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HomeMy WebLinkAboutResolution - 2055 - Grant Application-USDOT-Section 5 Capital Assistance, Transportation Projects - 06/14/1985Resolution #2055 June 14, 1935 JWF:mj RESOLUTION RESOLUTION AUTHORIZING THE FILING OF AN APPLICATION WITH THE DEPARTMENT OF TRANS- PORTATION, UNITED STATES OF AMERICA, FOR A GRANT UNDER THE URBAN MASS TRANSPORTATIO ACT OF 1964, AS AMENDED. WHEREAS, the Secretary of Transportation is authorized to make grants for mass transportation projects; WHEREAS, the contract for financial assistance will impose certain obligations upon the applicant, including the provisions by it of the local share of project costs; WHEREAS, it is required by U.S. Department of Transportation in accord with the provisions of Title IV of the Civil Rights Act of 1964, that in connection with the filing of an application for assistance under the Urban Mass Transportation Act of 1964, as amended, the applicant give an assurance that it will comply with Title IV of the Civil Rights Act of 1964 and the U.S. Department of Transportation requirements thereunder; and WHEREAS, it is the goal of the Applicant that minority business enterprise be utilized to the fullest extent possible in connection with this project, and that definite procedures shall be established and administered to ensure that minority businesses shall have the maximum feasible opportunity to compete for contracts when procuring construction contracts, supplies, equipment contracts, or con- sultant and other services; NOW, THEREFORE: BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK, TEXAS: SECTION 1. THAT the MAYOR is authorized to execute and file an application on behalf of the City of Lubbock, Texas with the U.S. Department of Transportation, to aid in the financing of capital assistance projects pursuant to Section 5 of the Urban Mass Transportation Act of 1964, as amended. SECTION 2. THAT the MAYOR is authorized to execute and file with such application an assurance or any other document required by the U.S. Department of Transportation effectuating the purposes of Title IV of the Civil Rights Act of 1964. SECTION 3. THAT the GENERAL MANAGER of the CITY TRANSIT MANAGEMENT COMPANY, INC., is authorized (insofar as the City is concerned) to furnish such additional information as the U.S. Department of Transportation may require in connection with the application for the project. SECTION 4. THAT the,,MAYOR is authorized to set forth and execute affirmative minority business policies in connection with the project's procurement needs. SECTION 5. THAT the MAYOR is authorized to execute grant agreements on behalf of the City of Lubbock, Texas with the U.S. Department of Transportation for aid in the financing of the capital assistance projects. SECTION 6. THAT the CITY OF LUBBOCK does hereby agree to provide matching funds for such Capital Assistance which shall be in an amount not to exceed Nineteen Thousand Six Hundred and Fifty -Six Dollars ($19,656). Such matching funds shall be in cash or in -kind services. Passed by the City Council this 14th day of June , 1985• ATTEST: Ranett ,Boyd, City Secretary APPROVED AS TO CONTENT: Sylv ster C. Cantu, Administrative Assistant I APPROVED AS TO FORM: r• J. W rt Fullingim, Assistant City Att rne�y ,. i Resolution #2055 UNITED STATES OF AMERICA DEPARTMENT OF, TRANSPORTATION URBAN MASS TRANSPORTATION ADMINISTRATION GRANT 49 U.S.C. § 1604 (SECTION 5 - CAPITAL ASSISTANCE) 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 follows: Sec. 1. Pur ose of Grant - The purpose of this Grant is to provide for theundertaking�an urban mass transportation capital improvement project ("Project") with Government financial assistance to the Grantee in the form of a capital grant ("Grant"), under section 5 of the Urban Mass Transportation Act of 1964, as amended, ("Act"), and to state the terms and conditions upon which such assistance will be provided and the manner in which the Project will be undertaken and completed and the Project facilities/equipment will be used. Sec 2. The Pro ect The Grantee agrees to undertake and complete the' Project, and to provIde for the use of the Project 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 "Project Description" on the Notification of Grant Approval describes the Project 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 Project which the:Department of Transportation (DOT) has determined cannot reasonably be financed from revenues of the public transportation system in which the Project facilities/equipment are to be used ("Net Project Cost"), such Net Project Cost 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 permitted by Federal law and regulations, or (2).the . Maximum Federal Share as set forth in the Notification of Grant Approval, or (3) the Maximum Percentage of Federal Participation as set forth in the Notification of Grant Approval, whichever amount is the least. Page 1 Form UMTA F 2002 Rev. 4/1/83 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 and 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 Project Budget. Sec. 4. Local Share - The Grantee agrees that it will provide from sources other than a ederal funds (except as may otherwise be authorized by Federal statute), (b) receipts from the use of the Project 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. State or local tax revenues which are used for operation of public mass transportation service in the area involved may be credited (to the extent necessary) toward the non -Federal share of the cost of the Project. 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. Sec. 5. Fares and Services - The Grantee assures that for any public mass 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 has been adopted since May 17, 1980, or since the time of its first award of Federal financial assistance under section 5 of the Act, whichever is the later, and assures that no fare change or substantial change in service as defined in 49 C J.R. 635.7 will be instituted, except: a. after a public hearing is held or an opportunity for such hearing is afforded, after adequate public notice; b. after proper consideration to the views ,and comments expressed in such hearing is given; and c. 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. Sec. 6. Labor Protection - The Grantee agrees to undertake, carry out, and complete the Project ung the terms and conditions determined by'the Secretary of Labor to be fair and equitable to protect the 'interests of employees affected by the Project and meeting the requirements of section 13(c) of the 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. Sec. 7. Procurement of Rolling Stock and Buses - In accordance with any guidelines issued by the Government, the Grantee s all make third party contract awards for the acquisition of rolling stock, including buses, only after evaluation of performance, standardization, life -cycle costs, and other factors the Government may deem relevant, in addition to the consideration of initial capital costs. The Grantee shall also submit a certification to the Government following the award of any contract for rolling stock, that these factors have been evaluated in accordance with the Act. where necessary, the Government will assist the Grantee in making such evaluations. This requirement applies, except as provided below: In the case of grant agreements approved on or after January 6, 1983, in lieu ofrequiring that contracts for the acquisition of rolling stock be awarded on the basis of evaluation or consideration of performance, standardization, life -cycle costs and other factors, or on the basis of lowest initial capital cost, such contracts may be awarded based on a competitive procurement process. Such competitive procurement process must be consistent with the provisions of Part II, Section 110.d. Sec. 8. Special Conditions The Grantee agrees and assures that the rates charged elderly an an capped 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. 9. The Grant This Grant consists of the Notification of Grant Approval; this�a ff-T Form UMTA F. 2002, Rev. 4/1/83, entitled Grant; and Part II, Form UMTA SH, Rev. 8/15/85,entitled Urban Mass Transportation Agreement, Terms and Conditions. Should the Grant award letter include special conditions for this Project, that letter is incorporated herein by reference and made part of this Grant. The: latest approved Project Budget 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 shall be made in accordance with all UMTA circulars and regulations. Amendments of any type that pertain to financial matters shall require the issuance of a new Project Budget. Sec. 10. Execution of Grant - This Grant may be simultaneously executed in several coon erpa s, e-a—ch-V which counterparts shall be deemed to be original having identical legal effect. when the Notification of Grant Approval is signed by the Government, 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. Page 3 } 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 10th day of October lg 85 I . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . BY: City Secretary, City of Lubbock Mayor, City bf Lubbock TITLETITLE AND ORGANIZATION Certificate of Grantee's Attorney I -'Z ' l� h F .11/01) acting as Attorney for the Grantee do hereby cer�fy that T is a examine7 examinethis Grant a d have ascertainedh t at execution of the Grant was authorized on the date of 5 . A copy of this authorization is attached or has previo ly been suISniitted to UMTA. 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 thi s' day of 19 SitrTR 00 IMTION APPROVED AS TO CONTENT: Page 4 harry li an, Dir ctor of Transportation a Resolution #2055 UNITED STATES OF AMERICA DEPARTMENT OF TRANSPORTATION URBAN MASS TRANSPORTATION ADMINISTRATION NOTIFICATION OF GRANT APPROVAL 49 U.S.C. § 1604 (SECTION 5 - CAPITAL ASSISTANCE) Project No. TX -05-0126 GRANTEE: City of Lubbock, Texas DESIGNATED RECIPIENT: $98,280 ESTIMATED TOTAL PROJECT COST: $98,280 MAXIMUM FEDERAL SHARE: $78,624 OBLIGATION DATE: SEP 0 9 18$5 SOURCES OF FEDERAL FINANCIAL ASSISTANCE: Urban Formula, Tier IV - 82-13-05-54-1-00 - $78,624 DATE OF SECTION 13(c) CERTIFICATION LETTER FROM THE DEPARTMENT OF LABOR: August 6, 1985 PROJECT DESCRIPTION: Two replacement vans for handicapped program Bus washer compressor Tire machine/shop tools Office equipment Contingency Administration SEP o 9 1885 DATE REGIONAL ADMINISTRATOR UNITED STATES OF AMERICA DEPARTMENT OF TRANSPORTATION URBAN MASS TRANSPORTATION ADMINISTRATION .WASHINGTON, D.C. 20590 URBAN MASS TRANSPORTATION AGREEMENT PART II TERMS AND CONDITIONS for Projects under section 3, 4(1), 5, 6, 8, 9, 9A, 18, and 20 of the Urban Mass Transportation Act of 1964, as amended, 49 U.S.C. S 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. Form UMTA F 5H Rev. 8/15/85 TABLE OF CONTENTS Section 10:1. Definitions..............:............................1 Section 102. Accomplishment of the Project ...•••••••••••••••••••••2 a. General Requirements ............................2 b. Pursuant to Federal, State and Local Law....:...2 c. Funds of the Recipient... 2 Submission of Proceedings, Contracts, and Other. d. . . .2 Documents Documents. � Affecting ngPerformanc. Performance e........ Changed Conditions f. No Government Obligations to Third Parties......3 g. Land Acquisition Policy .........................3 Section 103. The et rds Section 104. cc unting Recoect A 9 ...................................3 a. Project Accounts................................3 b. Funds Received or Made Available for the........ Project........................................3 c. Allowable Costs.................................3 d. Documentation of Project Costs..................4 e. Checks, Orders and Vouchers.....................4 f. Audit and Inspection ............................4 Section 105. Requisitions and Payments ............................5 for Payment by the Recipient ............ 5 a. Request b. Payment by the Government .......................5 d. prohibition Against Use.of Federal.isallowed Costs Funds•for....6 Lobbying.......................................6 e. Letter of Credit................................6 f. Interest on Late Payments ..,••••••••••••••••••••7 Funds Section 106. S. Deobligation of ...........................7 Right of Government to Terminate Section 107. Project Completion, Settlement and Close -Out Project Facilities/Equipment .................. 8 Section 108. Section 109. Use of EncumbraiocaSofPro�ibitionsect �eCa Section 110. Restrict , trols,.and•Labor......9 Provisions• aEqual Employ�ntOpportunity .................,..9 b. Small, Minority and Women's Business............ Enterprise .............:..... ..................10 Title YI - Civil Rights Act of 1964............11 c. d. Competition in Procurement .................••••1l e. Force Account.... ..........•..........•......12 f. Settlement of Third Party Contract Disputes..... or Breaches....................................12 12 g.Ithics nterest of.Members.of.or Delegates.to.....,,,• h. Interest Congress......................................13 Section 111. Construction Contracts ........ a. Nondiscrimination..............................13 b. Specifications..........•• ... •••••••••••••••••.15 C. Notice d. Acomm..................................... oc•+ �• dations-forthePhysicallyHandicapped..22 ii 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. Section 116. Rights in Data.......................................32 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 ... a....... 34 Section 120. Relocation and Land Acquisition ......................34 Section 121. 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 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 Federalfinancialassistance 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 t e r2overnment 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 presen 'Ro- mation about 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 epartment 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 awned, 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 whic�i�e ecipient.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, of tbe 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 orthe 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 .author ze esignee. 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 comp e e 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 obligat ons pursuant to s Agreement, a Recipient and its contractors shaft 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 Reci ient. The Recipient shall initiate and prosecute to comp a on all proceec ngs 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 ana u shal su m t to the Government such ata, repo other documents relating to the Project as the Recipient shall retain intact, for three years all Project documents, financial records, and Page 2 ther Documents. The Recipient rts�recons, contracts, and Government may require. The following Project close-out, supporting documents. e. Changed Conditions Affecting Performance. The Recipient shall -immediately notiTy UMIA Ot any c ange in con itions or local law, or of any other event, --- which may significantly affect its ability to perform the Project in accordance with the provisions of this Agreement. f. No Government flbli ations to Third Parties. The Government shall not be sub ect to any obligations or liabilities y 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 t e Project must con onm to the policies and procedures set forth in 49 C.F.R. Part 25 and applicable circulars. Section 103. The Project Budget. A P roject Budget shall be prepared and maintained by Recipient- `Fie 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 •separa a 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 prov s ons of OMB Circular -109, as amended, or On 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. 1 265 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 Ctrcular A-102 or.A-110). (S) 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; (5) 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 Office of Management and Budget (OMB) Circular A-21, Revised, rather than the standards of OMB Circular A-879 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-1229 Revised, rather than the standards of OMB Circular A-871, 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 costs charged to the Project, incl-uAing any approved services contributed by the Recipient or others, shall be supported by property 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, Ordersy and Youchers. 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 and the Comptroller General -of General-ofthe 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 duty 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 Recipent. The Recipient may make requests for payment ot the Feeders snare ot allowable 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 Farm 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 bX the Government. Upon receipt of the requisition and the accompanying information in 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 t e Federal Goverment 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 shaITnot use Federal assistance funds 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 tems 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 imppose on its subrecipients all the requirements of Section 105.e.tl), (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.0), (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. Deobli ation of Funds. The Government reserves the right to deobligate unspent Federal tunas— 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 tut of this Agreement. Section 107. Project Completion,,_Settlement, and Close-out. Upon successful completion of the Project or upon termination by the Goverment, 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-1021, 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 (UMiA) 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-1029 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 arty 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 wi l 1 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 l i mi ted 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 projectIproperty 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 arty Project facilities or.equipnent,. nor shall it obl i gate 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. Eauai Employment Opportunity - 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 forais 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 ill.a. of this Agreement, and shall require all such contractors to insect 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 ZOMBIE E (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 239 SHALL HAVE THE MAXIMUM OPPORTUNITY TO PARTICIPATE IN THE PERFORMANCE OF CONTRACTS FINANCED IN WHOLE OR IN PART WITH FEDERAL FUNKS UNDER THIS AGREEMENT. CONSEQUENTLY, THE MBE REQUIREMENTS OF 49 C.F.R. PART 23 APPLY TO 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 shalt be treated as -a legal obligation and fai 1 ure 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 bi 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(x)(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 a compliance by con rac ors and subcontractors under this Project with all the requirements imposed by Title VI of the Civil Rights Act of 1964 (49 U.S.C. J 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. Com etition 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'wii ci�t 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 shall 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 uc ich 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 orDelegates to Congress. No member of or delegate to the Congress of e n e es snan be a mt ted 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. 5 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 CONTRACTORWILL, 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 INION OR WORKERS' REPRESENTATIVES OF THE CONTRACTOR'S COMMITMENTS UNDER THIS SECTION 202 OF EXECUTIVE ORDER 11246 OF SEPTEMBER 249 19659 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 ALL INFORMATION 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 IN EXECUTIVE ORDER 11246 OF SEPTEMBER 24, 1965, AS AMENDED, AND SUCH OTHER SANCTIONS MAY BE IMPOSED AND REMEDIES INVOKED AS PROVIDED IN EXECUTIVE ORDER 11246 OF SEPTEMBER 24., 1965, 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. S 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 THREATENED 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 arty 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 any 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 1 egal proceeds ngs. b. Specifications. The Recipient hereby agrees that it will incorporate or causbe 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 DIPLOYER'S QUARTERLY FEDERAL TAX RETURN, U.S. TREASURY DEPARTMENT FORM 941. (d) °MINORITY" INCLUDES: (i) BLACK (ALL PERSONS HAYING 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 (ALL 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 $109000 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 1PURSUANT 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 BE ABLE TO ACHIEVE IN EACH CONSTRUCTION TRADE IN WHICH IT HAS EMPLOYEES IN THE COVERED AREA. COVERED CONSTRUCTION CONTRACTORS PERFORMING CONSTRUCTION WORK IN , 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 NOTICES MAY BE OBTAINED FROM ANY76MCT-7 ` FERAL 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. (t) 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 INCLUDE MINORITIES 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 (fj 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. (o) 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) CONS RFORMANCET A EW, AT LEAST UNDER THE CONTRACTOR'S EEO POLICIES OF ALL AND .ADHERENCE TO AND E AFFIRMATIVE ACTION OBLIGATIONS. (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 ACTOR�Y£BEOINRVIOLAT ON OF THETOR HAS ED ITS EXECUTIOAL FOR VE ORDERyJIFEA SPECIFIC MINORITY 9 THE CONTRACT GROUP OF WOMEN IS UNDERUTILIZED). (10) THE CONTRACTOR TO pISCRiMILNATEOT USE AGAINSTHANYOALS ERSONDBEC�SEBt1FSOR RACE�COLOR?iYE ACTION STAND RELIGION, SEX, OR NATIONAL ORIGIN. (i THE DEBARREEDDNTRACTOR SHALL FROMM GOVERNMENTOT ENTER CONTRACTSNTO ANY PURSUANTUBCONTRACT WITH ANY PERSON TO EXECUTIVE ORDER 11246• OR FIRM 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 THE EXECUTIVE ORDER, THE IMPLEMENTING REGULATIONS, OR THESE SPECIFICATIONS, THE DIRECTOR SHALL PROCEED IN ACCORDANCE WITH 41 C.F.R. 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 LADS 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 bereby agrees that it will ensure that the notice set To—r- 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): (i) 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 FOrFEWE 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 $109000 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 Mministration (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 CircTr�- M, as amended, or A-110, as may 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 nsurance requirements normally 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. Safet Standards. Pursuant to section 107 of the Contract Work Hours and Safe -y► S an ar ss Act and Department of Labor Regulations at 29 C.F.R. S 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 construct on 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 PERMITTED BY REGULATIONS ISSUED BY THE SECRETARY OF LABOR UNDER THE COPELAND ACT (29 CFR PART 3)), THE FULL AMOUNT OF WAGES AND BONA FIDE FRINGE BENEFITS 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. S 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 S 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 RCCORDS ACCURATELY SET FORTH THE TIME S t CH CLASSIFICATION IN WHICH WORK IS PERFORMED. THE WAGE DETER14INATION (INCLUDING ANY ADDITIONAL CLASSIFICATION AND WAGE RATES CONFORMED UNDER PARAGRAPH (a)(1)(ii) OF 29 CFR S 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 MEZ`HANICS WHICH IS NOT LISTED IN THE WAGE DETERMINATION AND WHICH IS TO BE EMPLOYED UNDER THE CONTRACT SHALL BE 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: a. THE WORK TO BE PERFORMED BY THE CLASSIFICATION REQUESTED IS NOT PERFORMED -BY A CLASSIFICATION IN THE WAGE DETERMINATION; 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, BEARSW. 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 bF 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 TAE 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 WHERE APPROPRIATE) DETERMINED Pi1ffSUANT TO SUBPARAGRAPHS (a)(1)(B) OR (C) OF 29 CFR S 5.5, SHALL 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 STATEDIN THECA WAGE EDETERMIN TION SHALL PAY ANOTHER BONA FIDE FRINGE BENEFIT OR AN (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 OR, THAT THE APPLICABLE STANDARDS OF THE DAVIS-BACON ACT HAVE A SEPARATE ACCOUNT ASSETS FOR LABOR MAY REQUIRE THE CONTRACTOR TO SET SIDE THE MEETING OF OBLIGATIONS UNDER THE PLAN OR*PROGRAM. (2) WITHHOLDING. DOT SHALL UPON ITS OWN ACTION OR UPON WRITTEN REQUEST OF AN AUTHDi D IMSENTATIYE 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 FURTHER QAYMMEENT9 AAY CE,NAS OR GUARANTEEY BE EOFSSARY TO CAUSE FUNDS UNTIL SUCHEVIOLATIONS�HAVE ANY fUR3 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 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 l(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 S 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)(8) 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) 1. THE CONTRACTOR SHALL SUBMIT WEEKLY FOR EACH WEEKIN 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 S 5.5(a)(3)(i) OF REGULATIONS, 29 CFR PART S. 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)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 REQUTlRED TO BE MAINTAINED UNDER S 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 ME RATES AND FRINGE BENEFITS OR CASH EQUIVALENTS FOR THE CLASSIFICATION OF WORK PERFORMED, AS SPECIFIED IN THE APPLICABLE WAGE DETERMINATIPN INCORPORATED INTO THE CONTRACT. 3. !HE 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 5.5. 4. THE FALSIFICATION OF ANY OF THE ABOVE CERTIFICATIONS MAY SUBJECT THE CUNTRACTOR OR SUBCONTRACTOR TO CIVIL OR CRIMINAL PROSECUTION UNDER SECTION 1001 OF TITLE IS 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 5.5 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 55.12. (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 EMPLOiMENT 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 MAGE 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 t., 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'APPREKTICESHIP AGENCY RECOGNIZED BY THE BUREAU, WITHDRAWS APPROVAL OF AN APPRENTICESHIP PROGRAM, THE CONTRACTOR WILL NO LONGER BE PERMITTED TO UTILIZE APPRENTICES AN ACCEPTASLEHPROGRAM ISLAPPROVED.RMINED RATE FOR THE WORK PERFORMED (b) TRAINEES. EXCEPT AS PROVIDED IN 29 CFR 1 5.16, TRAINEES WILL NOT BE PERMITT 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 BE PAID 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 ISNOT 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 ABLE PRDGRAPLIS APPROVED. RATE FOR THE WORK PERFORMED UNTIL AN ACCEPT (c) EQUAL EMPLOYMENT OPPORTUNITY. THE UTILIZATION OF APPRENTICES, TRAINEES AND JO R E L 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 WI , H ARE INCORPORATED BY REFERENCE. Page 27 (6) CONTRACT TERMINATION: DEBARMENT. A BREACH OF THE CONTRACT CLAUSES IN 29 CFR Y GROUNDS 0 R NATION OF THE CONTRACT, AND FOR . -- DEBARMENT AS A CONTRACTOR AND A SUBCONTRACTOR AS PROVIDED IN 29 CFR 1 5.12. (7) COI RULINGS AND - 29 CFR PARTS ALL AINED IN (8) DISPUTES CONCERNING LABOR STANDARDS. DISPUTES ARISING OUT OF THE LABOR STAND -ARDS PROVISIONS OF THIS CONTRACTSTAND-ARDSALL NOT BE SUBJECT TO THE 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 ANY OF ITS SUBCONTRACTORS) AND THE CONTRACTING AGENCY, THE U.S. DEPARTMENT OF LABOR, OR THE EMPLOYEES OR THEIR REPRESENTATIVES. (9)(a) CERTIFICATION OF ELIGIBILITY. BY ENTERING INTO THIS CONTRACT, THE CONTRACTOR i (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 S 5.12(x)(1). (b) NO PART OF THIS CONTRACT SHALL BE SUBCONTRACTED TO ANY PERSON OR FIRM INELIGIBLE FOR AWARD OF A GOVERNMENT CONTRACT BY VIRTUE OF SECTION 3(a) OF THE DAVIS-BACON ACT OR 29 CFR $ 5.12(x)(1). (c)' THE PENALTY FOR MAKING FALSE STATEMENTS IS PRESCRIBED IN THE U.S. CRIMINAL CODE, 18 U.S.C. S 1001. (10) OVERTIME REQUIREMENTS. NO CONTRACTOR OR SUBCONTRACTOR CONTRACTING FOR ANY PAR'S OF THE CONTRACT WOltK 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 THL CLAUSERH IN SUBPARAGRAPH (b)(1) 29 CFR 1 5.59 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 (b)(1) OF 29 CFR S 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 THE STANDARD WORKWEEK OF FORTY HOURS WITHOUT PAYMENT OF THE OVERTIME WAGES REQUIRED BY THE CLAUSE SET FORTH IN SUBPARAGRAPH (b)(1) OF 29 CFR § S.S. Page 28 (12) WITHHOLDING FOR UNPAID WAGES AND LIQUIDATED DAMAGES. DOT OR THE RECIPIENT S AN AUTHORIIEO 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 CONTRACTOR 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 S 5.5. (13) SUBCONTRACTS. THE CONTRACTOR OR SUBCONTRACTOR SHALL INSERT IN ANY SUBCONTRACTS THE CLAD ES 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. Pirt 5, the follo—wTng 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 S 5-5(b) OR PARAGRAPHS 0) 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 S 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 DEP'ARMTENT 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 Em 10 ees. The provisions of the Fair Labor Standards Act are appl cable to State and local government employees that participate in the UMTA assisted project with the Recipient. Page 29 Sectio UL- Environmental, Resource, and Energy Protection and Conservation____ Requirements. _._ a. EnvirQmmmental Policy. The National* Environmental Policy Act of 1969" as amen7M,, �-.�� 1; Section 14 of the Urban Mass Transporation Act of 19640 as amended; 49 U.S.C. S 1610;'the Council on Environmental Quality regulations set forth at 40 C.F.R. Part 1500; and the FHWAIUMTA regulation, "Environmental Impact and Related Procedures,"'set forth at 23 C.F.R. Part 771 are applicable to UHTA assisted projects of the -Recipient. b. Compliance with Environmental Standards. The Recipient shall comply with the Prov s ons -of the Clean Air Act, as amended (42 U.S.C. S 1857 et seq.), the Federal Water Pollution Control Act, as amended (33 U.S.C. S 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, ormpt- rave a� s `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 UNCIA directives and in accordance with all other applicable standards. d. Use of Public Lands. No publicly owned land from appark, recreation area, or w e an water owl 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. EEnnergy Conservation. The Reci pi'ent .'and its third party contractors shall recogn ze mandatory rystandards and policies relating to energy efficfency-which are contained in the State energy conservation plan issued in compliance with the Energy Policy and Conservation Act (42 U.S.C. S 6321 et seq.). mitigation of Adverse Environmental Effects. In the event that the propose project will cause adverse environmental effects, the Recipient will take all reasonable steps to minimize such effects pursuant to 49 U.S.C. S 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 FIX Ash in Cement and Concrete. The Recipient shal.1 make all appfo—priate efforts to Toster the use of -fly ash, in carrying out the project, substantially in compliance with EPA Guidelines at 40 C.F.R. Part 249, 48 Fed. Reg. 4230-4283, Jan. 28, 1983. Should the Recipient make a determination that the use of fly ash is of cement or concretes the Reriate in a cipient shalarticular leprovideioo procurementr the UMTAa 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 Section 115. Rights in Data. a. The term "subject data" as used herein means recorded information, whether or not copyrighted, that is delivered or specified to be delivered under this Agreement: The term includes graphic or pictorial delineations in media such as drawings or photographs; text.in specifications or related performance or design -type documents; machine forms such as punched cards, magnetic tape, or computer memory printouts; and information retained in computer memory. Examples include, but are not limited to, engineering drawings and associated lists, specifications, standards, process sheets, manuals, technical reports, catalog item identifications, and related information. The term does not include financial reports, lost analyses, and similar information incidental to contract administration. b. All "subject data" first produced in the performance of this Agreement shall be the sole property of the Government. The Recipient agrees not to assert any rights at common law or equity and not to establish any claim to statutory copyright in such data. Except for its own internal use, the Recipient shall not publish or reproduce such data in whole or in part, or in any manner or form, nor authorize others to do so, without the written consent of the Government until such time as the Government may have released such data to the public; this restriction, however, does not apply to Agreements with Academic Institutions. c. The Recipient agrees to grant and does hereby grant to the Government and to its officers, agents, and employees acting within thescopeof their official duties, a royalty -free, nonexclusive, and irrevocable license throughout the world: (1) To publish, translate, reproduce, of, in any manner, any and all data not performance of this Agreement but which under this Agreement; and (2) To authorize others so to do. deliver, perform, use, and dispose first produced or composed in the is incorporated in the work furnished d. The Recipient shall indemnify and save and hold harmless the Government, its officers, agents, and employees acting within the scope of their official duties against any liability, including costs and expenses, resulting from -any willful or intentional violation by the Recipient of proprietary rights, 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 a license to the Government under any patentor be construed as affecting the scope of any license or 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 in the work furnished under the contract; provided that such incorporated material is identified by the 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 became subject data as defined in the Rights in Data clause in this Agreement and shall be delivered as the Government may direct. 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 3819 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 60 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 TRE 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 CARGOO OFFICE OF MARKET DEVELOPMENT, MARITIME ADMINISTRATION, 400 SEVENTH STREET, S.W., WASHINGTON, D.C. 20590, MARKED WITH APPROPRIATE -IDENTIFICATION OF THE PROJECT. Page 33 a. (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 contracttitilizi utilizing Surface A funds obligated after anuary 1983,•must comply with Se 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.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 on its ehalf, 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. S 1602(f), and regulations pertaining to Charter Bus Operations, set forth at 49 C.F.R. Part 604 and any amendments that may be�ntA�isgAgre�nen� by reference der these regulations is incorporated b. School Bus. The Recipient, or any operator of mass transportation acting on its behalt 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. S 1602(9) and regulations pertaining to School Bus operatios�QasetAfor 9at �ne�t entered49 CAF.R. ainto under thrt 605 and ese amendments thereto that may be is Y 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 app 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 Federally ulons, ouniform Assistance Programs.' and Real Property areuipplicablefor t UUMTAFederal assisted conacts of the Recipient. 49 C.F.R. Part 25 are app Section 121. Flood Hazards. The Recipient shall comply with the flood insurance respect tatsPr tection Act ofsition 1973, 42rposesU.S.C. f f Flood Dis Disaster Page 34 purchase requirements with section 102(x) of the 4012(a). Section 122. Suspension and Debarment. The terms of the Department of Transportation regulations, "Suspension and Debarment of Participants in DOT Financial Assistancects rograthe s, 49ent..R. Part 29 are appiicable to any UM7A Section 123. Privacy. Should Recipient, irits third p�oalre or its employees a m p steranY s stemofecardson behalfofthe Feder applicable: Government, the following terms and conditions are app a. The Recipient agrees: (1) To comply with the Privacy Act of 1974,'S .wh S 552a (the performance t) and the rules and regulations issued pursuant to the Act 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 Govefr the Government iRecipient order totaccornplishates ptheting a system of records on behalf of 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 n he performance oidual A f this greementof suntiilect the� the Act may not be employed in t P livable to the system have. necessary approval and publication requirements app been carried out. The Recipient agrees to correct, maintain, disseminate, and use such records in accordance with the requirements of the Act, and tb comply with all applicable requirements of the Act; (3) To include the Privacy Act Notification econta contained n thi sc greeme t in every third party contract solicitation and i ry ntract 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, rnthisiA refiemenpaisgperfonaedaor part► contracts under which work fo 9 .awarded .pursuant to thisAgreof s+michtor a system of records o behalfich may involve the iof� development, or operat on Government. third Which is the b. For purposes of the Privacy Act,, when accomplish A Agreement i nv l ves he o enation ion of a system of records on individuals Recipient, third party contractors thdresYof ect toeir the 6oveyrnme t function and ees is considered to be an employee of the Goverment P the requirements of the Act, ilicabi�g Cept t at the criminalcivil and criminal ppenaltiesfshall violations of the Act, are app not apply r�rri 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 I O 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 no 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, not-hi—ng--fn—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 appl ca a State or territorial law, or if compliance with the provisions of the Agreement would require the Recipient to violate any applicable State or terri tori al law, the Recipient tri 1 i 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. Records. The Recipient, and any mass transportation operator for which it appl e� s w—M 9 for each local fiscal year ending on or after July 1, 19780 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, mon or after July 1, 197861and Federaie(for UMTA)aregul tions. year ending . d. Severability. If any provision of this Agreement is held invalid, the rema n er. of this Agreement shall not be affected thereby if such remainder would then continue to conform to the terms and requirements of applicable law. Page 36 Resolution #2055 APPLICATION FOR CAPITAL ASSISTANCE UNDER SECTION 5 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, 1985 Prepared by The City of Lubbock - Transit Department 0 ` OMS Approval No. 29-R0210 as. ACTION TAKEN FEDERAL ASSISTANCE' Z APPLI• a. NUAtHER 3. STATE e. NUIdHER it. RETURNED FOR 'e CANT'S APPLI. PP ICA- APPLICA- TION TION Ir.ENTi• p L t1TTHDuwN 1. TYPE FF.FAPFL(CA71M b. DATE Year month day b. DATE Year month day ArTtONEXAMICATION CATION 19 FIER ASSIGNED 19 Imarpr ❑ OF INTENT (Opt.) L...NOTIFICATION ❑ REPORT OF FEDFrx AMON stank 4. LEGAL AFPLICANT/RECIPIENT 5. FEDERAL EMPLOYER IDENTIFICATION NO. City of Lubbock a. Appiiant ikmo b. orgaaiatica Unit Transit Department . C. Stratt/P.O. box P • 0. Box 2000 PRO- #. NUMBER Z O 0 O b. TITLE d. City ; Lubbock g. County Lubbock' CRAM i. slat, ; Texas g. ZIP Cada: 79457 (From Federal Section 5 b.coatutform (Name John L. Wilson Catalog) Capital Assistance a telephone No.) : 762-6411 ext: 2380 7. TITLE AND DESCRIPTION OF APPLICANT'S PROJECT D. TYPE OF APPLICANT/RECIPIENT A-Itsto N -Community Action Agmay Capital Assistance for: purchase of 2 handicapped S -interstate I- hiaFer Educational Institution C-suest,te J-Inaoan Trtbo vans, a bus washer compressor, a tire machine, District R-ott err (Specify) r D -County miscellaneous shop tools/equipment and an office E -City F-Schoal District copier. District Purpose -voter appropriate letter a 9. TYPE OF ASSISTANCE A -Basle Grant D -Insurance 5-Suppiemea1611 Grant E -other Enter aggro C -Loan priete ktter(e1 10. AREA OF PROJECT IMPACT (Ne -nes of Cities. Counties, 11. ESTIMATED NUM- 12. TYPE OF APPLICATION States, ate.) SER OF PERSONS' t_Nsw p-Rovisien E-Au=r.:cat4tion Lubbock Urbanized Area OL'NLFITING1 187,901 G-ltencwsl D -Continuation roger appropriate letter 13. PROFOSED FUNDING 14. CONGRESSIONAL DISTRICTS Of. 15. TYPE OF CHANCE (:'or J:e or Ste) B-Dauessi Lctlla F-o:her (Specify): e. FEDERAL i78,624.00 #. APPLICANT b. PROJECT 19 19 C-Increaso Duration r Dacrosu Uurstlon b. APPLICA.*a 6,M CO L -Cancellation Enter appro- s STATE s ] ,00 1G. PROJECT START DATS Year mo d�( �u 17. PROJECT rIAT10N �'� d. LOCAL .00 19-95 u) AtortM priate Utter(s) a. CTXER Ort 111. ESTIMATED DATE TO Year month day 19. EXISTING FCDERAL 10ZNTiFICATION NUMSER TO FEDERAL IAGCNCY P. 19 85 06 1 /. TOTAL S s 2 0 .00 2(A FEDERAL AGENCY TO REC:IVZ REQUEST (Name. City, State. ZIP Leda) t 21. REAtARKS ADDED DOT/UMTA Region Vi, Fort Worth, Texas 76102 O Yas XJ0 Na 2L a. To tits Lost of ray Anewledis and belief, it. It ra;uirtd by OME Clrulsr A-95 this oopfieation was sobmMod, pursuant to In. No re- F.cepons# data In this pfearpfictSoa/3001ation oto structions therein, b eppro;.riate 9181dr;hwura sad all resr.ms are attached: #pone# attached I THE hue and 9oaect, the document has boon APPLICANT duty anthoritsd by the governing body al ❑ [3, CERTIFICS the 00fieent and the 91,0:ranttrill comply If the (1) ❑ ❑ TNAT r yr%h the attached a=ursncu guilt- a) anu Is approved. (3) ❑ ❑ Z3. I a. TYPED me AND TIT1E b. SIG a. DATE SIGNED CERTIFYING Year month day REFREr 9 NTATiVE Alan Henry, Mayor 1985 6 14 24. AGENCY NAME 25. APPLICA- Year mon:h day TICK RECEIVED 19 ORGANIZATIONAL UNIT Z7. ADtINISTF1TtVE O ICE 2B. jAPPLICATION 29. ADDRESS ata. FEDERAL GRANT IDENTIFI .t as. ACTION TAKEN e. STATE 0 e. AWARDED d. LOCAL b. REJECTED a. Omit it. RETURNED FOR 'e AUENDUERF 13 d. DEFERRED p L t1TTHDuwN 3S. FEDERAL AGENCY A-95 ACTION 424-101 3Z FUNDING b. APPLICANT .D7 e. STATE .00 d. LOCAL _00 a. Omit CO Year month day 134. 33. ACTION DATE P 19 1 DA' 35. CONTACT FOR ADDITIONAL INFORMA• 1 30. TION (Name and delephone number) FIV s ear moms say 19 Year month day 19 37. REMARKS ADDED f. TOTAL I s .ca O Yes ONO I. in taking #bore action, any Comments r#nirW from CIA0119Ecusas w:rs can- Is. FEDEP.AL A.-ENCY AAS OrrtCIAL #Id.rad. If lamer response is due under proviaanS 91 Part 1, Otto Cirestar A-45, (Name and teltphone no.) It tar boon or is bola& mods. STANDARD FORM 424 PAGE 1 (10-75) Presen'bed by CSA. Federal Afartaotment Cirevlar 74-7 O co • O o ~ O S O � t Ol N 04 1J1 II CO o CIN co M b {9 N N y V! • C ca Z UN' $ w c • N N N . i 4 t � I • a of N fi o � • . (� . w k" Q e to }. ui tc I V _ B7 lW c o` It M m u I 0 o N N 0 V v N N N N • W N E' • �, Q O co 0 co LC) f1 • • w 1 ' fJl 1 • N y H � I • a 3 � �° a �. ; LA �+ o N .0 V IO N v A C `_-w o v ✓ m c E v A v o a c ry' • F O O F.. O W a •. k- 7 v� V C V O F C .. o. ..s N C 1 .t � eD I vs _ z �= 0 NO %0 O O O H• R1 t1 C v i n O C �- u , 1� lu y y 1A Vf Y. Z 1 Ij O O� 1 lJ L W ~ 1 1 • G' w l Q a C� 1 � � N c �-•�, 1 I o U N N wM w 1i• i( U., 1` G u uui vl v! O { vi : v► Lt VI , I I I C u z ? J G < O = �� u W v d Q Q w /n O 346 Z c O l7 O N LL. co w 2 �C w � w G w o v" Zy y O 94 N H w O � = k 0 O. Z O 6 Z O } W Z O w y N In y 71w N N ui V O u n M IK c ''' w C u 0o u y •VI c C C z ¢ N < i C c � u +� .m s ' v _ I s w or /tom Q t E NL � U � �^ r fY M I EXHIBIT A: PROJECT DESCRIPTION The Project will consist of: 1. Purchase of two new handicapped equipped vans and related equipment (radio, wheelchair lifts). The seating capacity and number of W/C tiedowns will vary from 5 to 14 passengers and 3 to 5 tiedowns. These vans will be replacements necessary to provide current level of service for the handicapped and elderly. The two vans to be replaced were purchased in 1980 and currently have over 1,15,000 miles each. It is estimated that cost of each new van will be $37,500 including delivery costs. 2. Purchase new bus washer compressor. The current compressor is over 30 years old and failing. Parts are difficult to locate for frequent repairs. It is estimated that it will cost about $3,500 to purchase a new compressor to replace it. 3. Purchase new tire machine. The present tire machine is inadequate for the larger tires of the GMC coaches. It is causing bead damage to the large tires which has resulted in scraping of tires that have some good tread on them. It is estimated that it will cost $4,500 to purchase a new tire machine to replace the old one. 4. Purchase miscellaneous shop tools/equipment. It is estimated that about $3,500 will be required to purchase new tools , to replace present ones which have become obsolete or damaged. Major items to be purchased are transmission jack, brake meter, pneumatic wrench and hydralic jack. 5. Purchase new office copier. The present copier was purchased in 1981, requires constant maintenance resulting in downtime and supplies overuse, and produces poor quality copies. It is estimated that it will cost $3,500 to purchase a new copier. All purchases will 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. LINE ITEM CODE 10.01.82 10.02.02 10.03.02 10.03.02 10.03.03 10.16.00 32.00.00 FINANCING BREAKDOWN Federal Share (80%) State Share (13%) City of Lubbock (7%) ESTIMATED PROGRAM COST DESCRIPTION Purchase of 2 Vans Purchase Office Copier Purchase Tire Machine Purchase Miscellaneous Shop Tools/Equipment Purchase Bus Washer Compressor Project Administration (4%) Contingencies (5%) TOTAL PROJECT COST $78,624 $12,776 $ 6,880 0 COST $75,000 3,500 4,500 3,500 3,500 3,780 4,500 $98,280 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 5, 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. All projects in the program are intended as replacements for existing items. Replacement of the office and maintenance items will aid in keeping operation expenses at their present level. Replacement of the vans will assure a fleet of vehicles for provision of current level of service to the elderly and handicapped. f EXHIBIT D: PROJECT FINANCING 1. 1. Proceeds of sale of facilities or equipment to be replace. $ None i 2. Financing from Transportation System Revenues. $ None Anticipated revenues for this project consist of the City of Lubbock's financing in the amount $6,880. These revenues will be cash oulays from the City's General Fund and in-kind match of staff salaries for project administration. Also, anticipated revenues will include the Texas Department of Highways and Public Transportation grant of $12,776 for 65% of the Non -Federal project cost. 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 i 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 sold 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 facilites. FXH 1 K VI i: . M W 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 gmployees are adversely affected, w appropriate protection shall be afforded under the provisions of Section 13 (c) of the Urban Mass Transportation Act of 1964, as f amended. 0 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 under 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. i 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 May 21, 1985, the Transit Advisory Board conducted a meeting and awaited public input on the proposal. No citizens offerred 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 displacement of families, individuals, or non-profit organizations. No relocation will be necessary as a result of this project. 0 EXHIBIT L: PROTECTION OF THE ENVIRONMENT 10 The National Environmental Policy Act of 1969 and the Urban Mass Transporta- tion Act of 1964 as amended require review of every proposed project to deter- / mine if it may have a "significant" or "substanital" impact on the environ - meet, either adversely or favorably. Consequently, the impact the proposed Section S 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 handicapped equipped vans, a bus washer compressor, a tire machine, an office copier, and miscellaneous shop tools/equipment. The objective is to replace two ineffi- cient 1980 vans used in the Demand -Responsive Service. The other purchases are replacement items needed to improve/maintain operating efficiency. The total program cost is $98,280. No community disruption will result from this project as there will be no re- location of persons or businesses due to program activities. There will be no adverse employments effects or property losses resulting from the project. 0 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 t, 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 tare 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 tares during non -peak hours. Senior citizens quality for reduced tares 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 -certifi- cation 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. S 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. r� -F'Sv. �..�F�f�'rM'� } CITY 4��,��L_CiEaEBG4X,G � - �.� K,.. _ . -1 762-6411 P. O. Box 2000 LUBBOCK. TEXAS 79457 OPINION OF COUNSEL This communication 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, Texas for financial assistance pursuant to the provisions of Section 5 of the Urban Mass Transportation Act of 1964, as amended, (The "Act"), for capital, planning and operating assistance project (s). I understand that the City of Lubbock has been duly designated as a recipient in accordance with the pro- visions of Section 5 of the Act, and that the Urban Mass Transportation Administration has concurred in/acknowledged that designation. The legal authority for the City of Lubbock's ability to carry out capital assistance projects directly, by lease, contract, or otherwise is set forth below: 1. The City of Lubbock is authorized under 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 transport- ation by acquisition, construction and operation of existing or additional transit facilities. This assistance may bq provided directly by the City of Lubbock or by lease arrangements with other parties. 2. The authority of the City of Lubbock to provide for its share of project funds Is set forth in the resolution authorizing the filing of application. 3. I have reviewed the pertinent Federal, State and local laws, and 1 am of the opinion that there is no legal impediment to your making applications for Section 5 assistance. Furthermore, as a result of my examinations, I find that there is no pending or threatening -litigation or other action which might in any way adversely affect the proposed project(s), of the ability of the City of Lubbock to carry out such project(s). Respectfully Submitted, VOA AiUA_\_ t J.(,Z or, h FuIIIngIm Ass/Rant City Attorney JWF:mj CERTIFICATION . City of Lubbock, Texas HEREBY CERTIFIES THAT, in the development of this application for a Mass Transportation Capital Improvement.Grant under the Urban Mass Transportation Act of 1964, as amended, it: 1. Has afforded adequate opportunity for public hearings pursuant to adequate prior notice, and has held such hearings, in accordance with the requirements set forth by the Urban Mass Transportation Administration. 2. Has considered the economic and social effects of this proposed project and it's impact on the environment. 3. Has found that this proposed project is consistent with official plans for the comprehensive development of the urban area. June 14, 1985 Date: CIty.of._Lubbock By: 0 11 0 0 i Certification Is given by the recipient named herein City of Lubbock with respect to Its application for assistance pursuant to Section 8 of the Urban Mass Transportation Act of 1964, as amended (49 USC, Section 1601, et seq.) filed with the Urban Mass Transportation Administration (UMTA) that the recipient has complied with the provisions of 49 CFR 17, intergovernmental Review of Department of Transportation Programs and Activities'. I 1., Mr. Wilbur Hare UMTA Regional Office $19 Taylor, Suite 9A32 Fort Worth, TX 76102 Dear Mr. Hare: a, ..;r<., y.M•xr rr.� r .'e'.w.+9. ^`r ^�+frY..�` �APF'ite"'� CISTY C) LUEa ES C::. 762-6411 P. O. Sox 2000 U LUBBOCK. TEXAS 79457 Pursuant to the procedures described in UMTA C9100.1A, the City of Lubbock. hereby certifies that the project assurances provided in Attachments.l and 2, inclusive, of the subject circular shall be applicable to and incorporated by, reference in any application filed by the City of Lubbock for a capital, operating, or planning grant under Sections 3, 3(a)(1)(C), 40), 5, 9A or 9 of the Urban Mass Transportation'Act of 1964, as amended, as well as for transit related projects under the Federal Aid Urban Systems and.interstate Transfer Programs (Sections 142 and 103(e)(4), respectively, of Title 23 of the United States Code.) Xne , i y 4 Mayor . The undersigned chief legal counsel for -the City of Lubbock hereby certifies the City of Lubbock has authority under State and local law to comply with the subject assurances and that the certification above has been legally made. J. rth FulI ingirR A s stant City Attorney o.t.� I Iq8�