inc. provides the incidental charter service in the Lubbock
urbanized area.
Interested persons or agencies may submit orally or in writing evidence and
recommendations with respect to said projects on or before April 22, 1986.
Preliminary program of projects is also available to the public at the Citibus
offices and final program of projects will also be available at the Citibus offices,
801 Texas Avenue.
General Manager
Citibus
P. 0. Box.2000
Lubbock, Texas 79457
Ci
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zr
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$VZ33r t'f`N Pf"o�P'*m * $M 91 M1
i3 ;fbtlZ
THE STATE OF TEXAS
COUNTY OF LUBBOCK
Before me Do ro t hy Rus se I I a Notary Public in and for Lubbock County. Texas on this day
personally appeared _ Tw i I a A u f i I I r A e e o u n t Manage r of the Southwestern Newspa-
pers Corporation. publishers of the Lubbock Avalanche -Journal — Morning. Evening and Sunday, who
being by me duly sworn did depose and say that said newspaper has been published continuously for more
than fifty-two weeks prior to the first insertion of this Legal Notice
No. 749038 at Lubbock County. Texas and the attached print-
ed copy of the Legal Notice is a true copy of the original and was printed in the Lubbock
Avalanche -.Journal on the following dates: AP ri I 8'9 1986
414 words @ 38t per word = $157.32
Account Manager
LUBBOCK AVALANCHE -JOURNAL
Southwestern Newspapers Corporation
Subscribed and sworn to before me this 9 day of April Lg 86
JooRaT�ivv RUSSELL
FORM 58-10
Notary Public In tuu' fcr ite State Of Texas'
My COn)111i53ion Expires Nov. 9, 1988
sus Notice
of . -
Public Hearing
RE: City of Lubbock Section 9
(A) Capital and Technical
Assistance Grant Applications
and Section. 5 Operating
Assistance Grant Application.
Notice is hereby given that an
opportunity for a public hearing
will -be afforded in the Citibus
Conference Room, 801 Texas
Avenue, at 1230 p.m., Tuesday,
April 22,1986, for the purpose of
considering projects for which
financial assistance is being
sought from the Urban Mass
Transportation Act of 1964, as
amended, generally described as
follows:
CAPITAL GRANT Program of
Projects: The project will consist
of the purchase of two support
vehicles; pressure washer; spare
engine and transmission; bus
route signs; and various shop
tools/equipment.
Total cost is estimated at
$95,255. Of this amount, the City
of Lubbock Will provide $19.051
and $76204 will come from
UMTA Section 9 (A) funds. The
project is proposed to begin
October 1, 19B&
TECHNICAL STUDIES GRANT
Program of Projects. The project
will consist of four elements:
alternative financial and
operational scenarios; monitoring
the system and service
ievelopment; maintenance of
iligibility, and private sector
iarticipation.
Total cost is estimated at
45,000. Of this amount, the City
if Lubbock will provide $9,000
and $36,000 'will come from
UMTA Section 9 (A) funds. The
project is proposed to begin
October 1, 1986.
OPERATING ASSISTANCE
GRANT Program of Projects: This
program will consist of the
transportation services in the
Lubbock urbanized area provided
by City Transit Management
Company, Inc., from October 1,
1986, to September 34 1987.
Total cost is $1,672,440, of which
$836220 will come from UMTA
Section 5 funds, and $542,845
from the City of Lubbock and
$293,375 from non-farebox
revenues.
No person, families, or
businesses will be displayed by
these projects. There will be no
significant environmental impact
upon the urban area The proposed
projects are in conformance with
comprehensive land use and
transportation plans for the area.
The City of Lubbock will
provide a demand -responsive
system, which will service the
needs of the elderly and
handicapped, and half fare on all
regular transit routes. City
Transit Management, Inc.
Provides the incidental charter
service in the Lubbock urbanized
area
Interested persons or agencies
may submit orally or in writing
evidence and recommendations
With respect to said projects on or
before April 22,198& Preliminary
program of projects is also
available to the public at the
Citbus offices and final program
of projects will also be available
at the Citibus offices, 801 Texas
Avenue.
Notice submitted by General
Manager, Citibus, P. 0. Box 2000,
Lubbock, Texas 79457.
Page S, Southwest Digest. Thursday, April 17, 19
Notice of Public Hearing
Re: City of Lubbock Section 9 (A) EL EDITOR,
' Capital and Technical Assistance Grant
Applications and Section 5 Operating
Assistance Grant Application.
' Notice is hereby given that an
'opportunity for a public hearing will be
afforded in the Citibus Conference
Room, 801 Texas Avenue, at 12:30 p.m.,
I Tuesday, April 22, 1986, for the purpose '
'of considering projects for which
financial assistance is being sought from
' the Urban Mass Transportation Act of '
1984, as amended, generally.described
' as follows:
' Capital Grant Program of Projects: The '
Iproject will consist of the purchase of
two support vehicles; pressure washer;
' spare engine and transmission; bus
'route signs; and various shop '
tools/equipment.
Total cost is estimated at $95.255. Of this
' amount, the City of Lubbock will provide '
$19,051 and $76,204 will come from
UMTA SEction 9 (A) funds. The project is
I proposed to begin October 1, 1986. '
Technical Studies Grant Program of '
Projects: The project will consist of four
I elements: alternative financial and
operational scenarios; monitoring the
system and service development I
I maintenance of eligibility; and private '
' sector participation. '
Total cost is estimated at $45,000. Of this '
' amoung, theCity of Lubbock will provide
f$9,000 and $36,000 will come from I
UMTA Section 9 (A) funds. The project is
' proposed to begin October 1, 1986.
' Operating Assistance Grant Program o1 '
Projects: This program will consist of the
transportation services in the Lubbock
urbanized area provided by City Transit I
Management Company, Inc., from
October 1, 1986, to September 30,1987.
Total cost is $1,672,440, of which '
$836,220 will come from UMTA Section 5
' funds, and $542,845 from the City of
'
Lubbock and $293.375 from non-farebox I
revenues.
No persons, families, or businesses will
' be displaced by these projects. There I
will be no significant environmental
impact upon the urban area. The
' proposed projects are in conformance I
'with comprehensive land use and
transportation plans for the area.
The City of Lubbock will provide a
I demand-responsive system, which will '
` service the needs of the elderly and
I -handicapped, and half fare on all regular '
t transit routes. City Transit Management, '
Inc. provides the incidental charter
service in the Lubbock urbanized area.
Interested persons or agencies may
Isubmit orally or in writing evidence and
recommendations with respect to said
' projects on or before April 22, 1986. '
Preliminary program of projects is also '
available to the public at the Citibus
Ioffices and final program of projects will '
also be available at the Citibus offices,
801 Texas Avenue.
i General Manager '
'Citibus
P.O. Box 2000
' Lubbock, Texas 79457 '
L- ---.J
EXHIBT A: PROJECT DESCRIPTION
The Project will consist of:
1. Purchase one support vehicle (car)_
The support vehicle in need of -replacement is a 1976 AMC. It has over 77,000
miles and is in need of repair work, especially in the suspension, the
carburetor, and in the steering. It is estimated that the total replacement
cost will be $10,000.
2. Purchase one support vehicle (3/4 ton icku ).
The support vehicle needing replacement is a 1976 Ford pickup with
approximately 100,000 miles. The truck is in need of extensive repair work;
the bed, tailgate, flywheel and clutch all need to be replaced; a valve job is
needed; and the rear -end and the transmission both require overhauls. The
total replacement cost is estimated at $15,000.
3. Purchase bus wash brushes.
The present brushes have been in use since September, 1980. They are used to
clean approximately 6000 vehicles per year and the brushes are beginning to
fray and break off. Total cost of replacing the brushes is $5,500.
4. Purchase spare engine.
The buses will have over 170,000 miles on average by the end of this fiscal
year, and the prospect of engine failures becomes likely. In order to help
keep operating expenses low, a Detroit Diesel 6V -71N engine should be purchased
at a price of $16,400.
5. Purchase spare transmission.
Citibus has experienced several transmission failures since service with the
buses began in September, 1980. With the fleet averaging over 170,000 miles by
the end of this fiscal year, it is likely that more transmission failures will
be experienced. An Allison V-730 transmission can be purchased for $18,000.
6. Purchase radar gun.
By purchasing a radar gun, Citibus can become more responsive to citizen
complaints of buses speeding by having an accurate method of checking the
complaint. In addition, the radar gun will be utilized in training for both
new and experienced operators. The cost of a radar gun is estimated at
approximately $1500.
7. Purchase pressure washer.
The pressure washer is used several times a day to clean engines prior to
maintenance and to clean areas of the shop. Thus far this year, over$600 has
been spent to repair the existing pressure washer. It is estimated that
replacement of the pressure washer would cost $2400.
8. Purchase brake meter.
Citibus currently has no method to accurately check the braking efficiency of
its buses and other vehicles; the road test during the annual state inspection
is the only official method of checking the operation of the brakes. The brake
meter can be used as a part of the preventive maintenance program as well as to
check operators' complaints of poor braking performance. The total cost of a
brake meter is estimated at $830.
9. Purchase a/c vacuum pump,
The a/c vacuum pump currently in use is over ten years old. Since the only
means of ventilating the buses is air conditioning, having a reliable vacuum
PUMP is imperative. The total purchase cost for an a/c vacuum pump is $800.
10. Purchase floor Jack.
The floor jack presently in use was manufactured in the 1950's and and is in
need of constant repairs. Due to its age, replacement parts are increasingly
hard to locate. The total replacement cost for the floor jack is $1800.
11. Purchase bus route information si ns.
Numerous citizen requests have been received for more route information to be
available on the routes themselves. Such information would benefit regular
riders; infrequent riders would gain the most from route information. The
total cost for purchase and placement of 100 information guides would be
$15,000.
All purchases would be made through competitive bidding in accordance with
established procedures of the City of Lubbock and in conformance with UMTA
requirements on DOT -funded purchases.
EXHIBIT B: PUBLIC TRANSPORTATION SYSTEM
The City of Lubbock owns the public transportation system for the Lubbock urbanized
area. Information about the public transportation system (Citibus) has been
documented in prior capital assistance projects of the City of Lubbock.
EXHIBIT C: PROJECT JUSTIFICATION
This program of Section 9A Financial Assistance for capital improvements for the
City of Lubbock will allow for the continuation of transit services as presently
provided by City Transit Management Company, Inc.
The radar gun, brake meter, and route information signs are new equipment which is
intended to enhance service and/or maintenance. The remainder of the items are
intended as replacements for existing items. Replacement of these items will aid in
keeping operation expenses at their present level.
EXHIBIT D: PROJECT FINANCING
1. Proceeds of sale of facilities or e ui Ment to be replace. $ None
2. Financing from Trans ortation S stem Revenues. $ None
Anticipated revenues for this project consist of the City of Lubbock's
financing in the amount $19,051. These revenues will be cash outlays from the
City's General Fund and in-kind match of staff salaries for project
administration.
3. Private Financing $ None
EXHIBIT H: USE OF PROJECT FACILITIES
The Capital Improvements comprising this project will be owned by the City of
Lubbock and are being obtained for use in provision of mass transportation service
in the Lubbock urbanized area, either under the Lease and Supervisory Agreement with
City Transit Management Company, Inc., or otherwise in the event that such agreement
is terminated.
It is understood that the grant agreement will contain provisions to assure the
continuation of such use during the useful life of the project facilities and that,
in the event such facilities are solde or otherwise devoted to another use during
their useful life, the City will be required to refund a proportionate share of the
Federal grant based on the sale proceeds or the market value of the facilities.
EXHIBIT J: PUBLIC HEARING
A public notice informing the public about the proposed project and affording the
public an opportunity to attend a public hearing on the project was published. On
April 22, 1986, the Transit Advisory Board conducted a meeting and awaited public
input on the proposal. No citizens offered comments at the meeting nor were there
any written comments on the projects prior to the meeting.
Additional opportunity for public comment on the project will also be afforded
during the City Council meeting at which the project is considered.
Copies of the public notices are included with this exhibit.
EXHIBIT K: RELOCATION
This project does not require the displacment of families, individuals, or
non-profit organizations. No relocation will be necessary as a result of this
project.
EXHIBIT I: LABOR
I. 1. The project will not adversely affect the employees of City Transit
Management Company, Inc. (CTMC).
No employee will be laid off as a result of the purchases. Citibus
(City of Lubbock's transit system) is the only mass transit carrier in
Lubbock. Personnel working for CTMC are employed under the provisions
of CTMC. These employees are independent of any representation.
2. The project will not adversely affect the employees of any other
transportation system in the urbanized area. No carriers other than
CTMC provide scheduled local service within the urban area.
It is understood that the grant agreement will contain provisions
determined by the Department of Labor, by which the City of Lubbock will
warrant that the project will not adversely affect the employment and
working conditions of the employees of CTMC and will agree that if any
such employees are adversely affected, appropriate protection shall be
afforded under the provisions of Section 13 (c) of the Urban Mass
Transportation Act of 1964, as amended.
II. The City of Lubbock assures that all laborers and mechanics employed by
contractors or subcontractors in the performance of construction work financed
with assistance uner the Urban Mass Transportation Act of 1964, as amended,
shall be paid wages not less than those prevailing on similar construction in
the locality as determined by the Secretary of Labor in accordance with the
Davis -Bacon Act, as amended.
EXHIBIT L: PROTECTION OF THE ENVIRONMENT
The National Environmental Policy Act of 1969 and the Urban Mass Transportation Act
of 1964, as amended, require review of every proposed project to determine if it may
have a "significant" or "substantial" impact on the environment, either adversely or
favorably. Consequently, the impact the proposed. Section 9A Capital Assistance
program may have on the environment has been analyzed. It has been determined that
significant negative impacts on the environment will result from the program. All
projects are recommended as categorical exculsions as per 23 CFR, Part 771. This
conclusion is substantiated below:
Project Description:
The City of Lubbock proposes to purchase two service vehicles (a sedan and a
3/4 ton pickup), bus wash brushes, spare engine, spare transmission, radar gun,
pressure washer, brake meter, a/c vacuum pump, floor jack, and 100 route
information signs. The objective is to replace two inefficient service
vehicles - a 1977 sedan and a 1976 pickup. The radar gun is for verifying
reports of buses speeding and for operator training. The brake meter is
intended to improve maintenance procedures and bus performance. The bus route
information signs are to better communicate information to riders and potential
riders. The remainder of the items are replacement items needed to
improve/maintain operating efficiency. The total program cost is $95,255.
No community disruption will result from this project as there will be no relocation
of persons or businesses due to program activities. There will be no adverse
employment effects or property losses resulting from the project.
No manmade or natural resources will be destroyed or endangered as a result of this
project. No historic or archeological site will be disturbed as a result of this
project nor will any recreational or natural areas.
Desirable community and regional growth will be enhanced, not disrupted, by the
continuance of transit services due to the project. If transit services were
reduced due to lack of efficient equipment, mobility in developing areas would be
limited and access to public facilities and services would be lessened especially
for those who have no alternative means of transportation.
EXHIBIT 0: EVALUATION OF FLOOD HAZARDS
Not applicable.
EXHIBIT P: FARES -ELDERLY AND HANDICAPPED
The Lubbock Transit system has provided reduced fares for elderly and handicapped
persons since January, 1973. The E/H fare is thirty-five cents and the regular
adult fare is seventy-five cents on all regularly scheduled routes and apply at all
hours of operation. This situation exceeds the UMTA requirement for E/H fares
during non -peak hours.
Senior citizens quality for reduced fares at age 62 or older by obtaining a photo
I.D. card at the Lubbock Senior Citizen Center. Handicapped persons quality for the
reduced fare by having a physician or a social/human service agency representative
attest to their disability on a simple self -certification form from Citibus. Upon
completion, Citibus issues a photo I.D. card. Upon presentation of either card to a
route operator, a person can board the bus with the exact cash fare.
Notice of reduced fares is provided through various media, including vehicles
operated by CTMC and route maps and other printed material of the company which is
regularly displayed and provided to the general public without charge. In addition,
organizations representing these special groups have been furnished a copy of the
rate ordinance for dissemination to their members.
PROGRAM BUDGET
Urban Area: Lubbock, Texas
Designated Recipient: City of Lubbock, Texas
Grantee: City of Lubbock, Texas
Project Amount
CAPITAL ASSISTANCE GRANT $95,255
BUDGET
Revenue Financing FY 83 Section 9(A)
Program Cost 895,255
Federal Share $76,204
Local Shade 819,051
ESTIMATED PROGRAM COST
LINE ITEM
CODE DESCRIPTION
COST
Purchase one support vehicle (car)
$10,000
Purchase bus wash brushes
5,500
Purchase spare engine
16,400
Purchase spare transmission
18,000
Purchase bus route information signs
(100)
15,000
Purchase pressure washer
2,400
Purchase floor jack
1,800
Purchase radar gun
1,500
Purchase brake meter
830
Purchase a/c vacuum pump
800
Purchase one support vehicle (3/4 ton
pickup)
15,000
Contingencies (5%)
4,361
Administration (4%)
3,664
Total Project Cost
$95,255
Financing Breakdown
Federal Share (80%)
$76,204
City of Lubbock (20%)
$19,051
ANNUAL E .EMENT
TRANSPORTATION IMPROVEMENT PROGRAM
FY 1987 (October 1, 1986 - September 31, 1987)
FUNDING
LOCAL
CLASSIFICATION
PROJECTS
COST
FEDERAL STATE
SHARE
Section 5
Operating Assistance
$1,672,440
$ 836,220 ----
$ 836,220
(FY 1987)
Section 9(A)
Capital Improvements
$ 95,255
$ 76,204 ----
$ 19,051
(FY 1987)
Section 9
Operating Assistance
$1„700,000
$ 850,000 ----
$ 850,000
TOTALS
$3,467,695
$1,762,424 ----
$1,705,271
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Resolution #2309
SECTION 9 CERTIFICATION
Certification is given by the City of Lubbock with respect to Section 9A of the
Urban Mass Transportation Act of 1964, as amended (49 USC Section 1601, et seq)
(herein called the "Act"), filed with the Urban. Mass Transportation ADministration
(UMTA), as to the following:
A. That it has or will have the legal, financial and technical capacity to carry
out the proposed program of projects;
B. That it has or will have satisfactory continuing control through operation or
lease or otherwise, over the use of the facilities and equipment;
C. That it will comply with the provisions as prescribed by Section 5(m) of the
Act.
D. That it will give the rate required by Section 5(m) of this Act to any person
presenting a medicare card duly issued to that person pursuant to Title II or
Title XVIII of the Social Security Act;
E. In carrying out any procurement under Section 9, that it will use competitive
procurement processes as defined by UMTA, will not utilize exclusionary or
discriminatory specifications in the procurement, and will carry out the
procurement in compliance with applicable Buy America provisions.
F. That it has complied with the following requirements of Section 9(f) in that it
has:
a. Made available, to the public, information concerning the amount of funds
available under Section 9 and the program of projects that the recipient
proposes to undertake with such funds;
b. Developed a proposed program of projects concerning activities to be
funded in consultation with interested parties, including private
transportation providers;
C. Published a proposed program of projects in such a manner to afford
affected citizens, private transportation providers and, as appropriate,
local elected officials an opportunity to examine its content and to
submit comments on the proposed program of projects and on the performance
of the recipient;
d. Afforded an opportunity for a public hearing to obtain the views of
citizens on the proposed program of projects;
e. Considered comments and views, particularly those of private
transportation providers, and if deemed appropriate, modified the proposed
program of projects;
f. Made the final program of projects .available to the public;
g. That it has available and will provide the required amount of funds in
accordance with Section 9(k)(1) of the Act, and will comply with the
requirements of Sections 8 and 16 of the Act;
h. That it has a locally developed process to solicit and consider public
comment prior to raising fares or implementing a major reduction of
transit service;
i. That the organizations to receive benefits directly from the Section 9A
grant are subject to the uniform system of financial and operating data as
prescribed in Section 15 of the UMT Act and further defined in UMTA
regulations (49 GFR 630, 1984);
j. That any proposed project for the acquisition of or investment in rolling
stock is in conformance with UMTA rolling stock guidelines.
The provisions of 18 USC 1001, 1982 apply to any certifications or submissions
(relative to punishment for wrongful information) under this section.
C. McMinn
Mayor
May 8, 1986
Date
APPROVED AS TO CONTENT:
John L. Wilson,
Citibus General Manager
VIA
J. (Korth Full irgim
As istant City Attorney
Attest:
-�7
Ran(�4ee Boyd, City Secr to
J#A&TY OF LUBBOCK
P.O. Boa 2000
\ Lubbock, Ta. 794.57
(806) 762-6411
This memorandum will serve as the requisite opinion of counsel to be filed
with the Urban Mass Transportation Administration, United States Department
of Transportation, in,connection with the application of the City of Lubbock
for financial assistance pursuant to the provisions of Section 9(A) of the
Urban Mass Transportation Act of 1964, as amended, for planning, capital
and/or operating assistance projects. I understand that the City of Lubbock
has been duly designated as a recipient in accordance with the provisions
of Section 9(A) of the Urban Mass Transportation Act of 1964, as amended,
and that the Urban Mass Transportation Administration has concurred in that
designation. The legal authority of the City of Lubbock to carry out planning,
11 capital, and/or operating assistance projects directly, by lease, contract,
or otherwise is set forth below:
1. The City of Lubbock is authorized by Article III, Section
5, Constitution of the State of Texas, and Article 1165 V.T.C.S.
and the Lubbock City Charter to provide and assist public
transportation by acquisition, construction and operation
of existing or additional transit facilities. This assistance
may be provided directly by the City of Lubbock or by lease
or similar contract agreements with other parties.
2. The authority of the City of Lubbock to provide for its share
of project fundsfor the program of projects is set forth
in the filing of application.
3. I have reviewed the pertinent Federal, State, and local laws
and I am of the opinion that there is no legal impediment
to the application for Section 9(A) financial assistance.
Furthermore, as a result of my examination, I find that there is no pending
or threatened litigation or other action which might in any way adversely
affect the proposed projects in the program, or the ability of the City
of Lubbock to carry out such projects in the program.
Sincerely,
IJ14A4-r
!IV
J. th Fullingim
Assistant City Attorney
STANDARD ASSURANCES FOR UMTA GRANTS
The City of Lubbock hereby assures and certifies that it will comply with
the Federal statutes, regulations, executive orders and administrative
requirements which relate to the applications made to and grants received
from the Urban Mass Transportation Administration.
Acknowledgement of the attached list of regulations, statutes, and requirements
is given.
The provisions of 18 USC 1001 (regarding penalties for wrongful information)
apply to any certifications or submissions under this section.
B. C. McMinn J. rth Fullingim
Mayor A istant City Attorney
Attest:
May 8, 1986
Date
Rane Boyd, City Se eta
APPROVED AS TO CONTENT:
�z 4-1,
John L. Wilson
UMTA C 9100.1A
2-8-85
ATTACHMENT 1.
Attachment
Page 1
LIST OF STATUTES,. REGULATIONS, ADMINISTRATIVE REQUIREMENTS, AND
EXECUTIVE ORDERS APPLICABLE TO CERTAIN UMTA PROGRAMS
(compliance with the following is indicated by a
signed Standard Assurance (Exhibit 1)�
Part 1 --The following list is applicable to all transit assistance projects under
Sections 3, 3(a)(1)(C), 4(i), 5, and 9 of the Urban Mass Transportation Act of 1964,
as amended, and to all transit related projects under Sections 103(e)(4) (Interstate
Transfer) and 142 (Federal Aid Urban Systems) of Title 23 of the United States Code.
STATUTES
18 U.S.C. 1001
which provides criminal'sanctions for those who knowingly and
willfully provide false information to the Federal Government..
Section 3(f) of the UMT Act, 49 U.S.C. 1602(f)
which requires, among other things, the recipient to enter Into an
agreement with UMTA not to provide charter service that will
foreclose private operators.
Section 3(g) of the UMT Act, 49 U.S.C. 1602(8)
which requires, among other things, the recipient to enter into an
agreement with UMTA not to provide exclusive school bus service.
Section 5(k) For 4(a)] of the UMT Act, 49 U.S.C. 1604(k) [or 49 U.S.C. 1603(a)]
which requires, among other things, the provision of the recipient°s
pro rata share of the cost of the project.
Section 8 of the UNIT Act,, 49 U.S.C. 1607
which.provides, among other things, for a continuing, cooperative,
and comprehensive planning process.
Section 8(e) of the UMT Act, 49 U.S.C. 1607(e)
which requires, among other things, the recipient to provide to the
maximum extent feasible for private enterprise participation in UMTA
funded pians and programs.
Section 12(c) of.the UMT Act, 49 U.S.C. 1608(c)
I\ definitions applicable to the grant.
Attachment 1
Page 2
Section 13 of the UMT Act, 49 U.S.C. 1609
UMTA C 9100.1A
2-8-85
which requires, among other things, the recipient to comply with
applicable labor requirements.
Section 16 of the UMT Act, 49 U.S.C. 1612
which provides, among other things, for the planning and design of
mass transportation facilities to meet the special needs of the
elderly and handicapped.
Section 19 of the UMT Act, 49 U.S.C. 1615
which, among other things, prohibits discrimination on the basis of
race, color, creed, national origin, sex or age.
Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000 d
which, among other things, prohibits discrimination on the basis of
race, color or national origin by recipients of Federal financial
assistance.
Title V11 of the Civil Rights Act of 1964, 42 U.S.C. 2000 e
which, among other things, prohibits discrimination in employment.
Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794
which, among other things, prohibits discrimination on the basis of
handicap by recipients of Federal financial assistance.
"Hatch Act", 5 U.S.C. 1501 et seq.
which, among other things, imposes certain restrictions on political
activities of recipients of Federal financial assistance.
"Buy America Requirements", Section 165 of the Surface Transportation
Assistance Act of 1982, P.L. 97-424, as amended
which, among other things, requires that steel and manufactured
products procured under UMTA-funded contracts be of domestic
manufacture or origin (with four exceptions).
"Davis -Bacon Act", 40 U.S.C. 276a to a-7
which requires, among other things, that all mechanics and laborers
working on federally assisted construction projects (in excess of
$2,000 contract value) be paid not less often than once a week, at
computed wage rates not less than the prevailing wages for similar
work in the same geographic area of the project.
I
UMTA C 9100.1A
2-8-85
Attachment 1
Page 3
"Copeland Anti -Kickback" Act, 18 U.S.C. 874
which, among other -things, prohibits payroll deductions from the
wages of employees who are covered by the Davis -Bacon Act for any
reason except those specifically stated in the Copeland Act.
Contract Work Hours and Safety Standards Act, 40 U.S.C. 327-332
which, among other things, establishes the required basis and
conditions for hours of work and for overtime pay of laborers and
mechanics, and directs the Department of Labor to formulate
construction safety and health standards.
National Environmental Policy Act, 42 U.S.C. 4321 et seq.
which, among other things, prohibits Federal assistance to projects
that will adversely affect the quality of the environment.
Uniform Relocation Assistance and Land Acquisition Policies Act of 1970,
42 U.S.C. 4601 et seq.
which, among other things, establishes the terms and conditions for
compensation to property owners and occupants who are displaced as a
result of federally assisted projects.
National Historic Preservation Act of 1966, 16 U.S.C. 470 et seq.
which, among other things, provides for the protection of national
historic sites.
Archeological and Historic Preservation Act of 1966, 16 U.S.C. 469a-1, et seq.
which provides protection for historically valuable property.
Federal Water Pollution Control Act, as amended by the Clean Water Act of 1977,
33 U.S.C. 1251, et seq.
which, among other things, establishes a review and permit process
for construction projects which affect navigable waters.
Clean Air Act .of 1955, as amended, 42 U.S.C. 7401, et seq.
.which, among other things, mandates State Implementation Plans that
often encompass transit projects.
Energy Policy and Conservation Act, 42 U.S.C. 6321
which, among other things, authorizes development and implementation
of state energy conservation plans.
Attachment 1
Page 4
National Flood Insurance Act of 1969, 42 U.S.C. 4011, et seq.
UMTA C 9100.1A
2-8-85
which, among other things, authorizes a national flood insurance
program.
Flood Disaster Protection Act of 1973, 42 U.S.C. 4012a, et seq.
which, among other things, requires the purchase of flood insurance
by recipients of Federal financial asssistance who are located In
areas having special flood hazards.
Architectural Barriers Act of 1968, as amended, 42 U.S.,C. 4151, et seq.
which, among other things, requires that any building or facility or
portion thereof assisted with Federal funds be accessible to the
handicapped in accordance with the General Services Administrations
Accessibility Standards, 41 CFR Subpart 101-19.6.
ADMINISTRATIVE REQUIREMENTS
OMB Circular A-87
which provides cost principles applicable to grants and contracts
with State and local governments.
OMB Circular A-102
which provides uniform requirements for assistance to State and
local governments.
h..
EXECUTIVE ORDERS
E: 0. 11246, as amended
which establishes requirements in construction activities for
contracts over $2,,000.
E. 0. 11988
which establishes certain specific requirements related to flood
protection and control.
E. 0. 12312
which rescinded OMB Circular A-95 and established new requirements
contained in FR No. 48, 123, June 24, 1983, pp 29264--29267. These
requirements deal with the notification of State organizations of
proposed transit projects and the opportunities for those
organizations to review project proposals.
UMTA C 9100.1A
2-8-85
REGULATIONS
49 CFR Part 600 et seq.
Attachment 1
Page 5
regulations promulgated by UMTA.
49 CFR Parts 21, 23, 25 and 27
regulations promulgated by the Department of Transportation
governing Title VI, Minority Business Enterprise (Disadvantaged
Business Enterprise/Women*s Business Enterprise), Relocation and
Land Acquisition, and Nondiscrimination on the basis of Handicap,
respectively.
46 CFR Part 381
regulations promulgated by the Maritime Administration governing
cargo preference requirements.
36 CFR Part 800
regulations promulgated by the Advisory Council on Historic
Preservation.
31 CFR Part 205
regulations promulgated by the nepartment of the Treasury governing
letter of credit.
40 CFR Part 15
regulations promulgated by the Environmental Protection Agency
pertaining to administration of Clean Air and Water Pollution
requirements of grantees.
29 CFR Parts 5 and 215
regulations promulgated by the Department of Labor pertaining to
construction labor and transit employee protections.
6
Attachment 1 UMTA C 9100.1A
Page 6 .2-8-85
Part 11 --The following two statutes apply only to transit assistance projects under
Sections 5 and 9 of the Urban Mass Transportation Act of 1964, as amended.
Section 15(b) of the U14T Act 49 U.S.C. 1611, as amended by section 304(c) of the
Federal Public Transportation Act of 1982
which requires the applicant and beneficiaries of the Sections 5, 9A
and 9 programs to adhere to both the financial and operating
information reporting system and the uniform system of accounts and
records.
Title,il and Title XVIII of the Social Security Act, 42 U.S.C. 401, et seq.
and 42 U.S.C. 1395 et seq.
as they pertain to the issuance of Medicare cards.
Part 111 --The following general category of program statutes apply only to the
transit assistance programs cited herein:
Section 3 of the Urban Mass Transportation Act of 1964, as amended
APPLICABLE TO: Transit assistance projects under Sections 3,
3(a)(1)(C), and 40) of the Urban Mass Transportation Act of 1964,
as amended, and all transit related projects under
Sections 103(e)(4) and 142 (Interstate Transfer and Federal Aid
Urban Systems, respectively) of Title 23 of the United States Code.
Section 5 of the Urban Mass Transportation Act of 1964, as amended
APPLICABLE TO: Transit assistance projects under Section 5 of the
-Urban Mass Transportation Act of 1964, as amended.
Note particularly program specific requirements such as 5(i)(3),
Fares and Services, and 5(m), Half -Fare Requirement.
Section 9 of the Urban Mass Transportation Act of 1964, as amended
APPLICABLE TO: Transit Assistance projects under Section 9 of the
Urban Mass Transportation Act of 1964, as amended.
Note particularly program specific requirements such as 9(e)(3)(H),
Fares and Services, 9(e)(3)(i)), Half -Fare Requirement, and 9(g),
Audit Requirement.
UMTA C 9100.1A
2-8-85
ATTACHMENT 2
Attachment
Page 1
Part IV --Civil Rights assurances required of all transit assistance applicants
grants pursuant to Sections 3, 3(a)(1)(C), 40), 5, and 9 of the Urban Mass
Transportation Act of 1964, as amended, as well as for applications for transit
related projects under the Federal Aid Urban Systems and Interstate Transfer
Programs (Section 142 and 103(e)(4), respectively, of Titie 23 of the United States
Code) .
ASSURANCE OF COMPLIANCE WITH
TITLE VI OF THE CIViL RIGHTS ACT OF 1964
(DEPARTMENT OF TRANSPORTATION)
The (Title of Recipient) (hereinafter referred to as the "Recipient") HEREBY AGREES
THAT as a condition to receiving any Federal financial assistance from the
Department of Transportation it will comply with Title VI of the Civil Rights Act of
19640 78 Stat. 252, 42 U.S.C. 2000d-42 U.S.C. 2000d-4 (hereinafter referred to as
the Act) and all requirements imposed by or pursuant to Title 49, Code of Federal
Regulations, Department of Transportation, subtitle A, Office of the Secretary, Part
21, Nondiscrimination in Federally -Assisted Programs of the Department of
Transportation - Effectuation of Title VI of the Civil Rights act of 1964
(hereinafter .referred to as the Regulations) and other pertinent directives, to the
end that in accordance with the Act, Regulations, and other pertinent directives, no
person in the United States shall, on the grounds of race, color, sex or national
origin be excluded from participation in, be denied the benefits of, or be otherwise
subjected to discrimination under any program or activity for which the Recipient
receives Federal financial assistance from the Department of Transportation,
including the Urban Mass Transportation Administration (UMTA), and HEREBY GIVES '
ASSURANCE THAT it will promptly take any measures necessary to effectuate this
agreement. This assurance is required by subsection 21.7(a)(1) of the Regulations.
More specifically and without limiting the above general assurance, the Recipient
hereby gives the following specific assurances with respect to the project:
1. That the Recipient agrees that each. "program" and each "facility" as defined in
subsections 21.23(e) and 21.23(b) of the Regulations, will be (with regard to a
"program") conducted, or will be (with regard to a "facility") operated in
compliance with all requirements imposed by, or pursuant to, the Regulations.
2.' That the Pecipient shall insert the following notification in all solicitations
for bids for work or material subject to the Regulations and made in connection
with a project under the Urban Mass Transportation Act of 1964, as amended (the
UMT Act) and, in adapted form in all proposals for negotiated agreements:
Attachment 2
Page 2
UMTA C 9100.1A
2-8-85
The Recipient, in accordance with Title VI of the Civil Rights Act of
1964, 78 Stat. 252, 42 U.S.C. 2000d to 2000d-4 and Title 49, Code of
Federal Regulations, Department of Transportaton, Subtitle A, Office
of the Secretary, Part 21, Nondiscrimination In Federally -Assisted
Programs of the Department of Transportation issued pursuant to such
Act, hereby notifies all bidders and proposers that'it will
affirmatively ensure that in regard to any contract or procurement
entered into pursuant to this advertisement, minority business
enterprises [Disadvantaged Business Enterprise/Women°s Business
Enterprise (QBE/WBE)] will -be afforded full opportunity to submit
bids and proposals in response to this invitation and will not be
discriminated against on the grounds of race, color, sex or national
origin in consideration for an award.
3. That the Recipient shall insert the clauses of Appendix A of this assurance in
every contract subject to the Act and the Regulations.
4. That the Recipient shall insert the clauses of Appendix B of this assurance, as
a covenant running with the land, in any deed from the United States effecting
a transfer of real property, structures, or improvements thereon, or interest
therein.
5. That where the Recipient receives Federal financial assistance to construct a
facility, or part of a facility, the assurance shall extend to the entire
facility and facilities operated .in connection therewith.
6. That where the Recipient receives Federal financial assistance in the form, or
for the acquisition of real property or an interest In real property, the
assurance shall extend to rights to space on, over, or under such property.
7. That where the Recipient receives Federal financial assistance to carry out a
program of managerial training under Section 10(a) of the Urban Mass
Transportation Act of 19640 as amended, the assurance shall obligate the
recipient to make selection of the trainee or fellow without regard to race,
color, sex or national origin.
8. That where the Recipient receives Federal financial assistance to carry out a
program under the Urban Mass Transportation Act of 1964, as amended, the
assurance shall obligate the recipient to assign transit operators andto
furnish transit operators for charter purposes without regard to race, color,
sex or national origin.
9. That where the Recipient receives Federal financial assistance to carry out a
program under the Urban Mass Transportation Act of 1964, as amended, routing,
scheduling, quality of service, frequency of service, age and quality of
vehicles, assigned to routes, quality of stations serving different routes, and
location of routes may not be determined on the basis of race, color, sex or
national origin.
UMTA C 9100.1A
2-8-85
Attachment 2
Page 3
10. That the Recipient shall include the appropriate clauses set forth in
Appendix C of this assurance, as a covenant running with the land, in any
future deeds, leases, permits, licenses, and similar agreements entered into by
the Recipient with other parties: (a) for the subsequent transfer of real
property acquired or improved under (Project Number); and (b) for the
construction or use of or access to space on, over or'under real property
acquired, or improved under (Project Number):
11. That this assurance obligates the Recipient for the period during which Federal
financial assistance is extended to the project, except where the Federal
financial assistance is to provide, or is in the form of, personal property, or
real property or interest therein or structures or improvements thereon, in
which case the assurance obligates the Recipient or any transferee for the
longer of the following periods: (a) the period during which the property is
used for a purpose for which the Federal financial assistance is extended, or
for another purpose involving the provision of similar services or benefits; or
(b) the period during which the recipient retains ownership or possession of
the property.
12. The recipient shall provide for such methods of administration for the program
as are found by the Secretary of Transportation or the official to, whom he/she
delegates specific authority to give reasonable guarantee that it, other
recipients, subgrantees, contractors, subcontractors, transferees, successors
in interest, and other participants of Federal financial assistance under such
program will comply with all requirements imposed or pursuant to the Act, the
Regulations and this assurance.
13. The Recipient agrees that the United States has a right to seek judicial
enforcement with regard to any matter arising under the Act, and Regulations,
and this assurance.
THIS ASSURANCE is given in consideration of and for the purpose of obtaining any and
ail Federal grants, loans, contracts, property, discounts or other Federal financial
assistance extended after the date hereof to the Recipient by the Department of
Transportation under Federal Urban Mass Transportation Programs and is binding on
It, other recipients, subgrantees, contractors, subcontractors, transferees,
successors in interest and other participants in the Federal Urban Mass
Transportation Program. The person or persons whose signatures appear on the
Authorizing Resolution are authorized to sign this assurance on behalf of the
Rec i p rent.
Attachments:
Appendices A, i3, and C
Department of Transportation
Attachment 2
Page 4
During the performance of
and successors in interest
as follows:
UMTA C 9100.1A
2-8-85
APPENDIX A
this contract, the contractor, for itself, its assignees
(hereinafter referred to as the "contractor") agrees
(i) Compliance with Regulations: The contractor shall comply with the Regulations
relative to nondiscrimination in federally assisted programs of the department
of Transportation (hereinafter "DOT") Title 49, Code of Federal Regulations,
Part 21, as they may be amended from time to time (hereinafter, referred to as
the Regulations), which are herein incorporated by reference and made a part of
this contract.
(2) Nondiscrimination: The contractor, with regard to the work performed by it
during the contract, shall not discriminate on the grounds of race, color, sex
or national origin in the selection and retention of subcontractors, including
procurements of materials and leases of equipment. The contractor shall not
participate either directly or indirectly in the 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)
Solicitations for Subcontracts, including Procurements of Materials and
Equipment: In all solicitations either by competitive bidding or negotiation
made by the contractor for work to be performed under a subcontract, including
procurements of materials or leases of equipment, each potential subcontractor
or supplier shall be notified by the contractor of the contractor's obligations
under this contract and the Regulations relative to nondiscrimination on the
grounds of race, color, sex or national origin.
(4) Information and reports: The contractor
reports required by the Regulations or di
shall permit access to its books, record
information, and its facilities as may be
Urban Mass Transportation Administration
compliance with such Regulations, orders
information is required or a contractor i
another who fails or refuses to furnish t
so certify to the Recipient, or the Urban
as appropriate, and shall set forth what
Information.
shall provide all information and
rectives issued pursuant thereto, and
s, accounts, other sources of
determined by the Recipient or the
(UMTA) to be pertinent to ascertain
and instructions. Where any
s in the exclusive possession of
his information, the contractor shall
Mass Transportation Administration,
efforts it has made to obtain the
N
UMTTA C 910 0. 1 A
2-8-85
Attachment 2
Page 5
(App. A, Pg. 2)
(5) Sanctions for Noncompliance: In the event of the contractors noncompliance
with the nondiscrimination provisions of this contract, the Recipient shall
impose such contract sanctions as it or the Urban Mass'Transportation
Administration may determine to be appropriate, including, but not limited to:
(a) Withholding of payments to the contractor under the contract until the
contractor complies, and/or
(b) Cancellation, termination or suspension of the contract, in whole or in
part.
(6) Incorporation of Provisions: The contractor shall include the provisions of
paragraphs (1) through (5) in every subcontract, including procurements of
materials and leases of equipment, unless exempt by the regulations, or
directives issued pursuant thereto. The contractor shall take such action with
respect to any subcontract or procurement as the Recipient or the Urban Mass
Transporation Administration may direct as a means of enforcing such provisions
Including sanctions for non-compliance: 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 Recipient to enter into such litigation to protect the interests of
the Recipient, and, in addition, the contractor may request the United States
to enter Into such litigation to protect the interests of the United States.
Attachment 2
Page 6
APPENDIX B
UMTA C 9100.1A
2-8-85
A. The following clauses shall be included in any and all deeds effecting or
recording the transfer of real property, structures or improvements thereon, or
Interest therein from the United States. (GRANTING CLAUSE)
NOW, THEREFORE, the Department of Transportation, as authorized by law, and
upon the condition that the Recipient .will accept title to the lands and
maintain the project constructed thereon, in accordance with the Urban Mass
Transportation Act of 1964, as amended, the Regulations for the Administration
of Federal Urban glass Transportation Programs and the policies and procedures
prescribed by the Urban Mass Transportation Administration of the Department of
Transportation and, also in accordance with and in compliance with all
requirements imposed by, with, and in compliance with all requirements imposed
by or pursuant to'Title 49, Code of Federal Regulations, Department of
Transportation; Subtitle A, Office of the Secretary, Part 21, Nondiscrimination
in Federally -Assisted programs of the Department of Transportation (hereinafter
referred to as the Regulations) pertaining to and effectuating the provisions
of Title VI of the Civil Rights Act of 1964 (78 Stat. 252; 42 U.S.C. 2000d to
2000d-4), does hereby remise, release, quitclaim and convey unto the (Name of
Recipient) all the right, title, and interest of the Department of
h� Transportation in and to said lands described in Exhibit "All attached hereto
and made a part hereof.
(HABENDUM CLAUSE)
TO HAVE AND TO HOLD said lands and interests therein unto (Name of Recipient)
and its successors forever, subject, however, to the covenants, conditions,
restrictions and reservations herein contained as follows, which will remain in
effect for the period during which the real property or structures are used for
a purpose for which Federal financial assistance is extended or for another
purpose involving the provision of similar services or benefits and shall be
binding on the (Name of Recipient), its successors and assigns.
The (Name of Recipient), in consideration of the conveyance of said lands and
Interests in lands, does hereby covenant and agree as a covenant running with
the land for itself, its successors and assigns, that (1) no person shall on
the grounds of race, color, or national origin, be excluded from participation
in, be denied the benefits of, or be otherwise subjected to discrimination with
regard to any facility Located wholly or in part on, over or under such land
hereby conveyed (,) (and)* (2) that the (Name of Recipient) shall use thelands
and interests in lands so conveyed, in compliance with all requirements imposed
or pursuant to Title 49, Code of Federal Regulations, Department of
Transportation, Subtitle A, Office of the Secretary, Part 21, Nondiscrimination
* Reverter clause and related language to be used only when it is determined that
such a clause is necessary In order to effectuate the purposes of Title VI of the
Civil Rights Act of 1964.
b
UMTA C 9100.1A Attachment 2
r 2-8-85 Page 7
(App. Fi, Pg.2 )
In Federally -Assisted Programs of the Department of Transportation -
Effectuation of Title VI of the Civil Rights Act of 1964, and as said
Regulations may be amended(,) and (3) that in the event of breach of any of the
above-mentioned nondiscrimination conditions, the Department shall have a right
to re-enter said lands and facilities on said land, and the above described
land and facilities shall thereon revert to and vest in and become the absolute
property of the Department of Transportation and its assigns as such interest
existed prior to this Instruction.*
1
* Reverter clause and related language to. be used only when it is determined
that such a clause is necessary in order to effectuate the purposes of Title VI
of the Civil Rights Act of 1964.
a
Attachment 2 UMTA C 9100.1A
r Page 8 2-8-85
APPENDIX C
The foilowling clauses shall be included in all deeds, licenses, leases, permits, or
similar instruments entered into by the Recipient pursuant to the provisions of
Assurance 10(a).
The (grantee, licensee, lessee, permittee, etc., as appropriate) for himself, his
heirs, personal representatives, successors in interest, and assigns, as a part of
the consideration hereof, does hereby covenant and agree (in the case of deeds and
leases add "as a covenant running with the land") that in the event facilities are
constructed, maintained, or otherwise operated on the said property described in
this (deed, license, lease, permit, etc.) for a purpose for which a Department of
Transportation program or activity is extended or for another purpose involving the
provision of similar services or benefits, the (grantee, licensee, lessee,
permittee, etc.) shall maintain and operate such facilities and services in
compliance with all other requirements imposed pursuant to Title 49, Code of Federal
Regulations, Department of Transportation, Subtitle A, Office of the Secretary, Part
21, Nondiscrimination in Federally -Assisted programs of the Department of
Transportation - Effectuation of Title VI of the Civil Rights Act of 1964; and as
said Regulations may be amended.
(Include in licenses, leases, permits, etc)*
That in the event of breach of any of the above nondiscrimination covenants, (Name'
of Recipient) shall have the right to terminate the (license, lease, permit, etc.)
and to re-enter and repossess said land and the facilities thereon, and hold the
same as if said (license, lease, permit, etc.) had never been made or issued.
(Include in deeds)*
That in the event of breach of any of the above nondiscrimination covenants, (Name
of Recipient) shall have the right to re-enter said lands and facilities thereon,
and the above described lands and facilities shall thereupon revert to and vest in
and become the absolute property of (Name of Recipient) pursuant to the provisions
of Assurance 10(b).
Reverter clause and related language to be used only when it is determined that
such a clause is necessary in order to effectuate the purposes of Title VI of the
Civil R i g Fits Act of 1964.
UMTA C 9100.1A
2-8-85
Attachment
Page 9
(App. C, Pg.2 )
The (grantee, licensee, lessee, permittee, etc., as appropriate) for himself, his
personal representatives, successors in interest, and assigns, as a part of the
consideration hereof, does hereby covenant and agree (in.the case of deeds, and
leases, add "as a covenant running with the land") that'(1) no person on the ground
of race, color, or national origin shall be excluded from participation in, denied
the benefits of, or be otherwise subjected to discrimination in the use of said
facilities, (2) that in the construction of any improvements on, over, or under such
land and the furnishing of services thereon, no person on the ground of race, color,
or national origin shall be excluded from participation in, denied the benefits of,
or otherwise be subjected to discrimination, and (3) that the (grantee, licensee,
lessee, permittee, etc.) shall use the premises in compliance with all other
requirements imposed by or pursuant to Title 49, Code of Federal Regulations,
Department of Transportation, Subtitle A, Office of the Secretary, Part 21,
Nondiscrimination in Federally -Assisted Programs of the Department of Transportation
- Effectuation of Title Vi of the Civil Rights Act of 1964), and as said Regulations
may be amended.
(Include in licenses, leases, permits, etc.)*
That in the event of breach of any of the above nondiscrimination covenants, (Name
of Recipient) shall have the right to terminate the (license, lease, permit, etc.)
and to re-enter and repossess said land and the facilities thereon, and hold'the
same as if said (license, lease, permit, etc.) had never been made or issued.
4
(.Include in deeds)*
That in the event of breach of any of the above nondiscrimination covenants, (Name
of Recipient) shall have the right to re-enter said land and facilities thereon, and
the above described lands and facilities shall thereupon revert to and vest inland
become the absolute property of (Name of Recipient) and its assigns. .
*Reverter clause and related language to be used only when it is determined that
such a clause is necessary in order to effectuate the purpose of Title VI of the
Civil Rights Act of 1964.
CERTIFICATE
THE STATE OF TEXAS:
COUNTY OF LUBBOCK:
CITY OF LUBBOCK
I, RANETTE BOYD, City Secretary of the City of Lubbock, Texas,
hereby certify that the attached document is a true and correct copy of
RESOLUTION 2309 which authorized the Mayor to file Grant Application to
which this Certificate is attached.
TO CERTIFY WHICH, witness my hand and
seal of the City of Lubbock, this °til
day of May, 1986.
1�
RANETT OYD
City Secretary
i � 4
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
NOTIFICATION OF GRANT APPROVAL
(SECTIONS 3, 5, 8, 9A AND/OR 9 OF THE URBAN MASS TRANSPORTATION
ACT OF 1964, AS AMENDED, AND/OR TITLE 23 UNITED STATES CODE)
Program No.: TX -90-0069
GRANTEE: City of Lubbock, Texas
DESIGNATED RECIPIENT: City of Lubbock, Texas
ESTIMATED TOTAL NET PROGRAM COST OF THE PROJECTS IN THIS PROGRAM:_
$140,255
MAXIMUM FEDERAL SHARE:
$112,204
FINANCIAL DATA: (Section of the Statute, Year, Amount, Percentage, Use) -
(See Attachment A and attached Project Budget)
-2-
NOTIFICATION OF GRANT APPROVAL (CONTINUED)
DATE OF SECTION 13(c) CERTIFICATION LETTER FROM THE DEPARTMENT OF LABOR:
July 3, 1986
PROGRAM DESCRIPTION: (See attached Program of Projects and/or Project
Activities and applicable Data)
(Note especially Sections 6 through 10 of Part I which establish various
requirements for projects financed under various statutory authorities)
AUG 2 2 1986
OBLIGATION DATE
REGIONAL ADMINISTRATOR
A
S '
ATTACHMENT A
"FOR UMTA USE ONLY"
Project Number: TX -90 -0069
Grantee Vendor Number: 1993
(Check One)
Obligated Grant
Executed Grant
Is this grant on a letter of credit? Yes X No
If yes, provide number.2. 602
If no, is one currently being established foe this
grant? Yes No
Sources of Federal Financial Assistance for this grant:
Previous This
FFY APPN SEC LIM TA' FPC Obligation Action Total
83 17 90 00 2 00 -0 $112,204 $112,204
Section 9A
APPROVED PROGRAM BUDGET
Urbanized Area: Lubbock
Designated Recipient: City of Lubbock
Grantee: Citibusd
Program No.: TX -90-0069 Date: AUG 2 2 1986
Planning
Line Item
Codes
41.00.00
Five year financial plan
$6,750
41.00.00
Monitor and service development
12,000
41.00.00
Maintenance of Eligibility
2,250
41.00.00
Private Sector Participation
24,000
Subtotal Planning
$45,000
Bus and Bus Related Facilities
11.42.11
Two support vehicles
$25,000
11.42.06
Pressure washer
2,400
11.12.40
Spare engine
16,400
11.12.40
Spare transmission
18,000
11.42.06
Radar run
1,500
11.42.06
Tools and equipment
8,930
11.32.09
Bus route signs
15,000
41.20.07
Contingencies
4,361
12.79.00
Administration
3,664
Subtotal Bus $95,255
GROSS PROGRAM COST: $140,255
Revenue Financing: $0
NET PROGRAM COST: $140,255
Federal Share (80 percent) $112,204
Local Share (20 percent) $28,051
Total Federal Funds requested $112,204
Identification of Sources of Federal Financial Assistance:
Description FFY APPN SEC LIM TA FPC Amount
Capital formula, Section 9A 83 17 90 00 2 00 $112,204
Section 9A
APPROVED PROGRAM OF PROJECTS
Urbanized Area: Lubbock
Apportionment: Governor's apportionment
Carryover Funds: Transfer Funds:
Recipients:
City of Lubbock
PROGRAM OF PROJECTS (In priority Order):
Program
Description
1. Two support vehicles
2. Pressure washer
3. Spare engine
4. Spare transmission
5. Radar gun
6. Tools and equipment
7. Bus route signs
8. Contingencies
9. Administration expenses
8. Technical studies
Subtotal:
(Federal amount or 80 percent is equal
to or less than total funds available)
Total Programmed:
Total Funds Available:
Total
Amount
$25,000
2,400
16,400
18,000
1,500
8,930
15,000
4,361
3,664
45,000
$140,255
$112,204
$140,255
Subarea Apportionment
Governor's apportionment
Program
Designated
Type
Recipient
(P/C/0)
(Abbreviated)
C
Citibus
C
Citibus
C
Citibus
C
Citibus
C
Citibus
C
Citibus
C
Citibus
C
Citibus
C
Citibus
P
Citibus
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
URBAN IHSS TRANSPORTATION ADMINISTRATION
GRANT
SECTIONS 3, 5, 8, 9A AND/OR 9 OF THE URBAN MASS TRANSPORTATION
ACT OF 1964, AS AMENDED, 49 U.S.C. § 1601 et seq
AND/OR
TITLE 23 UNITED STATES ODDE
PART I
THIS GRANT, effective on the date specified in the Notification of Grant
Approval is entered into by and between the United States of America
( "Government" ) and the Grantee named in the Notification of Grant Approval.
In consideration of the mutual covenants, promises, and representations
herein, the parties hereto agree as follaas:
Sec. 1. Purpose of Grant - The purpose of this Grant is to provide for
the undertaking of an urban mess transportation planning, acquisition,
construction, improvement, and/or operating program ("Program") as authorized
under the Urban Mass Transportation Act of 1964, as amended, and/or amendments
to the Federal Highway Act with Federal financial assistance to the Grantee in
the form of a grant ("Grant"), for purposes set forth in the Program
Description in the Notification of Grant Approval that are in accordance with
the Act(s) and any implementing regulations or guidelines; and to state the
terms and conditions upon which such assistance will be provided and the
manner in which the Projects in the Program will be undertaken and the Program
planning studies, facilities/equipment will be used.
Sec. 2. The Program - The Grantee agrees to undertake and complete the
Program, and to provide for the use of the Program facilities/equipment ,
substantially as described in its Application, incorporated herein by
reference, filed with and approved by the Government, and in accordance with
the terms and conditions of this Grant. The "Program Description" in the
Notification of Grant Approval describes the Program to be funded under this
Grant.
Sec. 3. Federal Assistance - a. In order to assist the Grantee in
financing that portion of the total cost of the Projects in the Program which
the Department of Transportation (DOT) has determined cannot reasonably be
financed from revenues of the public transportation system in which the
Program facilities /equipment are to be used ("Net Project Cost"), such Net
Project Cost total of the Projects financed in this Program being estimated to
be that amount stated in the Notification of Grant Approval, the Government
will make a Grant in an amount equal to either (1) the maximum amount
Page 1
Form UMTA F 2018
04/01/86
W
permitted by Federal law and regulations, or (2) in the amount designated as
Maximum Federal Share in the Notification of Grant Approval, or (3) the amount
designated as Maximum Percentage(s) of Federal Participation as set forth in
the Notification of Grant Approval, whichever is the least. With respect to
operating assistance projects financed under Sections 5 or 9 of the Urban Mass
Transportation Act of 1964, as amended, notwithstanding any provision to the
contrary in Section 105.c. of Part II, Form F 5H, Rev. 8/15/85, entitled Urban
Mass Transportation Agreement, the Federal financial assistance provided under
this Grant may be applied to the Net Project Costs incurred for operations by
the Grantee in the Project Time Period for operations projects designated in
the list of Program of Projects attached to the Notification of Grant
Approval.
b. For purposes of this Agreement, "Net Project Cost" must be in
conformance with the requirements of Office of Management and Budget Circular
(OMB Circular) A-87, "Cost Principles Applicable to Grants and Contracts with
State arra Local Governments," and with any guidelines or regulations issued by
the Government.
c. The obligation of the Government to make Federal Grant payments
shall not exceed the amount provided in the Program Budget.
Sec. 4. Local Share - The Grantee agrees that it will provide from
sources other than (aT Federal funds (except as may otherwise be authorized by
Federal statute), (b) receipts from the use of the Program facilities/
equipment, or (c) revenues of the public transportation system in which such
facilites/equipment are used, funds in an amount sufficient, together with .the
Grant, to assure payment of the actual Project Cost of each Project in the
Program. The Grantee further agrees that no refund or reduction of the amount
so provided below the level of Federal assistance will be made at any time,
unless there is at the same time a refund to the Government of a proportional
amount of the Grant. The Grantee's obligation to provide the Local Share is
calculated on a Project -by -Project basis for each Project in the Program.
Sec. 5. Labor Protection - The Grantee agrees to undertake, carry out,.
and complete the Program under the terms and conditions determined by the
Secretary of Labor to be fair and equitable to protect the interests of
employees affected by the Program and meeting the requirements of section
13(c) of the Act, 49 U.S.C. § 1609(c), and Department of Labor regulations at
29 C.F.R. Part 215. These terms and conditions are identified in the letter
of certification to the Government from the Department of Labor on the date
set forth in the Notification of Grant Approval, which letter and any
documents cited in that letter are incorporated into this Grant by reference.
The Grant is subject to the conditions stated in the Department of Labor
letter.
Page 2
Sec. 6. Special Requirements for Section 5 Projects. -
a. Fares and Services - The Grantee assures that for any public mss
transportation system receiving financial assistance under this Project, no
fare change or substantial change in service as defined in 49 C.F.R. 635.7
will be instituted, except:
(1) after a public hearing is held or an opportunity for such
hearing is afforded, after adequate public notice;
(2) after proper consideration to the views and canments
expressed in such hearing is given; and
(3) after consideration of the effect on energy conservation, and
the economic, environmental, and social impact of the change in the fare or
service is given.
b. Half Fare Requirement - The Grantee agrees and assures that the
rates charged elderly and handicapped persons during nonpeak hours for
transportation utilizing or involving the facilities and equipment financed
pursuant to this Grant will not exceed one-half of the rates generally
applicable to other persons at peak hours, whether.the operation of such
facilities and equipment is by the applicant or is by another entity under
lease or otherwise.
Sec. 7. Special Requirement for Section 8 Projects.
Planning - The transportation plans and programs that are developed as part
of this Project shall be formulated on the basis of transportation needs with
due consideration to comprehensive long-range land.use plans, developed
objectives, and overall social, economic, environmental, system performance,
and energy conservation goals and objectives, and with due consideration to
their probable effect on the future development of the urban area described in
the Application. The planning process shall include an analysis of
alternative transportation system management and investment strategies to make
more efficient use of existing transportation resources and to meet needs for
new transportation facilities. The process shall consider all moles of
transportation and shall be continuing, cooperative, and comprehensive to the
degree appropriate based on the complexity of the transportation problems.
Furthermore, the plans and programs that are developed as part of this Project
shall encourage to the maximum extent feasible the participation of private
enterprise. v%here facilities and equipment are to be acquired which are
already being used in mss transportation service in the urban area, the
program must provide that they shall be so improved that they will better
serve the transportation needs of the area.
Page 3
Sec. 8. Special Requirements for Section 9A and 9 Projects. p
The following requirements are applicable to projects financed under
Section 9 of the Urban Mass Transportation Act of 1964, as amended:
a. Fares and Services - The Grantee agrees that it will utilize its
administrative process to solicit and consider public cum -Lent prior to
raising fares or implementing a major reduction of service.
b. Audit Requirement - The Government may, at least annually and more
frequently in its discretion, either conduct or require the Grantee to
have independently conducted, reviews and audits as the Government may
deem appropriate pursuant to the provisions of section 9(g) of the Act
and any regulations or guidelines that may be issued by the Government.
c. Half -Fare Requirement - The Grantee agrees and assures that the rates
charged elderly and handicapped persons during nonpeak hours for
transportation utilizing or involving the facilities and equipment
financed pursuant to this Grant will not exceed one-half of the rates
generally applicable to other persons at peak hours, whether the
operation of such facilities and equipment is by the applicant or is by
another entity under lease or otherwise. The Grantee agrees and assures
that it will give the rate required herein to any person presenting a
medicare card duly issued to that person pursuant to title II or title
XVIII of the Social Security Act.
d. False or Fraudulent Statements - The Grantee takes notice pursuant to
section 9 h) of the Act, that the provisions of section 1001 of title 18,
United States Code are applicable to any certifications or submissions
under section 9 of the Act. The Government reserves the right to
exercise any remedies set forth in section 9(h) of the Act should a
violation occur.
Sec. 9. Special Condition Pertaining to Financing Section 3 or 9A
Projects.
Payments to the Grantee under Section 3 or 9A of the Act shall be subject
to the availability of sufficient funds in the Mass Transit Account of the
Highway Trust Fund and an adequate liquidating cash appropriation enacted into
law.
Page 4
Sec. 10. ficial Conditions Applicable to Part II.
The following special conditions apply to this project:
a. To implement the provisions of Public Law 99-145, Section 1241,
Nov. 8, 1985, Part II, Section 112.a. (10) and (11) are amended to read
as follows:
(10) OVERTIME REQUIREMENTS. NO C C)NTRA=R OR SUBCONTRACTOR
CONTRACTING FOR ANy PART OF THE GIONTRACr.WORK WHICH MAY RDQUIRE OR
INVOLVE THE EMPLOYMENT OF LABORERS OR MECHANICS SHALL REQUIRE OR PERMIT
ANY SUCH LABORER OR MECHANIC IN ANY WORKWEEK IN WHICH HE OR SHE IS
EMPLCh'ED ON SUCH WORK TO WORK IN EXCESS OF FORTY HOURS IN SUCH WORKWEEK
UNa,ESS SUCH LABORER OR MECHANIC RECEIVES COMPENSATION AT A RATE NOT LESS
THAN ONE AND ONE-HALF TIMES THE BASIC RATE OF PAY FOR ALL HOURS WORKED IN
EXCESS OF FORTY HOURS IN SUCH WORKWEEK.
(11) VIOLATION; LIABILITY FOR UNPAID WAGES; LIQUIDATED DAMAGES. IN
THE EVENT OF ANY VIOLATION OF THE CLAUSE SET FORTH IN SUBPARAGRAPH (b)(1)
29 CFR § 5.5, THE CONTRACTOR AND ANY SUBCONTRACTOR RESPONSIBLE THEREFOR
SHALL BE LIAEiI,E FOR THE UNPAID WAGES. IN ADDITION, SUCH CONTRACTOR AND
SUBCONTRACTOR SHALL BE LIABLE TO THE UNITED STATES (IN THE CASE OF WDRK
DONE UNDER CONTRACT FOR THE DISTRICT OF COLUMBIA OR A TMRITORY, TO SUCH
DISTRICT OR TO SUCH TERRITORY), FOR LIQUIDATED AAMACG'ES. SUCH LIQUIDATED
DAh1AGES SHALL BE COMPUTED WITH RESPECT TO EACH INDIVIDUAL LABORER OR
MECHANIC, INCLUDING WAT Mai AND GUARDS, EMPLOYED IN VIOLATION OF THE
CLAUSE SET FORTH IN SUBPARAGRAPH (b)(1) OF 29 CFR § 5.5 IN THE SUM OF $10
FOR EACH CALENDAR DAY CSI WHICH SUCH INDIVIDUAL WAS REQUIRED OR PERMITTED
TO WORK LI EXCESS OF THE STANDARD WORKWEEK OF FORTY HOURS WITHOUT PAYMENT
OF THE OVERTIME WAGES REQUIRED BY THE CLAUSE SET FORTH IN SUBPARAGRAPH
(b)(1) OF CFR § 5.5.
b. Part II, Section 112.c. is amended to read as follows:
State and Local Government Employees. The provisions of the Fair
Labor Standards Act, as amended by Public Law 99-150, November 13, 1985,
or as may be amended further, are applicable to State and local
government employees that participate in the UMTA assisted project with
the Recipient.
c. Part II, Section 113.8. is amended to read as follows:
In the event that the proposed project will cause adverse
environmental effects, the Recipient will take all reasonable steps to
minimize such effects pursuant to 49 U.S.C. §1610, other applicable
statutory requirements, and the procedures set forth in 23 CFR 771. The
Recipient shall undertake all environmental mitigation measures, historic
preservation or parkland mitigation measures that may be identified in
applicable environmental documents such as environmental assessments,
environmental impact statements, metmranda of agreernents, Section 4(f)
statements, and with any conditions imposed by the Government as part of
a finding of no significant impact or a record of decision; all such
mitigation measures are incorporated in and made part of this Grant
Agreement by reference. Such mitigation measures may not be m:>dified or
withdrawn without the express written approval of the Government.
Page 5
Sec. 11. The Grant - This Grant consists of the Notification of Grant
Approval; this Part I, Form F 2018, 04/01/86, entitled Urban Mass
Transportation Administration Grant; and Part II, Form UWA F 5H, Rev.
8/15/85, entitled Urban Mass Transportation Agreement, Terms and
Conditions. Should the Grant award letter include special conditions for.
Projects in this Program, that letter is incorporated herein by reference
and made part of this Grant. Amendments to any of these documents shall
require a formal amendment to this Grant, except that reallocations of
funds among budget items or fiscal years which reallocations do not
increase the total amount of the Federal Grant may be made in accordance
with all UMTA circulars and regulations. Amendments of any type that
pertain to funding shall require the issuance of a new Program Budget.
Sec. 12. Execution of Grant - This Grant may be simultaneously
executed in several counterparts, each of which counterparts shall be
deemed to be an original having identical legal effect. When the
Notification of Grant Approval is signed by the Goverrrnent, this Grant
should be executed by the Grantee within ninety (90) days after the
Obligation Date. The Government may withdraw its obligation hereunder if
the Grant is not executed within the above ninety -day period. The
effective date of the Grant shall be the Obligation Date. The effective
date of any Amendment shall be the Obligation Date for that Amendment.
The Grantee does hereby ratify and adopt all statements, representations,
warranties, covenants, and materials submitted by it, and does hereby
accept the Government's award of financial assistance and agrees to all
of the terms and conditions of this Grant.
Executed this g - day of ���^-�/�� -n 19
� t
ATIE.S \ BY:
Ranette Boyd
City Secretary
City of Lubbock
TITLE AND ORCzANIZATIOU
A=ST :
Approved as to Content:
John L. Wilson
Citibus General ��anager
B. C. McMinn
Mayor
City of Lubbock
TITLE AND OFCANIZATION
Approved as to Fo
Page 6
north Fullingim
A6 stent City Attorney
Certificate of Grantee's Attorney
I, J. Worth Fullingim , acting as Attorney for the Grantee do hereby
certify that I have examined this Grant and have ascertained that execution of
the Grant was authorized on the date of May 8, 1986• A copy of this
authorization is attached or has previously been submitted toUMI'A. The
execution of this Grant and the proceedings taken by the Grantee are in all
respects due and proper and in accordance with applicable State and local law.
I further certify that, in my opinion, said Grant constitutes a legal and
binding obligation of the Grantee in accordance with the terms thereof and
certify that to the best of my knowledge there is no legislation or litigation
pending or threatened which might affect the performance of the Project in
accordance with the terms of this Grant.
Dated this day of 19
�, O&A t4,,
'
S NATURE
. Worth Fullingim
Assistant City Attorney
City of Lubbock
TITLE AND ORC PNIZATION
Page 7
Form UMTA F 5H
Rev. 8/15/85
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
WASHINGTON, D.C. 20590
OF T _ A/$
G Q
'SATES & P
URBAN MASS TRANSPORTATION AGREEMENT
PART II
TERMS AND CONDITIONS
for Projects under section 3, 4(i), 5, 6, 8,
9, 9A, 18, and 20 of the Urban Mass Transportation
Act of 1964, as amended, 49 U.S.C. § 1601 et seq.;
for Mass Transportation Projects under
the Federal -Aid Highway Act of 1973,
as amended, title 23 U.S.C. (Highways);
or for section 175 of the Clean Air Act
Amendments of 1977, 42 U.S.C. S 7505.
TABLE OF CONTENTS
Section 101. Definitions..... ..........................1
Section 102. Accomplishment of the Project ........................2
a.
General Requirements .. ........ .....
b.
..........2
Pursuant to Federal, State and Local Law ........ 2
c."
Funds of the Recipient ............ .....
d.
. ...2
Submission of Proceedings, Contracts, and Other.
e.
Documents .. ....... ...........................2
Changed Conditions Affecting Performance ........ 3
f.
No Government Obligations to Third Parties ...... 3
g.
Land Acquisition Policy .........................3
Section 103.
The
Project Budget...................................3
Section 104.
Accounting
Records...................................3
a.
Project Accounts.. ... ...
.. ........
b.
. .............3
Funds Received or Made Available for the........
c.
Project.......................................3
Allowable Costs.. ... ... ....
d.
...............3
Documentation of Project Costs..................4
e.
Checks, Orders and Vouchers.....................4
f.
Audit and Inspection.. ................
Section 105.
.........4
Requisitions and Payments......... ................5
a.
Request for Payment by the Recipient ............ 5
b.
Payment by the Government.. ..
c.
...............5
Disallowed Costs.. ..... .........
d.
.... .....6
Prohibition Against Use of Federal Funds for....
Lobbying.. ... ............... .................6
e.
f.
Letter of Credit................................6
Interest on Late Payments .......................7
g.
Deobligation of Funds .. ........................7
Section 106.
Right of Government to Terminate... .....
Section 107.
........7
Project Completion, Settlement andClose-Out.........7
Section 108.
Use of Project Facilities/Equipment..................8
Section 109.
Encumbrance of Project Property......................9
Section 110.
Restrictions, Prohibitions, Controls, and Labor......
Provisions................... .....................9
a.
Equal Employment Opportunity ....................9
b.
Small, Minority and Women's Business............
c.
Enterprise..... .... .......... .............10
Title VI - Civil Rights Act of 1964.... ......11
d.
Competition in Procurement .....................11
e.
f.
Force Account.. .................. .........12
Settlement of Third Party Contract Disputes.....
orBreaches....................................12
Ethics....
g.
h.
... .... ........... .........12
Interest of Members of or Delegates to.........
Section 111.
Congress....................................13
Construction Contracts..............................13
a.
Nondiscrimination.. ..........................13
b.
Specifications.................................15
c.
Notice....
d.
.. .. ...... ....... ... ..
... ..... .... .20
Accommodations for the Physically Handicapped..22
e. Contract Security.... .......................22
f. Insurance During Construction.................22
g. Signs.........................................22
h. Safety... ..... .... ....... ...22
i. Liquidated Damages ............................22
Section 112. Labor Provisions..... ................ .............22
a. Construction Contracts............. ........22
b. Nonconstruction Contracts.... .. ......29
c. State and Local Government Employees .......... 29
Section 113. Environmental, Resource, and Energy Protection and...
Conservation Requirements..... .... .............30
a. Environmental Policy.............. ........30
b. Compliance with Environmental Standards ....... 30
c. Air Pollution.... ...........................30
d. Use of Public Lands ............. .............. 30
e. Historic Preservation.... ................30
f. Energy Conservation..... .... .. ..31
g. Mitigation of Adverse Environmental Effects ... 31
h. Use of Fly Ash in Cement and Concrete ......... 31
Section 114. Patent Rights .............................. .........31
Section 115. Rights in Data ............. .. .32
Section 116. Cargo Preference - Use of United States-Flag.........
Vessels.......... .. ....33
Section 117. Buy America.. ... ....... .....34
Section 118. Charter and School Bus Operations.................... 34
a. Charter Bus...................................34
b. School Bus.......... ... ..34
Section 119. Nondiscrimination on the Basis of Handicap ........... 34
Section 120. Relocation and Land Acquisition......... ...........34
Section121. Flood Hazards........................................34
Section 122. Suspension and Debarment......... ............ ..35
Section 123. Privacy ............................ .......... .....35
Section 124. Miscellaneous..... .36
a. Bonus or�
Commission.. ........ ......36
b. State and Territorial Law .... .36
c. Records ............... ......................36
d. Severability................ ................36
ii
k
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
AGREEMENT
PART II - TERMS AND CONDITIONS
Constituting part of the AGREEMENT providing for Federal financial
assistance under the provisions of the Urban Mass Transportation Act
of 1964, as amended, and/or the Federal -Aid Highway Act of 1973,
and/or the Clean Air Act Amendments of 1977.
Section 101. Definitions. As used in this Agreement:
a. Agreement means any Grant Agreement or Cooperative Agreement.
b -Application means the signed and dated proposal as may be amended for
Federal financial assistance for the Project, together with all explanatory,
supporting, and supplementary documents heretofore filed with the Government
(UMTA) by or on behalf of the Recipient, which has been accepted and approved
by the Government (UMTA).
c. Approval, Authorization, Concurrence, Waiver means a conscious, written
act by an authorized official of the Government granting permission to the
Recipient to perform or omit an act pursuant to this Agreement which could not
be performed or omitted without such permission. An approval, authorization,
concurrence, or waiver permitting the performance or omission of a specific
act shall not constitute permission to perform or omit similar acts unless
such broad permission is clearly stated. Oral permission or interpretations
shall have no legal force or effect.
d. UMTA Directive includes the most recent circulars, notices and orders
which presentinformationabout the UMTA programs, application processing
procedures, and guidance for administering approved projects; there are also
Department of Transportation (DOT) directives that may be applicable to the
Project.
e. Government means the United States of America, or its cognizant agency,
the Department of Transportation (DOT) or its operating administration, the
Urban Mass Transportation Administration (UMTA), used hereafter
` interchangeably.
f. Mass Transportation includes public transportation and means
transportation by bus, rail or other conveyance, either publicly or privately
owned, which provides to the public general or special transportation service
(but not including school buses,.charter or sightseeing service) to the public
on a regular and continuing basis.
g. Project means the task or set of tasks provided for in the Project Budget
which the Recipient undertakes to perform pursuant to the Agreement with the
Government. In the case of Federal financial assistance under Section 9 or 9A
Page 1
of the Urban Mass Transportation Act of 1964, as amended, "Project" includes
"Program" and "each Project within the Program" as may be appropriate.
h. Project Budget means the most recently dated statement, approved by the
Government, o the estimated total cost of the Project, the items to be
deducted from such total in order to calculate the estimated net project cost,
the maximum amount of the Federal assistance for which the Recipient is
currently eligible, the specific items (including contingencies and
relocation) for which the total may be spent, and the estimated cost of each
of such items.
i. Recipient means any entity that receives Federal financial assistance from
UMTA for the accomplishment of the Project. The term "Recipient" includes
"Grantee and any entity to which Federal funds have been passed through for
the accomplishment of the Project .
j. Secretary means Secretary of the Department of Transportation or his duly
authors a designee.
k. UMTA means Urban Mass Transportation Administration of the U.S. Department
of Transportation.
Section 102. Accomplishment of the Project.
a. General Requirements. The Recipient shall commence, carry on, and
complete the Project with all practicable dispatch, in a sound, economical,
and efficient manner, and in accordance with the provisions hereof, the
Application, and all applicable laws, regulations, UMTA directives and
published policies.
b. Pursuant to Federal, State, and Local Law. In performance of its
obligations pursuant to this Agreement, the Recipient and its contractors
shall comply with all applicable provisions of Federal, State, and local law.
All limits or standards set forth in this Agreement to be observed in the
performance of the Project are minimum requirements. If there is a conflict
between Federal and State requirements, the Recipient shall inform the
Government in order that an appropriate resolution may be arranged. The
Recipient agrees further that no Federal funds may be used for the payment of
ordinary governmental or nonproject operating expenses.
c. Funds of the Recipient. The Recipient shall initiate and prosecute to
comp etion a procee Ings necessary to enable the Recipient to provide its
share of the Project costs at or prior to the time that such funds are needed
to meet Project costs.
d. Submission of Proceedings, Contracts and Other Documents. The Recipient
shall submit to the Government such data, reports, records, contracts`, and
other documents relating to the Project as the Government may require. The
Recipient shall retain intact, for three years following Project close-out,
all Project documents, financial records, and supporting documents.
Page 2
e. Changed Conditions Affecting Performance. The Recipient shall immediately
not y of any Change in con i ions or ocal law, or of any other event,
which may significantly affect i is ability to perform the Project in
accordance with the provisions of this Agreement.
f. No Government Obligations to Third Parties. The Government shall not be
subject to any obligations or liabilities-5y—contractors of the Recipient or
their subcontractors or any other person not a party to this Agreement in
connection with the performance of this Project without its express, written
consent and notwithstanding its concurrence in or approval of the award of any
contract or subcontract or the solicitation thereof.
g. Land Acquisition Policy. Any acquisition of land for use in connection
with the Project must conform to the policies and procedures set forth in
49 C.F.R. Part 25 and applicable circulars.
Section 103. The Project Budget. A Project Budget shall be prepared and
maintained by the ecipien—t a Recipient shall carry out the Project and
shall incur obligations against and make disbursements of Project Funds only
in conformity with the latest approved budget for the Project. The Project
Budget may be revised, from time to time, in accordance with Federal
guidelines.
Section 104. Accounting Records.
a. Project Accounts. The Recipient shall establish and maintain as a
separate set of accounts, or within the framework of an established accounting
system, accounts for the Project in the manner consistent with Office of
Management and Budget (OMB) Circular A-102, as amended, or OMB Circular A-110,
as may be appropriate.
b. Funds Received or Made Available for the Project. In accordance with the
provisions of OMB Circular A-102, as amended, or OMB Circular A-110, as may be
appropriate, the Recipient shall record in the Project Account, and deposit in
a bank or trust company which is a member of the Federal Deposit Insurance
Corporation (FDIC), all Project payments received by it from the Government
pursuant to this Agreement and all other funds provided for, accruing to, or
otherwise received on account of the Project, ("Project Funds"). Any balances
exceeding the FDIC coverage must be collaterally secured as provided in 12
U.S.C. § 265 and implementing regulations or in applicable Federal procedures.
A separate bank account may be required when draw downs are made by letter of
credit.
c. Allowable Costs. Expenditures made by the Recipient shall be reimbursable
as allowable costs to the extent that they meet all of the requirements set
forth below. They must:
(1) Be made in conformance with the Project Description and the Project
Budget and all other provisions of this Agreement;
(2) Be necessary in order to accomplish the Project;
Page 3
(3) Be reasonable in amount for the goods or services purchased;
(4) Be actual net costs to the Recipient (i.e., the price paid minus any
refunds, rebates, or other items of value received by the Recipient that have
the effect of reducing the cost actually incurred, excluding Program Income.as
defined in OMB Circul.ar,A-102 or A-110.
(5) Be 'incurred (and be for work performed) after the date of this
Agreement, unless specific` authorization from the Government (UMTA) to the
contrary is received;
(6) Be in conformance with the standards for allowability of costs set
forth in Office of Management and Budget (OMB) Circular A-87, Revised, and
with'any guidelines or regulations issued by UMTA; in the case of Projects
with educational `institutions, the standards for allowability of costs set
forth in Officeof Management and Budget (OMB) Circular A-21, Revised, rather
than'the standards of OMB Circular A-87, Revised, shall apply; and in the case
of nonprofit organizations, the standards for allowability of costs set forth
in Office of Management and Budget (OMB) Circular A-122, Revised, rather than
the standards of OMB Circular A-87, Revised, shall apply.
(7) Be satisfactorily documented; and
(8) Be treated uniformly and consistently under accounting principles and
procedures approved or prescribed by the Government for the "Recipient; and
those approved or prescribed by the Recipient for its contractors.
d. Documentation of_Project Costs. All c'osts`charged Ito" the 'Project,
inclu ing any approve services contributed by the Recipient or others, shall
be supported by properly executed payrolls, time records, invoices, contracts,
or vouchers evidencing in detail the nature and propriety of the charges.
This provision does not apply to income of the Recipient that is determined to
be private.
e. Checks, Orders, and Vouchers. Any check or order drawn by the Recipient
with respect to any item that is or will be chargeable against the Project
Account will be drawn only in accordance with a properly signed voucher then
on file in the office of the Recipient stating in proper,detail the purpose
for which such check or order is drawn. All checks, payrolls, invoices`"
contracts, vouchers, orders, or other accounting documents pertaining'in'whole
or in part to the Project shall be clearly identified, readily accessible,
and, to the "extent feasible, kept separate and apart from all other such
documents.
f. Audit and Inspection. The Recipient shall permit the Secretary 46d -
the -Comptroller General of the'United States, or any of their duly authorized
representatives to inspect all work, materials, payrolls,and other data and
records with regard to the Project, and to audit the books`, records, and'
accounts of the.Recipient and its contractors with regard to the Project.' In
the case ,of contracts awarded under other than competitive bidding procedures
as defined by the 'Secretary, the Recipient shall require those contractors to
permit the Secretary and the Comptroller General of the United States, or any
of their duly'authorized representatives to inspect all work, materials,'
Page 4
payrolls, and other data and records with regard to the Project, and to audit
the books, records, and accounts pertaining to such contracts with regard to
the Project. A`Recipient that is a State or local government or Indian tribal
government shall be responsible for meeting the audit requirements of
OMB Circular A-128, or any revision or supplement thereto. Pursuant to
Departmental criteria, the Government (UMTA) may waive the OMB Circular A-128,
audit requirement or substitute a requirement for a grant audit performed in
accordance with the Comptroller General's standards.
Section 105. Requisitions and Payments.
a. Requests for Payment by the Reci ent. The Recipient may make requests for
payment of the Federal share of a lowab a costs, and the Government (UMTA)
will honor such requests in the manner set forth in this section. Payments"
made to Recipients must comply with 31 C.F.R. Part 205. In order to receive
Federal assistance payments, the Recipient must:
(1) Completely execute and submit to the Government (UMTA) the
information required by Standard Form 270;
(2) Submit to the Government (UMTA) an explanation of the purposes for
which costs have been incurred to date or are reasonably expected to be
incurred within the requisition period (not more than 30 days,after the date
of submission);
(3) Demonstrate or certify that it has supplied local funds adequate,
when combined with the Federal payments, to cover all costs to be incurred to
the end of the requisition period;
(4) Have submitted to the Government (UMTA) all financial and progress
reports required to date under this Agreement; and
(5) Identify the source(s) of financial assistance provided under this
Project from which the payment is to be derived.
b. Payment U the Government. Upon receipt of the requisition and the
accompanying informationin satisfactory form, the Government will process the
requisition if the Recipient is complying with its obligations pursuant to the
Agreement, has satisfied the Government of its need for the Federal funds
requested during the requisition period, and is making adequate progress
towards the timely completion of the Project. If all of these circumstances
are found to exist, the Government may reimburse apparent allowable costs
incurred (or to be incurred during the requisition period) by the Recipient up
to the maximum amount of Federal assistance payable through the fiscal year in
which the requisition is submitted as stated in the Project Budget. However,
reimbursement of any cost pursuant to this section shall not constitute `a
final determination by the Government of the allowability of such cost and
shall -not constitute a waiver of any violation of the terms of this Agreement
committed by the Recipient. The Government will make a final determination as
to allowability only after final audit of the Project has been conducted.In
the event that the Government determines that the Recipient is not currently
Page 5
eligible to receive any or all of the Federal funds requested, it shall
promptly notify the Recipient stating the reasons for such determination.
Unless prohibited by applicable law, the Government reserves the right to
offset any Federal assistance funds to be made available under this Project as
may be necessary to satisfy any monetary claims that the Government may have
outstanding against the Recipient.
c. Disallowed Costs. In determining the amount of the Federal assistance
that the Fe era Government will provide, the Government will exclude all
Project costs incurred by the Recipient prior to the date of this Agreement,
or prior to the date of the approved budget for the Project, whichever is
earlier, unless an authorized representative of the Government advises in
writing to the contrary; any costs incurred by the Recipient which are not
provided for in the latest approved budget for the Project; and any costs
attributable to goods or services received under a contract or other
arrangement which has not been concurred in or approved in writing by the
Government (UMTA). Exceptions to the above statement on disallowed costs are
contained in the External Operating Manual or in other written Federal (UMTA)
guidance.
d. Prohibition Against Use of Federal Funds for Lobbying. The Recipient
or any subrecipient shall not use Federal assistance fun s for publicity or
propaganda purposes designed to support or defeat legislation pending before
Congress.
e. Letter of Credit. Should a letter of credit be issued to the Recipient,
the following terms and conditions, in conformance with 31 C.F.R. Part 205,
are applicable:
(1) The Recipient shall initiate cash draw downs only when actually
needed for Project disbursements.
(2) The Recipient shall report its cash disbursements and balances in a
timely manner as required by the Government.
(3) The Recipient shall provide for effective control and accountability
for all Project funds in accordance with any requirements and procedures
issued by the Government for use of the letter of credit.
(4) The Recipient shall impose on its subrecipients all the requirements
of Section 105.e.(1), (2), and (3) of this Part II as applicable.
.(5) The amount authorized on a letter of credit may include cash
requirements for projects not yet obligated. Accordingly, this does not
always represent an amount legally obligated by UMTA. In no instance may
funds be drawn down for a project in an amount that would be in excess of the
sum obligated by UMTA for a particular project. Therefore, the certifying
statement on the SF 1193A, Letter of Credit, is not relevant if the amount
authorized on the letter of credit exceeds the amount obligated.
Page 6
(6) Should the Recipient fail to adhere to the requirements of Section
105.e.(1), (2), (3) (4), or (5) of this Part II, the Government may revoke the
unobligated portion of the letter of credit.
(7) Section 105.a., b., and c. of this Part II remain effective to the
extent that they do not conflict with the provisions of section 105.e.
f. Interest. The following requirements apply to the Recipient:
(1) Any interest earned on Federal funds by the Recipient must be
identified and remitted to the Government, except as provided by section 203
of the Intergovernmental Cooperation Act of 1968, 42 U.S.C. S 4213.
(2) Upon notice by the Government to the Recipient of specific amounts
due the Government, the Recipient shall promptly remit any excess payment of
amounts or disallowed costs to the Government (UMTA). Interest may be
assessed from the time of notice and charged for any amounts due to the
Government that are not paid as set forth in the Treasury Fiscal Requirements
Manual.
g. Deobligation of Funds. The Government reserves the right to deobligate
unspent Federal un s prior to project closeout.
Section 106. Right of Government to Terminate. Upon written notice to the
Recipient, the Government reserves the right to suspend or terminate all or
part of the financial assistance provided herein if the Recipient is, or has
been, in violation of the terms of this Agreement, or if the Government
determines that the purposes of the Act would not be adequately served by
continuation of Federal financial assistance for the Project. Any failure to
make progress or other violation of the Agreement which significantly
endangers substantial performance of the Project within a reasonable time
shall be deemed to be a breach of the terms of this Agreement. Termination of
any part of the financial assistance will not invalidate obligations properly
incurred by the Recipient and concurred in by the Government (UMTA) prior to
the date of termination, to the extent those obligations are noncancellable.
The acceptance of a remittance by the Government of any or all Project funds
previously received by the Recipient or the closing out of Federal financial
participation in the Project shall not constitute a waiver of any claim that
the Government may otherwise have arising out of this Agreement.
Section 107. Project Completion, Settlement, and Close-out. Upon successful
completion of t e Project or upon termination by the Government, the Recipient
shall, within 90 days of the completion date of the Project, submit a final
Financial Status Report (Standard Form 269), a certification or summary of
Project expenses, and third party audit reports, when applicable. Any
Recipient covered by OMB Circular A-102 shall undertake the necessary audits
as required by OMB Circular A-128. With respect to any Recipient not covered
by OMB Circular A-102, upon receipt of this information, the Government (UMTA)
or an agency designated by the Government (UMTA) will perform a final audit of
the Project to determine the allowability of costs incurred, and will make
Page 7
settlement of the Federal grant described in Part I of this Agreement. If
UMTA has made payments to the Recipient in excess of the total; amount of,such
Federal assistance, the Recipient shall, promptly remit to the Government
(UMTA) such excess and interest as may be required by section 105.e. and f.
Project close-out occurs when the Government notifies the Recipient and
forwards the final grant payment or when an appropriate refund of Federal
grant funds has been received from the Recipient and acknowledged by the
Government. Close-out shall not invalidate any continuing obligations imposed
on the Recipient by this Agreement or contained in the final notification or
acknowledgment from the Government.
Section 108. Use of Project Facilities/Equipment.
The following conditions are applicable to capital facilities and equipment
financed under this Agreement:
a. The Recipient agrees to observe the property management standards as set
forth in OMB Circular A-102, Attachment N, or OMB Circular A-110, Attachment
N, as appropriate, as now or hereafter amended, and any guidelines or
regulations that the Government may issue. Exceptions to the requirements of
Attachment N must be specifically approved by the Government. The Government
reserves the right to require the Recipient to transfer title to any personal
property financed with Federal assistance funds made available under this
Agreement in accordance with Attachment N to OMB Circular A-102.or A-110, as
may be appropriate. The Government also reserves the right to direct the
disposition of real or personal property financed with Federal assistance
funds made available under this Agreement in accordance with Attachment N to
OMB Circular A-102 or A-110, as may be appropriate.
b. The Recipient agrees to maintain the project property in good operating
order, and in accordance with any guidelines, directives, or regulations that
UMTA may issue. If, during the period, any Project facilities/equipment are
not used in mass transportation service, whether by planned withdrawal, misuse
or casualty loss, the Recipient shall immediately notify the Government.
Unless otherwise approved by the Government, the Recipient shall remit to the
Government a proportional amount of the fair market value, if any, of the
property, which value shall be determined on the basis of the ratio of the
Federal assistance awarded by the Government to the actual cost of the
Project. Unless otherwise required by the Government, the following
guidelines shall be observed in determining fair market value: In the case of
planned withdrawal, fair market value shall be deemed to be the value of the
property as determined by competent appraisal at the time of such withdrawal
from use or the net proceeds from public sale. Irrespective of coverage by
insurance, unless otherwise approved in writing by UMTA, 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 Government, 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.
In unusual circumstances, the Government or the Recipient may request another
reasonable method of determining fair market value, including but not limited
to accelerated depreciation, comparable sales, or established market values.
Page 8
In determining whether to approve an alternate method, the Government may
consider action taken, omission made, or unfortunate occurrence suffered by
the Recipient with respect to the preservation or conservation of the value of
the facilities or equipment lost or destroyed in the casualty or fire.
c. The Recipient further agrees that the Project facilities/equipment shall
be used for the provision of mass transportation service within the area and
in the manner described in the Project Description. The Recipient shall keep
satisfactory records with regard to the use of the property and submit to the
Government upon request such information as is required in order to assure
compliance with this Section and shall immediately notify the Government in
all cases in which Project facilities/equipment are used in a manner
substantially different from that described in the Project Description. The
Recipient shall obtain Government concurrence before undertaking any transfer
of title, lease, encumbrance, or alienation of property financed with
Government assistance. The Government reserves the right to require the
Recipient to restore project property or pay for damage to project property
as a result of abuse or misuse of such property with the Recipient's knowledge
and consent.
Section 109. Encumbrance of Project Property.
The Recipient shall not execute any lease, pledge, mortgage, lien, or other
contract (including a grant anticipation note or "Safe Harbor Lease" under
section 168(g)(8) of the Internal Revenue Code of 1954) touching or affecting
the Federal interest in any Project facilities or equipment, nor shall it
obligate itself in any other manner, with any third party with respect to
Project facilities or equipment, unless such lease, pledge, mortgage, lien,
contract, or other obligation is expressly authorized in writing by the
Government; nor shall the Recipient, by any act or omission of any kind,
adversely affect the Federal interest or impair its continuing control over
the use of Project facilities or equipment.
Section 110. Restrictions, Prohibitions, Controls, and Labor Provisions.
a. Equal Employment Opportunity - 11 The following conditions are applicable:
(1) In connection with the carrying out of the Project, the Recipient
shall not discriminate against any employee or applicant for employment
because of race, color, age, creed, sex, or national origin. The Recipient
shall take affirmative action to ensure that applicants are employed, and that
employees are treated during employment, without regard to their race, color,
religion, sex, age, or national origin. Such action shall include, but not be
limited to, the following: employment, upgrading, demotion or transfer,
recruitment or recruitment advertising, layoff or termination; rates of pay or
other forms of compensation; and selection for training, including
apprenticeship. The Recipient shall insert the foregoing provision (modified
only to show the particular contractual relationship) in all of its contracts
in connection with the development or operation of the Project, except
contracts for standard commercial supplies or raw materials and construction
contracts subject to the provisions of Section 111.a. of this Agreement, and
shall require all such contractors to insert a similar provision in all
subcontracts, except subcontracts for standard commercial supplies or raw
materials.
Page 9
(2) If, as a condition of assistance, the Recipient has submitted, and
the Government has approved, an equal employment opportunity program that the
Recipient agrees to carry out, such program is incorporated into this
Agreement by reference. Such program shall be treated as a contractual
obligation, and failure to carry out the terms of that equal employment
opportunity program shall be treated as a violation of this Agreement. Upon
notification to the Recipient of its failure to carry out the approved
program, the Government will impose such remedies as it may deem appropriate,
which remedies may include termination of the Agreement as provided in Section
106 of this Agreement or other measures that may affect the ability of the
Recipient to obtain future financial assistance under the Urban Mass
Transportation Act of 1964, as amended, or the Federal -Aid Highway Act of
1973, as amended.
b. Small, Minority and Women's Business Enterprise. The following provisions
are applicable:
(1) The Recipient shall be responsible for meeting the applicable
regulations regarding participation by minority business enterprises (MBE) in
Department of Transportation programs set forth at 49 C.F.R. Part 23, at
45 F.R. 21172 et seq., March 31, 1980; 46 F.R. 23457 et seq., April 27, 1981;
48 F.R. 33432 et seq., July 21, 1983; or any revision or supplement thereto.
Pursuant to the requirements of 49 C.F.R. 23.43, the following clauses must be
inserted in each third party contract.
(a) POLICY. IT IS THE POLICY OF THE DEPARTMENT OF TRANSPORTATION
THAT MINORITY BUSINESS ENTERPRISES, AS DEFINED IN 49 C.F.R. PART 23, SHALL
HAVE THE MAXIMUM OPPORTUNITY TO PARTICIPATE IN THE PERFORMANCE OF CONTRACTS
FINANCED IN WHOLE OR IN PART WITH FEDERAL FUNDS UNDER THIS AGREEMENT.
CONSEQUENTLY, THE MBE REQUIREMENTS OF 49 C.F.R. PART 23 APPLY TU THIS
AGREEMENT.
(b) MBE OBLIGATION. THE RECIPIENT AND ITS CONTRACTORS AGREE TO
ENSURE THAT MINORITY BUSINESS ENTERPRISES AS DEFINED IN 49 C.F.R. PART 23 HAVE
THE MAXIMUM OPPORTUNITY TO PARTICIPATE IN THE PERFORMANCE OF CONTRACTS AND
SUBCONTRACTS FINANCED IN WHOLE OR IN PART WITH FEDERAL FUNDS PROVIDED UNDER
THIS AGREEMENT. IN THIS REGARD ALL RECIPIENTS AND CONTRACTORS SHALL TAKE ALL
NECESSARY AND REASONABLE STEPS IN ACCORDANCE WITH 49 C.F.R. PART 23 TO ENSURE
THAT MINORITY BUSINESS ENTERPRISES HAVE THE MAXIMUM OPPORTUNITY TO COMPETE FOR
AND PERFORM CONTRACTS. RECIPIENTS AND THEIR CONTRACTORS SHALL NOT
DISCRIMINATE ON THE BASIS OF RACE, COLOR, NATIONAL ORIGIN OR SEX IN THE AWARD
AND PERFORMANCE OF DOT -ASSISTED CONTRACTS.
(2) If as a condition of assistance the Recipient has submitted and the
Department has approved a minority business enterprise affirmative action
program which the Recipient agrees to carry out, this program is incorporated
into this financial assistance agreement by reference. This program shall be
treated as a legal obligation and failure to carry out its terms shall be
treated as a violation of this financial assistance Agreement. Upon
notification to the Recipient of its failure to carry out the approved
program, the Department shall impose such sanctions as noted in 49 C.F.R. Part
23, Subpart E, which sanctions may include termination of the Agreement or
other measures that may affect the ability of the Recipient to obtain future
DOT financial assistance.
Page 10
(3) The Recipient shall advise each subrecipient, contractor, and
subcontractor that failure to carry out the requirements set forth in
49 C.F.R. 23.43(a) shall constitute a breach of contract and, after the
notification of the Department, may result in termination of the Agreement or
contract by the Recipient or such remedy as the Recipient deems appropriate.
(4) The Recipient shall take action concerning lessees as follows:
(a) The Recipient shall not exclude MBE's from participation in
business opportunities by entering into long-term, exclusive agreements with
non -MBE's for operation of major transportation -related activities for the
provision of goods and services to the facility or to the public on the
facility.
(b) A Recipient that is required to submit affirmative action
programs under 49 C.F.R. 23.41(a)(2) or (a)(3) that has business opportunities
for lessees shall submit to the Department for approval with their programs
overall goals for the participation as lessees of firms owned and controlled
by minorities and firms owned and controlled by women. These goals shall be
for a specified period of time and shall be based on the factors listed in 49
C.F.R. 23.45(g)(5). The Recipient shall review these goals at least annually,
and whenever the goals expire. The review shall analyze projected versus
actual MBE participation during the period covered by the review and any
changes in factual circumstances affecting the selection of goals. Following
each review, the Recipient shall submit new overall goals to the Department
for approval. A Recipient that fails to meet its goals for MBE lessees shall
demonstrate to the Department in writing that it made reasonable efforts to
meet the goals.
(c) Except as provided in this section, the Recipient is required to
include lessees in affirmative action programs. Lessees themselves are not
subject to the requirements of this Part, except for the obligation of
49 C.F.R. 23.7 to avoid discrimination against MBE's.
(5) The Recipient agrees to include the clauses in Subsection (a) and
(b) of Section 110.b.(1) above in all subsequent agreements between the
Recipient and any subrecipient and in all subsequent DOT -assisted contracts
between the Recipient or'subrecipients and any third party contractor.
c. Title VI Civil Rights Act of 1964. The Recipient will comply and will
assure the compliance by contractors and subcontractors under this Project
with all "the requirements imposed by Title VI of the Civil Rights Act of 1964
(49 U.S.C. § 2000d), the regulations of the Department of Transportation
issued thereunder, 49 C.F.R. Part 21 and the Assurance by the Recipient
pursuant thereto.
d. Competition in Procurement. The Recipient shall comply with the
Procurement Standards requirements set forth in Attachment 0 of OMB Circular
A-102, as amended, or A-110, as may be appropriate; and with any supplementary
directives or regulations including UMTA Circular 4220.1A and any revisions
thereof, as may be appropriate. UMTA reserves the right to review the
Recipient's technical specifications and requirements, where such review is
necessary for proper project administration. The Recipient further agrees
that notwithstanding the requirements in Section 117 herein, no Federal funds
shall be used to support procurements utilizing exclusionary or discriminatory
specifications.
Page 11
e. Force Account. The Government (UMTA) reserves the right to determine the,._
extent to which it will participate in force account costs.
f. Settlement of Third Party Contract Disputes or Breaches. The Government
has a vested interest in the settlement of disputes, defaults, or breaches
involving any federally assisted third party contracts. The Government
retains a right to a proportionate share, based on the percentage of the
Federal share committed to the Project, of any proceeds derived,from any third
party recovery. Therefore the Recipient shall avail itself of all legal
rights available under any third party contract. The Recipient.shall notify
the Government of any current or prospective litigation or major disputed_
claim pertaining to any third party contract. The Government reserves the
right to concur in any compromise or settlement of the Recipient's claim(s)
involving any third party contract, before making Federal assistance available
to support that settlement. If the third party contract contains a liquidated
damages provision, any liquidated damages recovered shah be credited to the
Project account involved unless the Government permits otherwise.
g. Ethics. The Recipient shall maintain a written code or standards of
con uduc wffich code or standards shall govern the performance of its officers,
employees, or agents engaged in the award and administration of contracts
supported by Federal funds. Such code or standards shall provide that no
employee, officer, or agent of the Recipient shall participate in the
selection, or in the award, or in the administration of a contract supported
by Federal funds if a conflict of interest, real or apparent, would be
involved. Such a conflict ,would arise when any of the parties set forth below
has a financial or other interest in the firm selected for award:
(1) the employee, officer, or agent;
(2) any member of his or her immediate family;
(3) his or her partner; or
(4) an organization that employs, or is to employ, any of the above.
The code or standards shall also provide that the Recipient's officers,
employees or agents shall neither solicit nor accept gratuities, favors or
anything of monetary value from contractors, potential contractors, or parties
to the subagreement. The Recipient may set minimum rules where the financial
interest is not substantial or the gift is an unsolicited item of nominal
intrinsic value. To the extent permitted by State or local law..or
regulations, such code or ,standards of„_conduct shall provide for penalties,
sanctions, or other disciplinary actions for violations of such code or
standards by the Recipient's officers, employees, or agents, or by contractors
or their agents.
Page 12
h. Interest of Members of or Delegates to Congress. No member of or delegate
to the Congress of the United States Shall e a mitted to any share or part of
this Agreement or to any benefit arising therefrom.
Section 111. Construction Contracts. The following provisions are
applicable:
a. Nondiscrimination. Pursuant to 41`C.F.R. § 60-1.4(b)(1) and (c)
(1) The Recipient hereby agrees that it will incorporate or cause to be
incorporated into any contract for construction work, or modification thereof,
as defined in the regulations of the Secretary of Labor at 41 C.F.R. Chapter
60, which contract or modification is paid for in whole or in part with funds
obtained from the Federal Government or borrowed on the credit of the Federal
Government pursuant to a grant, contract, loan, insurance, or guarantee, or
undertaken pursuant to any Federal program involving such grant, contract,
loan, insurance, or guarantee, the following equal opportunity clause:
DURING THE PERFORMANCE OF THIS CONTRACT, THE CONTRACTOR AGREES AS FOLLOWS:
(a) THE CONTRACTOR WILL NOT DISCRIMINATE AGAINST ANY EMPLOYEE OR
APPLICANT FOR EMPLOYMENT BECAUSE OF RACE, COLOR, RELIGION, SEX, OR"NATIONAL
ORIGIN. THE CONTRACTOR WILL TAKE AFFIRMATIVE ACTION TO ENSURE THAT APPLICANTS
ARE EMPLOYED, AND THAT EMPLOYEES ARE TREATED DURING EMPLOYMENT WITHOUT REGARD
TO THEIR RACE, COLOR, RELIGION, SEX, OR NATIONAL ORIGIN. SUCH ACTION SHALL
INCLUDE, BUT NOT BE LIMITED TO THE FOLLOWING: EMPLOYMENT, UPGRADING,
DEMOTION, OR TRANSFER; RECRUITMENT OR RECRUITMENT ADVERTISING; LAYOFF OR
TERMINATION; RATES OF PAY OR OTHER FORMS OF COMPENSATION; AND SELECTION FOR
TRAINING, INCLUDING APPRENTICESHIP. THE CONTRACTOR AGREES TO POST IN
CONSPICUOUS PLACES, AVAILABLE TO EMPLOYEES AND APPLICANTS FOR EMPLOYMENT,
NOTICES TO BE PROVIDED SETTING FORTH THE PROVISIONS OF THIS NONDISCRIMINATION
CLAUSE.
(b) THE CONTRACTOR WILL, IN ALL SOLICITATIONS OR ADVERTISEMENTS FOR
EMPLOYEES PLACED BY OR ON BEHALF OF THE CONTRACTOR, STATE THAT ALL QUALIFIED
APPLICANTS WILL RECEIVE CONSIDERATION FOR EMPLOYMENT WITHOUT REGARD TO RACE,
COLOR, RELIGION, SEX, OR NATIONAL ORIGIN.
(c) THE CONTRACTOR WILL SEND TO EACH LABOR UNION OR REPRESENTATIVE OF
WORKERS WITH WHICH HE HAS'A COLLECTIVE BARGAINING AGREEMENT OR OTHER CONTRACT
OR UNDERSTANDING, A NOTICE TO BE PROVIDED ADVISING THE SAID'LABOR UNION`OR
WORKERS' REPRESENTATIVES OF THE CONTRACTOR'S COMMITMENTS UNDER THIS SECTION
202 OF EXECUTIVE ORDER 11246 OF SEPTEMBER 24, 1965, AND SHALL POST COPIES OF
THE NOTICE IN CONSPICUOUS PLACES AVAILABLE TO EMPLOYEES AND APPLICANTS FOR
EMPLOYMENT.
(d) THE CONTRACTOR WILL COMPLY WITH ALL PROVISIONS OF EXECUTIVE ORDER
11246 OF SEPTEMBER 24, 1965, AND OF THE RULES, REGULATIONS, AND RELEVANT
ORDERS OF THE SECRETARY OF LABOR.
Page 13
(e) THE CONTRACTOR WILL FURNISH ALLINFORMATION AND REPORTS REQUIRED,
BY EXECUTIVE ORDER 11246 OF SEPTEMBER 24, 1965, AND BY RULES, REGULATIONS; AND
ORDERS OF THE SECRETARY OF LABOR, OR PURSUANT THERETO, AND WILL PERMIT ACCESS'
TO HIS BOOKS, RECORDS, AND ACCOUNTS BY THE URBAN MASS TRANSPORTATION
ADMINISTRATION AND THE SECRETARY OF LABOR FOR PURPOSES OF INVESTIGATION TO
ASCERTAIN COMPLIANCE WITH SUCH RULES, REGULATIONS, AND ORDERS.
(f) IN THE EVENT OF THE CONTRACTOR -.S NONCOMPLIANCE WITH THE
NONDISCRIMINATION CLAUSES OF THIS AGREEMENT OR WITH ANY OF THE SAID RULES,
REGULATIONS OR ORDERS, THIS AGREEMENT MAY BE CANCELLED, TERMINATED, OR
SUSPENDED IN WHOLE OR IN PART AND THE CONTRACTOR MAY BE DECLARED INELIGIBLE
FOR FURTHER GOVERNMENT CONTRACTS OR FEDERALLY ASSISTED CONSTRUCTION CONTRACTS'
IN ACCORDANCE WITH PROCEDURES AUTHORIZED INEXECUTIVE,ORDER11246 OF SEPTEMBER
24, 19659 AS AMENDED, AND SUCH OTHER SANCTIONS MAYBE IMPOSED'AND REMEDIES
INVOKED AS PROVIDED IN EXECUTIVE ORDER 11246 OF SEPTEMBER 24, 19659 OR BY
RULE, REGULATION, OR ORDER OF THE SECRETARY OF LABOR, OR AS OTHERWISE PROVIDED
BY LAW.
(g) THE CONTRACTOR WILL INCLUDE A CITATION TO 41 C.F.R. §
60-1.4(b)(1) and (c) AND THE PROVISIONS OF PARAGRAPHS (a) THROUGH (g) IN EVERY
SUBCONTRACT OR PURCHASE ORDER UNLESS EXEMPTED BY RULES, REGULATIONS, OR ORDERS
OF THE SECRETARY OF LABOR ISSUED PURSUANT TO SECTION 204 OF EXECUTIVE ORDER
11246 OF SEPTEMBER 24, 1965, SO THAT SUCH PROVISIONS SHALL -BE BINDING UPON
EACH SUBCONTRACTOR OR VENDOR. THE CONTRACTOR WILL TAKE SUCH ACTION WITH _
RESPECT TO ANY SUBCONTRACT OR PURCHASE ORDER AS THE URBAN MASS TRANSPORTATION
ADMINISTRATION MAY DIRECT AS A MEANS OF ENFORCING SUCH PROVISIONS,'INCLUDING
SANCTIONS FOR NONCOMPLIANCE; PROVIDED, HOWEVER, THAT IN THE EVENT A CONTRACTOR
BECOMES INVOLVED IN, OR IS TH EA ENE WITH, LITIGATION WITH A SUBCONTRACTOR OR
VENDOR AS A RESULT OF SUCH DIRECTION BY THE URBAN MASS TRANSPORTATION
ADMINISTRATION, THE CONTRACTOR MAY REQUEST THE UNITED STATES TO ENTER INTO
SUCH LITIGATION TO PROTECT THE INTERESTS OF THE UNITED STATES.
(2) The Recipient shall assure that each nonexempt prime contractor or
subcontractor shall include the above clause in each of its nonexempt
contracts.
(3) The Recipient further agrees that it will be bound by the above equal
opportunity clause with respect to its own employment practices when it,
participates in federally assisted construction work; Provided that if the
Recipient so participating is a State or local government, the above equal
opportunity clause is not applicable to any agency, instrumentality or
subdivision of such government which does not participate in work on or under
the Agreement.
(4) The Recipient agrees that it will assist and cooperate actively with
the Urban Mass Transportation Administration and the Secretary of Labor in
obtaining the compliance of contractors and subcontractors,.with the equal
opportunity clause and the rules, regulations, and relevant orders of the
Secretary of Labor, that it will furnish the Urban Mass Transportation
Administration and the Secretary of Labor such information as they may require
for the supervision of such compliance, and that it will otherwise assist the
Urban Mass Transportation Administration in the discharge of the agency's
primary responsibility for securing compliance.
Page 14
(5) The Recipient further agrees that it will refrain from entering
into a`ny contract or contract modification subject to Executive Order 11246 of
September 24, 1965, as amended, with any contractor debarred from, or who has
not demonstrated eligibility for Government contracts and Federally assisted
construction contracts pursuant to the Executive Order; and will carry out
such sanctions and penalties for violation of the equal opportunity clause as
may be imposed upon contractors and subcontractors by the Urban Mass
Transportation Administration.or the Secretary of Labor pursuant to Part II,
Subpart D of the Executive Order. In addition, the Recipient agrees that if
it fails or refuses to comply with these undertakings, the administering
agency may take any or all of the following actions: Cancel, terminate, or
suspend in whole or in part this Agreement (grant, contract, loan, insurance,
guarantee); refrain from extending any further assistance to the Recipient
under the program with respect to which the failure or refund occurred until
satisfactory assurance of future compliance has been received from such
Recipient; and refer the case to the Department of Justice for appropriate
legal proceedings.
b. Specifications. The Recipient hereby agrees that it will incorporate or
cause to be incorporated into its contracts the specifications set forth below
in,all Federal or federally assisted construction contracts, or modifications
thereof, in excess of $10,000 to be performed in geographical areas designated
by the Director, Office of Federal Contract Compliance Programs of the
Department of Labor pursuant to the Regulations of the Secretary of Labor at
41 C.F.R. Section 60-4.3 and in construction subcontracts in excess of $10,000
necessary in whole or in part to the performance of nonconstruction Federal
contracts and subcontracts covered under Executive Order 11246:
STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION CONTRACT
SPECIFICATIONS (EXECUTIVE ORDER 11246):
(1) AS USED IN THESE SPECIFICATIONS:
(a) "COVERED AREA" MEANS THE GEOGRAPHICAL AREA DESCRIBED IN THE
SOLICITATION FROM WHICH THIS CONTRACT RESULTED;
(b) "DIRECTOR" MEANS DIRECTOR, OFFICE OF FEDERAL CONTRACT
COMPLIANCE PROGRAMS, UNITED STATES DEPARTMENT OF LABOR, OR ANY PERSON TO WHOM
THE DIRECTOR DELEGATES AUTHORITY;
(c) "EMPLOYER IDENTIFICATION NUMBER" MEANS THE FEDERAL SOCIAL
SECURITY NUMBER USED ON THE EMPLOYER'S QUARTERLY FEDERAL TAX RETURN, U.S.-
TREASURY DEPARTMENT FORM 941. R7
(d) "MINORITY" INCLUDES:
(i) BLACK (ALL PERSONS HAVING ORIGINS IN ANY OF THE BLACK
AFRICAN RACIAL GROUPS NOT OF HISPANIC ORIGIN);
Page 15
(ii) HISPANIC (ALL PERSONS OF MEXICAN, PUERTO 'RICAN,
CUBAN, CENTRAL OR SOUTH AMERICAN OR OTHER SPANISH CULTURE OR ORIGIN,
REGARDLESS OF RACE);
(iii) ASIAN AND PACIFIC ISLANDER (ALL PERSONS HAVING
ORIGINS IN ANY OF THE ORIGINAL PEOPLE OF THE FAR EAST, SOUTHEAST ASIA, THE
INDIAN SUBCONTINENT, OR THE PACIFIC ISLANDS); AND
(iv) AMERICAN INDIAN OR ALASKAN NATIVE GALL PERSONS
HAVING ORIGINS IN ANY OF THE ORIGINAL PEOPLE OF NORTH AMERICA AND MAINTAINING
IDENTIFIABLE TRIBAL AFFILIATIONS THROUGH MEMBERSHIP AND PARTICIPATION OR '
COMMUNITY IDENTIFICATION).
(2) WHENEVER THE CONTRACTOR, OR ANY SUBCONTRACTOR AT ANY TIER,
SUBCONTRACTS A PORTION OF THE WORK INVOLVING ANY CONSTRUCTION TRADE, IT SHALL
PHYSICALLY INCLUDE IN EACH SUBCONTRACT IN EXCESS OF $10,000 THE PROVISIONS OF
THESE SPECIFICATIONS AND THE NOTICE WHICH CONTAINS THE APPLICABLE GOALS FOR
MINORITY AND FEMALE PARTICIPATION AND WHICH IS SET FORTH IN THE SOLICITATIONS
FROM WHICH THIS CONTRACT RESULTED.
(3) IF THE CONTRACTOR IS PARTICIPATING (PURSUANT TO 41 C.F.R. 60-4.5) IN
A HOMETOWN PLAN APPROVED BY THE U.S. DEPARTMENT OF LABOR IN THE COVERED AREA,
EITHER INDIVIDUALLY OR THROUGH AN ASSOCIATION, ITS AFFIRMATIVE ACTION'
OBLIGATIONS ON ALL WORK IN THE PLAN AREA (INCLUDING GOALS AND TIMETABLES)
SHALL BE IN ACCORDANCE WITH THAT PLAN FOR THOSE TRADES WHICH HAVE UNIONS
PARTICIPATING IN THE PLAN. CONTRACTORS MUST BE ABLE TO DEMONSTRATE THEIR
PARTICIPATION IN AND COMPLIANCE WITH THE PROVISIONS OF ANY SUCH HOMETOWN PLAN.
EACH CONTRACTOR OR SUBCONTRACTOR PARTICIPATING IN AN APPROVED PLAN IS
INDIVIDUALLY REQUIRED TO COMPLY WITH ITS OBLIGATIONS UNDER THE EEO CLAUSE', AND
TO MAKE A GOOD FAITH EFFORT TO ACHIEVE EACH GOAL UNDER THE PLAN IN EACH TRADE
IN WHICH IT HAS EMPLOYEES. THE OVERALL GOOD FAITH PERFORMANCE BY OTHER
CONTRACTORS OR SUBCONTRACTORS TOWARD A GOAL IN AN APPROVED PLAN DOES NOT
EXCUSE ANY COVERED CONTRACTOR'S OR SUBCONTRACTOR'S FAILURE TO TAKE GOOD FAITH,
EFFORTS TO ACHIEVE THE PLAN GOALS AND TIMETABLES.
(4) THE CONTRACTOR SHALL IMPLEMENT THE SPECIFIC AFFIRMATIVE ACTION
STANDARDS PROVIDED IN PARAGRAPHS (7)(a) THROUGH (p) OF THESE SPECIFICATIONS.
THE GOALS SET FORTH IN THE SOLICITATION FROM WHICH THIS CONTRACT"RESULTED ARE
EXPRESSED AS PERCENTAGES OF THE TOTAL HOURS OF EMPLOYMENT AND TRAINING OF
MINORITY AND FEMALE UTILIZATION THE CONTRACTOR SHOULD REASONABLY Bf ABLE TO
ACHIEVE IN EACH CONSTRUCTION TRADE IN WHICH IT HAS EMPLOYEES IN THE COVERED
AREA. COVERED CONSTRUCTION CONTRACTORS PERFORMING CONSTRUCTION WORK I'N
GEOGRAPHICAL AREAS WHERE THEY DO NOT HAVE A FEDERAL OR FEDERALLY ASSISTED
CONSTRUCTION CONTRACT SHALL APPLY THE MINORITY AND FEMALE GOALS ESTABLISHED
FOR THE GEOGRAPHICAL AREA WHERE THE WORK IS BEING PERFORMED. GOALS ARE
PUBLISHED PERIODICALLY IN THE FEDERAL REGISTER IN NOTICE FORM, AND SUCH..
AN
NOTICES MAY BE OBTAINED FROM Y OFFICE OF FEDERAL CONTRACT COMPLIANCE PROGRAM
OFFICE OR FROM FEDERAL PROCUREMENT CONTRACTING OFFICERS. THE CONTRACTOR IS
EXPECTED TO MAKE SUBSTANTIALLY UNIFORM PROGRESS TOWARD ITS GOAL IN EACH CRAFT
DURING THE PERIOD SPECIFIED.
(5) NEITHER THE PROVISIONS OF ANY COLLECTIVE BARGAINING AGREEMENT, NOR
THE FAILURE BY A UNION WITH WHOM THE CONTRACTOR HAS A COLLECTIVE BARGAINING
AGREEMENT, TO REFER EITHER MINORITIES OR WOMEN SHALL EXCUSE THE CONTRACTOR'S
OBLIGATIONS UNDER THESE SPECIFICATIONS, EXECUTIVE ORDER 11246, OR THE
REGULATIONS PROMULGATED PURSUANT THERETO.
Page 16
(6) IN ORDER FOR THE NONWORKING TRAINING HOURS OF APPRENTICES AND
TRAINEES TO BE COUNTED IN MEETING THE GOALS, SUCH APPRENTICES AND TRAINEES
MUST BE EMPLOYED BY THE CONTRACTOR DURING THE TRAINING PERIOD, AND THE
CONTRACTOR MUST HAVE MADE A COMMITMENT TO EMPLOY THE APPRENTICES AND TRAINEES
AT THE COMPLETION OF THEIR TRAINING, SUBJECT TO THE AVAILABILITY OF EMPLOYMENT
OPPORTUNITIES. TRAINEES MUST BE TRAINED PURSUANT TO TRAINING PROGRAMS
APPROVED BY THE U.S. DEPARTMENT OF LABOR.
(7) THE CONTRACTOR SHALL TAKE SPECIFIC AFFIRMATIVE ACTIONS TO ENSURE
EQUAL EMPLOYMENT OPPORTUNITY. THE EVALUATION OF THE CONTRACTOR'S COMPLIANCE
WITH THESE SPECIFICATIONS SHALL BE BASED UPON ITS EFFORT TO ACHIEVE MAXIMUM
RESULTS FROM ITS ACTIONS. THE CONTRACTOR SHALL DOCUMENT THESE EFFORTS FULLY,
AND SHALL IMPLEMENT AFFIRMATIVE ACTION STEPS AT LEAST AS EXTENSIVE AS THE
FOLLOWING:
(a) ENSURE AND MAINTAIN A WORKING ENVIRONMENT FREE OF HARASSMENT,
INTIMIDATION, AND COERCION AT ALL SITES, AND IN ALL FACILITIES AT WHICH THE
CONTRACTOR'S EMPLOYEES ARE ASSIGNED TO WORK. THE CONTRACTOR, WHERE POSSIBLE,
WILL ASSIGN TWO OR MORE WOMEN TO EACH CONSTRUCTION PROJECT. THE CONTRACTOR
SHALL SPECIFICALLY ENSURE THAT ALL FOREMEN, SUPERINTENDENTS, AND OTHER ON-SITE
SUPERVISORY PERSONNEL ARE AWARE OF AND CARRY OUT THE CONTRACTOR'S OBLIGATION
TO MAINTAIN SUCH A WORKING ENVIRONMENT, WITH SPECIFIC ATTENTION TO MINORITY OR
FEMALE INDIVIDUALS WORKING AT SUCH'SITES OR IN SUCH FACILITIES.
(b) ESTABLISH AND MAINTAIN A CURRENT'LIST OF MINORITY AND FEMALE
RECRUITMENT SOURCES, PROVIDE WRITTEN NOTIFICATION TO MINORITY AND FEMALE
RECRUITMENT SOURCES AND TO COMMUNITY ORGANIZATIONS WHEN THE CONTRACTOR OR ITS
UNIONS HAVE EMPLOYMENT OPPORTUNITIES AVAILABLE, AND MAINTAIN A RECORD OF THE
ORGANIZATIONS' RESPONSES.
(c) MAINTAIN A CURRENT FILE OF THE NAMES, ADDRESSES AND TELEPHONE
NUMBERS OF EACH MINORITY AND FEMALE OFF -THE -STREET APPLICANT AND MINORITY OR
FEMALE REFERRAL FROM A UNION, A RECRUITMENT SOURCE OR COMMUNITY ORGANIZATION
AND OF WHAT ACTION WAS TAKEN WITH RESPECT TO EACH SUCH INDIVIDUAL. IF SUCH
INDIVIDUAL WAS SENT TO THE UNION'HIRING HALL FOR REFERRAL AND WAS NOT REFERRED
BACK TO THE CONTRACTOR BY THE UNION OR, IF REFERRED, NOT EMPLOYED BY THE
CONTRACTOR, THIS SHALL BE DOCUMENTED IN THE FILE WITH THE REASON THEREFOR,
ALONG WITH WHATEVER ADDITIONAL ACTIONS THE CONTRACTOR MAY HAVE TAKEN.
(d) PROVIDE IMMEDIATE WRITTEN NOTIFICATION TO THE DIRECTOR WHEN THE
UNION OR UNIONS WITH WHICH THE CONTRACTOR HAS A COLLECTIVE BARGAINING
AGREEMENT HAS NOT REFERRED TO THE CONTRACTOR A MINORITY PERSON OR WOMAN SENT
BY THE CONTRACTOR, OR WHEN THE CONTRACTOR HAS OTHER INFORMATION THAT THE UNION
REFERRAL PROCESS HAS IMPEDED THE CONTRACTOR'S EFFORTS TO MEET ITS OBLIGATIONS.
(e) DEVELOP ON-THE-JOB TRAINING OPPORTUNITIES AND/OR PARTICIPATE IN
TRAINING PROGRAMS FOR'THE AREA WHICH EXPRESSLY IINCLUDEMINORITIES AND WOMEN,
INCLUDING UPGRADING PROGRAMS AND APPRENTICESHIP AND TRAINEE PROGRAMS RELEVANT
TO THE CONTRACTOR'S EMPLOYMENT NEEDS, ESPECIALLY THOSE PROGRAMS FUNDED OR
APPROVED BY THE DEPARTMENT OF LABOR. THE CONTRACTOR SHALL PROVIDE NOTICE OF
THESE PROGRAMS TO THE SOURCES COMPILED UNDER (7)(b) ABOVE.
Page 17
(f) DISSEMINATE THE CONTRACTOR'S EEO POLICY BY PROVIDING NOTICE OF
THE POLICY TO UNIONS AND TRAINING PROGRAMS AND REQUESTING THEIR COOPERATION IN
ASSISTING THE CONTRACTOR IN MEETING ITS EEO OBLIGATIONS; BY INCLUDING IT IN
ANY POLICY MANUAL AND COLLECTIVE BARGAINING AGREEMENT; BY PUBLICIZING IT IN
THE COMPANY NEWSPAPER, ANNUAL REPORT, ETC.; BY SPECIFIC REVIEW OF THE POLICY
WITH ALL MANAGEMENT PERSONNEL AND WITH ALL MINORITY AND FEMALE EMPLOYEES AT
LEAST ONCE A YEAR; AND BY POSTING THE COMPANY EEO POLICY ON BULLETIN BOARDS
ACCESSIBLE TO ALL EMPLOYEES AT EACH LOCATION WHERE CONSTRUCTION WORK IS
PERFORMED.
(g) REVIEW, AT LEAST ANNUALLY, THE COMPANY'S EEO POLICY AND
AFFIRMATIVE ACTION OBLIGATIONS UNDER THESE SPECIFICATIONS WITH ALL EMPLOYEES
HAVING ANY RESPONSIBILITY FOR HIRING, ASSIGNMENT, LAYOFF, TERMINATION OR OTHER
EMPLOYMENT DECISIONS INCLUDING SPECIFIC REVIEW OF THESE ITEMS WITH ONSITE
SUPERVISORY PERSONNEL SUCH AS SUPERINTENDENTS, GENERAL FOREMEN, ETC., PRIOR TO
THE INITIATION OF CONSTRUCTION WORK AT ANY JOB SITE. A WRITTEN RECORD SHALL
BE MADE AND MAINTAINED IDENTIFYING THE TIME AND PLACE OF THESE MEETINGS,
PERSONS ATTENDING, SUBJECT MATTER DISCUSSED, AND DISPOSITION OF THE SUBJECT
MATTER.
(h) DISSEMINATE THE CONTRACTOR'S EEO POLICY EXTERNALLY,BY INCLUDING
IT IN ANY ADVERTISING IN THE NEWS MEDIA, SPECIFICALLY INCLUDING MINORITY AND
FEMALE NEWS MEDIA, AND PROVIDING WRITTEN NOTIFICATION TO AND DISCUSSING THE
CONTRACTOR'S EEO POLICY WITH OTHER CONTRACTORS AND SUBCONTRACTORS WITH WHOM
THE CONTRACTOR DOES OR ANTICIPATES DOING BUSINESS.
(i) DIRECT ITS RECRUITMENT EFFORTS, BOTH ORAL AND WRITTEN, TO
MINORITY, FEMALE AND COMMUNITY ORGANIZATIONS, TO SCHOOLS WITH MINORITY AND
FEMALE STUDENTS AND TO MINORITY AND FEMALE RECRUITMENT AND TRAINING
ORGANIZATIONS SERVING THE CONTRACTOR'S RECRUITMENT AREA AND EMPLOYMENT NEEDS.
NOT LATER THAN ONE MONTH PRIOR TO THE DATE FOR THE ACCEPTANCE OF APPLICATIONS
FOR APPRENTICESHIP OR.OTHER TRAINING BY ANY RECRUITMENT SOURCE, THE CONTRACTOR
SHALL SEND WRITTEN NOTIFICATION TO ORGANIZATIONS SUCH AS THE ABOVE, DESCRIBING
THE OPENINGS, SCREENING PROCEDURES, AND TESTS TO BE USED IN THE SELECTION
PROCESS.
(j) ENCOURAGE PRESENT MINORITY AND FEMALE EMPLOYEES TO RECRUIT OTHER
MINORITY PERSONS AND WOMEN AND, WHERE REASONABLE, PROVIDE AFTER SCHOOL,` SUMMER
AND VACATION EMPLOYMENT TO MINORITY AND FEMALE YOUTH BOTH ON THE SITE AND IN
OTHER AREAS OF THE CONTRACTOR'S WORKFORCE.
(k) VALIDATE ALL TESTS AND OTHER SELECTION REQUIREMENTS WHERE THERE
IS AN OBLIGATION TO DO SO UNDER 41 C.F.R. PART 60-3.
(1) CONDUCT, AT LEAST ANNUALLY, AN INVENTORY AND EVALUATION AT LEAST
OF ALL MINORITY AND FEMALE PERSONNEL FOR PROMOTIONAL OPPORTUNITIES AND
ENCOURAGE THESE EMPLOYEES TO SEEK OR TO PREPARE FOR, THROUGH APPROPRIATE
TRAINING, ETC., SUCH OPPORTUNITIES.
Page 18
(m) ENSURE THAT SENIORITY PRACTICES, JOB CLASSIFICATIONS, WORK
ASSIGNMENTS AND OTHER PERSONNEL PRACTICES, DO NOT HAVE A DISCRIMINATORY EFFECT
BY CONTINUALLY MONITORING ALL PERSONNEL AND EMPLOYMENT RELATED ACTIVITIES TO
ENSURE THAT THE EEO POLICY AND THE CONTRACTOR'S OBLIGATIONS UNDER THESE
SPECIFICATIONS ARE BEING CARRIED OUT.
(n) ENSURE THAT ALL FACILITIES AND COMPANY ACTIVITIES ARE
NONSEGREGATED EXCEPT THAT SEPARATE OR SINGLE -USER TOILET AND NECESSARY
CHANGING FACILITIES SHALL BE PROVIDED TO ASSURE PRIVACY BETWEEN THE SEXES.
(0) DOCUMENT AND MAINTAIN A RECORD OF ALL SOLICITATIONS OF OFFERS
FOR SUBCONTRACTS FROM MINORITY AND FEMALE CONSTRUCTION CONTRACTORS AND
SUPPLIERS, INCLUDING CIRCULATION OF SOLICITATIONS TO MINORITY AND FEMALE
CONTRACTOR ASSOCIATIONS AND OTHER BUSINESS ASSOCIATIONS.
(p) CONDUCT A REVIEW, AT
ADHERENCE TO AND PERFORMANCE UNDER
AFFIRMATIVE ACTION OBLIGATIONS.
LEAST ANNUALLY, OF ALL SUPERVISORS'
THE CONTRACTOR'S EEO POLICIES AND
(8) CONTRACTORS ARE ENCOURAGED TO PARTICIPATE IN VOLUNTARY ASSOCIATIONS
WHICH ASSIST IN FULFILLING ONE OR MORE OF THEIR AFFIRMATIVE ACTION OBLIGATIONS
SET FORTH IN PARAGRAPHS (7)(a) THROUGH (p). THE EFFORTS OF A CONTRACTOR
ASSOCIATION, JOINT CONTRACTOR -UNION, CONTRACTOR COMMUNITY, OR OTHER SIMILAR
GROUP OF WHICH THE CONTRACTOR IS A MEMBER AND PARTICIPANT, MAY BE ASSERTED AS
FULFILLING ANY ONE OR MORE OF ITS OBLIGATIONS UNDER (7)(a) THROUGH (p) OF
THESE SPECIFICATIONS, PROVIDED THAT THE CONTRACTOR ACTIVELY PARTICIPATES IN
THE GROUP, MAKES EVERY EFFORT TO ASSURE THAT THE GROUP HAS A POSITIVE IMPACT
ON THE EMPLOYMENT OF MINORITIES AND WOMEN IN THE INDUSTRY, ENSURES THAT THE
CONCRETE BENEFITS OF THE PROGRAM ARE REFLECTED IN THE CONTRACTOR'S MINORITY
AND FEMALE WORKFORCE PARTICIPATION, MAKES A GOOD FAITH EFFORT TO MEET ITS
INDIVIDUAL GOALS AND TIMETABLES, AND CAN PROVIDE ACCESS TO DOCUMENTATION WHICH
DEMONSTRATES THE EFFECTIVENESS OF ACTIONS TAKEN ON BEHALF OF THE CONTRACTOR.
THE OBLIGATION TO COMPLY, HOWEVER, IS THE CONTRACTOR'S AND FAILURE OF SUCH A
GROUP TO FULFILL AN OBLIGATION SHALL NOT BE A DEFENSE FOR THE CONTRACTOR'S
NONCOMPLIANCE.
(9) A SINGLE GOAL FOR MINORITIES AND A SEPARATE SINGLE GOAL FOR WOMEN
HAVE BEEN ESTABLISHED. THE CONTRACTOR, HOWEVER, IS REQUIRED TO PROVIDE EQUAL
EMPLOYMENT OPPORTUNITY AND TO TAKE AFFIRMATIVE ACTION FOR ALL MINORITY GROUPS,
BOTH MALE AND FEMALE, AND ALL WOMEN, BOTH MINORITY AND NON -MINORITY.
CONSEQUENTLY, THE CONTRACTOR MAY BE IN VIOLATION OF THE EXECUTIVE ORDER IF A
PARTICULAR GROUP IS EMPLOYED IN A SUBSTANTIALLY DISPARATE MANNER (FOR EXAMPLE,
EVEN THOUGH THE CONTRACTOR HAS ACHIEVED ITS GOAL FOR WOMEN GENERALLY, THE
CONTRACTOR MAY BE IN VIOLATION OF THE EXECUTIVE ORDER IF A SPECIFIC MINORITY
GROUP OF WOMEN IS UNDERUTILIZED).
(10) THE CONTRACTOR SHALL NOT USE THE GOALS AND TIMETABLES OR AFFIRMATIVE
ACTION STANDARDS TO DISCRIMINATE AGAINST ANY PERSON BECAUSE OF RACE, COLOR,
RELIGION, SEX, OR NATIONAL ORIGIN.
(11) THE CONTRACTOR SHALL NOT ENTER INTO ANY SUBCONTRACT WITH ANY PERSON
OR FIRM DEBARRED FROM GOVERNMENT CONTRACTS PURSUANT TO EXECUTIVE ORDER 11246.
Page 19
(12) THE CONTRACTOR SHALL CARRY OUT SUCH SANCTIONS AND PENALTIES FOR
VIOLATION OF THESE SPECIFICATIONS AND OF THE EQUAL OPPORTUNITY CLAUSE,
INCLUDING SUSPENSION, TERMINATION AND CANCELLATION OF EXISTING SUBCONTRACTS AS
MAY BE IMPOSED OR ORDERED PURSUANT TO EXECUTIVE ORDER 11246, AS AMENDED, AND
ITS IMPLEMENTING REGULATIONS BY THE OFFICE OF FEDERAL CONTRACT COMPLIANCE
PROGRAMS. ANY CONTRACTOR WHO FAILS TO CARRY OUT SUCH SANCTIONS AND PENALTIES
SHALL BE IN VIOLATION OF THESE SPECIFICATIONS AND EXECUTIVE ORDER 11246, AS
AMENDED.
(13) THE CONTRACTOR, IN FULFILLING ITS OBLIGATIONS UNDER THESE
SPECIFICATIONS, SHALL IMPLEMENT SPECIFIC AFFIRMATIVE ACTION STEPS, AT LEAST AS
EXTENSIVE AS THOSE STANDARDS PRESCRIBED IN PARAGRAPH (7) OF THESE
SPECIFICATIONS, SO AS TO ACHIEVE MAXIMUM RESULTS FROM ITS EFFORTS TO ENSURE
EQUAL EMPLOYMENT OPPORTUNITY. IF THE CONTRACTOR FAILS TO COMPLY WITH THE
REQUIREMENTS OF TTHE HE DIRECTORESHADLRPROCEEDMINEMENTING ACCORDANCEGWITHI4ISC.FRRTHESE
SPECIFICATIONS,
60-4.8.
(14) THE CONTRACTOR SHALL DESIGNATE A RESPONSIBLE OFFICIAL TO MONITOR ALL
EMPLOYMENT RELATED ACTIVITY TO ENSURE THAT THE COMPANY EEO POLICY IS BEING
CARRIED OUT, TO SUBMIT REPORTS RELATING TO THE PROVISIONS HEREOF AS MAY BE
REQUIRED BY THE GOVERNMENT AND TO KEEP RECORDS. RECORDS SHALL AT LEAST
INCLUDE FOR EACH EMPLOYEE THE NAME, ADDRESS, TELEPHONE NUMBERS, CONSTRUCTION
TRADE, UNION AFFILIATION IF ANY, EMPLOYEE IDENTIFICATION NUMBER WHEN ASSIGNED,
SOCIAL SECURITY NUMBER, RACE, SEX, STATUS (E.G., MECHANIC, APPRENTICE,
TRAINEE, HELPER, OR LABORER), DATES OF CHANGES IN STATUS, HOURS WORKED PER
WEEK IN THE INDICATED TRADE, RATE OF PAY, AND LOCATIONS AT WHICH THE WORK WAS
PERFORMED. RECORDS SHALL BE MAINTAINED IN AN EASILY UNDERSTANDABLE AND
RETRIEVABLE FORM; HOWEVER, TO THE DEGREE THAT EXISTING RECORDS SATISFY THIS
REQUIREMENT, CONTRACTORS SHALL NOT BE REQUIRED TO MAINTAIN SEPARATE RECORDS.
(15) NOTHING HEREIN PROVIDED SHALL BE CONSTRUED AS A LIMITATION UPON THE
APPLICATION OF OTHER LAWS WHICH ESTABLISH DIFFERENT STANDARDS OF COMPLIANCE OR
UPON THE APPLICATION OF REQUIREMENTS FOR THE HIRING OF LOCAL OR OTHER AREA
RESIDENTS (E.G., THOSE UNDER THE PUBLIC WORKS EMPLOYMENT ACT OF 1977 AND THE
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM.)
c. Notice. The Recipient hereby agrees that it will ensure that the notice
set ort below shall be included in, and shall be a part of, all
solicitations for offers and bids on all Federal and federally assisted
-construction contracts or subcontracts in excess of $10,000 to be performed in
geographical areas designated by the Director, Office of Federal Contract
Compliance Programs of the Department of Labor at 41 C.F.R. Section 60-4.2:
Page 20
NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL EMPLOYMENT
OPPORTUNITY (EXECUTIVE ORDER 11246):
(1) THE OFFEROR'S OR BIDDER'S ATTENTION IS CALLED TO THE "EQUAL
OPPORTUNITY CLAUSE AND THE "STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY
CONSTRUCTION CONTRACT SPECIFICATIONS" SET FORTH HEREIN.
(2) (a) THE GOALS AND TIMETABLES FOR MINORITY AND FEMALE PARTICIPATION,
EXPRESSED IN PERCENTAGE TERMS FOR THE CONTRACTOR'S AGGREGATE WORKFORCE IN EACH
TRADE ON ALL CONSTRUCTION WORK IN THE COVERED AREA, ARE AS FOLLOWS:
TIME -TABLES GOALS FOR MINORITY GOALS FOR FEMALE
PARTICIPATION FOR PARTICIPATION IN
EACH TRADE EACH TRADE
INSERT GOALS FOR INSERT GOALS FOR
EACH YEAR EACH YEAR
THESE GOALS ARE APPLICABLE TO ALL THE CONTRACTOR'S CONSTRUCTION WORK (WHETHER
OR NOT IT IS FEDERAL OR FEDERALLY ASSISTED) PERFORMED IN THE COVERED AREA. IF
THE CONTRACTOR PERFORMS CONSTRUCTION WORK IN A GEOGRAPHICAL AREA LOCATED
OUTSIDE THE COVERED AREA, IT SHALL APPLY THE GOALS ESTABLISHED FOR SUCH
GEOGRAPHICAL AREA WHERE THE WORK IS ACTUALLY PERFORMED. WITH REGARD TO THIS
SECOND AREA, THE CONTRACTOR ALSO IS SUBJECT TO THE GOALS FOR BOTH ITS
FEDERALLY INVOLVED AND NONFEDERALLY INVOLVED CONSTRUCTION.
(b) THE CONTRACTOR'S COMPLIANCE WITH THE EXECUTIVE ORDER AND THE
REGULATIONS IN 41 C.F.R. PART 60-4 SHALL BE BASED ON ITS IMPLEMENTATION OF THE
EQUAL OPPORTUNITY CLAUSE, SPECIFIC AFFIRMATIVE ACTION OBLIGATIONS REQUIRED BY
THE SPECIFICATIONS SET FORTH IN 41 C.F.R. 60-4.3(a), AND ITS EFFORTS TO MEET
THE GOALS. THE HOURS OF MINORITY AND FEMALE EMPLOYMENT AND TRAINING MUST BE
SUBSTANTIALLY UNIFORM THROUGHOUT THE LENGTH OF THE CONTRACT, AND IN EACH
TRADE, AND THE CONTRACTOR SHALL MAKE A GOOD FAITH EFFORT TO EMPLOY MINORITIES
AND WOMEN EVENLY ON EACH OF ITS PROJECTS. THE TRANSFER OF MINORITY OR FEMALE
EMPLOYEES OR TRAINEES FROM CONTRACTOR TO CONTRACTOR OR FROM PROJECT TO PROJECT
FOR THE SOLE PURPOSE OF MEETING THE CONTRACTOR'S GOALS SHALL BE A VIOLATION OF
THE CONTRACT, THE EXECUTIVE ORDER, AND THE REGULATIONS in 41 C.F.R. PART 60-4.
COMPLIANCE WITH THE GOALS WILL BE MEASURED AGAINST THE TOTAL WORK HOURS
PERFORMED.
(3) THE CONTRACTOR SHALL PROVIDE WRITTEN NOTIFICATION TO THE DIRECTOR OF
THE OFFICE OF FEDERAL CONTRACT COMPLIANCE PROGRAMS WITHIN 10 WORKING DAYS OF
AWARD OF ANY CONSTRUCTION SUBCONTRACT IN `EXCESS OF $10,000 AT ANY TIER FOR
CONSTRUCTION WORK UNDER THE CONTRACT RESULTING FROM THIS SOLICITATION THE
NOTIFICATION SHALL LIST THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE
SUBCONTRACTOR; EMPLOYER IDENTIFICATION NUMBER OF THE SUBCONTRACTOR; ESTIMATED
DOLLAR AMOUNT OF THE SUBCONTRACT; ESTIMATED STARTING AND COMPLETION DATES OF
THE SUBCONTRACT; AND THE GEOGRAPHICAL AREA IN WHICH THE CONTRACT IS TO BE
PERFORMED.
(4) AS USED IN THIS NOTICE, AND IN THE CONTRACT RESULTING FROM THIS
SOLICITATION, THE "COVERED AREA," IS (INSERT DESCRIPTION OF THE GEOGRAPHICAL
AREAS WHERE THE CONTRACT IS TO BE PERFORMED, GIVING THE STATE, COUNTY AND
CITY, IF ANY).
Page 21
d.Accommodations for the Physically Handicapped.
UMTA assisted construction, designs, and alterations shall be undertaken in
accordance with and meet the requirements of the provisions of General
Services Administration (GSA) regulations set forth at 41 C.F.R. Subpart
101-19.6, unless an exception is granted in writing by UMTA or a waiver is
granted by GSA in writing.
e. Contract Security. The Recipient shall follow the requirements of OMB
Circu ar A-102, as amended, or A-110, as may be appropriate, and Federal
(UMTA) guidelines with regard to bid guarantees and bonding requirements.
f. Insurance During Construction. The Recipient shall, at a minimum, follow
the insurance requirements norma ly required by their State and local
governments.
g. Signs. The Recipient shall cause to be erected at the site of
construction, and maintained during construction, signs satisfactory to the
Department of Transportation identifying the Project and indicating that the
Government is participating in the development of the Project.
h. Safety Standards. Pursuant to section 107 of the Contract Work Hours and
Safety Standar s Act and Department of Labor Regulations at 29 C.F.R.. § 1926,
no laborer or mechanic working on a construction contract shall be required to
work in surroundings or under working conditions that are unsanitary,
hazardous, or dangerous to his or her health and safety as determined under
construction and health standards promulgated by the Secretary of Labor.
i. Liquidated Damages. The Recipient shall include in all contracts for
construction a clause providing for liquidated damages, where appropriate.
Liquidated damages clauses are appropriate if the parties may reasonably
expect to suffer damages (increased costs on the project involved) from the
late completion of the construction and the extent or amount of such damages
would be difficult or impossible to discuss. The assessment for damages shall
be at a specified rate per day for each day of overrun in contract time; and
the rate must be specified in the third party contract. Any liquidated
damages recovered shall be credited to the Project account involved unless the
Government permits otherwise.
Section 112.
Labor Provisions.
a. Construction. Pursuant to regulations set forth at 29 C.F.R. Part 5, the
following provisions shall be incorporated in all construction contracts of
$2,000 let by the Recipient in carrying out the project.
(1) MINIMUM WAGES.
(a) ALL LABORERS AND MECHANICS EMPLOYED OR WORKING UPON THE SITE OF
THE WORK (OR UNDER THE UNITED STATES HOUSING ACT OF 1937 OR UNDER THE HOUSING
ACT OF 1949 IN THE CONSTRUCTION OR DEVELOPMENT OF THE PROJECT), WILL BE PAID
UNCONDITIONALLY AND NOT LESS OFTEN THAN ONCE A WEEK, AND WITHOUT SUBSEQUENT
DEDUCTION OR REBATE ON ANY ACCOUNT (EXCEPT SUCH PAYROLL DEDUCTIONS AS ARE
ACTPER(29 CPELAND
FRYPARTREGULATIONS
3)) , THEISSUED
AMOUNTTHE
OFSECRETARY
ANDFBONALABOR
FIDEUNDER
FRINGE BENEFITS
ACT (29 C
Page 22
(OR CASH EQUIVALENTS THEREOF) DUE AT TIME OF PAYMENT COMPUTED AT RATES NOT
LESS THAN THOSE CONTAINED IN THE WAGE DETERMINATION OF THE SECRETARY OF LABOR
WHICH IS ATTACHED HERETO AND MADE A PART HEREOF, REGARDLESS OF ANY CONTRACTUAL
RELATIONSHIP WHICH MAY BE ALLEGED TO EXIST BETWEEN THE CONTRACTOR AND SUCH
LABORERS AND MECHANICS. CONTRIBUTIONS MADE OR COSTS REASONABLY ANTICIPATED
FOR BONA FIDE FRINGE BENEFITS UNDER SECTION 1(b)(2) OF THE DAVIS-BACON ACT ON
BEHALF OF LABORERS OR MECHANICS ARE CONSIDERED WAGES PAID TO SUCH LABORERS OR
MECHANICS, SUBJECT TO THE PROVISIONS OF PARAGRAPH (a)(1)(iv) OF 29 C.F.R.
§ 5.5; ALSO, REGULAR CONTRIBUTIONS MADE OR COSTS INCURRED FOR MORE THAN A
WEEKLY PERIOD (BUT NOT LESS OFTEN THAN QUARTERLY) UNDER PLANS, FUNDS, OR
PROGRAMS WHICH COVER THE PARTICULAR WEEKLY PERIOD, ARE DEEMED TO BE
CONSTRUCTIVELY MADE OR INCURRED DURING SUCH WEEKLY PERIOD. SUCH LABORERS AND
MECHANICS SHALL BE PAID THE APPROPRIATE WAGE RATE AND FRINGE BENEFITS ON THE
WAGE DETERMINATION FOR THE CLASSIFICATION OF WORK ACTUALLY PERFORMED, WITHOUT
REGARD TO SKILL, EXCEPT AS PROVIDED IN 29 CFR § 5.5(a)(4). LABORERS OR
MECHANICS PERFORMING WORK IN MORE THAN ONE CLASSIFICATION MAY BE COMPENSATED
AT THE RATE SPECIFIED FOR EACH CLASSIFICATION FOR THE TIME ACTUALLY WORKED
THEREIN: PROVIDED, THAT THE EMPLOYER'S PAYROLL RECORDS ACCURATELY SET FORTH
THE TIME SPEN IN EACH CLASSIFICATION IN WHICH WORK IS PERFORMED. THE WAGE
DETERMINATION (INCLUDING ANY ADDITIONAL CLASSIFICATION AND WAGE RATES
CONFORMED UNDER PARAGRAPH (a)(1)(ii) OF 29 CFR § 5.5 AND THE DAVIS-BACON
POSTER (WH -1321) SHALL BE POSTED AT ALL TIMES BY THE CONTRACTOR AND ITS
SUBCONTRACTORS AT THE SITE OF THE WORK IN A PROMINENT AND ACCESSIBLE PLACE
WHERE IT CAN BE EASILY SEEN BY THE WORKERS.
(b) 1. THE CONTRACTING OFFICER SHALL REQUIRE THAT ANY CLASS OF
LABORERS OR MECHANICS WHICH IS NOT LISTED IN THE WAGE DETERMINATION AND WHICH
IS TO BE EMPLOYED UNDER THE CONTRACT SHALL HE CLASSIFIED IN CONFORMANCE WITH
THE WAGE DETERMINATION. THE CONTRACTING OFFICER SHALL APPROVE AN ADDITIONAL
CLASSIFICATION AND WAGE RATE AND FRINGE BENEFITS THEREFOR ONLY WHEN THE
FOLLOWING CRITERIA HAVE BEEN MET:
IS NOT PERFORMED aBY AH CLASSSIFICCATIONE WORK TO BE �INOTHEDWAGETDETERMINATION;HE AN REQUESTED
AND
b. THE CLASSIFICATION IS UTILIZED IN THE AREA BY THE
CONSTRUCTION INDUSTRY; AND
c. THE PROPOSED WAGE RATE, INCLUDING ANY BONA FIDE FRINGE
BENEFITS, BEARS A REASONABLE RELATIONSHIP TO THE WAGE RATES CONTAINED IN THE
THE WAGE DETERMINATION.
2. IF THE CONTRACTOR AND THE LABORERS AND MECHANICS TO BE
EMPLOYED IN THE CLASSIFICATION (IF KNOWN), OR THEIR REPRESENTATIVES, AND THE
CONTRACTING OFFFICER AGREE ON THE CLASSIFICATION AND WAGE RATE (INCLUDING THE
AMOUNT DESIGNATED FOR FRINGE BENEFITS WHERE APPROPRIATE), A REPORT OF THE
ACTION TAKEN SHALL BE SENT BY THE CONTRACTING OFFICER TO THE ADMINISTRATOR OF
THE WAGE AND HOUR DIVISION, EMPLOYMENT STANDARDS ADMINISTRATION, U.S.
DEPARTMENT OF LABOR, WASHINGTON, D.C. 20210. THE ADMINISTRATOR, OR AN
AUTHORIZED REPRESENTATIVE, WILL APPROVE, MODIFY, OR DISAPPROVE EVERY
ADDITIONAL CLASSIFICATION ACTION WITHIN 30 DAYS OF RECEIPT AND SO ADVISE THE
CONTRACTING OFFICER OR WILL NOTIFY THE CONTRACTING OFFICER WITHIN THE 30 -DAY
PERIOD THAT ADDITIONAL TIME IS NECESSARY.
Page 23
3. IN THE EVENT THE CONTRACTOR, THE LABORERS OR MECHANICS TO BE
EMPLOYED IN TRE CLASSIFICATION OR THEIR REPRESENTATIVES, AND THE CONTRACTING
OFFICER DO NOT AGREE ON THE PROPOSED CLASSIFICATION AND WAGE RATE (INCLUDING
THE AMOUNT DESIGNATED FOR FRINGE BENEFITS, WHERE APPROPRIATE), THE CONTRACTING
OFFICER SHALL REFER THE QUESTIONS INCLUDING THE VIEWS OF ALL INTERESTED
PARTIES AND THE RECOMMENDATION OF THE CONTRACTING OFFICER, TO THE
ADMINISTRATOR FOR DETERMINATION. THE ADMINISTRATOR, OR AN AUTHORIZED
REPRESENTATIVE, WILL ISSUE A DETERMINATION WITHIN 30 DAYS OF RECEIPT AND SO
ADVISE THE CONTRACTING OFFICER OR WILL NOTIFY THE CONTRACTING OFFICER WITHIN
THE 30 -DAY PERIOD THAT ADDITIONAL TIME IS NECESSARY.
4. THE WAGE RATE (INCLUDING FRINGE BENEFITS
OF 2WHERE
9 CFR APPROPRIATE)
DETERMINED PURSUANT TO SUBPARAGRAPHS (a)(I)( ) OR
LL
BE PAID TO ALL WORKERS PERFORMING WORK IN THE CLASSIFICATION UNDER THIS
CONTRACT FROM THE FIRST DAY ON WHICH WORK IS PERFORMED IN THE CLASSIFICATION.
(c) WHENEVER THE MINIMUM WAGE RATE PRESCRIBED IN THE CONTRACT FOR A
CLASS OF LABORERS OR MECHANICS INCLUDES A FRINGE BENEFIT WHICH IS NOT
EXPRESSED AS AN HOURLY RATE, THE CONTRACTOR SHALL EITHER PAY THE BENEFIT AS
STATED IN THE WAGE DETERMINATION OR SHALL PAY ANOTHER BONA FIDE FRINGE BENEFIT
OR AN HOURLY CASH EQUIVALENT THEREOF.
(d) IF THE CONTRACTOR DOES NOT MAKE PAYMENTS TO A TRUSTEE OR OTHER
THIRD PERSON, THE CONTRACTOR MAY CONSIDER AS PART OF THE WAGES OF ANY LABORER
OR MECHANIC THE AMOUNT OF ANY COSTS REASONABLY ANTICIPATED IN PROVIDING BONA
FIDE FRINGE BENEFITS UNDER A PLAN OR PROGRAM, PROVIDED, THAT THE SECRETARY OF
LABOR HAS FOUND, UPON THE WRITTEN REQUEST OF THE ON RACTOR, THAT THE
APPLICABLE STANDARDS OF THE DAVIS-BACON ACT HAVE BEEN MET. THE SECRETARY OF
LABOR MAY REQUIRE THE CONTRACTOR TO SET ASIDE IN A SEPARATE ACCOUNT ASSETS FOR
THE MEETING OF OBLIGATIONS UNDER THE PLAN OR PROGRAM.
(2) WITHHOLDING. DOT SHALL UPON ITS OWN ACTION OR UPON WRITTEN REQUEST
OF AN AUTHORIZED REPRESENTATIVE OF THE DEPARTMENT OF LABOR WITHHOLD OR CAUSE
TO BE WITHHELD FROM THE CONTRACTOR UNDER THIS CONTRACT OR ANY OTHER FEDERAL
CONTRACT WITH THE SAME PRIME CONTRACTOR, OR ANY OTHER FEDERALLY -ASSISTED
CONTRACT SUBJECT TO DAVIS-BACON PREVAILING WAGE REQUIREMENTS, WHICH IS HELD BY
THE SAME PRIME CONTRACTOR, SO MUCH OF THE ACCRUED PAYMENTS OR ADVANCES AS MAY
BE CONSIDERED NECESSARY TO PAY LABORERS AND MECHANICS, INCLUDING APPRENTICES,
TRAINEES, AND HELPERS, EMPLOYED BY THE CONTRACTOR OR ANY SUBCONTRACTOR THE
FULL AMOUNT OF WAGES REQUIRED BY THE CONTRACT. IN THE EVENT OF FAILURE TO PAY
ANY LABORER OR MECHANIC, INCLUDING ANY APPRENTICE, TRAINEE, OR HELPER,
EMPLOYED OR WORKING ON THE SITE OF THE WORK (OR UNDER THE UNITED STATES
HOUSING ACT OF 1937 OR UNDER THE HOUSING ACT OF 1949 IN THE CONSTRUCTION OR
DEVELOPMENT OF THE PROJECT), ALL OR PART OF THE WAGES REQUIRED BY THE
CONTRACT, DOT MAY, AFTER WRITTEN NOTICE TO THE CONTRACTOR, SPONSOR, APPLICANT,
OR OWNER, TAKE SUCH ACTION AS MAY BE NECESSARY TO CAUSE THE SUSPENSION OF ANY
FURTHER PAYMENT, ADVANCE, OR GUARANTEE OF FUNDS UNTIL SUCH VIOLATIONS HAVE
CEASED.
Page 24
(3) PAYROLLS AND BASIC RECORDS.
(a) PAYROLLS AND BASIC RECORDS RELATING THERETO SHALL BE MAINTAINED
BY THE CONTRACTOR DURING THE COURSE OF THE WORK AND PRESERVED FOR A PERIOD OF
THREE YEARS THEREAFTER FOR ALL LABORERS AMD MECHANICS WORKING AT THE SITE OF
THE WORK (OR UNDER THE UNITED STATES HOUSING ACT OF 1937, OR UNDER THE HOUSING
ACT OF 1949, IN THE CONSTRUCTION OR DEVELOPMENT OF THE PROJECT). SUCH RECORDS
SHALL CONTAIN THE NAME, ADDRESS, AND SOCIAL SECURITY NUMBER OF EACH SUCH
WORKER, HIS OR HER CORRECT CLASSIFICATION, HOURLY RATES OF WAGES PAID
(INCLUDING RATES OF CONTRIBUTIONS OR COSTS ANTICIPATED FOR BONA FIDE FRINGE
BENEFITS OR CASH EQUIVALENTS THEREOF OF THE TYPES DESCRIBED IN SECTION
1(b)(2)(B) OF THE DAVIS-BACON ACT), DAILY AND WEEKLY NUMBER OF HOURS WORKED,
DEDUCTIONS MADE AND ACTUAL WAGES PAID. WHENEVER THE SECRETARY OF LABOR HAS
FOUND UNDER 29 CFR § 5.5(a)(1)(iv) THAT THE WAGES OF ANY LABORER OR MECHANIC
INCLUDE THE AMOUNT OF ANY COSTS REASONABLY ANTICIPATED IN PROVIDING BENEFITS
UNDER A PLAN OR PROGRAM DESCRIBED IN SECTION 1(b)(2)(B) OF THE DAVIS-BACON
ACT, THE CONTRACTOR SHALL MAINTAIN RECORDS WHICH SHOW THAT THE COMMITMENT TO
PROVIDE SUCH BENEFITS IS ENFORCEABLE, THAT THE PLAN OR PROGRAM IS FINANCIALLY
RESPONSIBLE, AND THAT THE PLAN OR PROGRAM HAS BEEN COMMUNICATED IN WRITING TO
THE LABORERS OR MECHANICS AFFECTED, AND RECORDS WHICH SHOW THE COSTS
ANTICIPATED OR THE ACTUAL COST INCURRED IN PROVIDING SUCH BENEFITS.
CONTRACTORS EMPLOYING APPRENTICES OR TRAINEES UNDER APPROVED PROGRAMS SHALL
MAINTAIN WRITTEN EVIDENCE OF THE REGISTRATION OF APPRENTICESHIP PROGRAMS AND
CERTIFICATION OF TRAINEE PROGRAMS, THE REGISTRATION OF THE APPRENTICES AND
TRAINEES, AND THE RATIOS AND WAGE RATES PRESCRIBED IN THE APPLICABLE PROGRAMS.
(b) I. THE CONTRACTOR SHALL SUBMIT WEEKLY FOR EACH WEEK IN WHICH ANY
CONTRACT WORK IS PERFORMED A COPY OF ALL PAYROLLS TO DOT IF DOT IS A PARTY TO
THE CONTRACT, BUT IF DOT IS NOT SUCH A PARTY, THE CONTRACTOR WILL SUBMIT THE
PAYROLLS TO THE APPLICANT, SPONSOR, OR OWNER, AS THE CASE MAY BE, FOR
TRANSMISSION TO DOT. THE PAYROLLS SUBMITTED SHALL SET OUT ACCURATELY AND
COMPLETELY ALL OF THE INFORMATION REQUIRED TO BE MAINTAINED UNDER
§ 5.5(a)(3)(i) OF REGULATIONS, 29 CFR PART 5. THIS INFORMATION MAY BE
SUBMITTED IN ANY FORM DESIRED. OPTIONAL FORM WH -347 IS AVAILABLE FOR THIS
PURPOSE AND MAY BE PURCHASED FROM THE SUPERINTENDENT OF DOCUMENTS (FEDERAL
STOCK NUMBER 029-005-00014-1), U.S. GOVERNMENT PRINTING OFFICE, WASHINGTON,
D.C. 20402. THE PRIME CONTRACTOR IS RESPONSIBLE FOR THE SUBMISSION OF COPIES
OF PAYROLLS BY ALL SUBCONTRACTORS.
2. EACH PAYROLL SUBMITTED SHALL BE ACCOMPANIED BY A "STATEMENT
OF COMPLIANCE,," SIGNED BY THE CONTRACTOR OR SUBCONTRACTOR OR HIS OR HER AGENT
WHO PAYS OR SUPERVISES THE PAYMENT OF THE PERSONS EMPLOYED UNDER THE CONTRACT
AND SHALL CERTIFY THE FOLLOWING:
a. THAT THE PAYROLL FOR THE PAYROLL PERIOD CONTAINS THE
INFORMATION REQUIRED TO BE MAINTAINED UNDER § 5.5(a)(3)(i) OF REGULATIONS,
29 CFR PART 5 AND THAT SUCH INFORMATION IS CORRECT AND COMPLETE;
b. THAT EACH LABORER OR MECHANIC (INCLUDING EACH HELPER,
APPRENTICE, AND TRAINEE) EMPLOYED ON THE CONTRACT DURING THE PAYROLL PERIOD
HAS BEEN PAID THE FULL WEEKLY WAGES EARNED, WITHOUT REBATE, EITHER DIRECTLY OR
INDIRECTLY, AND THAT NO DEDUCTIONS HAVE BEEN MADE EITHER DIRECTLY OR
INDIRECTLY FROM THE FULL WAGES EARNED, OTHER THAN PERMISSIBLE DEDUCTIONS AS
SET FORTH IN REGULATIONS, 29 CFR PART 3;
Page 25
c. THAT EACH LABORER OR MECHANIC HAS BEEN PAID NOT LESS THAN
THE APPLICABLE WAGE RATES AND FRINGE BENEFITS OR CASH EQUIVALENTS FOR THE
CLASSIFICATION OF WORK PERFORMED, AS SPECIFIED IN THE APPLICABLE WAGE
DETERMINATION INCORPORATED INTO THE CONTRACT.
3. THE WEEKLY SUBMISSION OF A PROPERLY EXECUTED CERTIFICATION'
SET FORTH ON THE REVERSE SIDE OF OPTIONAL FORM WH -347 SHALL SATISFY THE
REQUIREMENT FOR SUBMISSION OF THE "STATEMENT OF COMPLIANCE" REQUIRED BY
PARAGRAPH (a)(3)(ii)(B) OF 29 CFR § 5.5.
4. THE FALSIFICATION OF ANY OF THE ABOVE CERTIFICATIONS MAY
SUBJECT THE CONTRACTOR OR SUBCONTRACTOR TO CIVIL OR CRIMINAL PROSECUTION UNDER
SECTION 1001 OF TITLE 18 AND SECTION 231 OF TITLE 31 OF THE UNITED STATES
CODE.
(c) THE CONTRACTOR OR SUBCONTRACTOR SHALL MAKE THE RECORDS REQUIRED
UNDER PARAGRAPH (a)(3)(i) of 29 CFR § 5.5 AVAILABLE FOR INSPECTION, COPYING,
OR TRANSCRIPTION BY AUTHORIZED REPRESENTATIVES OF DOT OR THE DEPARTMENT OF,
LABOR, AND SHALL PERMIT SUCH REPRESENTATIVES TO INTERVIEW EMPLOYEES DURING
WORKING HOURS ON THE JOB. IF THE CONTRACTOR OR SUBCONTRACTOR FAILS TO'SUBMIT
THE REQUIRED RECORDS OR TO MAKE THEM AVAILABLE, THE FEDERAL AGENCY MAY, AFTER
WRITTEN NOTICE TO THE CONTRACTOR, SPONSOR, APPLICANT, OR OWNER, TAKE SUCH
ACTION AS MAY BE NECESSARY TO CAUSE THE SUSPENSION OF ANY FURTHER PAYMENT,
ADVANCE, OR GUARANTEE OF FUNDS. FURTHERMORE, FAILURE TO SUBMIT THE REQUIRED
RECORDS UPON REQUEST OR TO MAKE SUCH RECORDS AVAILABLE MAY BE GROUNDS FOR
DEBARMENT ACTION PURSUANT TO 29 CFR § 5.12.
(4) APPRENTICES AND TRAINEES --APPRENTICES.
(a) APPRENTICES WILL BE PERMITTED TO WORK AT LESS THAN THE
PREDETERMINED RATE FOR THE WORK THEY PERFORMED WHEN THEY ARE EMPLOYED PURSUANT
TO AND INDIVIDUALLY REGISTERED INA BONA FIDE APPRENTICESHIP PROGRAM
REGISTERED WITH THE U.S. DEPARTMENT OF LABOR, EMPLOYMENT AND TRAINING
ADMINISTRATION, BUREAU OF APPRENTICESHIP AND TRAINING, OR WITH A STATE
APPRENTICESHIP AGENCY RECOGNIZED BY THE BUREAU, OR IF A PERSON IS EMPLOYED IN
HIS OR HER FIRST 90 DAYS OF PROBATIONARY EMPLOYMENT AS AN APPRENTICE IN SUCH
AN APPRENTICESHIP PROGRAM, WHO IS NOT INDIVIDUALLY REGISTERED IN THE PROGRAM,
BUT WHO HAS BEEN CERTIFIED BY THE BUREAU OF APPRENTICESHIP AND TRAINING OR A
STATE APPRENTICESHIP AGENCY (WHERE APPROPRIATE) TO BE ELIGIBLE FOR
PROBATIONARY EMPLOYMENT AS AN APPRENTICE. THE ALLOWABLE RATIO OF APPRENTICES
TO JOURNEYMEN ON THE JOB SITE IN ANY CRAFT CLASSIFICATION SHALL NOT BE GREATER
THAN THE RATIO PERMITTED TO THE CONTRACTOR AS TO THE ENTIRE WORK FORCE UNDER
THE REGISTERED PROGRAM. ANY WORKER LISTED ON A PAYROLL AT AN APPRENTICE WAGE
RATE, WHO IS NOT REGISTERED OR OTHERWISE EMPLOYED AS STATED ABOVE, SHALL BE
PAID NOT LESS THAN THE APPLICABLE WAGE RATE ON THE WAGE DETERMINATION FOR THE
CLASSIFICATION OF WORK ACTUALLY PERFORMED. IN ADDITION, ANY APPRENTICE
PERFORMING WORK ON THE JOB SITE IN EXCESS OF THE RATIO PERMITTED UNDER THE
REGISTERED PROGRAM SHALL BE PAID NOT LESS THAN THE APPLICABLE WAGE RATE ON THE
WAGE DETERMINATION FOR THE WORK ACTUALLY PERFORMED. WHERE A CONTRACTOR IS
PERFORMING CONSTRUCTION ON A PROJECT IN A LOCALITY OTHER THAN THAT IN WHICH
ITS PROGRAM IS REGISTERED, THE RATIOS AND WAGE RATES (EXPRESSED IN PERCENTAGES
OF THE JOURNEYMAN'S HOURLY RATE) SPECIFIED IN THE CONTRACTOR'S OR
Page 26
SUBCONTRACTOR'S REGISTERED PROGRAM SHALL BE OBSERVED. EVERY APPRENTICE MUST
BE PAID AT NOT LESS THAN THE RATE SPECIFIED `IN THE REGISTERED PROGRAM FOR THE
APPRENTICE'S LEVEL OF PROGRESS, EXPRESSED AS A PERCENTAGE OF THE JOURNEYMAN'S
HOURLY RATE SPECIFIED IN THE APPLICABLE WAGE DETERMINATION. APPRENTICES SHALL
BE PAID FRINGE BENEFITS IN ACCORDANCE WITH THE PROVISIONS OF THE
APPRENTICESHIP PROGRAM. IF THE APPRENTICESHIP PROGRAM DOES NOT.SPECIFY
FRINGE BENEFITS, APPRENTICES MUST BE PAID THE FULL AMOUNT OF FRINGE BENEFITS
LISTED ON THE WAGE DETERMINATION FOR THE APPLICABLE CLASSIFICATION. IF THE
ADMINISTRATOR DETERMINES THAT A DIFFERENT PRACTICE PREVAILS FOR THE APPLICABLE
APPRENTICE CLASSIFICATON, FRINGE BENEFITS SHALL BE PAID IN ACCORDANCE WITH
THAT DETERMINATION. IN THE EVENT THE BUREAU OF APPRENTICESHIP AND TRAINING,
OR A STATE APPRENTICESHIP AGENCY RECOGNIZED BY THE BUREAU, WITHDRAWS APPROVAL
OF AN APPRENTICESHIP PROGRAM, THE CONTRACTOR WILL NO LONGER BE PERMITTED TO
UTILIZE APPRENTICES AT LESS_THAN THE APPLICABLE PREDETERMINED RATE FOR THE
WORK PERFORMED UNTIL AN ACCEPTABLE PROGRAM IS APPROVED.
(b) TRAINEES. EXCEPT AS PROVIDED IN 29 CFR § 5.16, TRAINEES WILL
NOT BE PERMITTED75--M AT LESS THAN THE PREDETERMINED RATE FOR THE WORK
PERFORMED UNLESS THEY ARE EMPLOYED PURSUANT TO AND INDIVIDUALLY REGISTERED IN
A PROGRAM WHICH HAS RECEIVED PRIOR APPROVAL, EVIDENCED BY FORMAL CERTIFICATION
BY THE U.S. DEPARTMENT OF LABOR, EMPLOYMENT AND TRAINING ADMINISTRATION. THE
RATIO OF TRAINEES TO JOURNEYMEN ON THE JOB SITE SHALL NOT BE GREATER THAN
PERMITTED UNDER THE PLAN APPROVED BY THE EMPLOYMENT AND TRAINING
ADMINISTRATION. EVERY TRAINEE MUST BE PAID AT NOT LESS THAN THE RATE
SPECIFIED IN THE APPROVED PROGRAM FOR THE TRAINEE'S LEVEL OF PROGRESS,
EXPRESSED AS A PERCENTAGE OF THE JOURNEYMAN'S HOURLY RATE SPECIFIED IN THE
APPLICABLE WAGE DETERMINATION. TRAINEES SHALL BE4PAID FRINGE BENEFITS IN
ACCORDANCE WITH THE PROVISIONS OF THE TRAINEE PROGRAM. IF THE TRAINEE PROGRAM
DOES NOT MENTION FRINGE BENEFITS, TRAINEES SHALL BE PAID THE FULL AMOUNT OF
FRINGE BENEFITS LISTED ON THE WAGE DETERMINATION UNLESS THE ADMINISTRATOR OF
THE WAGE AND HOUR DIVISION DETERMINES THAT THERE IS AN APPRENTICESHIP PROGRAM
ASSOCIATED WITH THE CORRESPONDING JOURNEYMAN'S WAGE RATE ON THE WAGE
DETERMINATION WHICH PROVIDES FOR LESS THAN FULL FRINGE BENEFITS FOR
APPRENTICES. ANY EMPLOYEE LISTED ON THE PAYROLL AT A TRANINEE RATE WHO IS NOT
REGISTERED AND PARTICIPATING IN A TRAINING PLAN APPROVED BY THE EMPLOYMENT AND
TRAINING ADMINISTRATION SHALL BE PAID NOT LESS THAN THE APPLICABLE WAGE RATE
ON THE WAGE DETERMINATION FOR THE CLASSIFICATION OF WORK ACTUALLY PERFORMED.
IN ADDITION, ANY TRAINEE PERFORMING WORK ON THE JOB SITE IN EXCESS OF THE
RATIO PERMITTED UNDER THE REGISTERED PROGRAM SHALL BE PAID NOT LESS THAN THE
APPLICABLE WAGE RATE ON THE WAGE DETERMINATION FOR THE WORK ACTUALLY
PERFORMED. IN THE EVENT THE EMPLOYMENT AND TRAINING ADMINISTRATION WITHDRAWS
APPROVAL OF A TRAINING PROGRAM, THE CONTRACTOR WILL NO LONGER BE PERMITTED TO
UTILIZE TRAINEES AT LESS THAN THE APPLICABLE PREDETERMINED RATE FOR THE WORK
PERFORMED UNTIL AN ACCEPTABLE PROGRAM IS APPROVED.
(c) EQUAL EMPLOYMENT OPPORTUNITY. THE UTILIZATION OF APPRENTICES,
TRAINEES AND JOURNEYMEN UNDER THIT PART SHALL BE IN CONFORMITY WITH THE EQUAL
EMPLOYMENT OPPORTUNITY REQUIREMENTS OF EXECUTIVE ORDER 11246, AS AMENDED, AND
29 CFR PART 30.
(5) COMPLIANCE WITH COPELAND ACT REQUIREMENTS. THE CONTRACTOR SHALL
COMPLY WITH H R QU RE ENTS 0 2 C R PAR I H ARE INCORPORATED BY
REFERENCE.
Page 27
(6) CONTRACT TERMINATION: DEBARMENT. A BREACH OF THE CONTRACT CLAUSES
IN 29 CFR § 5.5. MAY BE GROUNDS FOR TERMINATION OF THE CONTRACT, AND FOR
DEBARMENT AS A CONTRACTOR AND A SUBCONTRACTOR AS PROVIDED IN 29 CFR S 5.12.
(7) COMPLIANCE WITH DAVIS-BACON ISD�ACONRELATED
ANDACT
TS. ALL
RELATQEDIACTSNCONTAINED IN
RULINGS AND INTERPRETATIONS OF THE DAV
29 CFR PARTS 1, 3, AND 5 ARE HEREIN INCORPORATED BY REFERENCE.
(8) DISPUTES CONCERNING LABOR STANDARDS.
SHALLDISPUTES
BE SUBJECT OUT
THE THE
LABOR STAN DARDS PROVISIONS OF THIS CON
GENERAL DISPUTES CLAUSE OF THIS CONTRACT. SUCH DISPUTES SHALL BE RESOLVED IN
ACCORDANCE WITH THE PROCEDURES OF THE DEPARTMENT OF LABOR SET FORTH IN 29 CFR
PARTS 5, 6, and 7. DISPUTES WITHIN THE MEANING OF THIS CLAUSE INCLUDE
DISPUTES BETWEEN THE CONTRACTOR (OR
SUBCONTRACTORS)
EMPLOYEES ORE THEIR
CONTRACTING AGENCY, THE U.S. DEPARTMENT OF LABOR,
REPRESENTATIVES.
(9)(a) CERTIFICATION OF ELIGIBILITY. BY ENTERING INTO THIS CONTRACT,
THE CONTRACTOR CERTIFIES THAT NEITHER IT (NOR HE OR SHE) NOR ANY PERSON OR
FIRM WHO HAS AN INTEREST IN THE CONTRACTOR'S FIRM IS A PERSON OR FIRM
INELIGIBLE TO BE AWARDED GOVERNMENT CONTRACTS BY VIRTUE OF SECTION 3(a) OF THE
DAVIS-BACON ACT OR 29 CFR § 5.12(a)(1).
(b) NO PART OF THIS CONTRACT
SHALL
CONTRACTSUBCONTRACTED
VIRTUE 00 SECTION 3(a) FIRM INELIGIBLE FOR AWARD OF A GOVERNMENT
OF THE DAVIS-BACON ACT OR 29 CFR § 5.12(a)(1).
(c) THE PENALTY FOR MAKING FALSE STATEMENTS IS PRESCRIBED IN THE U.S.
CRIMINAL CODE, 18 U.S.C. § 1001.
(10) OVERTIME REQUIREMENTS. NO CONTRACTOR OR SUBCONTRACTOR CONTRACTING
FOR ANY PART OF THE CONTRACT WORK WHICH MAY REQUIRE OR INVOLVE THE EMPLOYMENT
OF LABORERS OR MECHANICS SHALL REQUIRE OR PERMIT ANY SUCH LABORER OR MECHANIC
IN ANY WORKWEEK IN WHICH HE OR SHE IS EMPLOYED ON SUCH WORK TO WORK IN EXCESS
OF EIGHT HOURS IN ANY CALENDAR DAY OR IN EXCESS OF FORTY HOURS.IN SUCH
WORKWEEK UNLESS SUCH LABORER OR MECHANIC RECEIVES COMPENSATION AT A RATE NOT
LESS THAN ONE AND ONE-HALF TIMES THE BASIC RATE OF PAY FOR ALL HOURS WORKED IN
EXCESS OF EIGHT HOURS IN ANY CALENDAR DAY OR IN EXCESS OF FORTY HOURS IN SUCH
WORKWEEK, WHICHEVER IS GREATER.
(11) VIOLATION; LIABILITY FOR UNPAID WAGES; LIQUIDATED DAMAGES. IN THE
EVENT OF ANY VIOLATION OF THE CLAUSE SET FORTH IN SUBPARAGRAPH 1) 29 CFR
§ 5.5, THE CONTRACTOR AND ANY SUBCONTRACTOR RESPONSIBLE THEREFOR SHALL BE
LIABLE FOR THE UNPAID WAGES. IN ADDITION, SUCH CONTRACTOR AND SUBCONTRACTOR
SHALL BE LIABLE TO THE UNITED STATES (IN THE CASE OF WORK DONE UNDER CONTRACT
FOR THE DISTRICT OF COLUMBIA OR A TERRITORY, TO SUCH DISTRICT OR TO SUCH
TERRITORY), FOR LIQUIDATED DAMAGES. SUCH LIQUIDATED DAMAGES SHALL BE COMPUTED
WITH RESPECT TO EACH INDIVIDUAL LABORER OR MECHANIC, INCLUDING WATCHMEN AND
GUARDS, EMPLOYED IN VIOLATION OF THE CLAUSE SET FORTH IN SUBPARAGRAPH (6)(1)
OF 29 CFR ,§ 5.5 IN THE SUM OF $10 FOR EACH CALENDAR DAY OR WHICH SUCH
INDIVIDUAL WAS REQUIRED OR PERMITTED TO WORK IN EXCESS OF EIGHT HOURS OR IN
EXCESS OF TRE
DSBA THEDCLAUSEESETOFORTHTINHOUBPARAGRAPH (b)(1)TO®F29HEC
FRVERTIME
WAGES REQU
§ 5.5.
(12) WITHHOLDING FOR UNPAID WAGES AND LIQUIDATED DAMAGES. DOT OR THE
RECIPIENT SHALL U NACTION- UPN WR-RE-QUEST—OFAN AUTHORIZED
REPRESENTATIVE OF THE DEPARTMENT OF LABOR WITHHOLD OR CAUSE TO BE WITHHELD,
FROM ANY MONEYS PAYABLE ON ACCOUNT OF WORK PERFORMED BY THE CONTRACTOR OR
SUBCONTRACTOR UNDER ANY SUCH CONTRACT OR ANY OTHER FEDERAL CONTRACT WITH THE
SAME PRIME CONTRACTOR, OR ANY OTHER FEDERALLY ASSISTED CONTRACT SUBJECT TO THE
CONTRACT WORK HOURS AND SAFETY STANDARDS ACT, WHICH IS HELD BY THE SAME PRIME
CONTRACTOR, SUCH SUMS AS MAY BE DETERMINED TO BE NECESSARY TO SATISFY ANY
LIABILITIES OF SUCH CONTRACTOR OR SUBCONTRACTOR FOR UNPAID WAGES AND
LIQUIDATED DAMAGES AS PROVIDED IN THE CLAUSE SET FORTH IN SUBPARAGRAPH (b)(2)
OF 29 CFR § 5.5.
(13) SUBCONTRACTS. THE CONTRACTOR OR SUBCONTRACTOR SHALL INSERT IN ANY
SUBCONTRACT THE AUS€S SET FORTH IN SUBPARAGRAPH (1) THROUGH (14) OF THIS
PARAGRAPH AND ALSO A CLAUSE REQUIRNG THE SUBCONTRACTORS TO INCLUDE THESE
CLAUSES IN ANY LOWER TIER SUBCONTRACTS. THE PRIME CONTRACTOR SHALL BE
RESPONSIBLE FOR COMPLIANCE BY ANY SUBCONTRACTOR OR LOWER TIER SUBCONTRACTOR
WITH THE CLAUSES SET FORTH IN SUBPARAGRAPHS (1) THROUGH (14) OF THIS
PARAGRAPH.
b. Nonconstruction Contracts. Pursuant to the regulations at
29 C.F.R. Part 5, e t o owing provisions shall be incorporated in all
non -construction contracts of $2,500 let by the Recipient in carrying out the
project.
NONCONSTRUCTION CONTRACTS. IN ADDITION TO THE CLAUSES CONTAINED IN 29 CFR
5.5(b) OR PARAGRAPHS 10) THROUGH (13) OF SECTION 112.a. OF PART II TERMS
AND CONDITIONS OF THE URBAN MASS TRANSPORTATION AGREEMENT, IN ANY CONTRACT
SUBJECT ONLY TO THE CONTRACT WORK HOURS AND SAFETY STANDARDS ACT AND NOT TO
ANY OF THE OTHER STATUTES CITED IN 29 CFR § 5.1 THE RECIPIENT SHALL INSERT A
CLAUSE REQUIRING THAT THE CONTRACTOR OR SUBCONTRACTOR SHALL MAINTAIN PAYROLLS
AND BASIC PAYROLL RECORDS DURING THE COURSE OF THE WORK AND SHALL PRESERVE
THEM FOR A PERIOD OF THEREE YEARS FROM THE COMPLETION OF THE CONTRACT FOR ALL
LABORERS AND MECHANICS, INCLUDING GUARDS AND WATCHMEN, WORKING ON THE
CONTRACT. SUCH RECORDS SHALL CONTAIN THE NAME AND ADDRESS OF EACH SUCH
EMPLOYEE, SOCIAL SECURITY NUMBER, CORRECT CLASSIFICATIONS, HOURLY RATES OF
WAGES PAID, DAILY AND WEEKLY NUMBER OF HOURS WORKED, DEDUCTIONS MADE, AND
ACTUAL WAGES PAID. FURTHER, THE RECIPIENT SHALL REQUIRE THE CONTRACTING
OFFICER TO INSERT IN ANY SUCH CONTRACT A CLAUSE PROVIDING THAT THE RECORDS TO
BE MAINTAINED UNDER THIS PARAGRAPH SHALL BE MADE AVAILABLE BY THE CONTRACTOR
OR SUBCONTRACTOR FOR INSPECTION, COPYING, OR TRANSCRIPTION BY AUTHORIZED
REPRESENTATIVES OF DOT AND THE DEPARMTENT OF LABOR, AND THE CONTRACTOR OR
SUBCONTRACTOR WILL PERMIT SUCH RESPRESENTATIVES TO INTERVIEW EMPLOYEES DURING
WORKING HOURS ON THE JOB.
c. State and Local Government Employees. The provisions of the Fair Labor
Standards Act are applicable to State and local government employees that
participate in the UMTA assisted project with the Recipient.
Page 29
Section 113. Environmental, Resource, and Energy Protection and Conservation
Requirements.
a. Environmental Policy. The National Environmental Policy Act of 1969, as
amen e 2 U.S.C. 21; Section 14 of the Urban Mass Transporation Act of
1964, as amended, 49 U.S.C. § 1610; the Council on Environmental Quality
regulations set forth at 40 C.F.R. Part 1500; and the FHWA/UMTA regulation,
"Environmental Impact and Related Procedures," set forth at 23 C.F.R. Part 771
are applicable to UMTA assisted projects of the Recipient.
b. Compliance with Environmental Standards. The Recipient shall comply with
the provisions o t e C can Air Act, as amended (42 U.S.C. § 1857 et seq.),
the Federal Water Pollution Control Act, as amended (33 U.S.C. § 1251 et
seq.), and implementing regulations, in the facilities that are involved in
the Project for which Federal assistance is given. The Recipient shall ensure
that the facilities under ownership, lease or supervision, whether directly or
under contract, that will be utilized in the accomplishment of the Project are
not listed on the Environmental Protection Agency (EPA) List of Violating
Facilities. Contracts, subcontracts, and subgrants of amounts in excess of
$100,000 shall contain a provision which requires compliance with all
applicable standards, orders, or requirements issued pursuant to Federal
statute or regulation. The Recipient and any third -party contractor thereof
shall be responsible for reporting any violations to the Government and to the
EPA Assistant Administrator for Enforcement. In addition, the Recipient shall
notify UMTA of the receipt of any communication from the Director of the EPA
Office of Federal Activities indicating that a facility to be utilized in the
Project is under consideration for listing by EPA.
c. Air Pollution. No facilities or equipment shall be acquired, constructed,
or improved as a part of the Project unless the Recipient obtains satisfactory
assurances that they are (or will be) designed and equipped to limit air
pollution as provided in accordance with the appropriate UMTA directives and
in accordance with all other applicable standards.
d. Use of Public Lands. No publicly owned land from a park, recreation area,
or wi i e and waterfowl refuge of national, State, or local significance as
determined by the Federal, State or local officials having jurisdiction
thereof, or any land from an historic site of national, State, or local
significance may be used for the Project unless certain specific findings are
made by the Department of Transportation.
e. Historic Preservation. The Recipient shall assist the Government (UMTA)
in its compliance with section 106 of the National Historic Preservation Act
of 1966, as amended (16 U.S.C. 470), and related statutes and procedures
involving historic and archeological preservation by:
(1) Consulting with the State Historic Preservation Officer on the conduct
of investigations, as necessary, to identify properties and resources listed
in or eligible for inclusion in the National Register of Historic.Places that
may be affected (see 36 C.F.R. Part 800) by the activity, and notifying the
Government (UMTA) of the existence of any such properties; and
(2) Complying with all requirements established by the Government to avoid
or mitigate adverse effects upon such properties.
Page 30
f. Energy Conservation. The Recipient and its third party contractors shall
recognize manatory standards and policies relating to energy efficiency which
are contained in the State energy conservation plan issued in compliance with
the Energy Policy and Conservation Act (42 U.S.C. § 6321 et seq.).
g. Mitigation of Adverse Environmental Effects. In the event that the
propose �6j`ect will cause a verse environmental effects, the Recipient will
take all reasonable steps to minimize such effects pursuant to 49 U.S.C.
§ 1610, other applicable statutory requirements, and the procedures set forth
in 23 C.F.R. 771. Adverse effects may be avoided or mitigated by modifying
the project, incorporating specific features into the project or by requiring
the Recipient to take certain actions or undertakings. If UMTA determines
that the proposed mitigation measures represent a reasonable expenditure in
view of the benefits to be gained, such measures will be made a condition of
approval of the project and are incorporated in, and made a part of, this
Agreement. Such measures may not be modified or withdrawn without UMTA's
express written consent. The mitigation measures for complex transportation
projects will be detailed in final environmental documents and summarized in a
record of decision should one be required. In such cases, mitigation measures
will be incorporated in and made part of the Agreement by reference to
specific environmental documents. In the event that the Recipient has
proposed to procure the action of any other person or entity not a party to
this Agreement, the Recipient shall be obligated to use its best efforts to
cause such action to be taken; provided, however, that if it appears that a
requested action by the non-signatory party cannot be procured, or if
procured, will not be effective in avoiding or mitigating an adverse
environmental impact, the Recipient shall take whatever actions as the
Government may direct to accomplish that purpose.
h. Use of Fly Ash in Cement and Concrete. The Recipient shall make all
appropriate a orts to Oster t euse o fly ash, in carrying out the project,
substantially in compliance with EPA Guidelines at 40 C.F.R. Part 249, 48 Fed.
Reg. 4230-4253, Jan. 28, 1983. Should the Recipient make a determination that
the use of fly ash is inappropriate in a particular specification for the
procurement of cement or concrete, the Recipient shall provide UMTA a written
justification to support that decision.
Section 114. Patent Rights.
If any invention, improvement, or discovery of the Recipient or any of its
third party contractors is conceived or first actually reduced to practice in
the course of or under this Project, which invention, improvement, or
discovery may be patentable under the Patent Laws of the United States of
America or any foreign country, the Recipient shall immediately notify the
Government (UMTA) and provide a detailed report. The rights and
responsibilities of the Recipient, third party contractors and the Government
with respect to such invention will be determined in accordance with
applicable Federal laws, regulations, policies, and any waivers thereof.
Page 31
a
Section 115. Rights in Data.
a. The term "subject data as used herein means detorbeadelive ediunderwhether
or not copyrighted, that is delivered or specif�e
Agreement. The term includes graphic or pications orial lrelatedns in performancesorh
as drawings or photographs, text in specif
design -type documents; machine forms such as punched cards, magnetic tape, or
computer include,
but°are;notdlimitedato,nengineeringn drawingsrand associated
Examples ecific process sheets, manuals, technical reports,
lists, specifications, standards, p The term
catalog item identifications,
andos�imilar.informationdincidental
es not
include financial reports, Y
to contract administration.
b. All to subject data" first produced in the performance
iof this
agreesrenot ement
shall be the sole property of the Government. Recipient
assert any rights at common law or equity for its ownot to einternal use,stablish any the
to
statutory copyright in such data. Except or in .
Recipient shall not publish or,repothers toroduce cdodsoa withoutin ethe written consent
any manner or form, nor authorize
of the Government until such riction,me as thoweverhe rndoes not apply ment may have rtoeAgreements
data to the public, this rest
with Academic Institutions.
c. The Recipient agrees to grant and does hereby grant tin the the Government and
to its officers, agents, and employees acting wit
of their
official duties, a royalty -free, nonexclusive, and irrevocable license
throughout the world:
(1) To publish, translate, reproduce,
deliver, perform, use, and dispose
of, in any manner, any and all data wfirst
incorporated®inctheoworsed k1furnthe
shed
performance of this Agreement but which is
under this Agreement; and
(2) To authorize others so to do.
d. The Recipient shall indemnify
and
acting withinhold
theascopesofhtheireofficial
its officers, agents, and employees
duties against any liability,
including
pproprietarylrights,from any
willful or intentional violationby the Recipient of
copyrights, or rights of privacy, arising out of the publication, translation,
reproduction,
delivery, performance, use, or disposition of any data furnished
under this Agreement.
e. Nothing contained in this clause shall imply
alicense
to tlic overnment
under any patent or be construed as affecting the spe
other right otherwise granted to the Government under any patent.
f. Sections 115.c. and d. above are not applicable to material furnished to
the Recipient by the Government and incorporated
materialthe
isoidentifiedebyuther
the contract; provided that such incorporated
Recipient at the time of delivery of such work.
Page 32
g. In the event that the Project, which is the subject of this Agreement, is
not completed, for any reason whatsoever, all data generated under that
Project shall become subject data as defined in the Rights in Data clause in
this Agreement and shall be delivered as the Government may direct. This
clause shall be included in all third -party contracts under the Project.
Section 116. Cargo Preference - Use of United States -Flag Vessels.
a. 46 U.S.C. § 1241 provides in 'pertinent part as follows:
(b)(1) Whenever the United States shall procure, contract for, or
otherwise obtain for its own account, or shall furnish to or for the account
of any foreign nation without provision for reimbursement, any equipment,
materials, or commodities, within or without the United States, or shall
advance funds or credits or guarantee the convertibility of foreign currencies
in connection with the furnishing of such equipment, materials, or
commodities, the appropriate agency or agencies shall take such steps as may
be necessary and practicable to assure that at least 50 per centum of the
gross tonnage of such equipment, materials, or commodities (computed
separately for dry bulk carriers, dry cargo liners, and tankers), which may be
transported on privately owned United States flag commercial vessels, to the
extent such vessels are available at fair and reasonable rates for United
States -flag commercial vessels, in such manner as will insure a fair and
reasonable participation of United States -flag commercial vessels in such
cargoes by geographic areas: .
(2) Every department or agency having responsibility under this
subsection shall administer its programs with respect to this subsection under
regulations issued by the Secretary of Transportation ... .
b. Pursuant to regulations published at 46 C.F.R. Part 381, the Recipient
agrees to insert the following clauses in all contracts let by the Recipient
under which equipment, materials or commodities may be transported by ocean
vessel in carrying out the Project:
THE CONTRACTOR AGREES --
(1) TO UTILIZE PRIVATELY OWNED UNITED STATES -FLAG COMMERCIAL VESSELS TO
SHIP AT LEAST 50 PERCENT OF THE GROSS TONNAGE (COMPUTED SEPARATELY FOR DRY
BULK CARRIERS, DRY CARGO LINERS, AND TANKERS) INVOLVED, WHENEVER SHIPPING ANY
EQUIPMENT, MATERIALS, OR COMMODITIES PURSUANT TO THIS SECTION, TO THE EXTENT
SUCH VESSELS ARE AVAILABLE AT FAIR AND REASONABLE RATES FOR UNITED STATES -FLAG
COMMERCIAL VESSELS.
(2) TO FURNISH WITHIN 30 DAYS FOLLOWING THE DATE OF LOADING FOR SHIPMENTS
ORIGINATING WITHIN THE UNITED STATES, OR WITHIN 30 WORKING DAYS FOLLOWING THE
DATE OF LOADING FOR SHIPMENT ORIGINATING OUTSIDE THE UNITED STATES, A LEGIBLE
COPY OF A RATED, "ON -BOARD" COMMERCIAL OCEAN BILL -OF -LADING IN ENGLISH FOR
EACH SHIPMENT OF CARGO DESCRIBED IN PARAGRAPH (1) ABOVE TO THE RECIPIENT
(THROUGH THE PRIME CONTRACTOR IN THE CASE OF SUBCONTRACTOR BILLS -OF -LADING)
AND TO THE DIVISION OF NATIONAL CARGO, OFFICE OF MARKET DEVELOPMENT, MARITIME
ADMINISTRATION, 400 SEVENTH STREET, S.W., WASHINGTON, D.C. 20590, MARKED WITH
APPROPRIATE IDENTIFICATION OF THE PROJECT.
Page 33
lJ
(3) TO INSERT THE SUBSTANCE OF THE PROVISIONS OF THIS CLAUSE IN ALL
SUBCONTRACTS ISSUED PURSUANT TO THIS CONTRACT.
Section 117. Buy America. Each third party contract utilizing UMTA funds
obligated after January 6, 1983, must comply with Section 165 of the Surface
Transportation Assistance Act of 1982, P.L. 97-424, 49 U.S.C. § 1601 note (the
Buy America provision), and UMTA regulations set out at 49 C.F.R. Part 661 and
any guidance issued by UMTA to implement this statutory provision.
Section 118. Charter and School Bus Operations.
a. Charter Bus. The Recipient, or any operator of mass transportation,
acting its Dehalf, shall not engage in charter bus operations outside the
urban area within which it provides regularly scheduled mass transportation
service, except as provided under section 3(f) of the Urban Mass
Transportation Act of 1964, as amended, 49 U.S.C. § 1602(f), and regulations
pertaining to Charter Bus Operations, set forth at 49 C.F.R. Part 604 and any
amendments that may be issued. Any agreement entered into under these
regulations is incorporated into this Agreement by reference.
b. School Bus. The Recipient, or any operator of mass transportation acting
on its behalf, shall not engage in school bus operations, exclusively for the
transportation of students or school personnel, in competition with private
school bus operators, except as provided under section 3(g) of the Urban Mass
Transportation Act of 1964, as amended, 49 U.S.C. § 1602(g) and regulations
pertaining to School Bus Operations, set forth at 49 C.F.R. Part 605 and any
amendments thereto that may be issued. Any agreement entered into under these
regulations is incorporated into this Agreement by reference.
Section 119. Nondiscrimination on the Basis of Handicap.
The Recipient shall insure that all fixed facility construction or alteration
and all new equipment included in the Project comply with applicable
regulations regarding Nondiscrimination on the Basis of Handicap in Programs
and Activities Receiving or Benefitting from Federal Financial Assistance, set
forth at 49 C.F.R. Part 27, and any amendments thereto.
Section 120. Relocation and Land Acquisition.
The terms of the Department of Transportation regulations, "Uniform Relocation
and Real Property Acquisition for Federal and Federally Assistance Programs,"
49 C.F.R. Part 25 are applicable to UMTA assisted contracts of the Recipient.
Section 121. Flood Hazards.
The Recipient shall comply with the flood insurance purchase requirements with
respect to construction
orAacquisition
cq i sition purp42 oses, of4section 102(a) of the
Flood Disaster Protection
Page 34
Section 122. Suspension and Debarment.
The terms of the Department of Transportation regulations, "Suspension and
Debarment of Participants in DOT Financial Assistance Programs," 49 C.F.R.
Part 29 are applicable to any UMTA assisted contracts of the Recipient.
Section 123. Privacy. Should the Recipient, its third party contractors or
its employees a m—d inister any system of records on behalf of the Federal
Government, the following terms and conditions are applicable:
a. The Recipient agrees:
(1) To comply with the Privacy Act of 1974, 5 U.S.C. § 552a (the Act)
and the rules and regulations issued pursuant to the Act when performance
under the contract involves the design, development, or operation of any
system of records on individuals to be operated by the Recipient, its
contractors or employees to accomplish a Government function;
(2) To notify the Government when the Recipient anticipates operating a
system of records on behalf of the Government in order to accomplish the
requirements of this Agreement, if such system contains information about
individuals which information will be retrieved by the individual's name or
other identifier assigned to the individual. A system of records subject to
the Act may not be employed in the performance of this Agreement until the
necessary approval and publication requirements applicable to the system have
been carried out. The Recipient agrees to correct, maintain, disseminate, and
use such records in accordance with the requirements of the Act, and to comply
with all applicable requirements of the Act;
(3) To include the Privacy Act Notification contained in this Agreement
in every third party contract solicitation and in every third party contract
when the performance of work under the proposed third party contract may
involve the design, development, or operation of a system of records on
individuals that is to be operated under the contract to accomplish a
Government function; and
(4) To include this clause, including this paragraph, in all third
party contracts under which work for this Agreement is performed or which is
awarded pursuant to this Agreement or which may involve the design,
development, or operation of such a system of records on behalf of the
Government.
b. For purposes of the Privacy Act, when the Agreement involves the operation
of a system of records on individuals to accomplish a Government function, the
Recipient, third party contractors and any of their employees is considered to
be an employee of the Government with respect to the Government function and
the requirements of the Act, including the civil and criminal penalties for
violations of the Act, are applicable except that the criminal penalties shall
not apply with regard to contracts effective prior to September 27, 1975. In
addition, failure to comply with the provisions of the Act or of this clause
will make this Agreement subject to termination.
Page 35
c. The terms used in this clause have the following meanings:
(1) Operation of a system of records" means performance of any of the
activities associated with maintaining the system of records on behalf of the
Government including the collection, use and dissemination of records.
(2) "Record" means any item, collection, or grouping of information
about an individual that is maintained by the Recipient on behalf of the
Government, including, but not limited to, his education, financial
transactions, medical history, and criminal or employment history and that
contains his name, or the identifying number, symbol, or other identifying
particular assigned to the individual, such as a finger or voice print, or a
photograph.
(3) "System of records" on individuals means a group of any records
under the control of the Recipient on behalf of the Government from which
information is retrieved by the name of the individual or by some identifying
number, symbol, or other identifying particular assigned to the individual.
Section 124. Miscellaneous.
a. Bonus or Commission. The Recipient warrants that it has not paid, and
also agrees not to pay, any bonus or commission for the purpose of obtaining
an approval of its application for the financial assistance hereunder.
b. State or Territorial Law. Anything in the Agreement to the contrary
notwithstanding, nothing in the Agreement shall require the Recipient to
observe or enforce compliance with any provision thereof, perform any other
act, or do any other thing in contravention of any applicable State or
territorial law; Provided, That if any of the provisions of the Agreement
violate any applicable State or territorial law, or if compliance with the
provisions of the Agreement would require the Recipient to violate any
applicable State or territorial law, the Recipient will at once notify the
Government (UMTA) in writing in order that appropriate changes and
modifications may be made by the Government and the Recipient to the end that
the Recipient may proceed as soon as possible with the Project.
c. Record. The Recipient, and any mass transportation operator for which it
applies ll, for each local fiscal year ending on or after July 1, 1978,
wi
conform to the reporting system and the uniform system of accounts and records
to the extent required by section 15 of the Urban Mass Transportation Act of
1964, as amended, 49 U.S.C. § 1611, effective for each local fiscal year
ending on or after July 1, 1978, and Federal (UMTA) regulations.
d. Severability. If any provision of this Agreement is held invalid, the
remainder of this Agreement shall not be affected thereby if such remainder
would then continue to conform to the terms and requirements of applicable
1 aw. .
*U.S. GOVERNMENT PRINTING OFFICE : 1985-461-832/36762
Page 36