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Resolution - 2056 - Grant Application - USDOT - Section 8 Technical Study Assistance FY85-86 - 06/14/1985
JWF:mj RESOLUTION Resolution #2056 June 14, 1985 RESOLUTION AUTHORIZING THE FILING OF AN APPLICATION WITH THE DEPARTMENT OF TRANSPORTATION, UNITED STATES OF AMERICA, FOR A GRANT UNDER THE URBAN MASS TRANSPORTATION ACT OF 1964, AS AMENDED. WHEREAS, the Secretary of Transportation is authorized to make grants for mass transportation projects; WHEREAS, the contract for financial assistance will impose.certain obligations upon the applicant, including the provision by it of the local share of the project costs; WHEREAS, it is required by the U. S— Department of Transportation in accord with provisions of Title VI 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 VI 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 definitive 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 consultant and other services; and WHEREAS, the City Council has determined that it would be in the best interest to authorize the City of Lubbock to participate with the Urban Mass Transportation Administration of the U. S. Department of Transportation in the update and revision of past Transit Studies, and to apply for assistance for such study from UMTA; NOW THEREFORE: BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK: SECTION 1. THAT the Mayor is hereby authorized to make application for a Technical Studies Grant from UMTA with the Steering Committee (Metropolitan Planning Organization) of Lubbock Urban Transportation Study, being the designated planning agency. SECTION 2. THAT the Mayor of the City of Lubbock be and is hereby authorized and directed to execute an Agreement with the United States of America, acting through the Urban Mass Transportation Administration, in the event the Grant is approved; and SECTION 3. THAT the City of Lubbock does hereby agree to provide matching funds for such Technical Studies which shall be in an amount not to exceed Six Thousand Dollars ($6,000). Such matching funds shall be in cash or in-kind services UMTA funds will not exceed Twenty-four Thousand Dollars ($24,000). SECTION 4. 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 VI of the Civil Rights Act of 1964. SECTION 5. THAT the Citibus General Manager is authorized to furnish such additional information as the U. S. Department of Transportation may require in connection with the application of the project. SECTION 6. THAT the Mayor is authorized to set forth and execute affirmative minority business policies in connection with the project!s.procurement needs. Passed by the City Council this 14th day of ATTEST: 1 APPROVED AS TO CONTENT: -".06lv C �' 6�-� — Sylv sten C. Cantu, Administrative Assistant I APPROVED AS TO FORM: r J. Wortl/7 ullingim, Assistant ty Attorne'v - 2 - June ,oQC Resolution #2056 UNITED STATES OF AMERICA DEPARTMENT OF TRANSPORTATION URBAN MASS TRANSPORTATION ADMINISTRATION GRANT 49 U.S.C. § 1607 (SECTION 8) 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. Purpose of Grant - The purpose of this Grant is to provide for the undertaking of an urban n mass transportation technical study project ("Project"), with Government financial assistance to the Grantee in the form of a technical study grant ("Grant"), under section 8 of the Urban Mass Transportation Act of 1964, as amended, ("Act") to state the terms and conditions upon which such assistance will be provided and .the understandings as to the manner in which the project will be undertaken and completed. Sec. 2. The Project - The Grantee agrees to undertake, carry out, and complete the technical study comprising the Project 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" in 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 the cost of the Project, which cost is estimated to be the amount designated as Estimated Total Project Cost 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. b. The obligation of the Government to make Federal Grant payments shall not exceed the amount provided in the Project Budget. Page 1 Form UMTA F 2003 Rev. 4/1/83 Sec. 4. PlanningRequirements - The transportation plans and programs that are developed as partthis Foject shall be formulated on the basis of transportation needs with due consideration to comprehensive long-range land use plans, developed objectives, and overall social, economic, environmental, system performance, and energy conservation goals and objectives, and with due consideration to their probable effect on the future development of the urban area described in the Application. The planning process shall include an analysis of alternative transportation system management and investment strategies to make more efficient use of existing transportation resources and to meet needs for new transportation facilities. The process shall consider all modes of transportation and shall be continuing, cooperative, and comprehensive to the degree appropriate based on the complexity of the transportation problems. Furthermore, the plans and programs that are developed as part of this Project shall encourage to the maximum extent feasible the participation of private enterprise. Where facilities and equipment are to be acquired which are already being used in mass transportation service in the urban area, the program must provide that they shall be so improved that they will better serve the transportation needs of the area. Sec. 5. The Grant - This Grant consists of the Notification of Grant Approval; this Part I Form UMTA F 2003, Rev. 4/1/83, entitled Grant; and Part II, Form UMTA F 5x, 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. 6. Execution of Grant. This Grant may be simultaneously executed in several counterparts, each o which counterparts shall be deemed to be an 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 2 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 Octo 1 5 ATTE BY City Secreta City of Lubbo k Maor, City of L ck TITLE AND ORGANIZATION T Certificate of Grantee's Attorney ItPh r&, to ` M acting as Attorney for the Grantee do hereby certify that I have -examined this Grant and have ascertained that execution of the Grant was authorized on the date of- �, AJP. IA IQ e.-. A copy of this authorization is attached or has previously been subm4ttled 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 this day of_� 19 J n APPROVED AS TO CONTENT: Larry Hoff n, Director f Transportation - Page 3 C' R UNITED STATES OF AMERICA DEPARTMENT OF TRANSPORTATION URBAN MASS TRANSPORTATION ADMINISTRATION NOTIFICATION OF GRANT APPROVAL 49 U.S.C. ® 1607 (SECTION 8 - TECHNICAL STUDIES) GRANTEE: City of Lubbock, Texas ESTIMATED TOTAL PROJECT COST: $30,000 MAXIMUM FEDERAL SHARE: $24,000 Resolution #2056 Project No.: TX -08-0244 MAXIMUM PERCENTAGE OF FEDERAL PARTICIPATION: 80 percent OBLIGATION DATE: SEP 10 WS SOURCES OF FEDERAL FINANCIAL ASSISTANCE: Technical Studies, Planning -Urban - 85-37-08-00-02-02 -$24,000 PROJECT DESCRIPTION: Work to be accomplished will be in accordance with planning activities as described in the FY 1986 Unified Planning Work Program for the Lubbock urbanized area, as approved by the Urban Mass Transportation Administration. SEP 10 WS DATE REGIONAL ADMINISTRATOR Form UMTA F SH Rev. 8/15/85 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) , S, 69 8, 91, 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 Actof 1973, as amended, title 23 U.S.C. (Highways); or for section 175 of the Clean Air Act Amendments of 19770 42 U.S.C. S 7505. TABLE OF CONTENTS Section 10i. Section 102. Definitions.............:............................1 Accomplishment of the Project ........................2 a. General Requirements ......................... 01062 Local Law b. Pursuant to Federal, State and .... ....2 Funds of the Recipient ..........................2 c. d. Submission of Proceedings, Contracts, and Other. Documents......................................3 e. Changed Conditions Affecting Performance f. No Government Obligations to Third Parties ...... 3 g. Land Acquisition Policy.........................3 Section 103. Section 104. The Project Budget..... ..............................3 Accounting a. Project ...............................3 a Accounts b. Funds Received or Made Available for the........ Project........................................3 Allowable coDocumentationtof�Project� d. Costs ..................4 e. Checks, Orders and Vouchers....................•4 f. Audit and Inspection ..........................-•4 .5 Section 105. Requisitions and Payments ......................... a. Request for Payment by the Recipient ......... ...5 b. payment by the Government........ 0.0••••••••••0.5 �6 c. Disallowed Costs Prohibition Against Use of Federal � d. Prohibition Lobbying.......................................6 e. Letter of Credit.... ............................6 f. Interest on Late Payments .......................7 g. Deobligation of Funds ............ ......•.-...•..7 Section 106. Right of Government to Terminate ......................7 Completion,, Settlement and Close-Out.........7 Section 107. Section 108. Project Use of Project Facilities/Equipwnt.,00•0•000400•00008 Section 109. Encumbrance of Project Property...... o......... o-••••9 Restrictions, Prohibitions, Controls, and Labor...... Section 110. Provisions..........................................9 a. Equal Employment'Opportunity...•.•.••..••••...••$ b. Small, Minority and Women's Business.......•••-• TitleVI- Civil.Rights �Act of 1964....o-.6906011 Ti c d. Competition in Procurement...... • • • • • • • • • • • • • -.il e. Sent ofrce oThird.o Settlement Disputes..... f. SettlParty or Breaches....................................12 12 g. Ethics......................................... h. Interest of Members of or Delegates to......... Congress......................................13 Section iii. Construction Contracts..... o.....•••••••-•••••••••••i3 a. Nondiscrimination..............................13 b. Specifications-.......................•••••••••.15 C. Notice..... .......... •.•.. sicnll04*0000000*0..020 d. Accommodations -for the Physically Handicapped..22 ii e. Contract Security.............................22 f. Insurance During Construction.................22 9. Signs.........................................22 h. Safety........................................22 Section 112. i. Liquidated Damages ............................22 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 9. Mitigation of Adverse Environmental Effects ... 31 h. Use of fly Ash in Cement and Concrete... .... ..31 Section 114. Patent*Rights........................................31 Section 115. Rights in Data.......................................32 Section 116. Cargo Preference - Use of United States -Flag......... Vessels............................................33 Section 117. Buy America..........................................34 Section 118. Charter and School Bus Operations .................... 34 a. Charter Bus........,...........................34 b. School Bus....:...............................34 Section 119. Nondiscrimination on the Basis of Handicap ........... 34 Section 120. Relocation and Land Acquisition ......................34 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 Federal finan—cTal assistance for the Project, together with all explanatory, supporting, and supplementary documents heretofore filed with the Government (UMTA) by or on behalf of the Recipient, which has been accepted and approved by the Government (UMTA) . c. Approval, Authorization Concurrence Waiver means a conscious, written act by an authorized official of the Government granting permission to the Recipient to perform or omit an act pursuant to this Agreement which could not be performed or omitted without such permission. An approval, authorization, concurrence, or waiver permitting the performance or omission of a specific act shall not constitute permission to perform or omit similar acts unless such broad permission is clearly stated. Oral permission or interpretations shall have no legal force or effect. d. UMTA Directive includes the most recent circulars, notices and orders which present information 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 Departmeni of Transportation (DOT) or its operating administration, the Urban Mass Transportation Administration (UMTA), used hereafter interchangeably. f. Mass Transportation includes public transportation and means transpo-�rtat of n bybus, rail or other conveyance, either publicly or privately owned, which provides to the public general or special transportation service (but not including school buses, charter or sightseeing service) to the public on a regular and continuing basis. g. Project means the task or set of tasks provided for in the Project Budget whirl— a recipient undertakes to perform pursuant to the Agreement with the Government. In the case of Federal financial assistance under Section 9 or 9A Page 1 of the Urban Mass Transportation Act of 1964, as amended, "Project" includes "Program" and "each Project within the Program" as may be appropriate. h. Project Budget means the most recently dated statement, approved by the Governmen , of the estimated total cost of the Project, the -items to be deducted from such total in order to calculate the estimated net project cost, the maximum amount of the Federal assistance for which the Recipient is currently eligible, the specific items (including contingencies and relocation) for which the total may be spent, and the estimated cost of each of such items. i. Recipient means any entity that receives Federal financial assistance from UMTA 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 auth-o-rized disignee. k. UMTA means Urban Mass Transportation Administration of the U.S. Department of ransportation. Section 102. Accomplishment of the Project. a. General Requirements. The Recipient shall commence, carry on, and comp et'� a 'the Project wi all practicable dispatch, in a sound, economical , and efficient manner, and in accordance with the provisions hereof, the Application, and all applicable laws, regulations, UMTA directives and published policies. b. Pursuant to Federal State and Local Law. In performance of its obligations pursuant to this Agreement, a ecipient and its contractors shall comply with all applicable provisions of Federal, State, and local 'law. All limits or standards set forth in this Agreenent'tobe observed in the performance of the Project are minimum requirements. If there is a conflict between Federal and State requirements, the Recipient shall 'inform the Government in order that an appropriate resolution may be arranged. The Recipient agrees further that no Federal funds may be used .for the payment of ordinary governmental or nonproject operating expenses. c. Funds of the Recipient. The Recipient shall initiate and prosecute to completion ailproceedings necessary to enable the Recipient to provide its share of the Project costs at or prior to the time that such funds are needed to meet Project costs. d. Submission of Proceedings, Contracts and Other Documents. The Recipient shall submit to the Government such data, reports, records, contracts, and other documents relating to the Project as the Government may require. The Recipient shall retain intact, for three years following Project close-out, all Project documents, financial records, and supporting documents. Page 2 e. Changed Conditions Affecting Performance. The Recipient shall immediately noti y UMIA OT any c ani nge i n -conoid ons or—Tbcal 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 gations to Third Parties. The Government shall not be subject to any obligations or liabilities byEontractors 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- aroject must con orm to the policies and procedures set forth in 49 C.F.R. Part 25 and applicable circulars. Section 103. The Pro ect Budget. A Project Budget shall be prepared and maintained by the Recipient. Tie Recipient shall carry out the Project and shall incur obligations against and make disbursements of Project funds only in conformity with the latest approved budget for the Project. The Project Budget may be revised, from time to time, in accordance with Federal guidelines. Section 104. Accounting Records. a. Project Accounts. The Recipient shall establish and maintain as a separate set ot 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 o rcu ar A -102, --as amended, or OMB Circular A-110, as may be appropriate, the Recipient shall record in the Project Account, and deposit in a bank or trust company which is a member of the Federal Deposit Insurance Corporation (FDIC), all Project payments received by it from the Government pursuant to this Agreement and all other funds provided for, accruing to, or otherwise received on account of the Project, (*Project Funds"). Any balances exceeding the FDIC coverage must be collaterally secured as provided in 12 U.S.C. S 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 a1'lowa6%costes 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 receivedby the Recipient thathave the price i5e any refunds, rebates, or other items of value the effect'of reducing the cost actually incurred, excluding Program Income as defined in OMB Circular A-102 or A-110). (5) Be incurred (and be for work performed) after the date of this Agreement, unless specific authorization from the Government (UMTA) to the contrary is received; (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-211, Revised, rather than the standards of OMB Circular A-87, Revised, shall apply; and in the case of nonprofit organizations, the standards for allowability of costs set forth in Office of Management and Budget (OMB) Circular A-1221, Revised, rather than the standards of OMB Circular A-871, Revised, shall apply. (7) Be satisfactorily documented; and (8) Be treated unifamly 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 Projects- incl-u-&-ng-Any roject,inclu ng arty appro"e-services contributed by the Recipient or others, shall be supported by properly executed payrolls, time records, invoices, contracts, or vouchers evidencing in detail the nature and propriety of the charges. This provision -does not apply to income of the Recipient that is determined to be private. e. Checks Orderss and Vouchers. Any check .or order drawn by the Recipient with-r-espect to any item thaMs or will be chargeable against the Project Account will be drawn only in accordance with a properly signed voucher then on file ft the office of the Recipient stating in proper detail irivoi purposepurposefor which such check or order is drawn. All checks, payr ollss.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-Generaeral-of the United States, or any of their duly authorized representatives to inspect all work, materials, payrolls, and other data and records with regard to the Project, and to audit the books, records, and accounts of the Recipient -and its contractors with 'regard to the Project. In the case of contracts awarded under other than competitive bidding procedures as defined by the Secretary, the Recipient shall require those contractors to permit the Secretary and the Comptroller General of the United States, or any of their duly authorized representatives to inspect all work, materials, Page 4 payrolls, and other data and records with regard to the Project, and to audit the books, records, and accounts pertaining to such contracts with regard to the Project. A Recipient that is a State or local government or Indian tribal government shall be responsible for meeting the audit requirements of OMB Ci rcul air 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 theRe��ci Dent. The Recipient may make requests for payment of the Federal snare o' 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 Fora 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, td 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 by the Government. Upon receipt of the requisition and the accompanying n ormat on n satisfactory fora, the Government will process the requisition if the Recipient is complying with its obligations pursuant to the Agreement, has satisfied the Government of its need for the Federal funds requested during the requisition period, and is making adequate progress towards the timely completion of the Project. If all of these circumstances are found to exist, the Government may reimburse apparent allowable costs incurred (or to be incurred ,during the requisition period) by the Recipient up to the maximum amount of Federal assistance payable through the fiscal year in which the requisition is submitted as stated in the Project Budget. However, reimbursement of any cost pursuant to this section shall not constitute a final determination by the Government of the allowability of such cost and shall not constitute a waiver of any violation of the terms of this Agreement committed by the Recipient. The Government will make a final determination as to allowability only after final audit of the Project has been conducted. In the event that the Government determines that the Recipient is not currently Page 5 eligible to receive any or all of the Federal funds requested, it shall -promptly notify the Recipient stating the reasons for such determination. Unless prohibited by applicable law, the Government reserves the right to offset any:Federal assistance funds to be made available under this Project as may be necessary to satisfy any monetary claims that the Government may have outstanding against the Recipient. c. Disallowed Costs. in,determining the amount of the Federal assistance that the e era overnment will provide, the Government wiTl 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 Lobb in . The Recipient or any su rec p en shall no use a era assistance un s for publicity or propaganda purposes designed to support or defeat legislation pending before Congress. e. Letter of Credit., Should a letter of credit be issued to the Recipient, the following rms and conditions, in conformance with 31 C.F.R. Part 205, are applicable: (1) The Recipient shall initiate cash drawdowns 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 Recippient shall impose on its subrecipients all the requirements of Section 105.e.t1), (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 noA nstance may funds be drawn down for a project in an amount that mould 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. i05.e:(1)- (2). (3) (4), or (5) of this Part II, the Government maty revoke the unobligated portion of the letter of credit. (7) Section 105.x.9 b., and c. of this Part II remain effective to the extent that they ido 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 19680 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 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. Oeobiication of Funds. The Government reserves the right to deobligate unspent Federal un s prior to project closeout. Section 106. Right of Government to Terminate. Upon written notice to the Recipient, thevernmen reserves Werg o 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 on, by the Government of any or all Project funds previously received by the Recipient or the closing out of Federal financial participation in the Project shall not constitute a waiver of any claim that the Government may otherwise have arising out of this Agreement. Section 107. project Completion, Settlement and Close-out. Upon successful completion of the Project or upon termination by the Governmentp 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-1029 upon receipt of this information, the Government (UMTA) or an agency designated by the Government (UMTA) will perform a final audit of the Project to determine the allowability of costs incurred, and will .make Page 7 settlement of the Federal grant described in Part I of this -Agreement. If UMTA has made payments to the Recipient in excess of the total amount of such Federal assistance, the Recipient shall promptly remit to the Government (UMTA) such excess and interest as may be required by section 105.e. and f. Project close-out occurs when the Government notifies the Recipient and forwards the final grant payment or when an appropriate refund of Federal grant funds has been received from the Recipient and acknowledged by the Government. Close-out shall not invalidate any continuing obligations imposed on the Recipient by this Agreement or contained in the final notification or acknowledgment from the Government. Section 108. Use of Project Facilities/Equipment. The following conditions are applicable to capital facilities and equipment financed under this Agreement: a. The Recipient agrees to observe the property management standards as set forth in OMB Circular A-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 Goverment. The Government reserves the right to require the Recipient to transfer title to any personal property financed with Federal assistance funds made available under this Agreement in accordance with Attachment N to OMB Circular A-102 or A-110, as may be appropriate. The Government also reserves the right to direct the disposition of real or personal property financed with Federal assistance funds made available under this Agreement in accordance with Attachment N to OMB Circular A-102 or A-110, as may be appropriate. b. The Recipient agrees to maintain the project property in.good operating order, and in accordance with any guidelines, directives, or regulations that UMTA may issue. If, during the period, any Project facilities/equipment are not used in mass transportation service, whether by planned withdrawal., misuse or casualty loss, the Recipient shall immediately notify the Government. Unless otherwise approved by the Government, the Recipient shall remit to the Government a proportional amount of the fair market value, if any, of the property, which value shall be determined on the basis of the ratio of the Federal assistance awarded by the Government to the actual cost of the Project. Unless otherwise required by the Government, the following guidelines shall be observed in determining fair market value: In the case of planned withdrawal, fair market value shall be deemed to be the value of the property as determined by competent appraisal at the time of such withdrawal from use or the net proceeds from public sale. Irrespective of coverage by insurance, unless otherwise approved in writing by UMTA, in the event of loss or damage to project property, whether by casualty or fire, the fair market value will be the value of the property immediately before the casualty or fire. Unless otherwise approved by the Government, in -the event of loss due to casualty or fire, straight tine depreciation of the asset, based on the industry standard for a useful life, shall be considered fair market value. In unusual circumstances, the Government or the Recipient may request another reasonable method of determining fair market value, including but not limited to accelerated depreciation, comparable sales, or established market values. Page 8 "In determining whether to approve an alternate method, the Government may consider action taken, omission made, or unfortunate occurrence suffered by the Recipient with respect to the preservation or conservation of the value of the facilities or equipment lost or destroyed in the casualty or fire. c. The Recipient further agrees.that the Project facilities/equipment shall be used for the provision of mass transportation service within the area and in the manner described in the Project Description. The Recipient shall keep satisfactory records with regard to the use of the property and submit to the Government upon request such information as is required in order to assure compliance with this Section and shall immediately notify the Goverment in all cases in which Project facilities/equipment are used in a manner substantially different from that described in the Project Description. The Recipient shall obtain Government concurrence before undertaking any transfer of title, lease, encumbrance, or alienation of property financed with Government assistance. The Government reserves the right to require the Recipient to restore project property or pay for damage to project property as a result of abuse or misuse of such property with the Recipient's knowledge and consent. Section 109. Encumbrance -of Project Property. The Recipient shall not execute any lease, pledge, mortgage, lien, or other contract (including a grant anticipation note or "Safe Harbor Lease" under section 168(g)(8) of the Internal Revenue Code of 1954) touching or affecting the Federal interest in any Project facilities or equipment, nor shall it obligate itself in any other manner, with any third party with respect to Project facilities or equipment, unless such lease, pledge, mortgage, lien, contract, or other obligation is expressly authorized in writing by the Government; nor shall the Recipient, by any act or omission of any kind, adversely affect the Federal interest or impair its continuing control over the use of Project facilities or equipment. Section 110. Restrictions, Prohibitions, Controls, and Labor Provisions. a. Eaual 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 ovision (modified only to show the particular contractual relationship) in all of its contracts in connection with the development or operation of the Project, except contracts for standard commercial supplies or raw materials and construction contracts subject to the provisions of Section 111.x. of this Agreement, and shall requireall such contractors to insert a similar provision in all subcontracts, except subcontracts for -standard commercial supplies or raw materials. Page 9 (2) If, as a condition of assistance, the Recipient has submitted, and the Government has approved., an equal employment opportunity program that the Recipient agrees to carry out, such program is incorporated into this Agreement by reference. Such program shall be treated as a contractual obligation; and failure to carry out the teras of that equal employment opportunity program shall be treated'as a violation of this Agreement. Upon notification to the Recipient of its failure to carry out the approved program, the Government will impose such remedies as it may deem appropriate, which remedies may include termination of the Agreement as provided in Section 106 of this Agreement or other measures that may affect the ability of the Recipient to obtain future financial assistance under the Urban Mass Transportation Act of 1964, as amended, or the Federal -Aid Highway Act of 1973, as amended. b. Small, Minority and Women's Business Enterprise. The following provisions are applicable: (1) The Recipient shall be responsible for meeting the applicable regulations regarding participation by minority business enterprises (MBE) in Department of Transportation programs set forth at 49 C.F.R. Part 23, at 45 F.R. 21172 et seq., March 31, 1980; 46 F.R. 23457 et seq., April 27, 1981; 48 F.R. 33432 et seq., July 21, 1983; or any revision or supplement thereto. Pursuant to the requirements of 49 C.F.R. 23.43, the following clauses must be inserted in each third party contract. (a) POLICY. IT IS THE POLICY OF THE DEPARTMENT OF TRANSPORTATION THAT MINORITY BUSINESS ENTERPRISES, AS DEFINED IN 49 C.F.R. PART 23, SHALL HAVE THE MAXIMUM OPPORTUNITY TO PARTICIPATE IN THE PERFORMANCE OF CONTRACTS FINANCED IN WHOLE OR IN PART WITH FEDERAL FUNDS UNDER THIS AGREEMENT. CONSEQUENTLY, THE MBE REQUIREMENTS OF 49 C.F.R. PART 23 APPLY 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 MAXIKjM OPPORTUNITY TO COMPETE FOR AND PERFORM CONTRACTS. RECIPIENTS AND THEIR CONTRACTORS SHALL NOT DISCRIMINATE ON THE BASIS OF RACE, COLOR, NATIONAL ORIGIN OR SEX IN THE AWARD AND PERFORMANCE OF DOT—ASSISTED CONTRACTS. (2) If as a condition of assistance the Recipient has submitted and the Department has approved a minority business enterprise affirmative action program which the Recipient agrees to carry out, this program is incorporated into this financial assistance agreement by reference. This program shall be treated as -a legal obligation and failure to carry out its terms shall be treated as a violation of this financial assistance Agreement. Upon notification to the Recipient of its failure to carry out the approved program, the Department shall impose such sanctions as noted in 49 C.F.R. Part 23, Subpart E, which sanctions may include termination of the Agreement or other measures that may affect the ability of the Recipient to obtain future DOT financial assistance. Page 10 .. (3) The Recipient shall advise each subrecipient, contractor, and subcontractor that failure to carry out the requirements set forth in 49 C.F.R. 23.43(a) shall constitute a breach of contract and, after the noti ficati o of the Department, may result in termination of the Agreement or contract by the Recipient or such remedy as the -Recipient deems appropriate. (4) The Recipient shall talo 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 on of oodsaandnof servi esrtorthepfacility-orlated to thecpubliceonfor thee pro 9 facility. (b) A Recipient that is required to submit affirmative action programs under 49 C.F.R. 23.41(a)(2) or (a)(3) that has business opportunities for lessees shall submit to the Department for approval with their programs overall goats 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 togavo3d ����rimi��tionis ragai 5t MBEexcept �s.�e obligation of 49 C.F.R. 23.7 (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 ciyient orisubrec^ipt ntsnt and in all andsarUrethird party contractor. uent racts between the Recipient c. Title VI Civil Rights Act of 1964. The Recipient will comply and will assure a comp ance by contractors and subcontractors under this -Project with all the requirements imposed by Title V1 of the Civil Rights Act of 1964 (49 U.S.C. S 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. Cam 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-1101, 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 Goverment (UMTA) reserves the right to determine the extent'E which—i�t will participate in force account costs.-- f. osts. f. Settlement of Third Party Contract Disputes or Breaches. The Government has a vested'interest in the settlement of disputes, defau ts, 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 i n .any campromi se 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. -rnterest of Members of or Delegates to Congress. No member of or delegate -- to the Congress ot the United States s -hall beshy m U ted to -j -shmre 0-° p8rt7of.�-��- this Agreement or to any benefit arising therefrom. Section 111. Construction Contracts. The following provisions are- applicable: re applicable: - - a. Nondiscrimination. Pursuant to 41 C.F.R. S 60-1.4(b)(1) and (c) (1) The Recipient hereby agrees that it will incorporate or cause to be incorporated into arty 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 contractor modification is paid for in whole or in part with funds obtained from the Federal Govermentorborrowed 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 DE PROVIDED SETTING FORTH THE PROVISIONS OF THIS NONDISCRIMINATION CLAUSE. (b) THE:CONTRACTOR WILL, IN ALL SOLICITATIONS OR ADVERTISEMENTS -FOR EMPLOYEES PLACED BY OR ON BEHALF OF THE CONTRACTOR, STATE THAT ALL QUALIFIED APPLICANTS WILL -RECEIVE CONSIDERATION FOR EMPLOYMENT WITHOUT REGARD TO RACE, COLOR, RELIGION, SEX, OR NATIONAL ORIGIN. (c) THE CONTRACTOR WILL SEND TO EACH LABOR ANION OR REPRESENTATIVE OF WORKERS WITH WHICH HE HAS A COLLECTIVE BARGAINING AGREEMENT OR OTHER CONTRACT OR UNDERSTANDING, A NOTICE TO BE PROVIDED ADVISING THE SAID LABOR UNION OR WORKERS' REPRESENTATIVES OF THE CONTRACTOR'S COMMITMENTS UNDER THIS SECTION 202 OF EXECUTIVE ORDER 11246 OF SEPTEMBER 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, 19659 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 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. I 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 THRUTE'M LIGATION 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. (S) The Recipient further agrees that it will be bound by the above equal opportunity clause with respect tq 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 arW contractor debarred from, or who has not demonstrated eligibility for Government contracts and Federally assisted construction' -contracts pursuant to the Executive Order; and will carry out such sanctions and 'penalties for violation of the equal opportunity clause as may be imposed upon contractors and -subcontractors by the Urban Mass Transportation Administration or the Secretary of Labor pursuant to Part II, Subpart D of the Executive Order. In addition, the Recipient agrees that if it fails or refuses to comply with these undertakings, the administering agency may take any or all of the following actions: Cancel, terminate, or suspend in whole or in part this Agreement (grant, contract, loan, insurance, guarantee); refrain from extending any further assistance to the Recipient under the program with respect to which the failure or refund occurred until satisfactory assurance of future compliance has been received from such Recipient; and refer the case .to the Department of Justice for appropriate legal proceedings. b. Specifications. The Recipient hereby agrees that it will incorporate or cause to be incorForated into its contracts the specifications set forth below in all Federal or federally assisted construction contracts, or modifications thereof, in excess of $10,000 to be performed in geographical areas designated by the Director, Office of Federal Contract Compliance Programs of the Department of Labor pursuant to the Regulations of the Secretary of Labor at 41 C.F.R. Section 60-4.3 and in construction subcontracts in excess of $10 000 necessary in whole or in part to the performance of nonconstruction Federal contracts and subcontracts covered under Executive Order 11246: STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION CONTRACT SPECIFICATIONS (EXECUTIVE ORDER 11246): (1) AS USED IN THESE SPECIFICATIONS: (a) "COVERED AREA' MEANS THE GEOGRAPHICAL AREA DESCRIBED IN THE SOLICITATION FROM WHICH THIS CONTRACT RESULTED; (b) "DIRECTOR" MEANS DIRECTOR, OFFICE OF -FEDERAL CONTRACT COMPLIANCE PROGRAMS, UNITED STATES DEPARTMENT OF LABOR, OR ANY PERSON TO WHOM THE DIRECTOR DELEGATES AUTHORITY; (c) `EMPLOYER IDENTIFICATION NUMBER" MEANS THE.FEDERAL SOCIAL SECURITY NUMBER USED ON THE EMPLOYER'S QUARTERLY FEDERAL TAX RETURN, U.S. TREASURY DEPARTMENT FORM 941. (d) tlMINORITY" 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 (PURSUANT TO 41 C.F.R. 60-4.5) IN A HOMETOWN PLAN APPROVED BY -THE U.S. DEPARTMENT OF LABOR IN THE COVERED AREA, EITHER INDIVIDUALLY OR THROUGH AN ASSOCIATION, ITS AFFIRMATIVE ACTION OBLIGATIONS ON ALL WORK IN THE PLAN AREA (INCLUDING GOALS AND TIMETABLES) SNAIL 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 00 NOT HAVE A FEDERAL OR FEDERALLY ASSISTED CONSTRUCTION CONTRACT SHALL APPLY THE MINORITY AND FEMALE GOALS ESTABLISHED FOR THE GEOGRAPHICAL AREA WHERE THE YORK IS BEING PERFORMED. GOALS ARE PUBLISHED PERIODICALLY IN THE FEDERAL REGISTER IN NOTICE FORM, AND SUCH NOTICES MAY BE OBTAINED FROM A ffCT_UF FERAL CONTRACT COMPLIANCE PROGRAM OFFICE OR FROM. FEDERAL PROCUREMENT CONTRACTING OFFICERS. THE CONTRACTOR IS EXPECTED TO MAKE St3BSTANTIALLY UNIFORM PROGRESS TOWARD ITS GOAL IN EACH CRAFT DURING THE PERIOD SPECIFIED. (5) NEITHER THE PROVISIONS OF ANY COLLECTIVE BARGAINING AGREEMENT, NDR 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 112469 OR THE REGULATIONS PROMULGATED PURSUANT THERETO. Page 16 (b) 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. TMINEES MUST BE TRAINED PURSUANT TO TRAINING PROGRAMS APPROVED BY THE U.S. DEPARTMENT & LABOR. (7) THE CONTRACTOR SHALL TAKE SPECIFIC AFFIRMATIVE ACTIONS TO ENSURE EQUAL EMPLOYMENT OPPORTUNITY. THE EVALUATION OF THE CONTRACTOR'S COMPLIANCE WITH THESE SPECIFICATIONS SHALL BE BASED UPON ITS EFFORT TO ACHIEVE MAXIMUM RESULTS FROM ITS ACTIONS. THE CONTRACTOR SHALL DOCUMENT THESE EFFORTS FULLY AND SHALL IMPLEMENT AFFIRMATIVE ACTION STEPS AT LEAST AS EXTENSIVE AS THE FOLLOWING: (a) ENSURE AND MAINTAIN A WORKING ENVIRONMENT FREE OF HARASSMENT, INTIMIDATION, AND COERCION AT ALL SITES, AND IN ALL FACILITIES AT WHICH THE CONTRACTOR'S EMPLOYEES ARE ASSIGNED TO WORK. THE CONTRACTOR, WHERE POSSIBLE, WILL ASSIGN TWO OR MORE WOMEN TO EACH CONSTRUCTION PROJECT.. THE CONTRACTOR SHALL SPECIFICALLY ENSURE THAT ALL FOREMEN, SUPERINTENDENTS, AND OTHER ON-SITE SUPERVISORY PERSONNEL ARE AWARE OF AND CARRY OUT THE CONTRACTOR'S OBLIGATION TO MAINTAIN SUCH A WORKING ENVIRONMENT, WITH SPECIFIC ATTENTION TO MINORITY OR FEMALE INDIVIDUALS WORKING AT SUCH SITES OR IN SUCH FACILITIES. (b) ESTABLISH AND MAINTAIN A CURRENT LIST OF MINORITY AND FEMALE RECRUITMENT SOURCES, PROVIDE WRITTEN NOTIFICATION TO MINORITY AND FEMALE RECRUITMENT SOURCES AND TO COMMUNITY ORGANIZATIONS WHEN THE CONTRACTOR OR ITS UNIONS HAVE EMPLOYMENT OPPORTUNITIES AVAILABLE, AND MAINTAIN A RECORD OF THE ORGANIZATIONS' RESPONSES. (c) MAINTAIN A CURRENT FILE OF THE NAMES, ADDRESSES AND TELEPHONE NUMBERS OF EACH MINORITY AND FEMALE OFF -THE -STREET APPLICANT AND MINORITY OR FEMALE REFERRAL FROM A UNION, A RECRUITMENT SOURCE OR COMMUNITY ORGANIZATION AND OF WHAT ACTION WAS TAKEN WITH RESPECT TO EACH SUCH INDIVIDUAL. IF SUCH INDIVIDUAL WAS SENT TO THE UNION HIRING HALL FOR REFERRAL AND WAS NOT REFERRED BACK TO THE CONTRACTOR BY THE UNION OR, IF REFERRED, NOT EMPLOYED BY THE CONTRACTOR, THIS SHALL BE DOCUMENTED IN THE FILE WITH THE REASON THEREFOR, ALONG WITH WHATEVER ADDITIONAL ACTIONS THE CONTRACTOR MAY HAVE TAKEN. (d) PROVIDE IMMEDIATE WRITTEN NOTIFICATION TO THE DIRECTOR'WHEN THE UNION OR UNIONS WITH WHICH THE CONTRACTOR HAS A COLLECTIVE BARGAINING AGREEMENT HAS NOT REFERRED TO THE CONTRACTOR A MINORITY PERSON OR WOMAN SENT BY THE CONTRACTOR, OR WHEN THE CONTRACTOR HAS OTHER INFORMATION THAT THE UNION REFERRAL PROCESS HAS IMPEDED THE CONTRACTOR'S EFFORTS TO MEET ITS OBLIGATIONS. (e) DEVELOP ON-THE-JOB TRAINING OPPORTUNITIES AND/OR PARTICIPATE IN TRAINING PROGRAMS'OR 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 DISSEMINATE THE CONTRACTOR'S EEO POLICY BY PROVIDING NOTICE OF - THE POLICY TO UNIONS AND TRAINING PROGRAMS AND REQUESTING THEIR COOPERATION Ilt 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 POSTINGGTHE 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 HAYING 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 CLASSIFICATIONS9 WORK ASSIGNMENTS AND OTHER PERSONNEL PRACTICES, DO NOT HAVE A DISCRIMINATORY EFFECT BY CONTINUALLY MONITPRLICY ANDPTHEONNEL AND CONTRACTORSLOYMENT OBLIGAT OBLIGATIONS ACTIVITIES TO ENSURE THAT.THE EEO POLICY SPECIFICATIONS ARE -BEING CARRIED OUT... (tt) ENSURE THAT ALL FACILITIES SINGLE-l!S RCOMPANY TOILETACTIVITIES NECESSARY NONSEGREGATED EXCEPT THAT SEPARATE OR 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 AND OTHER BUSINESSTATIONS TO ASSOCI ASSOCIATIONS - (p) MINORITY AND FEMALE CONTRACTOR ASSOCIATIONS (p) GOND RFORMANCEEIUN ER THAT EST ANNUALLY4 CONTRACTOR'SOF ALL EEO POLICIES AND ADHERENCE 70 AND PE 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)(al 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 SHAD. NOT BE A :DEFENSE FOR THE CONTRACTOR'S NONCOMPLIANCE. - (9) A SINGLE GOAL FOR MINORITIES AND A SEPARATE REQNGLE UIRED LEDGOA PROVWOMEN IDE WE EQUAL HAVE BEEN ESTABLISHED. THE CONTRACTOR, HOWEVER EMPLOYMENT OPPORTUNITY AND TO TAKE AFFIRMATIVE ACTION FOR ALL MINORITY GROUPS, BOTH MALE AND FEMALE, AND ALL WOMEN, BOTH MINORITY AND NON -MINORITY. CONSEQUENTLY, THE CONTRACTOR MAY BE IN VIOLATION OF THE EXECUTIVE ORDER IF A PARTICULAR GROUP IS EMPLOYED IN A SUBSTANTIALLY DISPARATE MANNER (FOR EXAMPLE, EVEN THOUGH THE CONTRACTOR IOLAT'tON OF THEED ITS EXECUT�VE ORDER AL FOR I�A SPECIFICYMINORITY THE CONTRACTOR MAY BE GROUP OF WOMEN IS 'UNDERUTILIZED). .(10) THE CONTRACTOR SHALL NOT USE THE GOALS AND TIMETABLES OR AFFIRMATIVE ACTION STANDARDS TO DISCRIMINATE AGAINST ANY PERSON BECAUSE OF RACE. COLOR, RELIGION, SEX, OR NATIONAL ORIGIN. (11) THE CONTRACTOR SHALL NOT ENTER INTO ANY SUBCONTRACT WITH ANY PERSON OR FIRM DEBARRED FROM GOVERNMENT CONTRACTS PURSUANT TO EXECUTIVE ORDER 11245. 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 ASA LIMITATION UPON THE APPLICATION OF OTHER LAWS WHICH ESTABLISH DIFFERENT STANDARDS OF COMPLIANCE OR UPON THE APPLICATION OF REQUIREMENTS FOR THE HIRING OF LOCAL OR OTHER AREA RESIDENTS (E.G., THOSE UNDER THE PUBLIC WORKS EMPLOYMENT ACT OF 1977 AND THE COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM.) c. Notice. The Recipient hereby agrees that it will ensure that the notice seto�URFi 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 perforated in geographical areas designated by the Director, Office of Federal Contract Compliance Programs of the Department of Labor at 41 C.F.R. Section 60-4.2: Page 20 NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL EMPLOYMENT - OPPORTUNITY (EXECUTIVE ORDER 11246): (1) THE OFFEROR'S OR BIDDER'S ATTENTION IS CALLED TO THE "EQUAL OPPORTUNITY CLAUSE" AND THE "STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION CONTRACT SPECIFICATIONS" SET FORTH HEREIN. (2) (a) THE GOALS AND TIMETABLES FOR MINORITY AND FEMALE PARTICIPATION. EXPRESSED IN PERCENTAGE TERMS FOR THE CONTRACTOR'S AGGREGATE WORKFORCE IN EACH TRADE ON ALL CONSTRUCTION WORK IN THE COVERED AREA. ARE AS FOLLOWS: TIME-TABLES GOALS FOR -MINORITY GOALS FOR FEMALE PARTICIPATION FOR PARTICIPATION IN EACH TRADE EACH TRADE INSERT GOALS FOR INSERT GOALS FOR EACH YEAR EACH YEAR THESE GOALS ARE APPLICABLE TO ALL THE CONTRACTOR'S CONSTRUCTION WORK (WHETHER OR NOT IT IS FEDERAL OR FEDERALLY ASSISTED) PERFORMED IN THE COVERED AREA. IF THE CONTRACTOR PERFORMS CONSTRUCTION WORK IN A GEOGRAPHICAL AREA -LOCATED OUTSIDE THE COVERED AREA. IT SHALL APPLY THE GOALS ESTABLISHED FOR SUCH GEOGRAPHICAL AREA WHERE THE WORK IS ACTUALLY PERFORMED. WITH REGARD TO THIS SECOND AREA. THE CONTRACTOR ALSO 1S SUBJECT TO THE GOALS FOR BOTH ITS FEDERALLY INVOLVED AND NONFEDERALLY INVOLVED CONSTRUCTION. (6) 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 IK 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, TttE 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 SiO,000 AT ANY TIER FOR CONSTRUCTION WORK UNDER THE CONTRACT RESULTING FROM THIS SOLICITATION. THE NOTIFICATION SHALL LIST THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE SUBCONTRACTOR; EMPLOYER IDENTIFICATION NUMBER OF THE SUBCONTRACTOR; ESTIMATED DOLLAR AMOUNT OF THE SUBCONTRACT; ESTIMATED STARTING AND COMPLETION DATES OF THE SUBCONTRACT; AND THE GEOGRAPHICAL AREA IN WHICH THE CONTRACT IS TO BE PERFORMED. (4) AS USED IN THIS NOTICE-, AND IN THE CONTRACT RESULTING FROM THIS SOLICITATION, THE "COVERED AREA," IS (INSERT DESCRIPTION OF THE GEOGRAPHICAL AREAS WHERE THE CONTRACT IS TO BE PERFORMED, GIVING THE STATE, COUNTY AND CITY, IF ANY). Page 21 d. Accommodations for -the Physically Handicapped. UMTA assisted construction, designs, and alterations shall be undertaken in accordance, with and meet the requirements of the provisions of General Services Administration (GSA) regulations set forth at 41 C S.R. Subpart 101-19.6, unless . an exception i s•• granted in writing by UMTA or a wai ver is granted by GSA in writing. e. Contract Security. The Recipient shall follow the requirements of OMB Circular lT- as amended, or A-110, as may be appropriate, and Federal (UMTA) guidelines with regard to bid guarantees and bonding requirements. f. Insurance During Construction. The Recipient shall, at a minimum, follow the nsurance requirements normal y required by their State and local governments. g.__S__i��ns. The Recipient shall cause to be erected at the site of construction, and maintained during construction, signs satisfactory to the Department of Transportation identifying the Project and indicating that the Government is participating in the development of the Project. h. Safety Standards. Pursuant to section 107 of the Contract Work Hours and Safe yStandards Act and Department of Labor Regulations at 29 C.F.R. 5 1926, no laborer or mechanic working on a construction contract shall be required to work in surroundings or under working conditions that are unsanitary, hazardous, or dangerous to his or her health and safety as determined under construction and health standards promulgated by -the Secretary of Labor. I. Liquidated Damages. The Recipient shall include in all contracts for construction a clause providing for liquidated damages, where appropriate. Liquidated damages clauses are appropriate if the parties may reasonably expect to suffer damages (increased costs on the project involved) from the late completion of the construction and the extent or .amount of such damages would be difficult or impossible to discuss. The assessment for damages shall be at a specified rate per day for each day of overrun in contract time; and the rate must be specified in the third party contract. Any liquidated damages recovered shall be credited to the Project account involved unless the Government permits otherwise. Section 112. Labor Provisions. a. Construction. Pursuant to regulations fol i ow—'i*'nprovisions shall be incorporated $2,000 let by the Recipient in carrying ou t (1) MINIMUM WAGES. set forth at 29 C.F.R. Part 5, the in all construction contracts of the project. (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, itEGARDLESS 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 i(b)(2) OF THE DAYIS-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 Rf6ORDS ACCURATELY SET FORTH THE TIMESpENT MEACH CLASSIFICATION IN WHICH WORK IS PERFORMED. THE WAGE DETERMINATION (INCLUDING ANY ADDITIONAL CLASSIFICATION AND WAGE RATES CONFORMED UNDER PARAGRAPH (a)(1)(ii) OF 29 CFR f 5.5 AND THE DAYIS-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 ME"CHANICS 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, BEARS X REASONABLE RELATIONSHIP TO THE WAGE RATES CONTAINED IN THE THE WAGE DETERMINATION. 2. IF THE CONTRACTOR AND THE LABORERS AND MECHANICS TO BE EMPLOYED IN THE CLASSIFICATION (IF KNOWN), OR THEIR`REPRESENTATIVES, AND THE CONTRACTING OFFFICER AGREE ON THE CLASSIFICATION AND WAGE RATE (INCLUDING THE AMOUNT DESIGNATED FOR FRINGE BENEFITS WHERE APPROPRIATE), A REPORT OF THE ACTION TAKEN SHALL BE SENT BY THE CONTRACTING OFFICER TO THE ADMINISTRATOR OF THE WAGE AND HOUR DIVISION, EMPLOYMENT STANDARDS ADMINISTRATION, U.S. DEPARTMENT OF LABOR, WASHINGTON, D.C. 20210. THE ADMINISTRATOR, OR AN AUTHORIZED REPRESENTATIVE, WILL APPROVE, MODIFY, OR DISAPPROVE EVERY ADDITIONAL CLASSIFICATION ACTION WITHIN 30 DAYS OF RECEIPT AND SO ADVISE THE CONTRACTING OFFICER OR -WILL NOTIFY THE CONTRACTING OFFICER WITHIN THE 30 -DAY PERIOD THAT ADDITIONAL TIME IS NECESSARY. Page 23 -3. IN THE EVENT THE CONTRACTOR, THE LABORERS OR MECHANICS TO BE EMPLOYED IN THE CLASSIFICATION OR THEIR REPRESENTATIVES, AND THE CONTRACTING OFFICER DO NOT AGREE ON THE PROPOSED CLASSIFICATION AND WAGE RATE (INCLUDING THE AMOUNT,OESIGNATED 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 PURSUANT TO SUBPARAGRAPHS (a)(1)(8) 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 STATED IN THE WAGE DETERMINATION OR SHALL PAY ANOTHER BONA FIDE FRINGE BENEFIT OR AN HOURLY CASH EQUIVALENT THEREOF. (d) IF THE CONTRACTOR DOES NOT M�EP�TMOFTTHEOWAGESUSTEE OF ANYROTHER LABORER THIRD PERSONS THE CONTRACTOR MAY CONSIDER OR MECHANIC THE AMOUNT OF ANY COSTS REASONABLY ANTICIPATED IN PROVIDING BONA FIDE FRINGE BENEFITS UNDER A PLAN OR PROGRAM, PROVIDED, THAT THE AT SECRETARY OF LABOR HAS FOUND, UPON THE WRITTEN REQUEST OF CTOR, APPLICABLE'STANDARDS OF THE DAVIS-BACON ACT HAVE BEEN MET. THE SECRETARY OF LABOR MAY REQUIRE THE CONTRACTOR TO SET ASIDE IN A SEPARATE ACCOUNT ASSETS FOR THE MEETING OF OBLIGATIONS UNDER THE PLAN OR PROGRAM. (2) WITHHOLDING. DOT.SHALL UPON ITS OWN ACTION OR UPON WRITTEN REQUEST OF AN AUTHMZED SENTATIVE OF THE DEPARTMENT OF LABOR WITHHOLD OR CAUSE TO BE WITHHELD FROM THE CONTRACTOR UNDER THIS CONTRACT OR ANY OTHER FEDERAL CONTRACT WITH THE SAME PRIME CONTRACTOR, OR ANY OTHER FEDERALLY -ASSISTED CONTRACT SUBJECT TO DAVIS-BACON PREVAILING WAGE REQUIREMENTS, WHICH IS HELD BY THE SAME PRIME CONTRACTOR, SO MUCH OF THE ACCRUED PAYMENTS OR ADVANCES AS MAY BE CONSIDERED NECESSARY TO PAY LABORERS AND MECHANICS, INCLUDING APPRENTICES, TRAINEES, AND HELPERS, EMPLOYED BY THE CONTRACTOR OR ANY SUBCONTRACTOR THE FULL AMOUNT OF WAGES REQUIRED BY THE CONTRACT. IN THE EVENT OF FAILURE TO PAY ANY LABORER OR MECHANIC, INCLUDING ANY APPRENTICE. TRAINEE, OR HELPER, EMPLOYED OR WORKING ON THE SITE OF THE WORK (OR UNDER THE UNITED STATES HOUSING ACT OF 1937 OR UNDER THE HOUSING ACT OF 1949 IN THE CONSTRUCTION OR DEVELOPMENT OF THE PROJECT), ALL OR PART OF THE WAGES REQUIRED BY THE CONTRACT, DOT MAY, AFTER WRITTEN NOTICE TO THE CONTRACTOR, SPONSOR. APPLICANT, OR OWNER, TAKE SUCH ACTION AS MAY BE NECESSARY TO CAUSE THE SUSPENSION OF ANY FURTHER PAYMENT, ADVANCE, OR GUARANTEE OF FUNDS UNTIL SUCH VIOLATIONS HAVE CEASED. Page 24 (3) PAYROLLS AND BASIC RECORDS. (a) PAYROLLS AND BASIC RECORDS RELATING THERETO SHALL BE MAINTAINED BY THE CONTRACTOR DURING THE COURSE OF THE WORK AND PRESERVED FOR A PERIOD OF THREE YEARS THEREAFTER FOR ALL LABORERS AMD MECHANICS WORKING AT THE SITE OF THE WORK (OR UNDER THE UNITED STATES HOUSING ACT OF 1937, OR UNDER THE HOUSING ACT OF 1949, IN THE CONSTRUCTION•OR DEVELOPMENT OF THE PROJECT). SUCH RECORDS SHALL CONTAIN THE NAME, ADDRESS, AND SOCIAL SECURITY NUMBER OF EACH SUCH WORKER, HIS OR HER CORRECT CLASSIFICATION, HOURLY RATES OF WAGES PAID (INCLUDING RATES OF CONTRIBUTIONS OR COSTS ANTICIPATED FOR BONA FIDE FRINGE BENEFITS OR CASH EQUIVALENTS THEREOF OF THE TYPES DESCRIBED IN SECTION 1(b)(2)(B) OF THE DAVIS-BACON ACT), DAILY AND WEEKLY NUMBER OF HOURS WORKED, DEDUCTIONS MADE AND ACTUAL WAGES PAID. WHENEVER THE SECRETARY OF LABOR HAS FOUND UNDER 29 CFR 15.5(a)(1)(iv) THAT THE WAGES OF ANY LABORER OR MECHANIC INCLUDE THE AMOUNT OF ANY COSTS REASONABLY ANTICIPATED IN PROVIDING BENEFITS UNDER A PLAN OR PROGRAM DESCRIBED IN SECTION 1(b)(2)(B) OF THE DAVIS-BACON ACT, THE CONTRACTOR SHALL MAINTAIN RECORDS WHICH SHOW THAT THE COMMITMENT TO PROVIDE SUCH BENEFITS IS ENFORCEABLE, THAT THE PLAN OR PROGRAM IS FINANCIALLY RESPONSIBLE, AND THAT THE PLAN OR PROGRAM HAS BEEN COMMUNICATED IN WRITING TO THE LABORERS OR MECHANICS AFFECTED, AND RECORDS WHICH SHOW THE COSTS ANTICIPATED OR THE ACTUAL COST INCURRED IN PROVIDING SUCH BENEFITS. CONTRACTORS EMPLOYING APPRENTICES OR TRAINEES UNDER APPROVED PROGRAMS SHALL MAINTAIN WRITTEN EVIDENCE OF THE REGISTRATION OF APPRENTICESHIP PROGRAMS AND CERTIFICATION OF TRAINEE PROGRAMS, THE REGISTRATION OF THE APPRENTICES AND TRAINEES, AND THE RATIOS AND WAGE RATES PRESCRIBED IN THE APPLICABLE PROGRAMS. (b) 1. THE CONTRACTOR SHALL SUBMIT WEEKLY FOR EACH WEEK IN WHICH ANY CONTRACT WORK71S PERFORMED A COPY OF ALL PAYROLLS TO DOT IF DOT IS A PARTY TO THE CONTRACT, BUT IF DOT IS NOT SUCH A PARTY', THE CONTRACTOR WILL SUBMIT THE PAYROLLS -TO THE APPLICANT, SPONSOR, OR OWNER, AS THE CASE MAY BE, FOR TRANSMISSION TO DOT. THE PAYROLLS SUBMITTED SHALL SET OUT ACCURATELY AND COMPLETELY ALL OF THE INFORMATION REQUIRED TO BE MAINTAINED UNDER § 5.5(a)(3)(i) OF REGULATIONS, 29 CFR PART 5. THIS INFORMATION MAY BE SUBMITTED IN ANY FORM DESIRED. OPTIONAL FORM WH -347 IS AVAILABLE FOR THIS PURPOSE AND MAY BE PURCHASED FROM THE SUPERINTENDENT OF DOCUMENTS (FEDERAL STOCK NUMBER 029-005-00014-1), U.S. GOVERNMENT PRINTING OFFICE, WASHINGTON, D.C. 20402. THE PRIME CONTRACTOR IS RESPONSIBLE FOR THE SUBMISSION OF COPIES OF PAYROLLS BY ALL SUBCONTRACTORS. 2. EACH PAYROLL SUBMITTED SHALL BE ACCOMPANIED BY A "STATEMENT OF COMPLIANCE;" SIGNET? BY THE CONTRACTOR OR SUBCONTRACTOR OR HIS OR HER AGENT WHO PAYS OR SUPERVISES THE 'PAYMENT OF THE PERSONS EMPLOYED UNDER THE CONTRACT AND SHALL CERTIFY THE FOLLOWING: a. THAT THE PAYROLL FOR THE PAYROLL PERIOD CONTAINS THE INFORMATION REQUIRED TO BE MAINTAINED UNDER 6 5.5(a)(3)(i) OF REGULATIONS, 29 CFR PART 5 AND THAT SUCH INFORMATION IS CORRECT AND COMPLETE; ..b. THAT EACH LABORER OR MECHANIC (INCLUDING EACH HELPER, APPRENTICE, AND TRAINEE) EMPLOYED ON THE CONTRACT DURING THE PAYROLL PERIOD HAS BEEN PAID THE FULL WEEKLY WAGES EARNED, WITHOUT REBATE, EITHER DIRECTLY OR INDIRECTLY, AND THAT NO DEDUCTIONS HAVE BEEN MADE EITHER DIRECTLY OR INDIRECTLY FROM THE FULL WAGES EARNED, OTHER THAN PERMISSIBLE DEDUCTIONS AS SET FORTH IN REGULATIONS, 29 CFR PART 3; Page 25 c. THAT EACH LABORER OR MECHANIC HAS BEEN PAID NOT LESS THAN THE APPLICABLE WAGE RATES AND FRINGE BENEFITS OR CASH EQUIVALENTS FOR THE CLASSIFICATION OF WORK PERFORMED, AS SPECIFIED IN THE APPLICABLE WAGE DETERMINATION INCORPORATED INTO THE CONTRACT. 3. !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. 4. THE FALSIFICATION OF ANY OF THE ABOVE CERTIFICATIONS MAY SUBJECT THE CONTRACTOR OR SUBCONTRACTOR TO CIVIL OR CRIMINAL PROSECUTION UNDER SECTION 1001 OF TITLE 18 AND SECTION 231 OF TITLE 31 OF THE UNITED STATES CODE. (c) THE CONTRACTOR OR SUBCONTRACTOR SHALL MAKE THE RECORDS REQUIRED UNDER PARAGRAPH (a)(3)(i) of 29 CFR S 5.5 AVAILABLE FOR INSPECTION, COPYING, OR TRANSCRIPTION BY AUTHORIZED REPRESENTATIVES OF DOT OR THE DEPARTMENT OF LABOR, AND SHALL PERMIT SUCH REPRESENTATIVES TO INTERVIEW EMPLOYEES DURING WORKING HOURS ON THE JOB. IF THE CONTRACTOR OR SUBCONTRACTOR FAILS TO SUBMIT THE REQUIRED RECORDS OR TO MAKE THEM AVAILABLE, THE FEDERAL AGENCY MAY, AFTER WRITTEN NOTICE TO THE CONTRACTOR, SPONSOR. APPLICANT, OR OWNER, TAKE SUCH ACTION AS MAY BE NECESSARY TO CAUSE THE SUSPENSION OF ANY FURTHER PAYMENT, ADVANCE, OR GUARANTEE OF FUNDS. FURTHERMORE, FAILURE TO SUBMIT THE REQUIRED RECORDS UPON REQUEST OR TO MAKE SUCH RECORDS AVAILABLE MAY BE GROUNDS FOR DEBARMENT ACTION PURSUANT TO 29 CFR $ 5.12. (4) APPRENTICES AND TRAINEES --APPRENTICES. (a) APPRENTICES WILL BE PERMITTED TO WORK AT LESS THAN THE PREDETERMINED RATE FOR THE WORK THEY PERFORMED WHEN THEY ARE EMPLOYED PURSUANT TO AND INDIVIDUALLY REGISTERED IN A BONA FIDE APPRENTICESHIP PROGRAM REGISTERED WITH THE U.S. DEPARTMENT OF LABOR, EMPLOYMENT AND TRAINING ADMINISTRATION, BUREAU OF APPRENTICESHIP AND TRAINING, OR WITH A STATE APPRENTICESHIP AGENCY RECOGNIZED BY THE BUREAU,,OR IF A PERSON IS EMPLOYED IN HIS OR HER FIRST 90 DAYS OF PROBATIONARY EMPLOYMENT AS AN APPRENTICE IN SUCH AN APPRENTICESHIP -PROGRAM, WHO IS NOT INDIVIDUALLY REGISTERED IN THE PROGRAM, BUT WHO HAS BEEN CERTIFIED BY THE BUREAU OF APPRENTICESHIP AND TRAINING OR A STATE APPRENTICESHIP AGENCY (WHERE APPROPRIATE) TO BE ELIGIBLE FOR PROBATIONARY EMPLOYMENT AS AN APPRENTICE. THE ALLOWABLE RATIO OF APPRENTICES TO JOURNEYMEN ON THE JOB SITE,IN ANY CRAFT CLASSIFICATION SHALL NOT BE GREATER THAN THE RATIO PERMITTED TO THE CONTRACTOR AS TO THE ENTIRE WORK FORCE UNDER THE REGISTERED PROGRAM. ANY WORKER LISTED ON A PAYROLL AT AN APPRENTICE WAGE RATE, WHO IS NOT REGISTERED OR OTHERWISE EMPLOYED AS STATED ABOVE, SHALL BE PAID NOT LESS THAN THE APPLICABLE WAGE RATE ON THE WAGE DETERMINATION FOR THE CLASSIFICATION OF WORK ACTUALLY PERFORMED. IN ADDITION, ANY APPRENTICE PERFORMING WORK ON THE JOB SITE IN EXCESS OF THE RATIO PERMITTED UNDER THE REGISTERED PROGRAM SHALL BE PAID NOT LESS THAN THE APPLICABLE WAGE RATE ON THE WAGE DETERMINATION FOR THE WORK ACTUALLY PERFORMED. WHERE A CONTRACTOR IS PERFORMING CONSTRUCTION ON A PROJECT IN A LOCALITY OTHER THAN THAT IN WHICH ITS PROGRAM IS REGISTERED. THE RATIOS AND WAGE RATES (EXPRESSED IN PERCENTAGES OF THE JOURNEYMAN'S HOURLY RATE) SPECIFIED IN THE CONTRACTOR'S OR Page 26 SUBCONTRACTOR'S REGISTERED PROGRAM SHALL BE OBSERVED. EVERY APPRENTICE MUST BE PAID AT NOT LESS THAN THE RATE SPECIFIED IN THE REGISTERED PROGRAM FOR THE APPRENTICE'S LEVEL OF PROGRESS, EXPRESSED AS A PERCENTAGE OF THE JOURNEYMAN'S HOURLY RATE SPECIFIED IN THE APPLICABLE WAGE DETERMINATION. APPRENTICES SHALL BE PAID FRiNGE BENEFITS IN ACCORDANCE WITH THE PROVISIONS OF THE APPRENTICESHIP PROGRAM. IF THE APPRENTICESHIP PROGRAM DOES NOT SPECIFY FRINGE BENEFITS, APPRENTICES MUST BE PAID THE FULL AMOUNT OF FRINGE BENEFITS LISTED ON THE WAGE DETERMINATION FOR THE APPLICABLE CLASSIFICATION. IF THE ADMINISTRATOR DETERMINES THAT A DIFFERENT PRACTICE PREVAILS FOR THE APPLICABLE APPRENTICE CLASSIFICATON, FRINGE BENEFITS SHALL BE PAID IN ACCORDANCE WITH THAT DETERMINATION. IN THE EVENT THE BUREAU OF APPRENTICESHIP AND TRAINING, OR A STATE APPRENTICESHIP AGENCY RECOGNIZED BY THE BUREAU, WITHDRAWS APPROVAL OF AN APPRENTICESHIP PROGRAM, THE CONTRACTOR WILL NO LONGER BE PERMITTED TO UTILIZE APPRENTICES AT LESS THAN THE APPLICABLE PREDETERMINED RATE FOR THE WORK PERFORMED UNTIL AN ACCEPTABLE PROGRAM IS APPROVED. (b) TRAINEES. EXCEPT AS PROVIDED IN 29 CFR S 5.16, TRAINEES WILL NOT BE PERMITTED-TO"M AT LESS THAN THE PREDETERMINED RATE FOR THE WORK PERFORMED UNLESS THEY ARE EMPLOYED PURSUANT TO AND INDIVIDUALLY REGISTERED IN A PROGRAM WHICH HAS RECEIVED PRIOR APPROVAL, EVIDENCED BY FORMAL CERTIFICATION BY THE U.S. DEPARTMENT OF LABOR, EMPLOYMENT AND TRAINING ADMINISTRATION. THE RATIO OF TRAINEES TO JOURNEYMEN ON THE JOB SITE SHALL NOT BE GREATER THAN PERMITTED UNDER THE PLAN APPROVED BY THE EMPLOYMENT AND TRAINING ADMINISTRATION. EVERY TRAINEE MUST BE PAID AT NOT LESS THAN THE RATE SPECIFIED IN THE APPROVED PROGRAM FOR THE TRAINEE'S LEVEL OF PROGRESS, EXPRESSED AS A PERCENTAGE OF THE JOURNEYMAN'S HOURLY RATE SPECIFIED IN THE APPLICABLE WAGE DETERMINATION. TRAINEES SHALL 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 IS NOT REGISTERED AND PARTICIPATING IN A TRAINING PLAN APPROVED BY THE EMPLOYMENT AND TRAINING ADMINISTRATION SHALL BE PAID NOT LESS THAN THE APPLICABLE WAGE RATE ON THE WAGE DETERMINATION FOR THE CLASSIFICATION OF WORK ACTUALLY PERFORMED. IN ADDITION, ANY TRAINEE PERFORMING WORK ON THE JOB SITE IN EXCESS OF THE RATIO PERMITTED UNDER THE REGISTERED PROGRAM SHALL BE PAID NOT LESS THAN THE APPLICABLE WAGE RATE ON THE WAGE DETERMINATION FOR THE WORK ACTUALLY PERFORMED. IN THE EVENT THE EMPLOYMENT AND TRAINING ADMINISTRATION WITHDRAWS APPROVAL OF A TRAINING PROGRAM, THE CONTRACTOR WILL NO LONGER BE PERMITTED TO UTILIZE TRAINEESAN LESS ACCEPTABLE THEEPROGRAMISAPPLICABLE LPROVEDETERMINED RATE FOR THE WORK PERFORMED UNTIL (c) EQUAL EMPLOYMENT OPPORTUNITY. THE UTILIZATION OF APPRENTICES, TRAINEES AND JOURNEYMEN UNULA THIS FAKI'ML 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 WIPAU rl,-Z=fi ARE INCORPORATED BY REFERENCE. Page 27 W- CONTRACT TERMINATION: DEBARMENT. A BREACH OF THE CONTRACT CLAUSES_ IN 29 CFR 1 5.5. 14—AY BE CROUNDSR R TION OF THE CONTRACT, AND FOR DEBARMENT AS A CONTRACTOR AND A SUBCONTRACTOR AS PROVIDED IN 29 CFR S 5.12. (7) COMPLIANCE WITH DAVIS-BACON AND RELATED ACT REQUIREMENTS. ALL RULINGS AND INTERPRETATION$HE DAVIS-BACON AND RELATED ACTS CEINTAINED IN 29 CFR PARTS 1, 3, AND 5 ARE HEREIN INCORPORATED BY REFERENCE. (8) DISPUTES CONCERNING LABOR STANDARDS. DISPUTES ARISING OUT OF THE LABOR STANURDS PROVISIONS OF THIS CONTRACTHALL 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 -CERTIFIES tNOR 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 15.12(a)(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 S 5.12(a)(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 PART OF THE �CN ffO'�1O K 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; LI UIDATED DAMAGES. IN THE EVENT OF ANT'MOLATION OF THE CLAUSE SET FURTHN SUBPARAGRAPH (b)(1) 29 CFR S 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 IW 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 5.5. Page 28 (12) WITHHOLDING FOR UNPAID WAGES AND LIQUIDATED DAMAGES. DOT OR THE. RECIPIENT SRALL UPOFFITS OWN ACTION OR UPON WRITTEN REQUESTW AN AUTHORIZED REPRESENTATIVE OF THE DEPARTMENT OF LABOR WITHHOLD OR CAUSE TO BE WITHHELD, FROM ANY MONCYS PAYABLE ON ACCOUNT OF WORK PERFORMED BY THE CONTRACTOR OR SUBCONTRACTOR UNDER -ANY SUCH CONTRACT.OR ANY OTHER FEDERAL CONTRACT WITH THE SAME PRIME CONTRACTOR, OR ANY OTHER FEDERALLY ASSISTED CONTRACT SUBJECT TO THE CONTRACT WORK HOURS AND SAFETY STANDARDS ACT, WHICH IS HELD BY THE SAME PRIME CONTRACTOR, SUCH SUMS AS MAY BE DETERMINED TO BE NECESSARY TO SATISFY ANY LIABILITIES OF SUCH CONTRACTOR OR SUBCONTRACTOR FOR UNPAID WAGES AND LIQUIDATED DAMAGES AS PROVIDED IN THE CLAUSE SET FORTH IN SUBPARAGRAPH (b)(2) OF 29 CFR 1 5.5. (13) SUBCONTRACTS. THE CONTRACTOR OR SUBCONTRACTOR SHALL INSERT IN ANY SUBCONTRACTS THEC S SET FORTH IN SUBPARAGRAPH (1) THROUGH (14) OF THIS PARAGRAPH AND ALSO A CLAUSE REQUIRNG THE SUBCONTRACTORS TO INCLUDE THESE CLAUSES IN ANY LOWER TIER SUBCONTRACTS. THE PRIME CONTRACTOR SHALL BE RESPONSIBLE FOR COMPLIANCE BY ANY SUBCONTRACTOR OR LOWER TIER SUBCONTRACTOR WITH THE CLAUSES SET FORTH IN SUBPARAGRAPHS (1) THROUGH (14) OF THIS PARAGRAPH. b. Nonconstruction Contracts. Pursuant to the regulations at 29 C.F.R. Part S. the following 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 O) 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 DEPARMTENT OF LABOR, AND THE CONTRACTOR OR SUBCONTRACTOR WILL PERMIT SUCH RESPRESENTATIVES TO INTERVIEW EMPLOYEES DURING WORKING HOURS ON THE JOB. c. State and Local Government Employees. The provisions of the Fair Labor Standards Act are applicable to State and local government -employees that participate in the UMTA assisted project with the Recipient. Page 29 erectionEnvironmental, Resource, and Energy Protection and Conservation Requirements. a. Environmental Policy. The National':Environmental Policy Act of 1969, as amen ems, 2 .S 1; Section 14 of the Urban Mass Transporation Act of 1964, 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 FHWA/UMTA regulation, "Environmental Impact and Related Procedures," set forth at 23 C.F.R. Part 771 are applicable to UMTA assisted projects of the -Recipient. b. Compliance with Environmental Standards. The Recipient shall comply with the provisions of the Clean Air Act, as amended i42 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, tease 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 shalt contain a provision which requires compliance with all applicable standards, orders, or requirements issued pursuant to Federal statute or regulation. The Recipient and any third -party contractor thereof shall be responsible for reporting any violations to the Government and to the EPA Assistant Administrator for Enforcement. in addition, the Recipient shall notify UMTA of the receipt of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be utilized in the Project is under consideration for listing by EPA. c. Air Pollution. No facilities or equipment shall be acquired, constructed, or improved assaa part of the Project unless the Recipient obtains satisfactory assurances that they are (or will be) designed and equipped to limit air pollution as provided in accordance with the appropriate UMTA directives and in accordance with all other applicable standards. d. Use of Public Lands. No publicly owned land from a park, recreation area, or wildlife and 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 rased 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 theNational Historic Preservation Act of 1966, as amended (16 U.S.C. 470), and related statutes and procedures involving historic and archeological preservation by: (1) Consulting with the State Historic Preservation officer on the conduct of investigations, as necessary, to identify properties and resources listed in or eligible for -inclusion in the National Register of Historic Places that may be affected (see 36 C.F.R. Part 800) by the activity, and notifying the Government (UMTA) of the existence of any such properties; and (2) Complying with all requirements established by the Government to avoid or mitigate adverse effects upon such properties. Page 30 f. -Energy Conservation. The Recipient and its third party contractors shall recogn ze mandatory standards and policies relating to energy efficiency -which are contained in the State energy conservation plan issued in compliance with the Energy Policy and Conservation Act (42 U.S.C. S 6321 et seq.). g. mitigation of Adverse Environmental Effects. In the event that the propose project will cause a verse env ronmental 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, 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 F1X Ash in Cement and Concrete. The Recipient shall make.all appropr ate efforts to iroster the use o fly ash, in carrying out the project, substantially in compliance with EPA -Guidelines at 40 C.F.R. Part 249, 48 Fed. Reg. 4230-4253, Jan. 28, 1983. Should the Recipient make a determination that the use of fly ash is inappropriate in a particular specification for the procurement of cement or concrete, the Recipient shall provide UMTA a written justification to support that decision. Section 114. Patent Rights. If any invention, improvement, or discovery of the Recipient or any of its third party contractors is conceived or first actually reduced to practice in the course of or under this Project, which invention, improvement, or discovery may be patentable under the Patent laws of the United States of America or any foreign country, the Recipient shall immediately notify the Government (UMTA) and provide a detailed report. The rights and responsibilities of the Recipient, third party contractors and the Government with respect to such invention will be determined in accordance with applicable Federal laws, regulations, policies, and any waivers thereof. Page 31 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, cost 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 the scope of their official duties, a royalty -free, nonexclusive, and irrevocable license throughout the world: (1) To publish, translate, reproduce, deliver, perform, use, and dispose of, in any manner, any and all data not first produced or composed in the performance of this Agreement but which is incorporated in the work furnished under this Agreement; and (2) To authorize others so to do. 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 patent or 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 become subject data as defined in the Rights in Data clause in this Agredment and shall be delivered as the Government may direct. This clause shall be included in all third -party contracts under the Project. Section 116. Cargo Preference - Use of United States -Flag Vessels.. a. 46 U.S.C. 1 1241 provides in pertinent part as follows: (b)(1) Whenever the United States shall procure, contract for, or otherwise obtain for its own account, or shall furnish to or for the account of any foreign nation without provision for reimbursement, any equipment, materials, or commodities, within or without the United States, or shall advance funds or credits or guarantee the convertibility of foreign currencies in connection with the furnishing of such equipment, materials, or commodities, the appropriate agency or agencies shall take such steps as may be necessary and practicable to assure that at least 50 per centum of the gross tonnage of such equipment, materials, or commodities (computed separately for dry bulk carriers, dry cargo liners, and tankers), which may be transported on privately owned United States flag commercial vessels, to the extent such vessels are available at fair and reasonable rates for United States -flag commercial vessels, in such manner as will insure a fair and reasonable participation of United States -flag commercial vessels in such cargoes by geographic areas: . (2) Every department or,agency having responsibility under this subsection shall administer its programs with respect to this subsection under regulations issued by the Secretary of Transportation ... . b. Pursuant to regulations published at 46 C.F.R. Part 381, the Recipient agrees to insert the following clauses in all contracts let by the Recipient under which equipment, materials or commodities may be -transported by ocean vessel in carrying out the Project: THE CONTRACTOR AGREES -- (1) TO UTILIZE PRIVATELY OWNED UNITED STATES -FLAG COMMERCIAL VESSELS TO SHIP AT LEAST 60 PERCENT OF THE CROSS 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 ORIGINATIWG WITHIN THE UNITED STATES, OR WITHIN 30 WORKING DAYS FOLLOWING THE DATE OF LOADING FOR SHIPMENT ORIGINATING OUTSIDE THE UNITED STATES, A LEGIBLE COPY OF A RATED, "ON -BOARD' COMMERCIAL OCEAN BILL -OF -LADING IN ENGLISH FOR EACH SHIPMENT OF CARGO DESCRIBED IN PARAGRAPH (1) ABOVE TO THE RECIPIENT (THROUGH THE PRIME CONTRACTOR IN THE CASE OF SUBCONTRACTOR BILLS -OF -LADING) AND TO THE DIVISION OF NATIONAL CARGO, OFFICE OF MARKET DEVELOPMENT, MARITIME ADMINISTRATION, 400 SEVENTH STREET, S.W., WASHINGTON, D.C. 20590, MARKED WITH APPROPRIATE IDENTIFICATION OF THE PROJECT. Page 33 (3) TO INSERT ISSUEDTHE PURSUANSUBSTANCE TOOTHIS THE CONTRACTPROVISIONS OF THIS CLAUSE IN ALL. . SUBCONTRACTS Section 117. Bu. America. Each third party contract utilizing UMTA funds obl i gated after anuary 6, 1983 ,• must comply with Section 165 of 16 ; Soffa( the Transportation Assistance Act of 1982, P.L. 97-4249 49 U.S.C. Buy America provision) , ran,A to imMTA regulations this statutory provision.part 661 and any guidance issued by U41implement Section 118. Charter and School Bus Operations. a. Charter Bus. The Recipient, or any operator of mass transportation, acting on its behalf, 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 Ur a� Maris regulations Transportation Act of 1964, as amended, 49 U.S.C. pertaining to Charter Bus Operations, set forth at 49 C.F.R. Part 604 and any amendments tincorporatedbe intoathisgAgreement byent red into reference der these regulations b. School Bus. The Recipient, or any operator of mass transportation acting on ils—E-efialfl, 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(8) and regulations pertaining to School Bus operations, set 'forth at 49 C.F.R. Part nd any amendments thereto hintosthis+Agreementeby referencent . into under these regulations is incorporated 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 regulations. 'Uniform Relocation and Real property Acquisition for Federal and Federally Assistance Programs.' 49 C.F.R. part 25 are applicable to UMTA assisted contracts of the Recipient. Section 121. Flood Hazards. The Recipient shall comply with the flood insurance Fespect construction lood Disaster Protection rAct ofs1973r, purposes, of f U.S.C.F 4 Page 34 purchase requirements with section 102(x) of the 4012(a). r Section 122. Suspension and Debarment. nsion and Suspe The terms of the department of Transportation regulations, " 49 C.F.R. Debarment bf Participants in DOT Financial Assistance Programs, Part 29 are applicable to any UMTA assisted contracts of the Recipient. Section 123. Privacy. Should the Recipient, its third party contractors or its employees a n ster ansystem of records conditions on behalf of the Federal Government, the followingterms a. The Recipient agrees: (1) To comply with the Privacy Act of1974, tohe A -S -C- S 552a n performanceaAct) and the rules and regulations issued pursua under the contract involves the design, development, or operation of any system of records i�©daccomplish aperated Governmentthe functiDnient, its contractors or employees (2) To notify the Government when the Recipient anticipates operating a system of records on behalf of the Government in order to accomplish the requirements of this Agreement, if such system contains information about individuals which information will be retrieved by the individual's name or other identifier assigned to the individual. A system of records subject to the Act may not be employed in the performance of thisAgreement until Ulu necessary approval and publication requirements applicable to been carried out. m have The Recipient agrees to correct, maintain, disseminate, and use such records in accordancewith the the Acquirements of the Act, and to comply with all applicable requi reme (3) To include the Privacy Act Notification contained in this Agreement in every third party contract solicitation and in very third ty party a act contract when the performance of work under the propos pt may involve the design, developments r�derathencontracf a t toaccomplisof hsa n individuals that is tooperated Government function; and (4) To include this clause, including this paragraph. in all third party contracts under which work for this Agreement is performed or which is awarded pursuant to this ofesuchta system of recordsInvolve-the behalfiaf,the development, or operation Government. b. For purposes of the Privacy Act, when the Agreement involves the operation of a system of records on individuals to accomplish a Goverment functionsdthe Recipient, third party contractors and any of their employees to -of the Government with respect to the Government function and be an employee the requirements of the Act, including the civil and criminal penalties for violations of the Act, are applicable except that the criminal penalties shall not apply with regard to contracts effective prior to September 27, 1975. In addition, failure to comply with the provisions of the Act or of this clause will make this Agreement subject to termination. Page 35 .4. 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 systen of records on behalf of the Government including the collection, use and dissemination of records. (2) "Record" means any item, collection, or grouping of information about an individual that is maintained by the Recipient on behalf of the Government, including, but not limited to, his education, financial transactions, medical history, and criminal or employment history and that contains his name, or the identifying number, symbol, or other identifying particular assigned to the individual, such as a finger or voice print, or a photograph. (3) "System of records" on individuals means a group of any records under the control of the Recipient on behalf of the Government from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual. Section 124. Miscellaneous. a. Bonus or Commission. The Recipient warrants that it has not paid, and also agrees not to pay, any bonus or commission for the purpose of obtaining an approval of its application for the financial assistance hereunder. b. State or Territorial Law. Anything in the Agreement to the contrary notw1th-standing, nothing in the Agreement shall require the Recipient to observe or enforce compliance with any provision thereof, perform any other act, or do any other thing in contravention of any applicable State or territorial law; Provided, That if any of the provisions of the Agreement violate any applicable State or terri tori al law, or if compliance with the provisions of the Agreement would require the Recipient to violate any applicable State or territorial "law, the Recipient will at once notify the Government (UMTA) in writing in order that appropriate changes and modifications may be made by the Government and the Recipient to the end that the Recipient may proceed as soon as possible with the Project. c. Records. The Recipient, and any applies s iTl , for each local fiscal conform to the reporting system and to the extent required by section 15 1964, as amended, 49 U.S.C. S 16119 ending on or after July 1, 1978, an d d. Severability. If any provision of rema n er. of VTs Agreement shall not mould then continue to conform to the I aw. mass transportation operator for which it year ending on or after July 1, 19789 the uniform system of accounts and records of the Urban Mass Transportation Act of effective for each local fiscal year Federal (UMTA) regulations. this Agreement is held invalid, the be affected thereby if such remainder terms and requirements of applicable Page 36 Resolution #2056 APPLICATION FOR TECHNICAL STUDIES ASSISTANCE UNDER SECTION 8 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 I The City of Lubbock - Transit Department . OMB Approval No. 29-R0210 ...I-01an FEDERAL ASSISTANCE2. APPu, a, ifUkiDLR 3. STATE a• IIUTABER d. toul., a, OTHER CANTS APPLI- D tj�ITION APPLICA- TiON IDENTI- Enter, appro. 1. TYPE FF.EAPFLICA7)0.4 or b. DATE Year month day roar b. DATE Year month day IP84 1U U1 CQ APPLICATION CATION 19 FIER ASSIGNED 19 411 (Mork p- ❑ iiOTIFI ATION OF INTENT Me.) Leave 19. EXISTING FCDERAL REPORT OF FEOERAL ACTION Qta*k BE I GCNCY p 4. LEGAL APPLICANTJRC•CIPIENT S. FEDERAL EMPLOYER IDENTIFICATION NO. City of Lubbock 5-6000-590 W 2G. FEDERAL AGENCY TO RECSiVE REQUEST (Name. City, State, ZIP eaA4 121. a. Applicant Name t Transit Department UMTA, Washington, DC 20590 b. Ortanixtica Unit p Yes 6 Na ` 22. a. Street/P.o. lax P. 0. Box 2000 Ro a. RUiUER 12101. 151015 b. TITLE d. tit, ; Lubbock a. County Lubbock GRAM L state• Texas ZIP We: 79457 (From Section 8 Grants. for . E. L Uatt:t Parton (Nacre. John L. Wilson Federal Catalog) Technical Studies F,t etfepAens No.) t - 0 N g 7. TITLE AND DESCRIPTION OF APPLICANT'S PROD CT 0. TYPE OF APPLICANT/RECIPIENT (t) A-Ststo H -Community Action Atcacy Technical Studies Assistance for thee r i od p It. -Interstate I- His"r Educational Institution October 1, 1985 to September 30, 1986 C-Subststs )- Masse Tribe I( -Otho► (Spsrilv)r D-cDisrtrat Ell (3) District EL C -Special Purpose District Enter appropriate letter a a. OATE SIGNED 9. TYPE OF ASSISTANCE CERTIMNG A -Basle Grant lwasuranai Year wroath day li-Supptemeatal Grant E -Other Exeer'epp'ro- Alan Henr Mayor Y 17,& 0-Lean priate lelterT@) 10. AREA OF PROJECT IMPACT tNeNtes of cities. Counties. 11. ESTIMATED NUM- 12. TYPE OF APPLICATION Starts. ate.) DER OF PERSONS f,-tiaw C-Rorisien ` E -nett tnt-tion 25. APPLtCA- Year month day City of Lubbock 6L'NEFITING 18 01 y-Ronew3l D-Continuafica J:xter sppreprialt letter IL PROFOSED FUNDING 14. CONGRESSIONAL DISTRICT* OF: 15. TYPE OF CHANCE War JSa or 1st) "acres i Voflama's F-0tlet (Sprdfy)r a. FEDERAL ! ,00 s. APPLICANT w PROJECT 25. ORGANIZATIONAL UNIT 27. ADl.11NISTRATIVE OFFICE 29. FEDEF L APPLICATION C-lacresse Duration 0-D L APPLICANT 00 Your month day 134. Year molak day 00 35. CONTACT . FOR ADDITIONAL INFORMA- 38. Year month day TION (Name end telephone mariner) ENDING .00 DATE 10 .00 37. REMARKS ADDED .CO p a. WffHDL%WX 1. TOTAL I S .00 Q Yes LI.ERAAL.ACENCY e. In taking st=ore action. any comments recolr.d from clearin0cuses wase can. Is. FEDERAL A+ENCY A-95 OFFICIAL eid.red. If aeancy response Is U under proylcionS Cf Part 1. 090 VIC0ar A -S5, (Name and telephone no.) kbas bean at Is being mads. ACON 424-101STANOt.RO FORM 424 PAGE -1 (1045) Prosenhat by GSA. Fad*ral DJaxaOement Cirovlar 14-7 s. STATE .00 1G PROJECT STJInT 17. PROJECT-Canuflation acre - d. toul., a, OTHER DATS Year mf tit drawl D tj�ITION Enter, appro. d. LOCAL .00 IP84 1U U1 L AfoxrAt Arinte letter(•) a. CTNER 411 IL ESTIMATED DATE TO Year +Hoath dog 19. EXISTING FCDERAL IDENTIFICATION NUMBER BE I GCNCY p 198 Q�j 28 N/A I. T�TTAL S 0 000 .00 2G. FEDERAL AGENCY TO RECSiVE REQUEST (Name. City, State, ZIP eaA4 121. REMARKS ADDED UMTA, Washington, DC 20590 p Yes 6 Na ` 22. a. To the k-`st of R7 knowledge and bsllel, b. If ra;uhed by Olt6 Circular A-95 this application was eobmtited, pursuant to in• No ro. iTespoxes data Is this are struetwns therein, ha appropriate clesrin;h.uts and all rasFcns,:s are aftched: span*@ attached r THE true end earrid. the document has been APPLICANT duly authorized by the caramins body at 0 N CERTIFi.S the 4"lieent and the epctitant.tar comply It the ersist- (t) 0 THAT with the coached s=ureness save Is sp;roved. (3) ❑ ❑ EL a. TYPED KAVE AND TiTLEb. a. OATE SIGNED CERTIMNG Year wroath day REFIRE. Alan Henr Mayor Y 17,& 19 85 6 14 SENTATIVE t 24. AGENCY NAME 25. APPLtCA- Year month day TION ti RECEIVED 19 25. ORGANIZATIONAL UNIT 27. ADl.11NISTRATIVE OFFICE 29. FEDEF L APPLICATION IDENTIFICTION U. ADDRUS 30. FEDERAL GRANT IDENTIFICATION Your month day 134. Year molak day 00 35. CONTACT . FOR ADDITIONAL INFORMA- 38. Year month day TION (Name end telephone mariner) ENDING .00 DATE 10 .00 37. REMARKS ADDED .CO p a. WffHDL%WX 1. TOTAL I S .00 Q Yes LI.ERAAL.ACENCY e. In taking st=ore action. any comments recolr.d from clearin0cuses wase can. Is. FEDERAL A+ENCY A-95 OFFICIAL eid.red. If aeancy response Is U under proylcionS Cf Part 1. 090 VIC0ar A -S5, (Name and telephone no.) kbas bean at Is being mads. ACON 424-101STANOt.RO FORM 424 PAGE -1 (1045) Prosenhat by GSA. Fad*ral DJaxaOement Cirovlar 14-7 21. ACTION TAKEN Q S. AWARDED Q Ib REJECTED O L RMRKED FOR AJIEJIDUVIT © d. DEFERRED 32. FUNDING e. FEDERAL ! it. APPLICANT e. !TATE d. toul., a, OTHER Your month day 134. Year molak day 00 35. CONTACT . FOR ADDITIONAL INFORMA- 38. Year month day TION (Name end telephone mariner) ENDING .00 DATE 10 .00 37. REMARKS ADDED .CO p a. WffHDL%WX 1. TOTAL I S .00 Q Yes LI.ERAAL.ACENCY e. In taking st=ore action. any comments recolr.d from clearin0cuses wase can. Is. FEDERAL A+ENCY A-95 OFFICIAL eid.red. If aeancy response Is U under proylcionS Cf Part 1. 090 VIC0ar A -S5, (Name and telephone no.) kbas bean at Is being mads. ACON 424-101STANOt.RO FORM 424 PAGE -1 (1045) Prosenhat by GSA. Fad*ral DJaxaOement Cirovlar 14-7 4 ►' p M p P`+ 1 O 1 O 1 O N1 1 O 1 O O 1 O 1 O C N N M 1 M y N N N N co o 0 • = o O • Z N fIf y N • � ' L. O 0i p O 96 w 9 • N N rc < f • 40 vi 0 3 1 -cc N N W W v (!! 1462 n eL O b Z � I 0 0 o w W � N E , 1 • 0 0 o / 1 1 1. 1• G 1 OO 1 . ^ 40) h w .T NN w w w M N M • • N 4A N I 1 s S� Ln u M u 4 • ' E O c ~ Q .[ w r C = C y �+ G •�! �• �' Qr wOr •ybrr� F� h •.. .. K a o r o u p O C. tiin s v d •c d d d cil •C •� "' x tv ri ui O I. - 4t 2 O Cl LL Z � h UJ d O D ca I r I ffI i 0 f C c O r w. o ar Ln w N W . N y O Ob 'w O C c o en a o .. v n vi u L U. U ( O I N N O c O m �•y� s O Lf Ln ' wV„ C N to N v! O 1 i fi 4A -T C Z ( ( Z i !' Q V W w p u W < O< u " O O _ m N u. O � O w -i cc c' g z O C �N W 2 N N N N p N I- 1 1 w O u p U. i a o 0 r y z O u ►- v w ui r us N N O O W n � O 1-• N • w Ogn w N M �. N N W • p. o < 1 t • w C o p v0 C z 2 up Z < N < C V . C v � .p S u c � E r 1i C. ice -r• d t+ o 94 94 r r- if; 'i •� i r j C; c epi ri I BUDGET INFORMATION 11 GRANTEE: City of Lubbock 10 PROJECT NO: PROJECT BUDGET LINE ITEM TOTAL Personnel $24,760 •Fringe Benefits 2,737 Contractual 2,503 TOTAL $30,000 SUMMARY TASK BUDGET TECHNICAL ACTIVITY Alternative Financial and Operational Scenarios: Maintain $ 6,000 a Five Year Financial Pian and an Operations Contingency Plan. The financial plan defines the amount of resources required to continue current level of service, and the contingency plan provides an implementation plan in the event of reduced or loss of Federal operating assistance. Identification of new funding sources and proposed fare structures and service levels changes would include appropriate private sector participation. Monitor System and Service Department: Conduct gn ongoing.program $12,000 . of monitoring and evaluating the efficiency of System route and schedule, special efforts programs, maintenance, and management's performance. Periodic comprehensive analyses and special, one- time projects/studies will complement the ongoing program. Marketing Evaluation: Evaluate the System's marketing program by $ 4,500 conducting a comprehensive review and obtaining assistance and input from the private sector in developing appropriate marketing program improvements. Capital Investment Planning: Investigate and study major per- $ 3,500 manent transit facility needs and develop/maintain plans for current and future capital projects. Energy Conservation Planning: Revise the current energy resource $ 2,500 management plan to seek additional reductions in the System's energy usage TECHNICAL ACTIVITY (CONTINUED) TOTAL Maintenance of Eligibility: Prepare and/or coordinate activities $ 1,500 in the areas of -- Title VI Certification; Disadvantaged Business and Women Business Enterprise participation; FY 1987's UWP and TIP; ! etc. PROJECT FINANCING Federal Grant (80%) $24,000 Local Contribution (20%) 6,000 Total (100%) $30,000 CASH DISBURSEMENT SCHEDULE FY QUARTER AMOUNT 86 1 $ 7,500 2 7,500 3 7,500 4 7,500 Total Federal $30,000 � b y JIM J. 762-6411 P. O. Box 2000 OPINION OF COUNSEL LUBBOCK, TEXAS 78457 The application of the City of Lubbock, Texas.has been examined, and the documents executed by the Mayor, as authorized by the action of the City Council, the governing body of the City of Lubbock, are In order. The authority of the City of Lubbock to enter into such a project has been established with UMTA, and such authority has been transmitted to UMTA. The City of Lubbock is a public body pursuant to Article III, Section 5, Constitution of the State of Texas and Article 1165, V.T.C.S. and the Lubbock City Charter. There.is no pending legislation or pending litigation which would affect the prosecution of the project. Respectfully Submitted, TAA ! Q� VIL J .W rth Fullingim ssi tant City Attorney JWF:mj Resolution #2056 UNIFIED PLANNING WORK PROGRAM TRANSIT ELEMENT MAY, 1985 0 TRANSIT STUDY IMPROVEMENT PLAN OBJECTIVE The objectives of this task are: to examine the Transit System operated by the subsidized private operator, City Transit Management Company, Inc.; to prepare recommendations for action which could improve service and/or reduce deficits; and to update and review previous work with an ongoing process as may be required by UMTA for Capital Grant and Operating Assistance programs. PREVIOUS WORK The FY 1984 Technical Study contained two tasks involving the private sector. One had a citizen committee studying the financial future of the System and recommen- ding strategies for stabilizing funding of the System. The second required coordination with private operator in preparation of an inventory of transportation providers for the elderly and handicapped. The ongoing monitoring program and the periodic comprehensive analyses resulted in several System changes toward increase efficiency and identification of future TSM projects. CURRRENT WORK The FY 1985 Technical Study task has been divided into five elements: 1. Alternative Financial and Operational Scenarios A. Maintain a Five Year Financial Plan and an Operations Contingency Plan. The financial plan defines the amount of resources required to continue current level of service, while the contingency plan provides an implementation plan in the event of reduced or loss of Federal operating assistance. B. Funding UMTA $ 4,960 CITY $ 1,240 TOTAL $ 6,20U or 21% of the total project budget 2. Monitor System and Service Development A. Conduct an ongoing program of monitoring and evaluating the efficiency of the System route and schedule, maintenance, and management's performance. Periodic comprehensive analyses and special, one-time projects/studies will complement the ongoing program. - 1- B. Funding UMTA $12,480 CITY $ 3,120 TOTAL $15,600 or 52% of the total project,budget 3. Elderly and Handicapped Transportation A. Perform a comprehensive review of the Special Efforts programs. The results are intended to aid in determining service modifications, fare changes, and capital needs. B. Funding UMTA $ 3,360 CITY $ 840 TOTAL $ 4,200 or 14 of the total project budget 4. Capital Improvement Programming A. Review past and proposed studies to justify and plan future transit capital projects. B. Funding UMTA $ 2,000 CITY $ 500 TOTAL $ 2,500 or 8% of the total project budget S. Maintenance of Eligibility A. Prepare and/or coordinate activities in the areas of: Title VI certification; Disadvantaged Business Enterprise participation; FY 1986's UWP and TIP; etc. B. Funding UMTA $ 1,200 CITY 300 TOTAL $ 1,500 or 5% of the total project budget PROPOSED WORK 1. Alternative Financial and Operational Scenarios A. Maintain short range financial and operational plans for transit to survive reduced Federal funding. The five year financial plan 2 defines the amount of resources required to continue current level of service in the future, while the contingency plan provides an implementation plan in the event of' reduced or loss of Federal operating assistance. Identification of new funding sources and proposed fare structures and service level changes i would include appropriate private sector participation. B. Funding UMTA $ 4,8UO CITY $ 1,200 TOTAL $ 6,000 or 20% of the total project budget 2. Monitor System and Service. Development A. Conduct an ongoing program of monitoring and evaluating the efficiency of the System route and schedule, special efforts programs, maintenance, and management's performance. Periodic comprehensive analyses and special, one-time projects/studies will complement the ongoing program. B. Funding UMTA $ 9,600 CITY $ 2,400 .TOTAL $12,000 or 402 of the total project budget 3. Marketing Evaluation A. Evaluate the System's marketing program by conducting a comprehensive review and obtaining assistance and input from the private sector in developing appropriate marketing program improvements. B. Funding UMTA $ 3,600 CITY $ 900 TOTAL $ 4,500 or 15% of the total project budget 4. Capital Investment Planning A. Investigate and study major permanent transit facility needs and develop/maintain maintenance plans for current and future capital projects. - 3 - B. Funding UMTA $ 2,800 CITY $ 700 TOTAL $ 3,500 or 12% of the total project budget 5. Energy Conservation Planning A. Revise the current energy resource management plan to seek additional reductions in the System's energy usage. B. Funding UMTA $ 2,000 CITY 500 TOTAL $ 2,5UU or 8Z of the total project budget 6. Maintenance of Eligibility A. Prepare and/or coordinate activities in the areas of: Title VI certification; Disadvantaged Business Enterprise participation; FY 1987's UWP and TIP; etc. B. Funding UMTA $ 1,2U0 CITY 3UU TOTAL $ 1,500 or 5% of the total project budget RESPONSIBILITY The primary responsibility for completion of the proposed work rests with City Transit Management Company, Inc. (dba Citibus). Performance of the tasks is anticipated to be accomplished by Citibus staff with the support and involvement of the staff of the management firm, McDonald Transit Associates, Inc. COORDINATION This task will be accomplished as.part of the City of Lubbock's responsibility in evaluating transportation facilities for the Lubbock Urban Transportation Plan. All.etforts will be coordinated with the private operator, the State Department of Highways and Public Transportation, and other interested local private and public agencies. There will be no duplication of effort since Transit System review is a sole responsibility of the City. 4 PRODUCT Documentation in report form. FUNDING Urban Mass Transportation Administration (Section 8) City of Lubbock TOTAL PROJECT $ 24,000 $ 6,000 $ 30,000 0 n ASSURANCE OF COMPLIANCE WITH TITLE vI OF THE CIVIL RIGHTS ACT OF 1564 (For Technical..Studies Projects) r The Cit of Lubbock (Hereinafter referred to as the "Recipient") EREBY AGREES THAT as a condition to receiving any Federal financ , from the Department of Transportation it will comply with Title VI'of the Cvil Rights Act of •1964, 78 -Stat. 252, 42 U.S.C. 2000d-42 U.S.C. 2000d-4 or (hereinafter referred to as the Aeral nd all Regulations,rDepartmentoofdTrans- Trans - pursuant to Title 49, Code 'of Federal portation, Subtitle A, Office Offth�heSeecreta erltPoft.21s. or ta•tionmination in Federally -assisted Programs o P Effectuation of Title VI of the -Civil o itherRights pertinent directives,ntoter the referred to as the Regulations) end that in accordance with.the Act, Regualtions, and other pertinent directives, no person in the United States shall on the grounds of race, color. sex, or national'oribenotherwiseexcluded subjectedatoidiscriminatation ione under••. denied the benefits of, any program or activity for which ient eincludingdthelUrban�Mass'� - assistance from the Department of Transportations Transportation AdministratioreS��P�`ssary toand ReffectuateEBY GIVES athis.Aagreementit will - promptly take any meas (a)(1). -Of the' Regulations. This assurance is required by subsection 21.7 Noe specifically and without limiting the above general ance assurance, thio Recipient hereby gives the following specific the project: 1. That the Recipient agrees La`23"(b)9of theand Regulations, Wi'11. as defined in'subsections 21.13 (e)nd 7.1to a be (with regard to a "program"•) conducted ailrwill be requirementstimposed�by, or .' "facility") operated in complia nce pursuant to, the•Regulations. 2.' That the Recipient shall insert the followingp Reg in ail solicitations for bids for work or maters jet to and made in connection with a MTA ject �,nder and,the in adaptedMass form,Transportation Act of 1964. as amended (the Uhl Act), posals for negotiated agreements: The Recipient, in accordance with Title VI of 42 the Civil Rights Act .andi9649 Tit1e7495tCodetats 2of�Federal 2000d to 20OOd-4 Regulations,•Department of Transportation, Subtitle A, Office of the Secretary, Part21, HoedinatiOn in Federally -assisted Progranis of partmen Transportation issued pursuant to such Act, hereby notifies all bidders that will affirmatively insure that in regard to any contract entered into p to this advertisement, minority business enterprises will be afforded full otandtwill noto t be discriit bid's m - response to this invitation inated against on the grounds of race, color, sex, or:national origin in consideration for an award. 3. That the Recipient shall insert the clauses of Attachment A of -this assurance in every contract subject to the Act and the Regulations. 4. That where the Recipient receives Federal financial assistance to carry out a program of managerial training under section 10(a) of the Urban Mass Transportation Act of 1964, as amended, the assurance shall obligate the Recipient to make selection -of the trainee or fellow without regard to, race, color, sVx, or national origin. S. That arhere•the'R•eciplent receives Federal financial assistance to carry out a program under the Urban Mass Transportation Act of 1964, as amended, to assurance shall obligate the Recipient -to assign transit oper- ators, and to furnish transit operators, for charter purposes without re- gard to race, color, sex, or national origin. 6. That where the Recipient receives Federal financial assistance to carry out a program under the Urban Mass Transportation Act of 1964, as amended, routing scheduling, quality of service, frequency of service, age and quality of vehicles assigned to routes, quality of stations ser- ving different routes. and location of routes may not be determined on the basis of race; color, sex, or national. origin.-. 7. That this assurance obligates the Recipient fqr the period during which Federal financial assistance is extended to the project, except where the Federal financial• assistance is to provide, or is in the form of, personal property, or real property of interest therein or structures or improvements theron; in which case, the assurance obligates the Recip- ient or any transferee for thr► longr:r of the following periods: (a) The period'during which the property -is used for a purpose for which the Federal financial assistance is extended, or for another purpose involving the provision of similar services.or benefits; or (b) the period during which the Recipient.retains ownership or posession of the property. B. The Recipient shall provide for such methods of administration for the program as are.found by the Secretary of Transportation or the official to whom.he delegates specific authority to give -reasonable guar- antee that it, other. Recipients, subgrantees,,contradtors, subcontractors, transferrees, successors in interest, and other participants of Federal financial assistance under such program will comply with all requirements imposed or pursuant to the Act, the Regulations, and this assurance. ' 9. The recipient agrees that -the United States - has a right to seek judicial enforcement with regard -to any matter. -arising under the Act,,the Regulations,,and this assurance, ' THIS ASSURANCE is given in consideration of and for the purpose of obtain- ing any and all Federal grants, loans, contracts, property, discounts, or other Federal financial assistance extended after the date hereof to the Recipient by the Department of Transportation under. Federal Urban f1sss Transportation Programs and is binding on .it; other Recipients, subgrantees, contractors, subcontractors, transferees, successors in interest, and other participants in the Federal Urban Mass Transportation Program. The person r 10, or persons whose signatures appear below are authorized to sign this as on behalf of the Recipient. DATE June 14, 1985 cit of Lubbock Recipient Attachment: Appendix A BY: ALAN HENRY, MAYOR i Certification is given by the recipient named here in.Clty of Lubbock with i 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. r ^ ATTACHMENT A During the performance of this contract, the contractor, for itself. its assigneess and successors in interest (hereinafter referred to as the "Contractor") agrees as follows: (1) Com Uiance with Regulations: The Contractor shall comply with the eg t ons re ative to no ndiscri.mination in•Federally assisted "DOT") pro of the Department of Transportation (hereinafter,they "DOT"). DO . be Title 49, Code of Federal Regulations, Part 21, • amended from time to time (hereinafter eanddmadeaa parts the of whiich are herein•incorpora•ted by reference _ contract. er (2) Nondiscrimination: The Contractor, with -regard o the eriminate©rk on the formed by it during the contract. shah not ofdidis in in -the selection and. grounds of race, color, sex• including procurements t ementsof materials and retention of subcontractors. onractr leases of equipment. The shall ttdiscrimination�prohibitedaby Section-- directly Or -indirectly inhe 21.s of the;Regulations. Solicitations for Subcontracts. lncludi Procurements of Materials ,r ( 3 ), n s and E v-, - In ai�'I soi-ic�•Eatito�s they by compettt ve or negotiation made binthe rQCurenents ofrmwork at'erialsto borpleaseseofun er a subcontract, incl en g pnotified +. equipment, each potential on1`roictoresor or obligationseundershall this contract by the Contractor of the C rounds of and the Regulations relative to nondiscrimination on the g race, color, sex. or national origin. form . (4) lnfomation-Reports: The Conttrrovide all in `�'a ionslorpdirectives issued ation f.,. and reports required by the e� pursuant thereto,an�c�saof ll infonnationssand its facilitiesto its books, aassmay be accounts, other sou ' determined by theRecipienbe pertin�nLatoMascertainpcompliance with Administration ( ) to Where any information such Regulations. orders, and instructions. is Regulaired or s.a.ontractor is in the exel.usive possession of another -who fails e Contractor or refuses to furnish this informaba�oMasshTransportation shall so certify asoatpro�riate�nandrshally'set forth the efforts it Administration, P has made to obtain this information. to the event of the Contractor's non - (5j Sanctions for Nonconj�liance: om anci Off the nandTscri•niinatian provisions of thiscontract, the.Recipient shall impose such contract say de% as Urban Mass Transportation Administration may determine to be appra- priate, including but not limited to: oldin Of Payments to the Contractor under the contract' (a� Withh 9 • until the Contractor comlipl ies; and/or b Cancellations termination, or suspension of the contract.in (� whole or in part. ' (6) incorporation of Provisions: The Contractor shall include the provisions of paragraphs•t1) through (6) in every subcontract, including procurements of materials and leases of equipment, unless exempt by -the Regulations or directives issued pursuant thereto. The Contractor shall take such action with respect to any sub contract or procurement as the Recipient or the Urban•Mass.Trans• ! portation 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 subcbntractor or supplier as a result of such direction, the Contractor may request the Recipient to enter into such litigation to protect the interests of the Recipient and,`in attidion, the -Contractor may request the United.States to enter into such litigation to protect the interest sof the United States. f . i 1l 1 .