HomeMy WebLinkAboutResolution - 801 - Application - DOT - Technical Studies, UTMA Funds - 05/14/1981,( M RESOLUTION #801 - 5/14181
i . RESOLUTION
S. RESOLUTION AUTHORIZING THE FILING OF AN APPLICATION WITH THE DEPARTMENT OF
t,X TRANSPORTATION, UNITED STATES OF AMERICA, FOR A GRANT UNDER THE URBAN MASS TRANS-
PORTATION 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 obliCations
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 the 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 Transpc rtation
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 adm-'nistered 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 THE THE CITY COUNCIL OF THE CITY OF LUBBOCK:
SECTION 1. THAT the M.ayor is hereby authorized to make application for a
Technical Studies Grant from UMTA with the Steering Committee (Metropolitan Plan-
ing Organization) of Lubbock Urban Transportation Study, being the designated
planning agency; and
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
THE City of Lubbock does hereby agree to provide matching funds for such Tech-
nical Studies which shall be in an amount not to exceed Nine Thousand Dollars
($9,000.00). Such matching funds shall be in cash or in-kind services. UMTA funds
will not exceed Thirty -Six Thousand Dollars ($36,000.00)
SECTION 2. THAT the Mayor is authorized to execute and file with such
application an assurance or any other document required by the U.S. Department of
Transportation effectuating the purposes of Title VI of the Civil Rights Act of 1964
SECTION 3. THAT the Mayor is authorized to furnish such additional infor-
mation as the U.S. Department of Transportation may require in connection with the
application of the project.
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SECTION 4. THAT the Mayor is authorized to set forth and execute affirma-
tive minority business policies in connection with the project's procurement needs.
Passed by the City Council this 14th day of May , 1981.
BILL 1c IS E AYOR
ATTEST:
Evelyn Gaf a,. City Sec t V`r easurer
Y :4PPROVED AS -TO CONTENT:
John L. Wilson, Transit Coordinator
APPROVED AS TO FORM:
U.
. Vandiver, First Asst. City Attorney
\"I
es
kQ
762-6411
P. O. Box 2000
May 14, 1981
Mr. Glen Ford
UMTA Regional Office
819 Taylor Street, Suite 9A32
Fort Worth, Texas 76102
LUBBOCK, TEXAS 79457
RE: Application for Section 9 Funds in Support of Annual UPWP
Dear Mr. Ford:
Based on the information contained in the Lubbock Metropolitan Area
1981 Unified Planning Work Program, we are requesting an Urban Mass
Transportation Administration Technical Studies Grant of $36,000 to
aid in transportation planning. Local funds in the amount of $9,000
will be provided by the City of Lubbock in the form of cash and/or
in-kind services from budget City Transit Department Resources.
Our legal counsel has reviewed the agency's statutory authority, and
we hereby certify that there is no pending legislation or litigation
which might affect the prosecution of the Technical Study Project
applied for herein.
The following information in support of
for review:
- Exhibit M-3, Part I (application)
of OMB Circular No. A102,
- Standard Form 424 (application)
- Project Budget Information
- Resolution authorizing the filing
- Title VI Documentation
- A-95 Reviews
this application is attached
and Part III (budget)
of this application
If you have any questions regarding these matters, please contact
John L. Wilson at 762-6411, ext. 2380.
Sinc ly,
Bill llister
Mayor
BM:so
Attachments
I
RESOLUTION 801, 5/14/81
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UNITED STATES OF AMERICA
DEPARTMENT OF 'PRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
NOTIFICATION OF GRANT APPROVAL
49 U.S.C. § 1607
(SECTION 8 — TECHNICAL STUDIES)
Project No. TX -09-0170
GRANTEE: City of Lubbock
ESTIMATED TOTAL PROJECT COST: Forty-five thousand dollars ($45,000)
MAXIMUM FEDERAL SHARE: Thirty-six thousand dollars ($36,000)
OBLIGATION DATE: JUN 12 19m
SOURCES OF FEDERAL YINANC.IAL ASSISTANCE
33000000 Fund Allocation Code: CB1
PROJECT DESCRIPTION:
Work to be accomplished will be in accordance with planning activities as
described in the March 1981 Unified Work Program for the Lubbock urbanized
area, as approved by the Urban Mass Transportation Administration.
DATE
Id& et*1
GIONAL ADMINISTRATOR
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
GRANT
49 U.S.C. 5 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 convenants, 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 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. The Grant - In order to assist the Grantee in
financing the cost of the Project; which cost is estimated to
be that amount stated in the Notification of Grant Approval,
the Government will make a Grant in an amount equal to eighty
percent (80%) of the actual cost of the Project as determined
by the Department of Transportation upon completion of the
project or in the amount specified as Maximum Federal Share
in the Notification of Grant Approval, whichever is the lesser.
The obligation of the Government to make Federal Grant payments
in any fiscal year shall not exceed the amount provided in the
Project Budget for the fiscal year in which requisitions
-therefor are submitted or drawdowns under letter of credit are
made.
Form UMTA F 2003
Rev. 5/20/80
Sec. 4. Planning Requirements— The transportation plans and
programs which are developed as part of this Project shall
be formulated on the basis of transportation needs with due
consideration to comprehensive long-range land use plans,
development 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 partici-
pation 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. 5/20/80,
entitled Grant; and Part II, Form UMTA F 5E, Rev. 5/20/80,
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
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 do not increase the total amount of the
Federal grant shall only require prior authorization from
UMTA and the issuance of a new Project Budget.
Sec. 6. Execution of Grant. This Grant may be simultaneously
executed in several counterparts, each of which shall be
deemed to be an original having identical legal effect.
When 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.
Page 2
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The Grantee does hereby ratify and adopt all statements,
representations, warranties, convenants, 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; thi`§- 6th day of
ATTEST BY
City Secre"' 'Treasurer
_ City of L-6bbcrck. Texas
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TITLE AND -ORGANIZATION
Certificate of Grantee's Attorney
August81
Mayor
TITLE AND ORGANI ZATIOIJ
I, Don Vandiver. , 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 5/14/81 . A copy of this authorization is
attached orams previously been submitted 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 6th day of August , 19 81
SI ATURE
Assistant City Attorney
City of Lubbock, Texas
Page 3
TITLE AND ORGANIZATION
1 1 ��� _ v' • 151- v
WASfINMCN, D.C. 20590
•'c n •;'V • rl•4D(M� 1z'
PART II
TEMS AND CCMITICNS
for Projects wrier Section 3, 51 6, or 8,
of the Urban Mass Transportation Act of
1964 as amended 49 U.S.C. S 1601 et seq.,
for Mass Transportation Projects under
the Federal -Aid Highway Act of 1973,
as amended, 23 U.S.C. S 103 et seq.,
or for Section 175 of the Clean Air Act
Amex -I=A s of 1977, 42 U.S.C. S 7505.
Foran UWA F SE
Rev. 5/20/80
Section 101:..Definitions ............................:..............1
Section 102. Ao=nplistment of the Project .........................2
i
(a)
General Requirements .............................2
(b)
Pursuant to Federal, State and Local Law ......... 2
(c)
Funds of the Recipient ...........................2
(d)
Submission of Proceedings, Contracts, and Other
Documents................................4.4....3.
(e)
Changed Conditions Affecting Perfonnanee..... ....3-
(f)
No Government Obligations to Third Parties ......:3
(g)
Land Acquisition Policy...4.......4...... .........3
Section 103.
The,Project Budget ..................... 4.............3
Section "104.
Accounting Records .........4.....4 ....................3
(a)
Project Accounts........ 4 ........................3
(b)
Funds Received or Made Available far"the
Project.... ... 3
(c)
Allowable Costs -0
.................................. :.
(d)
Documentation of Project Costs...................4,,
(e)
Checks, Orders and Vouchers......00.440.0.00400.0,4
(f)
Audit and inspection..............................5
Section 105.
Requisitions and Payments. ...... .,4 ..0....0.0..9044.0.5
(a)
Request for Payment by the Recipient.............5
(b)
Paynexi/t� bby�� the Gvv�esnanent........................5
(c)
Disallowed Costs......... . . . . 0040.0.6 ........ 0 0 0 0 . 6
(d)
Letter of credit.... o.00 ... 6.0000.0.00.0.00.0".6
.(e)
Interest on Late Payments... ... 4....4... ...... ...7
Section 106.
Right of Govenment to Terminate.... ...... 4...........7
Section 107,
Project Completion, Settlement arra Close -Out.. ... ..... 7
Section 108.
Contracts of the Recipient ...... .4.4.4 .............4..7
Section 109.
Restrictions, Prohibitions, Controls, and Labor
Provisions..........................................8
(a)
Equal. EmplcoyT=t Opportunity .....................8
(b)
Small, Minority and Women's Business
Enterprise..............4....4..444......4444.4.8
(c)
Title VI - Civil Rights Act of 1964.... o ... 0000.. 10
(d)
Campetitive Bidding .... ..... ...4..4.......4 ... ... 10
(e)
Ethics ........................................... 10
(f)
Interest of Members of or Delegates to
Congress ........:............................... Z1
Section 110.
Construction
Contracts .... ...44 ...... 4 ................31
(a)
Nondiscrimination .... ........... ........... ..... .o n
(b)
Specifications........4.............4............14
(c)
Notice.. . ...... so .... o.o .... o..o..o ... o-0000 ..... 21
(d)
LaProvisions.......................4.......4.22
(e)
Changes in Construction Contracts... ... oo...00 ... 29
(f)
Contract Security.........................44..4..29
(g)
Insuranoe During Construction..,...... ............ 29
(h)
Signs............................................29
(i)
Liquidated Damages Provision ......... 4.4 ....... ..30
(j)
Provisions of Construction Contracts ............. 30
(k)
Actual Work by contractor ........ ...44........44.30
(1)
Foroe Accounts..
......... 4.44.4 ... ...... ...so. ...30
(m)
Safety Standards ... ..4.4...44.....4.4.......4.4.. 30
i
Section 111. Environmental, Resource, and Ez=W Protection and
Corsservation Requirements ............................30
(a) Compliance with Enviromental standards..........
30
(b) Air Pollution...............................".....31
(c) Use of Public Leads..............................31
(d) Historic Preservation ............................31
Section 112.
Section 113.
Section 114.
(e) Energy Conservation..............................31
Patent Rights.........................................31
Rights in Data........................................34
Cargo Preference - Use of United States Flag
Section 115.
Section"116.
Vessels... o ................. ......
Buy America...........:...............................36
Charter and School Bus Operations ..............:,.......37
35
(a) charter Bus......................................37
Section 117.
(b) School Bus.......................................37
Compliance with Elderly and Handicapped
Section I18.
Section 119.
Section 120.
Regulations.............................:............37
Flood Hazards.........................................37
Privacy...............................................38
Miscellaneous.........................................39
(a) Bonus or CdMlissi.on..............................
(b) State and Territorial law........................39
(c) Recon+ds..........................................40
(d) Severability.....................................40
39
ii
wee MAJ10 _4
Constituting part of the AGrmoa 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.
Section 101. Definitions. As used in this Agreement:
"Application}" means the signed and dated proposal as may be amended
for federal financial assistance for the Project, together with all
explanatory, supporting, and supplementary documents heretofore filed
with UMTA by or on behalf of the Recipient, which has been accepted
and approved by UMTA.
"Approval, Authorization, Concurrence, Waiver" means a conscious,
written act by an authorized official of the Govvrrment granting
permission to the Recipient to perform or amit an act pursuant to
this Agreement which could not be performed or amitted without such
permission. An approval, authorization, concurrence, or waiver
permitting the performance or aaission of a specific act shall not
constitute permission to perform or amit similar acts unless such
broad permission is clearly stated. Oral permission or interpreta-
tions shall have no legal force or effect.
"External Operating Manual" means the most recent UMTA manual of
that title, which presents information about the UWA programs,
application processing procedures, and guidance for administering
approved projects; There are also UMTA and DOT directives applicable
to the Project.
"Government" means the United States of America, or its cognizant
Agency, the Department of Transportation (DOT) or its Agency, the
Urban Mass Transportation Administration (UMTA) used hereafter
interchangeably.
"Mass Transportation" includes public transportation and means
transportation by bus, rail or other omweyance, 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.
"Project" means the task or set of tasks provided for in the Project
budget which the Recipient undertakes to perform pursuant to the
Agreement with UWA.
"Project Budget" means the most recently dated statement, approved by
MTA, of the estimated total cost of the Project, the iters to be
deducted frau such total in order to calculate the estimated net
project cost, the maximum amount of the federal grant for which the
Recipient is currently eligible, the specific iters (including
contingencies and relocation) for which the total may be spent, the
estimated cost of each of such items, and the maximum amount of
federal funds which may be disbursed in any fiscal year.
"Recipient" means any entity that receives federal financial assistance
from URM for the accomplishment of the Project. The term "Recipient"
includes any entity to which federal funds have been passed through
for the accomplishment of the Project.
"Secretary" means Secretary of the Department of Transportation or
his duly authorized designee.
Section 102. Accxmplishment of the Project.
(a) General Requirements. The Recipient shall commence, carry one and
complete the Project with all practicable dispatch, in a sound,
economical, and efficient manner, and in accordance with the
provisions hereof, the Application, arra all applicable laws and
regulations
(b) Pursuant to Federal, State, arra local Law. In performance of its
obligations pursuant to this Agreement, the Recipient and its con-
tractors shall comply with all applicable provisions of Federal,
State, and local law. All limits or standards set forth in this
Agreement to be observed in the performance of the Project are
minimum requirements, and shall not affect the application of more
restrictive State or local standards for the performance of the
Project; provided, however, in its procurement actions pursuant
to the Project, the Recipient shall not give any preference to or
discriminate against goods and services produced or manufactured in
any country, State, or other geographical area except as provided
in Section 115 below. The Recipient agrees further that notwithstanding
the requirements in Section 115, no Federal funds shall be used to
support procurements utilizing exclusionary or discriminatory
specifications, nor shall federal funds be used for the payment of
ordinary governmental or nonproject operating expenses.
(c) Funds of the Recipient. The Recipient shall initiate and prosecute
to ccmp etion al�iooceedings 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.
K
(d) Submission of
Other Documents. The
such data, reports, records,
contracts and other documents relating to the Proiect 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.
(e) Changed Cbnditims Affecting Performance. The Recipient small
ately notify UMTA of any charx1e in iticns or local law, or of
any other event, which may significantly affect its ability to
perform the Project in accordance with the provisions of this
fit•
(f) No Govenment Obligations to Third Parties. The Goverrm=t shall
not be subject to any obligatueni or i u. ities by contractors
of the Recipient or their subcontractors or any other person not
a party to this Acr a ment in connection with the verfonance of
this Project -without its specific consent and notwithstanding its
cxxicurrence in or approval of the award of any contract or sub-
contract or the solicitation thereof.
(g) Land Aogisition Policy. Any acquisition of land for use in connection
with the Project must conform to the policies and procedures set
forth in 49 C.F.R. Part 25 and applicable Circulars.
Section 103. The Project Budget. A Project Budget shall be prepared and
maintained by the Recipient. The 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.
Section 104. Accounting Records.
(a) Project Accounts. The Recipient shall establish and maintain as
a separate set of accounts, or within the framework of an established
accounting system, accounts for, the Project in the mariner consistent
with. Office of Mamgcanent and Budget (cW) Circular A-102, as amended,
or A-110, as may be appropriate.
(b) Funds Received or Made Available for the Piro'ect. In aeoosdanee with
the provisions of OMB Circular A-102, as amerk , or 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, all Project payments received by it from
the Government pursuant to this Agreement arra all other funds provided
for, accruing to, or otherwise 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 UMTA procedures. A separate bank aaornmit
may be required when drawdowns are made by letter of credit.
3
(c) Allowable Costs. Expenditures made by the Recipient shall be reim-
uurkiMe as owable costs to the extent they meet all of the
requirements set forth below. 7hey must;
(1) be made in conformance with the Project Description and
the Project Budget and all other provisions of this Agreement;
(2) be ne--assary in Order to acamplish the Project;
(3) be reasonable in amount for the goods or services purchased;
(4) be actual net costs to the Recipient (i.e., the price paid
minus any refunds, rebates, or other items of value received by
the Recipient that have the effect of reducing the cost actually,
incurred;)
(5) be incurred (and be for work performed) after the date
of this Agreement, unless specific authorization frog UWA to the
contrary is received;
(6) be in conformance with the standards for allowability of
costs set forth in Federal Management Circular (EW) 74-4 and
with any guidelines or regulations issued by UMTA; in the case of
Projects with educational institutions, the standards for allowability
Of cost set forth in Office of Management and Budget (OMB) Circular
A-21 Revised, rather than the standards of EM 74-4, shall apply;
(7) be satisfactorily documented; and
(8) be treated uniformly and consistently under accounting
principles and procedures approved or prescribed by UWA for the
Recipient; and those approved or prescribed by the Recipient for
its contractors.
(d) Documentation of Project Costs. All costs charged to the Project,
enc ing any approved 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.
(e) Checks, Orders, and Vouchers. Any check or order drawn by the
Recipient with respect to any item that is or will be chargeable
against the Project Account will be drawn only in accordance with
a properly signed voucher then an file in the office of the
Recipient stating in proper detail the purpose for which such check
or order is drawn. All checks, payrolls, invoices, contracts,
vouchers, orders, or other accounting documents pertaining in whole
or in part to the Project shall be clearly identified, readily
accessible, and, to the extent feasible, kept separate and apart
fran all other such documents.
4
tf) . The Recipient ahall permit, and dull require
its contractors to permit, the Secretary and the Comptroller General
of the United States, or any of their duly authorized respresentatives
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.
Recipients that are State or local ga enments or Indian tribal govern-
ments shall be respmsible for meeting the audit requirements of OMB
Circular A-102, Attach=ment P, or any revision or supplement thereto. The
Recipient is responsible for auditing third party contracts and agreements.
UNTA also may require the Recipient to furnish at any time prior to
closeout of the Project, audit reports prepared in accordance with generally
accepted accounting principles. In the case of Section 5 operating
projects, subsequent to the close of the local fiscal year for which
which operating assistance is sought, the Recipient shall furnish a
final audit report prepared by a State or local get independent
audit agency or an independent public e000intant which shall include
as a miniatm a Statement of Revenue and Expense, a Statement of
Changes in Financial Position, and a Maintenance of Effort Calculation
of the mass transportatio:i operator for the assisted locaal fiscal
year.
Section 105. Requisitions and Payments.
(a) Requests for Payment by the Recipient. The Recipient may make
requestsof r payment of the federal sure of allowable costs, and
UKM will honor such requests in the manner set forth in this
section. Payments made to Recipients must oomply with 31 C.F.R.
Part 205. Recipients shall follow the procedures set forth in UMM
Circular 9050.1. In order to receive federal assistance payments, the
Recipient must:
(1) completely execute and submit to UMPA the information
required by Sta� Form 270;
(2) submit to UKX 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 subzmission) t
(3) demonstrate or certify that it has supplied local funis
adequate, when combined with the federal payments, to cover all
costs to be incurred to the end of the rtiequisition period;
(4) have submitted to UM all financial and progress reports
required to date under this Agreement; and
(5) identify the souroe(s) of financial assistance provided
under this Project frau which the payment is to be derived.
(b) Payment by the Government. Upon receipt of the requisition and the
acomnpanying information in satisfactory form, the Government will
prnoess the requisition if the Recipient is complying with its
obligations pursuant to the Agrewmt, has satisfied UWA of its
need for the federal ftmds requested during the requisition period,
and is making adequate progress towards the timely om pletion of
the Project. If all of these circumstanees are found to exist,
5
the Government will reimburse apparent allowable costs incurred (or
to be incurred during the requisition period) by the Recipient up
to the m udmn amount of the federal assistance payable through the
fiscal year in which the requisition is submitted as stated in the
Project Budget. Ever, reimkxirsement 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 LWA determines that the Recipient is not currently
eligible to receive any or all of the federal funds requested, it
shall promptly notify the Recipient stating the reasons for such
determination.
(d) Disallowed Costs. In determining the amount of the federal assistance, LMPA
will exclude -all—Project costs incurred by the Recipient prior to
the date of this Agreement, or prior to the date of the approved
budget for the Project, whichever is earlier unless an authorized
representative of UMTA 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 WrA.
Exceptions to the above statement on disallowed costs are contained
in the External Operating Manual or in written guidance from LMI'A.
(d) Letter of Credit. Should a letter of credit be issued to the
Recipient, the ollowing terms and. conditions in conformwioe 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 far effective control and
accountability for all Project funds in accordance with require-
ments and procedures issued by the Goverr mt for use of the letter
of credit.
(4) the Recipient shall inpose on its subrecipients all the
requirements of Section 105(d) (1) (2) and (3) above as applicable.
(5) should the Recipient fail to adhere to the requir�nents of
Section 105(d) (1) (2) (3) and (4) above, the Govertment may revoke
the unobligated portion of the letter of credit.
6
(6) Section 105(a), (b), and (c) above remain effective to the
extent that they do not conflict with the provisions of section 105(d).
(e) Interest on Late Pa Mts_. Upon notice by MM to the Recipient of
specs c amounts due— a Cowmvent, the Recipient shall promptly
remit any excess payment of amounts or disallowed costs to UMPA.
Interest may be assessed from the time of notice and charged for any
admounts due to the Goverment that are not paid as set forth in the
Treasury Fiscal Requirements Manual.
Section 106. Right of Government to Terminate. Upon written notice to
the Recipient, the Goverment reserves the right to suspend or terminate
all or part of the financial assistance provided herein if the Recipient
is, or has been, in violation of the terms of this Agreement or if UMTA
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 violation 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 UM prior to the date of termination, to the extent
they are noncaneellable. The acceptance of a remittance by the Government
of any or all Project Funds previously received by the Recipient or
the closing out of federal financial participation in the Project shall
not constitute a waiver of any claim which the Gouvxmx-.nt 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 EMM, the Recipient shall,
within 90 days of the oompletien 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. Upon
receipt of this information, UK% or an agency designated by LHA will
perform a final audit of the Project to determine the allowability of costs
incurred, and will make settlement of the federal grant described in Part I
of this Agreement. If MM has made payments to the Recipient in excess of
the total amount of such federal assistance, the Recipient shall promptly
remit to UMI'A such excess and interest as may be required by section
105(e). Project closevout occurs when UMTA 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 tMA.
Close-out shall not invalidate any continuing obligations imposed on the
Recipient by this Agreement or contained in the final notification or
acknowledgement from UMM.
Section 108. Contracts of the Recipient. The Recipient shall not execute
any lease, pledge, mortgage, lien,, other contract touching or affecting
Project facilities or equipment, nor shall it obligate itself in any other
manner, with any third party with respect to the Project, unless such lease,
Pledge, mortgage, lien, contract, or other obligation is expressly authorized
in writing by DOT; nor shall the Recipient, by any act or omission of any
kind, impair its continuing control over the use of Project facilities or
equipment during the useful life thereof as determined by DOT.
7
Section 109. ROstrictions, prohibitions, Controls, and Iabor Provisions.
(a)ural RrIgpw Opportu�f�
n_ In Connection with the carrying out
of the shall not discriminate against any
employee or applicant for employment because of race, color, age,
creed, sex, or national origin. The Recipient shall take affirmative
action to ensure that applicants are employed, and that employees
are treated during employment, without regard to their race, color,
religion, sex, age,or national origin. Such action shall include,
but not be limited to, the following: employment, upgrading, demotion
or transfer, recruitment or recruitment advertising, layoff or
termination; rates of pay or other forms of compensation; and
selection for training, including apprenticeship. The Recipient
shall insert the foregoing provision (modified only to show the
particular contractual relationship) in all of its contracts
in connection with the development or operation of the Project, except
contracts for standard commercial supplies or raw materials and
construction contracts subject to the provisions of Section 110 (a)
of this AgreLyr-n.t, and shall require all such contractors to insert
a similar provision in all subcontracts, except subcontracts for
standard commerical supplies or raw materials.
If,as a condition of assistance, the Recipient has submitted,and the
Government has approved, an equal employment opportunity program
that the Recipien4. agrees to carry out, such program is incorporated
into this Agreement by reference. Such program shall be treated as
a contractual obligation; and failure to carry out the terms of that
equal employment opportunity program shall be treated as a violation
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 deism 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 & mended.
(b) Minority and Wcmen's Business Enterprise. The Recipient shall be
responsible for meeting the applicable regulations regarding
participation by minority business enterprise (MBE) in Department
Of Transportation programs set forth at 49 C.F.R. Part 23, 45 F.R.
21172 et seq., March 31, 1980, or any revision or supplement thereto.
Pursuant to the requirements of section 23.43 of those regulations:
(1) Policy. It is the policy of the Department of Transportation
that minority business enterprises, as defined in 49 C.F.R. Part 23,
ehaZZ 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.
6
(2) 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 maximwn opportunity toparticipate in the performance "of
contracts and subcontracts financed in whole or in part with federal
funds provided under this Agreement. In this regard aZZ Recipients and
contractors ehaZZ take aZZ necessary and reaeonable steps in accordance`
with 49 C.F.R. Part 23 to ensure that minority business enterprises have
the maximum opportunity to compete for and perform contracts. Recipients
and their contractors shaZZ not discriminate on the basis of race,.
color, nationaZ origin or sex in the award and performance of DOT -
assisted contracts.
(3) If as a condition of assistance the Recipient has submitted and
the Department has approved a minority business enterprise affirmative
action program w4ich the;Recipient agrees to carry out, this program is
inoornorated 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.
(4) The Recipient shall advise each subrecipient, contractor, and
subcontractor that failure to carry out the requirements set forth in
23.43(x) shall constitute a breach of contract and, after the notification
of the Department, may result in termination of the Agreement or contract
by the Recipient or such remedy as the Recipient deems appropriate.
(5) Recipients shall take action concerning lessees as follows:
(A) Recipients shall not exclude MBE's from participation in
business opportunities by entering into long-term, exclusive agrea�nents
with non -M's for operation of major transportation -related activities
for the provision of goods and services to the facility or to the public
on the facility.
(8) Recipients required to submit affirmative action programs
under section 23.41(a)(2) or (a)(3) that have business opportunities for
lessees shall submit to the Depnt for approval with their programs
overall goals for the participation as lessees of firms owned and controlled
by minorities and firms owned and controlled by -women. These goals
shall be for a specified period of time and shall be based on the factors
listed in section 23.45(g)(5). Recipients 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 circv<mstances affecting the selection
9
of goals. Following each review, the Recipient shall sutmit new overall
goals to the Department for approval. Recipients that fail to meet
their goals for HE lessees shall demonstrate to the Department in
writing that they made reasonable efforts to meet the goals.
(C) Except as provided in this section, Recipients are requried
to include lessees in their affirmative action programs. Lessees themselves
are not subject to the requirements of this Part, except for the obligation
of section 23.7 to avoid discrimination against NBE's.
(6) The Recipient agrees to include the clauses in Subsection (1)
and (2) of Section 109(b) above in all subsequent agreements between the
Recipient and any suhrecipient and in all subsequent DOTE -assisted contracts
between the Recipient or subrecipients and any third party contractor.
(c) Title VI Civil Rights Act of 1964. The Recipient will comply and
will assure the compliance by contractors and subcontractors under
this Project with all the requirements imposed by Title VI of the
Civil Rights Act of 1964 (49 U.S.C. § 2000d), the Regulations of
DOT issued there der, 49 C.F.R. Part 21 and the Assurance by the
Recipient pursuant thereto.
(d) Competition in Procurement. The Recipient shall comely with the
Procurement Standards- rF:qu Barents set forth in Attachment 0 of O`
Circular A-102, as amended, or A-110, as may be appropriate; and
with any supplementary guidelines or regulations as may be promulgated
by the Government.
(e) :hics. The Recipient shall maintain a written code or standards
6T—cU0uct which shall govern the performance of its officiers,
employees or agents engaged in the award and administration of
contracts supported by Federal funds. Such code shall provide that
no employee, officer or agent of the Recipient shall participate in.
the selection, or in the award or. 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 avlcyee, officer or agents
2. any member of his itrmediate femilyt
3. his or her partner; or
4 an organization which employs, or is about to eqPlcY• anY
of the above.
The code shall also provide that the recipient's officers, etplcyees or
agents shall neither solicit nor accept gratuities,favar�s or anything
of monetary value fr m ooso potential oontaPtors., or parties
to eubagrea — &
The Recipient may set mini= rules where the financial interest
is not substantial or the gift is an unsolicited item of nominal
intrinsic value.
Th the extent permitted by State or local law or xegulatioaLs, such
standards of oonduct shall provide for penalties, sanctions, or
other disciplinary actions for violations of such standaxds by
the Recipient's officers, employees, or agents,, or by =%tractors
or their agents.
(f) Interest of Mambers of or Delegates to Congress. No member of or
delegate to Congress of the United States shall be admitted
to any share or part of this agreement or to any benefit arising
therefrom.
Section 110. Construction Coaztracts.
(a) Nondiscrimination. the Recipient hereby agrees that it will.incorporate
or cause orad into any contract for construction work,
or modification as defined in the Regulations of the
Secretary of Labor at 41 C.F.R. Chapter 60, which is paid for in
whole or in part with funds obtained from the Federal Get
or borrowed an the credit of the Federal Duvet pursuant to a
grant, contract, loan, insurance, or guarantee, or undertaken
pursuant to any federal program involving such grant, contract,
loan, insuranoe,.or quarantse, the following equal cppoa:~bunity
clause:
11
During the performance of this contract, the contractor agrees
as follows:
(1) The contractor wilt not discriminate against any
employee or applicant for employment because of mace, color,
religion, sex, or national origin. The contractor wiZZ 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 shalt include, but not be limited to the following:
LVZoyment, upgrading, demotion, or transfer; recruitment or
recruitment advertising; layoff or termination; rates of pay
or other forms of compensation; and selection for training,
including arprentieeship. The contractor agrees to post in
conspicuous places, available to empZojees and applicants for
employment, notices to be provided setting forth the provisions
of this nondiscrimination clause.
(2) The contractor wilt, in all solicitations or advertise -
*!tents for employees placed by or on behalf of the contractor,
state that all qualified applicants will receive consideration
or employment wi thou t regard to race, color, religion, sex, or
national origin.
(3) The contractor will send to each Zabor union or repre-
sentative 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, and shall
post copies of the notice in conspicuous pZaoee available to
employees and applicants for employment.
(4) The contractor will comply with all provisions of
Executive Order 11246 of September 24, 1865, as amended, and
of the rules, regulations, and relevant orders of the Secretary
of Labor.
(5) The contractor will furnish all information and,reporte
required by Executive Order 11246 of September 24, 2966, as
amended, and by rules, regulations, and ordere of the Secretary
of Labor, or pursuant thereto, and will permit access to his
books, records, and account* by the administering agency and
the Secretary of Labor for purposes of investigation to
ascertain compliance with such rules, regulations, and orders.
(6) rn the event of the contractor's noncompliance with
the non-discrimination clauses of this Agreement or with any
of the said rules, regulations or orders, this Agreement may be
12
cancelled, terminated, or euepended 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 authorised in
Executive Order 11246 of September 24, 2b65, as amended,
and such other sanctions may be imposed and remedies invoked
as provided in Executive Order 11246 of September 24, 1965,
as amended, or by rule, regulation, or order of the Secretary
of Labor, or otherwise provided by law.
(7) The contractor will include the portion of the sentence
immediately preceding paragraph (1) and the provisions of
paragraphs (1) through (7) 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, as amended, so
that such provisions shad be binding upon each subcontractor
or vendor. The contractor will take such action with respect
to any subcontractor purchase order as the administering
agency may direct as a means of enforcing such provisions,
including sanctions for noncompliance; Provided, however,
That in the event a contractor becomes involved in, or is
threatened with, litigation with a subcontractor or vendor
as a result of such direction by the administering agency,
the contractor may request the United States to enter into
such litigation to prote*t the interests of the United States.
The Recipient further agmes that it will be bound by the above
equal opportunity clause with respect to its awn employment practices
when it participates in federally assisted omstrvcticn work; Provided
That if the FOCipient so participating is a State or local yaverntrent,
the above equal o!ppor mity clause is not applicable to any agency,
instrumentality or subdivision of such gaverrme nt which does not
Participate in work on or under the Agreement.
The Recipient agrees that it will assist and cooperate actively
with the administering agency sem. the Maty, of rabor in d7taining
the canplianoe of contractors and seibco¢�tracbo.--s with the equal
q4a0rbKdty clause and the rules, regulations, and relevant orders
of the Secretary -of Labor, that it will furnish the adt,ninistering
agency and the Secretary of Labor such information as they may
require for the supervisicr, of such compliance, and that it will
otherwise assist the administering agency in the discharge of the
agency's primary responsibility for securing ocoplianae.
The Racipient further aq;rees that it will refrain from
entering into any contract or contract modification subject to
Executive Order 11246 of September 24, 1965, as amended, with any
13
contractor ddx=vd frm, or who has not dmmtrated eligibility
for Government contracts and federally assisted construction contracts
pursuant to the Executive Order and will carry cot such sanctions
and penalties for violation of the equal opportunity clause as
may be imposed upon contractors and subcontractors by the,administering
agency or the Secretary of Inbar pursuant to Part II, Subpart D of
the Executive Order. In addition, the Recipient agrees that if it
fails or refuses to omply with these undertakings, the administering
agency nay 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 frau extending any further assistance
to the Recipient under the program with respect to which the failure
or refund occurred until satisfactory assurance of future canplianee
has been received from such Recipient; and refer the case to the
Department of Justice for appropriate legal proceedings.
(b) Specifications. Recipient hereby agrees that it will incorporate or
cause tobee incorporated the specifications set forth below in
all federal and federally assisted contruction contracts, or modifi-
cations 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 60-4.6 and in construction
subcontracts in excess of $10,000 necessary in whole or in part to
the performance of noneonstruction federal contracts and subcontracts
covered under Executive Order 11246:
STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION
CONTRACT SPECIFICATIONS (Executive Order 112.46):
'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. "ftployer identifieation number" means the
Federal Social Security number used on the Employer's
Quarterly Federal Tax Return,,U.S., Treasury,Depart-
went Form 841.
14
d. Vinority" includes:
(i) Black (all persons having origins in any
of the Black African racial Vvups not of
Hispanic origin);
(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 con-
struction trade, it shalt physically include in each subcontract
in excess,of $20,000 the provisions of these specifications and
the Notice which contains the applicable goals for minority and
female participation and which is set forth in the solicitations
from which this contract resulted.
J. If the contractor is participating (pursuant to 41
C.F.R. 60-4.5) in the covered area either individually or
through an association, its affirmative action obligations on
all work in the Plan area (including goals and timetables)
shall be in accordance with that Plan for those trades which
have unions participating in the Plan. Contractors must be
able to demonstrate their participation in and compliance with
the provisions.of any such Hometown Plan. Each contractor or
subcontractor participating in an approved Plan is individually
required to oomply 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 suboncontractor's failure to take good faith
efforts to achieve the Plan goals and timetables.
15
4. The contractor shall implement the specific affirmative
action standards provided in paragraphs 7a through p of these
specifications. The goals set forth in the soZicitation from
which this contract resulted are expressed as percentages
of the total hours of employment and training of minority
and female utilisation the contractor should reasonably be
able to achieve in each construction trade in which it has
employees in the eoverd area. The contractor is expected to
make substantially uniform progress toward its goal in each
craft during the period specified.
S. Neither the provisions of any collective bargaining
agreement, nor the failure by a union with whom the contractor
has a collective bargaining agreement, to refer either
minorities or women shall excuse the contractor's obligations
under these specifications, Executive Order 71246, or the
regulations promulgated pursuant thereto.
6. In order for the nonworking training hours of
apprentices and trainees to be counted in meeting the goals,
such apprentices and trainees must be employed by the contractor
during the training period, and the contractor must have made
a commitment to employ the apprentices and trainees at the
completion of their training, subject to the availability of
employment opportunities. Trainees must be trained pursuant to
training programs approved by the U.S. Department of Labor.
7. The contractor shall take specific affirmative actions
to ensure equal employment opportunity. The evaluation of
the contractor's compliance with these specifications shalt
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. Eheure and maintain a working environment free
of harassment, intimidation, and coercion at all sites,
and in all facilities at which.the contractor's-empZoyees
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.
16
b. Establish and maintain a current list of minority
and femaZe reoruitment sources, provide written notification
to minority and female recruitment sources and to
community organizations when the contraotor 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-
stroet appZioant 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 halt for referral and was not referred back to
the contractor by the union or, if referred, not employed
by the contractor, this ehaZZ be documented in the file
with the,rgagon 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 -site training opportunities and/or
participate in training programs for the area which expressly
include minorities and women, including upgrading programs
and apprenticeship and trainee programs relevant to the
contractor's employment needs; especially those programs
fknded or approved by the Department of Labor. The
contractor shalt provide notice of these programs to the
sources oompiZed under 7 b above.
f. Disseminate the contractor's EEO policy by
providing notice of the policy to unions and training
programs and requesting their cooperation in assisting
the contractor in meeting its EEO obligations; by
including it in any policy manual and ooZleotive
bargaining agreement; by pubZioizing it in the company
newspaper, annual report, etc.; by specific review of
the policy with all management personnel and with all
minority and ferrate employeee at least once a year;
and by posting the company EEO policy on bulletin boards
accessible to all employees at each location where
construction work is performed.
17
g. Review, at least annually, the company's EEO
policy and affirmative action obligations under these
specifications with all empZoyees having any reeponsi-
bility for hiring, assignment, layoff, termination or
other employment decisions including specific review
of these items with onsite supervisory personnel such
as Superintendents, General Foreman, etc., prior to the
initiation of construction work at any job site. A
written record shaZZ 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 erternaZZy
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 sub-
contractors 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 organisations
serving the contractor's recruitment area and employment
need$. Not tater than one month prior to the date for
the acceptance of applications for apprenticeship or
other training by any recruitment source, the contractor
shaZl 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 eohooZ, summer and vacation
employment to minority and female youth both on the site
and in other, areas of contractor's workforce.
k. Validate all tests and -other selection require-
ments where there is an obligation to do so under 41
C.F.R. Part 60-3.
Z. 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.
0t7
m. Ensure that seniority practices, job ctassifi-
cations, work assignments and other personnel practices,
do not have a discriminatory effect by continually
monitoring all personnel and employment'retated activities
to enure that the EEO policy and the contractor's
obligations under these specifications are being carried
out.
n. Ensure that all facilities and company activities
are nonsegregated except that separate or singZe-user
toilet and necessary changing facilities shaZZ be provided
to assure privacy between the sexes.
o. Dooument and maintain a record of all solioita-
tions of offers for subcontracts from minority and female
construction contractors and suppliers, including oircutation
04-golicitatione to minority and female contractor associa-
tLons and other business associations.
P. Conduct a review, at Zeaet annually, of all
supervisors' adherence to and performance under the
contractor's EEO potioies and affirmative action obZi-
gations.
8. Contractors are encouraged to participate in voluntary
associations which assist in fulfU ling one or more of their
affirmative action obligations (7a through p). The efforts
of a contractor association, joint oontractor-union, contractor -
community, or other similar group of which the contractor is
a member and participant, may be asserted as fuZfU ling any
one of more of its obtigations under 7a through p of these
Specifications provided that the contractor actively participates
in the group, makes every effort to assure that the group has
a positve 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
fuZfitt an obligation shall not be a defense.for the contractor's
noncompliance.
9. A single goat for minorities and a separate single
goal for women have been established. The contractor, however,
is required to provide equal employment opportunity and to
take affirmative action for all minority groups, both made
19
and female, and all women, both minority and non -minority.
Consequently, the contractor may be in violation of the
Executive Order if a particular group is employed in a
substantially disparate manner (for example, even though
the contractor has achieved its goats for women generally,
the contractor may be in violation of the Executive Order
if a specific minority group of women is underutilised).
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 ahaZZ not enter into any subcontract
with any person or firm debarred from Government contracts
pursuant to Executive Order 11246.
12. The contractor shaZZ carry out such sanctions and
penalties for violation of these specifications and of the
EquaZ Opportunity Clause, including suspension, termination
and caneellation 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 fulfulling 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 shalt
proceed in accordance with 41 C.F.R. 60-4.8.
14. The contractor shalt designate a responsible official
to monitor all employment related activity to ensure that the
eompany,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 ahaZZ 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., meehanic,apprentice, trainee, helper,
20
or taborer), dates of changes in statue, hours worked
per week in the indicated trade, rate of pay, and locations
at which the work was performed. Records shall be maintained
in an easily understandable and retrievable form; however,
to the degree that existing records satisfy this requirement,
contractors shall not be required to maintain separate records.
15. Nothing herein provided shall be construed as a
limitation upon the application of other laws which establish
different standards of compliance or upon the application
of requirements for the hiring of local or other area residents
(e C., those under the Public Works Employment Act of 1977
and the Community Development Block Grant Program.)
(c) Notice. Recipient hereby agrees that it will ensure that the
RMW set forth below shall be included in, and shall be a part
of, all solicitions for offers and bids on all federal and federally
assisted construction contracts or subcontracts in -excess of $10,000
to be perfo=ed in geographical areas designated by the Director,
Office of FWaral Contract Compliance Programs of the Deparbnent
of Labor at 41 C.F.R. Section 60-4.6:
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 "EquazZ Opportunity Clause" and the "Standard Federal
Equal DnpZoyment Opportunity Construction Contract Specifi-
cations" set forth herein.
2. The goats 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;.
Timetable Goals for Goals for female
minority participation participation in
for each trade each trade
Insert goale for Insert goals for
each year. each year.
These goats are applicable to all the contractor's con-
struction work (whether or not it is federal or federally
assisted) performed in the covered area.
21
The oontraotorI# oomplianoe with the F,xeoutivs Order and the
regulations in 41 C.F.R. Part 60-4 shall be based on its tete
mentation of the'SquaZ Opportunity Clause, epeeifio affirmative
action obligations required by the specifications set forth in
41 C.F.R.60-4.3(a), and its efforts to meet the goals established
for the geographical area where the contract resulting from this
solicitation is to be performed. The hours of minority and female
employment and training must be eubstantiaZZy uniform throughout
the length of the contract, and in each trade, and the contractor
shalt make a good faith effort to employ minorities and women
evenly'on each of its projects. The transfer of minority or, female
employees or trainees from contractor to contractor or from project
to project for the sole purpose of meeting the contractor's goals
shall be a violation of the contract, the Executive Order and the
regulations in 41 C.F.R. Part 60-4. Compliance with the goals will..
be measured against the total work hours performed.
3. The contractor shalt provide written notification
to theDirectorof the Office of Federal Contract Compliance
Programs within ZO working days of award of any construction
subcontract in excess $10,000 at any tier for construction
work under the contract resulting from this solicitation.
The notification shall list the name, address and telephone
number of the subcontractor; employer identification number.;
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).
(d) L& Provisicns. PJrsusnt to Mgul.aticns set forth at 29
C. F. R . tlld ZO11971M Provisions shall be inoozparated in all
oanstructian contracts of $2,000 let by the fteipient in carrying
out the Project.
(1) Minimum wages. (i) All mechanics and laborers
employed or.wor ing upon the site of,the work, ViZt 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 regu-
Zations issued by the Secretary of Labor under the Cope-
land Act (29 C.F.R. Part 3)), the ,full amounts due at
time of payment computed at wage mates not Zees than
22
those contained in the wage determination decision
of the Secretary of Labor applicable to the Project,
regardless of any contractual relationship vhi.ch may
be alleged to exist between the contractor and such
Zaborere and mechanics; and the wage determination
decision shall be posted by,the contractor at the site
of the work in a prominent place there it can be
easily seen by the workers For the purpose of this
clause, contributions made or coste,reaeonabZy antici-
pated under section Z(c)(2) of the Davis -Bacon Act on
behalf of laborers or mechanics are considered wages
paid to such laborers or mechanics, subject to the
provisions of 29 C.F.R. 5.5 (a)(Z)(iv). Also for the
purpose of this clause, regular contributions made or
costs incurred for more than a meekly period under plana,
funds, or programs,.but covering the particular weekZy
period, are deemed to be constructively made or incurred
during such meekly period.
(ii) The contracting officer shall require that any
class of laborers or mechanics, including apprentices
and trainees, which is not listed in the wage, determination
and.whieh is to be employed under the contract, shall be
classified or reclassified conformabZy to the wage deter-
mination, and a report of the action taken shall be'sent
by DOT to the Secretary of Labor.. In the event,the interested
parties cannot agree on the proper.elaesification or recZassifi-
cation of a particular class of laborers and mechanics,
including apprentices and trainees, to be used, the question
accompanied by the reoomnendation of the contracting officer,,
shall be referred to the Secretary of Labor for final
determination.
(iii) The oontraeting.offieer shall require, whenever
the minimum wage rate prescribed in the contract for a
class of Zaborersor mechanics includes a fringe benefit
which is not expressed as an hourly wage rate and.the
contractor is obligated to pay a cash equivalent of such
a fringe benefit, an hourly cash equivalent thereof to
I -be established. In the event the interested parties .
cannot agree upon a cash equivalent of the fringe benefit,
the question, accompanied by the recommendation of the
contracting officer, shalt be.referred to the Secretary
of Labor for determination.
23
(iv) if the contractor does not make payments to a
trustee or other third person, he may consider as part of
the wages of any laborer or mechanic the amount of any costs
reasonably anticipated in providing benefits under a plan
or program of a type expressly listed in the wage determination
decision of the Secretary of Labor which is a part of this
contract: Provided,however, the Secretary of Labor has
found, upon the written request of the contractor, that the
applicable standards of the Davie -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 may withhold or cause to be
withheld from the contractor so much of the accrued payments
or advances as may be considered necessary to pay laborers
and mechanics, including apprentices and trainees, employed
by the contractor or any subcontractor on the work the full
amount of mages required by the contract. In the event of
failure to pay any laborer or mechanic, including any
apprentice or trainee, employed or working on the site of.
the work, 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.
(3) Payroll and Basic Records. (i1 Payrolls and basic
records relating thereto will be maintained during the course
of the work and preserved for a period of three years thereafter
for all laborers and mechanics working at the site of;the work.
Such records will contain the name and address of each such
employee, hie correct classification,. rates of pay (including
rates of -contributions or costs anticipated of the types
described in section 1(b)(2) 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 C.F.R. 5.5 (a)(2) (vi) that the wages of ,any laborers or
mechanics include the amount of any costs reasonably anticipated
in providing benefits under a plan or program described in
section 2(b) (2)(B) of the `Davie -Bacon Act, the contractor
shalt maintain records which show that the --commitment to
provide such benefits is enforceable, and 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.
24
(ii) The sontmator will submit weekly a copy of all
payroZZ8 to the Recipient for transmittal to DOT. The copy
shall be accompanied by a statement signed by the employer
or his agent indicating that the payroZZ8 are correct and
OOV Zete, that the Wage rates contained therein are not
less than those determined by the Secretary of Labor and
that the classifications set forth for each laborer or
mechanic conform to the work to be performed. A submission
of the "weekly Statement of CompZiance" which is required under
this contract and the Copeland regulations of the Secretary{
of Labor (29 C.F.R., Part 3) and the filing with the initial
payroll or any subsequent payroll of a copy of any findings
by the Secretary of Labor under 29 C.F.R. 5.5 (a)(1)(iv)
shall satisfy this requirement. The prime contractor shall
be responsible for the submission of copies of payrolls of
all subcontractors. The contractor will make the records
required under the labor standards clauses of the contract
available for inspection by authorized representatives of
DOT aniT the Department of Labor, and will permit such
representatives to interview employees during working hours
on the job.
Contractors employing apprentices or trainees under approved.
programs shall include a notation on the first weekly certified
payrolls submitted to the contracting agencies that their employ-
ment is pursuant to an approved program and shall identify the
program.
(4) AMrenticee and Trainees.
(A) Apprentices. Apprentices will be permitted to work
at lees than the predetermined rate for the work they perform
when they are employed and individuaZZy registered in a bona
fide apprenticeship program registered with the U.S. Depart-
ment of Labor, &gZoyment and Training A&ninistration,
Bureau of Apprenticeship and Training, or with a State
Apprenticeship Agency recognised by the Bureau, or if a person
is employed in hie 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 natio of apprentices to journeymen in any craft.
classification shall not be greater than the ratio permitted
to the contractor as to his entire work force under the
registered program. Any employee listed on a payroll at
25
an apprentice wage rate, who is not a trainee as defined in
subdivision (B) of this subparagraph or is not registered or
otherwise employed as stated above, shall be :paid the wage
rate determined by the Secretary of Labor for the classification
of work he actually' performed.
The contractor or subcontractor will be required to'
furnish to the contracting officer or a representative of
the kage-Hour Division of the U.S. Department of Labor
written evidence of the registration of his program and
apprentices as well as the appropriate ratios and wage
rates (expressed in percentages of the journeyman hourly
rates) for the area of construction prior to using any
apprentices on the contract work. The urge rate paid
apprentices shall not be less than the appropriate percentage
of the journeyman's rate contained in the applicable wage
determination.
(B) Trainees. Except as provided in 29 C.F.R. 5.15, trainees
will not be permitted to work at less than the predetermined
rate for the work performed unless they are employed pursuant
to or 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,
Bureau of Apprenticeship and Training. The ratio of trainees
to journeymenshall not be greater than that permitted under
the plan approved by the Bureau of Apprenticeship and Training.
Every trainee must be paid at not less than the rate specified
in the approved program for'his level of progress. Any
employee listed on the payroll at a trainee rate who is not
registered and participating in a training plan approved by
the Bureau of Apprenticeship and Training shall be paid not
Zess than the wage rate determined by the Secretary of Labor
for the classification of work he actually performed. The
contractor or subcontractor will be required to furnish the
contracting officer or a representative of the Wage -Hour
Division of the U.S. Department of Labor written evidence
of the certification of his program, the registration of
the trainees, and the ratios and wage rates prescribed in that
program. In the event the Bureau of Apprenticeship and
Training withdraws approval of a training program, the
contractor will no longer be permitted to utilise trainees
at Zees than the applicable predetermined rate for the work'
performed until an acceptable program is approved.
(C) >Egual Ela to ment ortunit - The utilisation of
apprentices, trainees and journeymen under this part `ehaZZ `
be in conformity with the equal empZoyment opportunity
requirements of Executive Order 11246, as amended, and
29 C.F.R. Part 30.
26
(5) . Compliance Frith Conetand Iagulations-(29 C.F.R. Part 3).
The contractor shalt comply with:the:.Cope Und Regulations
(29 C.F.R. Part 3) of the Secretary of Labor which are herein
incorporated by reference.
(6) Contract Termination; Debarment.
A breach of clauses (2) through (5) may be grounds
for termination of the contract, anis for debarment as provided
in 29 C.F.R. 5.6.
(7) Overtime Reguircments.
No contractor or subcontractor contracting for any part
of th;0-contract work which may require or involve the employ-
ment of laborers or mechanics shall require or permit any
taborer or mechanic in any workweek in which he 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 his basic rate of pay for all
hours worked in excess of eight hours in any oaZendar.day or.
in excess of forty hours in such workweek, as the case may be.
(8) Violation; Liability for Unpaid Wages; Liquidated Damages.
In the event -of any.violation of the clause set.forth in
subparagraph (7)., the contractor and any subcontractor
responsible therefor ehaZZ be"Ziable to any affected employee
for hie upaid wages. In addition, such contractor and sub-
contractor shall be liable to the United States lin 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 shaZZ be computed
with respect to each individual laborer or mechanic employee
in violation of the clause set forth in subparagraph (7), in
the sum of $20 for each calendar day on whichsuch employee ..
is 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 (7).
(9) Withholding for Liquidated Damages.
DOT may withhotd or cause to be withheld, from -any moneys
payable on account of work performed by the contractor or
subcontractor, such sums as may administratively be determined
27
to be necessary to satish any liabilities of atioh contractor
or subcontractor for liquidated damages as provided in the
clause set forth in subparagraph (8)
(10) FinaZ Labor Summ7w.
The contractor and each suboontractor shall furnish to
the Recipient, upon the completion of the contract, a sun wry
of all employment, indicating, for the completed Project,
the total hours worked and the totgZ amount earned.
(11) Final Certificate.
Upon completion of the contract, the contractor shall
submit to the Recipient with the voucher for final payment
for any work performed under the contract a certificate
concerning wages and classifications for laborers and
mechanics, including apprentices and trainees employed
on the Project, in the following form:
The undersigned, contractor on
(Contract No. )
hereby certifies that all laborers, mechanics, apprentices
and trainees employed by him or by a subcontractor performing
work under the contract on the Project have been paid wages
at rates not less than those required by the contract
provisions, and that the work performed by each such taborer,
mechanic, apprentice or trainee conformed to the classifioations
set forth in the contract or training program provisions
apptieabZs to the wage rate paid.
Signature and title
(12) Notice'to the Recipient of Labor_ Disputes.
Whenever the contractor has knowledge that any actual
or potential labor dispute is delaying or threatens to delay
the timely perforwnce of this contract, the contractor shalt
immediately give notice thereof, including all relevant in-
formation with respect thereto, to the Recipient.
(13) Disputes Clause.
(i1 All disputes concerning the payment of prevailing
wage rates or olassification-shall be promptly reported to
28
the Recipient for its referral to DOT for decision or, at the
option of DOT, DOT referral to the Secretary of Labor. The
decision of DOT or the Secretary. of Labor as the case -may be,
shall be final.
(ii) All questions relating to the application or
interpretation of the CopeZand Act, 40 U.S.C. $ 276c, the
Contract Work hours Standards Act, 40 U.S.C. SS 327-333, the
Davis -Bacon Act, 40 U.S.C. s 276a, or Section 13 of
the Urban Mass Transportation Act, 49 U.S.C. 5 Z60d, shall
be sent to UMTA for referral to the Secretary of Labor for
ruling or interpretation, and such ruling or interpretation
shaZZ.be final.
(14) Convict Labor.
In connection with the performance of work under this
contract the contractor agrees not to empZoy any person
undergoing sentence of imprisonment at hard tabor. This
does not include convicts who are on parole or probation.
(15) Insertion in Subcontracts.
The contractor shalt insert in all construction subcontracts
the cZausee set forth in subsections (1) through (15) of this
section so that all of the provisions of this section will be
inserted in all construction subcontracts of any tier, and such
other clauses as the Coverrvwnt may by appropriate instructions
require.
(e) Changes in Construction Contracts. Any changes in a construction
contract Y tted to DOT for prior approval unless the
gross anount of the changes is $100,000 or less, the contract was
originally awarded on a competitive basis, and the change does
not change the scope of work or exceed the contract period.
Construction contracts shall include a provision specifiying that
the above requirement will be met.
(f) ContractSecurity. The Recipient shall follow the requirements
of CMB circular A-102, as amended,, or A-110, as may be appropriate,
and UMM guidelines with regard to bid guarantees and bonding requirwmts.
(g) Insurance During Contrvation. The Recipient shall follow the
insurance requ� �-i y required by their State and
local goverrments .
(h) Signs. The Recipient shall cause to be erected at the site of
construction, and maintained during construction, signs
29
satisfactory to DOT identifying the Project and indicating that the
anvninent is participating in the development Of the Project.
(i) IiIauidated p!Mrs Provision. 7he Recipient shall include in all contracts
for
construction, a clause satisfactory to DDT iding for liquidated
damages, if (1) DOT may reasonably easpect to suffer damages (increaeect
costs on the grant project involved) fremt the late completion of the
construction and (2) the extent or amount of such damages would be
difficult or �ossible to assess. The assessment for damages shall be
at a specified rate per day for each day of overrun in contract time
deducted from payments otherwise due the contractor. This rate, which
must be satisfactory to DOT, lw`st ':e specified in the contract.
(j) Provisions of Construction Contract. The terms and conditions of each
competitive y bid construction contract are subject to prior approval by
DOT if the estimated cost will exceed $25,000, unless and to the extent
that such prior approval is waived in writing by DOT. In addition to the
requirements of this Section 110, each construction contract shall
contain, among others, provisions required by subsections (e), and (f)
of Section 109 hereof.
(k) Actual Work by Contractor. Tne Recipient shall require that a construction
contractor perform, on the site and with his own staff, work equivalent
to at least 10 percent of the total amount of construction work covered
by his contract.
(1) Force Account. If a'st:s of construction performed by employees of the
Recipient areestimated to exceed $25,000, prior approval of DOT.must
be obtained or else such costs may not be included as eligible
Project Costs.
(m) Safety Standards. Pursuant to Section 107 of the Contract Work
Hours and sarety Standards Act and Department of Labor Regulations at
29 C.F.R. § 1926, no laborer of mechanic working on a construction
contract shall be required to work in surroundings or under work-
ing conditions which are unsanitary, hazardous, or dangerous to
his or her health and safety as determined tarter construction
and health standards promulgated by the Secretary of Labor.
Section 111. Environmental, Resource, and Energy Protection and Conaervati
(a) Compliance with Environmental Standards. The Recipient shall
comply provisions of the Clean Air Act, as amended (42
U.S.C. 5 1857 et seg.); the Federal Water Pollution Control Act, as
amended (33 U.S.C. S 1251 et seq.); and implementing regulations,
in the facilities which are involved in the Project for which
federal assistance is given. 'The Recipient shall ensure that the
facilities under ownership, lease or supervision, whether directly
or under contract, that shall be utilized in the acoanplishmer►t of
the Project are not listed an the EPA's List of Violating Facilities.
Contracts, suboantracts, and subgrants of its in excess of
$100,000 shall contain a provision which requires compliance with
all applicable standards, orders, or requirements issued under
Section 306 of the Clean Air Act (42 U.S.C. 1857(h)), Section 508
of the Clean Water Art (33 U.S.C. 1368), Executive Order No. 11738,
and Environmental protection Agency (EPA) regulations (40 C.F.R.
Part 15). The Recipient and any third -party contractor thereof
shall be responsible for reporting any violations to UMM and to
30
the EPA Assistant Administrator for Enforcement. In addition, tis:
Recipient shall notify UKM of the receipt of any camunicatian
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 in EPA.
(b) Air Pollution. No facilities or equipment shall be acquired, constructed,
or improved as a part of the Project unless the Recipient obtains satis-
factory assurances that they are (or will be) designed and equipped to
limit air polluticn as provided in the Ewternal Operating Manual and
in accordance with all other applicable standards.
(c) Use of Public Lands.No publicly owned'land from a park, recreation area,
or Zldlife wd waterfowl refuge of national, State, or local significance
as determined by the Federal, State or local officials having jurisdiction
thereof, or any land from an historic site of national, State, or local
significance as so deternined by such officials may be used for the
Project without the prior ooncurrence of DOT:
(d) historic` Preservation The Recipient shall assist`UMTA in its'conpliance
with Section 109 o Natioaial Historic Preservation Act of 1966,, as
amended ''(16 U.S.C. 470), Executive Order No. 11593, and the Archeological
and Historic Preservation Act of 1966 (16 U.S.C. 469a-1 et seq.) by"(a)
consulting with the State Historic Preservation Officer on the conduct
of investigations, as necessary, to identify properties listed in or '
eligible for inclusion in the National Register of Historic Places that
are subject to'adverse effects (see 36 C.F.R. Part 800.8) by the activity,
and notifying UWA of the existence of any such properties, and by (b)
complying with all requirements established by UKM to avoid or mitigate
adverse effects upon such properties,
(e) Conservation. The Recipient and its third party contractors shall
recognize mandatory standards and policies relating to energy efficiency
which are contained in the Stage energy conservation plan issued in `compliance
with the Energy Policy and Conservation Act (P.L. 94-163)
Section 112.' Patent Rights.
(a) Whenever any invention, impt,'`or discovery (whether or not patentable)
is canosived or for the first time 'actually reduced to practice,, by the
Recipient or its employees, in the course of, in connecticni,with, or under
the tM= of this' Agreement; the Recipient shall Mately give the
Secretary of Wr,`through UMTA, or his 'authorized representativ, written
notice thereof; and the Secretary shall have the sole and exclusive power
.to detennine whether or not and where a patent application shall be 'filed,
and to determine the disposition of all rights in such invention, improve-
ment,`or disoovery, including title to and rights under any patent appli-
cation ` or patent that may issue' the w n. The determination of the
Secretary on all these matters shall be accepted as final, and the recipient
agrees that it will, arra warrants that all of its employees who may be
the inventnrs will, execute all documents and do all things necessary
or proper to the effectuation of such determination.
31
(b) Egypt as otherwise authorized in writing by the Secretary or
his authorized representative, the Recipient shall obtain patent
agreerwnts to effectuate the provisions of this.clause from all
persons who perform any part of the work under this Agreement,
except such clerical and manual labor personnel as will have no
access to technical data.
(c) Except as otherwise authorized in writing by the Secretary or
his authorized representative, the Recipient will insert in each
third -party contract having design, test, experimental, develop-
mental, or research work as ore of its purposes, provisions
making this clause applicable to the third party contractor and
its employees.
(d) (1) The Recipient and the third -party contractor, each, may reserve
a revocable, nonexclusive, royalty -free license in each patent
application filed in any country on each invention subject to this
clause and resulting patent in which the Government acquires title.
The license hall extend to the third party contractor's domestic,
subsidiaries and affiliates, if any, within the corporate structure
of which the third -party contractor is a part and shall include the
right to grant sublicenses of the same scope to the extent the
third -party contractor was legally obligated to do so at the time
the contract was awarded. The license shall be transferable only
with approval of LATA except when transfered to the successor of
that part of.the third -party contractor's business to which the
invention pertains.
(2) The third -party contractor's nonexclusive domestic license
retained pursuant to paragraph (d)(1) of this clause may be revoked
or modified by UKM to the extent necessary to achieve expeditious
practical application of the Subject Invention under 41 C.F.R.
101-4.103-3 pursuant to an application for exclusive license submitted
in accordance with 41 C.F.R. 101-4.104-3. This license shall not
be revoked in that field of use and/or the geographical areas in
which the third -party contractor has brought the invention to the
point of practical application and continues to make the benefits
of the invention reasonably accessible to the public. The third -
party ccntractew's n=,w=lusive license in any foreign country
reserved pursuant to paragraph (d)(1) of this clause may be revoked
or modified at the discretion of UMTA to the extent the third -patty
contractor or his domestic subsidiaries or affiliates have failed
to achieve the practical application of the invention in that
foreign country.
(3) Before modification or revocation of the license, pursuant to
paragraph (d)(2) of this clause, LWA shall furnish the third -party
contractor a written notice of its intention to modify or revoke the ,
32
license, ,arra the third -party oontii'acttior shall be allowed 30 days
(or;such ,ager period as may be authorized by tKM for good cause
shown in writing by the third -party oontractar) after the notice to
W= cause why the license should not be modified or revoked. Tl-ge
Wxd-pa ty contractor shall have the right to appeal# in a000rdar�e
with procedures prescribed by MM, any decision concerning the
modification or reviocaticn of his license.
(e) In the event no inventions, ,or discoveries (whether
or..not patentable) are oohceived, or for the first time actually
reduced -to practice by the Recipient, its aVloyees, its third -
party contractors, or their mployees, in the course of, in
connection with, or under the terns of this Agreement, the Recipient
shall :so certify to -the Secretary or his authorized representative,
no later than the date on which the final report of work done, is
due.
(f) If the Recipient or the third -party contractoris permitted to file
patent applications pursuant to this Agrement, the following
statement shall be included within the first paragraph of the
specification of any such patent application or patent:
fi The invention described herein was made in the course.
of, or.under, a Project with the Department of Trans-
portation.
(g):
In, the event .the recipient or the third -party contractor is permitted
to:,acquire principal rights pursuant to this clause and fails to
take:effective steps within 3 years after issuance of a patent
on any patent applications permitted to be filed pursuant to this
clause to bring the claimed invention to the point of practical
application,. the Secretary or his authorized representative may
-... revoke such rights or require the assignment of such rights to the
Government.
(h) The ISecretary or, his authorized representative shall, before the
expiration of three (3) years after final payment under this
grant, have the right to ex=dne any books# records, documents,
and other :supporting data of the Recipient which the Secretary or
his authorized representative shall reasonably deem directly
pertinent to the discovery or identification mf inventions
falling within the criteria set out'in paragx I (a), or to
: ,ompliance by the Recipient with the requirement. of this clause.
The, Secretary or his authorized representative shalt. during
the ;period specified above, have the further right tc require the
,Recipient to examine any books, records, dents, arra ether .
support- data of the third arty contractor which the skoipient
shall reasonably deem directly pertinent to the discovery m
33
ieentification of inventions falling within the crit®ria net
out in paragraph (a) or to coavliance by the third --party
contractor with the requirements of the patant rights clause
of the third -party contract.
Section 113. 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 meadia such as drawings or photographs;
text in specifications or related performance or design -type
docurents; machine forms such as punched cards, magnetic tape,
or =rputer memory printouts; and information retained in oomputer
memory. Examples include, but are not limited to, engineering
drawings and associated lists, specifications, standards, process
sheets, manuals, technical reports, catalog itern 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 Agree-
ment 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 am internal use, the Recipient shall not publish or
reproduce such data in whole or in part, or in any manner or form,
no2., 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 Cimmm-
ment 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 mariner, 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 Govern-
ment, 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
34
Privacy, arising out of the publication, translation, re tion,
Wit . %Me or disposition of any data furnished
under this Agrement.
(e)- Nothing contained in this clause ahall.imply a license to the
Government under any patent or be construed as affecting the
scope of'ww lice or other right otherwise granted to the
Get under any patent.
(f). In the event that the project, which is the subject of this Agrewent,
is not completed, for any reason whatsover, all data generated
under that Project shall become subject data as defined in the
Rights in Data clause in this Agreement and shall be delivered as
the Government may direct. This clause shall be included in all
third -party contracts under the project.
(g) Paragraphs (c) and (d) above are not applicable to material furnished
to the Recipient by the Mwer went 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.
Section 114. Cargo Preference - Use of United States -Flag vessels.
(a) 46 U.S.C. S 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
orfor the account of any foreign nation without provision for
reimbursement, any equipment, materials, or cxanmodities, 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 rgnl -lities,
the appropriate agency or agencies shall take such steps as may
-be necessary and practicable to assure that at least 50 per oentum
of the groes tonnage of such equipment, materials, or commodities
(curputed separately for dry bulk carriers, dry cargo limners, and
tankrers), 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 partici-
pation. of . United State's -flag am- m ercial vessels in such cargoes
b'� geograpizirc areas: .. .
(2) Every department or agency having responsibility under
this subsection shall adxainister its programs with respect to
this subbsection requ].atioazs issued by the Secretary of
commerce
... .
35
(b) Pursuant to regulations published by the Secretary
46 C.F.R. Part 3810 the Recipient agrees to insert
clauses in all contracts let by the Recipient
materials os coamodities may be transported by ocean
carrying out the Project:
The contractor agrees --
of cant wee at
the following
tams which equipmente
vessel in
(Z) To utilize privately owned United States -flag commercial
vessels to ship at least 50 percent of the gross tonnage (computed
separately for dry bulk carriers, dry cargo liners, and tankers)
involved, whenever shipping any equipment, materials, or commodities
pursuant to this section, to the extent such vessels are available
at fair and reasonable rates for United States -flag commerciaZ
vessels.
(2) To furnish within 30 days following the date of loading
for shipments originating within the United States, or within 30
working days following the date of loading for shipment originating
outside the United States, a legible copy of a rated, "on -board"
commercial ocean bill-of-Zading in English for each shipment of
cargo described in paragraph (Z) above to the Recipient (through
the prime contractor in the case of subcontractor biZZe-of-Zading)
and to the Division of National Cargo, Office of Market Develop-
ment, Maritime Administration, Washington, D.C. 20230, marked
with appropriate identification of the Project.
(3) To insert the substance of the provisions of this clause
in all subcontracts.issued pursuant to this contract.
Section 115. Buy America.
Pursuant to Section 401 of the Surface Transportation Assistance
Act of 1978 P.L. 95-599, Nov. 6, 1978, and regulations published
thereunder, the Recipient agrees that if the total cost of this
Project or any anent thereto exceeds $500,000,and if fm& therefor
are obligated by the pavement after Novedar 6, 1978, the Recipient
shall r juirs with respect to any edzd party contract th�eret�der
that exceeds $500,000 that only such umranufactured articles, materials,
and supplies as have been mined or produced in the United States,
and only such manufactured articles, materials, and supplies as have
been manufactured in the United States wA)stanti,ally all frm
articles, materials, and supplies mined, produced, or manufaebtired,
as the case may be, in the United Stags, will be used in such Project,
unless a vetiver of these provisions is. -granted.
�V
uh,'n—nn. written request to the Tecrotary, the Pwipient may request
a waiver of the above provisians. Such waiver Wry be granted if
the Secretary dete=inas s
(1) their application mould be inconsistent with the public
interest;'
(2) in the case of acquisition of rolling stock, their appli-
cation would result in e cost (after granting appropriate
price adjustments to domestic products based on that portion of
Project cost likely to be returned to the United States and to
the States in the form of tax revenues) ;
(3) supplies of the class or kind to be used in the manufacture
of articles, materials, supplies are not mined, produced, or
manufactured in the United States in sufficient and reasonably
available quantities and of a satisfactory quality; or
`(4) that inclusion of domestic material will increase the
cost of the overall Project contract by more than 10 per centum.
Section 116. 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 Urban Mass Transportation Act of 1964, as amended, 49 U.S.C.
S 1602(f), and regulations published thereunder.
(b) School Bus. The Recipient, or any operator of mass transportation
acting on its behalf, shall not engage in school bus operations,
exclusively for the transporati.on of students or school personnel,
in ompetition with private school bus operators, except as
provided under Section 3(g) of the Urban Mass Transportation Act
of 1964, as .amajded, 49 U.S.C. S 1602M and regulations nublished
thereunder.
Section 117. romilianoe with Elderly and Handicapped Regulations.
The Recipient shall insure that all fixed facility construction or
alteration and all new equipment included in the Project comply with
applicable regtilatioa>s regarding Traasportatian for Elderly and Handi-
capped Persons, ret forth at 49 C.F.R. Part 27.
Section 118. Flood Hazards.
The Recipient shall comply with the flood insurance purchase require-
ments with respectto oonstruction or acquisition purposes, of
Section 102(x) of the Flood Disaster protection Act of 1973,
42 U.S.C. S 4012(x).
37
section 119. PrLvaa.
Should the Recipient,, its third party contractors or its etployess
administer any systa n of records on bdalf of the Federal Govwnmr„nt,
the following terms and conditions are applicable.
(a) The Recipient agrees:
(l) to ccnply with the Privacy Act of 1974, 5 U.S.C. S 552a
(the Act) and the rules and regulations issued pursuant to the Act vi*n
Performance under the contract involves the design, development,
or operation of any system of records on individuals to be
operated by tho Recipient, its contractors or employees to
acoormplish a Government function;
(2) to ratify the Govenvient when the Recipient anticivates
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 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 erployed in the performance of this Agreement until
the necessary approval and publication requirements applicable
to the system have been carried out. The Recipient agrees to
correct, maintain, dissadnate, and use such records in
a000rciaryoe .with the requirements of the Act, and to omply
with all applicable requirements of the Act;
(3) to include the Privacy Act Notification contained
in this Agreement in every third party contract solicitation
and in every third party contract when the performance of
work under the proposed third party contract may involve the
design, developrent, or operation of a system of records on
individuals ,,that is to be operated under the Contract to
accomplish a Gowerrment function; and
(4) to include this clause, including this paragraph, in
all third party contracts under which work for this Agreement
is performed or which is awarded pursuant to this Agreement or which
may involve the design, development, or operation of such
a system of records on behalf of the Gowarnm nt.
(b) Fbr purposes of the Privacy Act, w1m the Agreement involves
the operation of a system of records an individuals to .
accc uplish a Government function, the Recipient, third party
'contractorand any of their eaployees is considered to be an
employee of the Government with respect . to the Gomrrmmt
function and the requirements of the Act, including the
38.
civil and criminal penalties for violation of the Act, are
applicable except that the criminal penalties shall not apply
with regard'to.cohtrActs effective prior .to Septn*er 27, 1975.
In addition, failure -to coRply with the provisions of the Act
or of this clause will make this Agreement Subject to termi-
nation:
(c) The terms used in this clause have the lollowing meanings:
(1) "Operation of a system of reoords" means performance
of any of the activities associated with maintaining the system
of records on behalf of the Government including the collection,
use and dissemination of records.
(2) "Record" means any item, collection, or grouping of
infoxmetion about an individual that is maintained by the
i-cipient on behalf of the Cjcr n ent, including, but not
limited to, his education, financial transactions, medical
history, and criminal or eaployment 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 Get from which information is retrieved by the name
of the individual or by some identifying number, synbol, or
other identifying particular assigned to the individual.
Section 120. Miscellaneous.
(a) Bonus or Commission. The Recipient warrants that it has not
paid, also agrees not to pay, any bonus or oacmtiissien 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 , nothing in the Agreenmt 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 Agreecment
viola�y —applicable State or territorial law, or if O mplianoe
with the provisions of the Agreement would require the Recipient
to violate any applicable State or territorial law, the
recipient will at once notify DOT in writing in order that
appropriate changes and modifications may be made by DOT and the
Recipient to the end that the Recipient may proceed as soon
as possible with the Project.
39
(C) Ards. The Recipient, and any sAss tion apmtcr
it applies will,' for each l+oaal fiscal yew anciing
on or after July 1, 1978, confam to the systam and
the uniform► systwA of accomts and zeapeds to the a�ctant
ruirad by motion ' 15 of the Urban Maes Tz aration Act
of 1964, as amwx5ad, 49 U.S.C. 6 1611, effective fcw each
local fiscal year ending on or after ady 1, 1978, and UQ'A
regylatians.
(d) Severability. If any provision of this Agrement is held invalid,
to 'rem-alfi&r of this Agr went shall not be affected thereby
if such remainder would then continue to oonf(= to the trims
and smquirwants of applicable law.
f
�0�4
APPLICATION FOR FEDERAL ASSISTANCE
PART 1
3. Federal Grantor Agency
Department of Tronsporlolion
Organizational Unit
Urban Mass Tronsporlalion Adntinistrolicn
i Administrative Office
t
It
OMTA Regional Office
Street Address — P.O. Box
RESOLUTION #801 — 5/14/81
_
Oma NO, so nO.1of,
1. Slate Clearinghouse identifier 1
2. Applicant's Application No. (to be completed by UMTA)
TX -09-0170
4. Applicant Name
City of Lubbock
Department Division
Transit Department
Street Address — P.O. Box
P.O'. Box 2000
City County _
819 Taylor Street, Suite 9A32 Lubbock Lubbock_
City State Zip Code State Zip Code
Fort Worth Texas 76102 Texas 79457
5. Descriptive Name of the Project
Technical Studies Assistance for the Period 10/1/81 to 9/30/82
6, Federal Catalog No. 7. Federal Funding Requested
20.505 $ 36,000
B. Grantee Type
,.State, County,_____X__City, Other {Specify) r
9. Type of Application or Request
. s
X New'Gfant,—Continuation, Supplement, Other Changes (Specify)
10, Type of Assistance
---a
_1 Grant, Loan, Other (Specify) "
11, Population Directly Benefiting from the Project 13. Length of Project
176,00012 Months
12, Congressional District r _ 14. Beginning Date
a. 19 10/1/81
b, 115. Data of Application
19 5/19/81
16. The applic,— certifies that to the best of his knowledge and belief the data in this application are true and correct, and that he will comply
with the attached assurances if he receives the grant.
Typed name
Bill McAllister
Sign/attire of t filed Repres at;
Ifs
Telephone Number
Mayor AREA NUMBER EXT,
CODE
806 762-6411 20
06
For Federal Use Only
—.,.777777-777-
— _..... ...
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LLN
Grantee: City of Lubbock
Project No: TX -09-0170
BUDGET I.NFORMATION
PROJECT BUDGET
Line Item Total
Personnel 24,677
Fringe Benefits 4,223
Supplies 2,600
Contractual 13,500
Total $45,000
SUMMARY TASK BUDGET
Technical Acitivty Total
Area Studies and Analyses $21,600
Includes activities to determine efficiency of
existing services, as well as feasibility of new
and/or modified services, and perceived amenity
requirements due to modifications.
Special Efforts Program - Elderly and Handicapped 6,300
Includes activities maintaining and developing
the ongoing planning process as well as the dev-
elopment and analysis of operational improvements
to aid the efficiency and effectiveness of service.
Planning Documents 7,200
Includes such activities such as U.W.P., TIP/AE, TSH
Monitor System and Miscellaneous Studies 91900
Includes activities which monitor ongoing data
collection, assimilation and analysis of route
schedule, maintenance and management efficiency
levels.
TOTAL $45,000
Federal Grant (80%)
Local Contribution (20%)
Total (100%)
PROJECT FINANCING
$36,000
9,000
$45,000
CASH DISBURSEMENT SCHEDULE
FY QUARTER AMOUNT
82 1 $ 81000
2 9,000
3 11,000
4 8,000
Total Federal $36,000
HIDERal :t1r.S5!3i Ps?,•1,C)L-
ZAP?ll-
s.:1sJh!;?i:r� ._-..�..-
3 S:".5fl- ;!.i3T2
CANT'S
TX -09-0170
A,1rL!CA. I
APPLI•
TION
I?:£:IT1_ b. DA.E Year :vor.ra day
1. 1-y PE ?iuiP?LfCA7�^;J
b. D;r
A --TION ottr r•
�Xj r�, ,,tat ti I
CATION
Yor.r rr.onth day
19
F,EZ ASSIG.'IEO 19 81 03 09
(Mork np. ❑ NOTIF(CAT1ON CF 1-iTMT (opt)
proprab
Leave
boa:) ❑ RVORT OF FEDCAL ACTION
Vlank
4. LEGAL APFUCANT/RECIPIENT
5. F:]EPAi- EMPLOYER IDENTIFICATION 1`10,
a. Applicant Name City of Lubbock
b.Or,ani:alkisUnit Transit Department
C. Strast/P.O. Box P.O. Box 2000
PR.^,•
e. NUTASER5101. 5
b. TITLE
a. City Lubbock e. Csmty : Lubbock
G 11`a
It. State Texas S. UP Code: 79457
FedK:J
h. Can'sct Person (Name
CataJov)
& Grlephone No.)Wilson_
7. TITLE AND DESCRIPTION OF APPLICANT'S PROJECT
D. TYPE OF APPLICANT/RECIPIENT
Technical Studies Assistance for the period
A-tzlt% N-Commmity Action Aasncy
o intrr:L;4 t-Hi!•+rEducstionel institution
October 1, 1981 to September 30, 1982
�S�tricl J- .Ihsr Spt
District K Ct`sr (Spar'!y)s
D-Couunty
E -City
F-Szhool District
+
G -Special Purpose -F-1
Ir
Enter appropriate tetter L�J
9. TYPE OF ASSISTANCE
A -Salic Gr+n! D-Insaranii
21
3-Sugplemtn!al Cnat E-Dther Entrr nypro-
f
C -Loan ;.r:c!s (ailerw
i
10. AREA OF PROJECT IMPACT (Ns-nes of cities, eountise,
11. £3TI?dATED NUJd-
12. TYPE OF APPLICATION
Sta!ss, see.)
!A£R OF PERSONS
p; ;; r C-4avis!on E-,1u,-enL tirn
City of Lubbock, Texas
6cti-rim"13
176,000
rP,:newil D-Cm:tim:atic,t
I:nterapyrnpr,ateleitsr�
13. PROPOSED FUNOINC
14. CONGRESSIONAL DISTRICTS
OF:
15. TYPE OF CHANCE (For J'r or as)
ytlil.-wIS1 Doi!srs F-O!har
g Caernas r Collars pt
o. FEDERAL $ ,QOy
e. APPL!CAit7
b. Pr:O1ECT
h. APPLICAYTCD
Qno
19
C frtrraso Dsraii:nQ, -
C. ST1TE
I5. PROJECT START
17. PROJECT
L-Cancalla!rcn
DAi._ Yearntonth da•
CUrL4fION
Ener eppry
d. LGG16 .00
19
12 B!on!he
lettar(a1
a. CT E3 00
13. ESTIMATED GATE TO Year monila dal
_P•:a!e
19. EXISTING FEDERAL IJ=i TiFICATIJN Li jpoi, tv
EIC L-iEO TO
r. T?TJIl. s 45 000 .00
FEDERAL AGENA Y D 19 1 05 19
8
20. FEDERAL, AGVICY TO R£CBtYE REQUEST (Name, C(ty, State, ZFP code)
21. REMARKS ADDED
UMTA, Washington, D.C. 20590
,
p Yes rg NO
22.
e. To Lie Let of r.7 knowledge mad belief,
b, if raSuired by Died Clr:+!ar A-75 this a»lieatlon eves submM0, pursuant to in- No re- Rreponee
data in lhia prpwepli Npq/apeliptt..n wrr
struc"gs thwwinto >lopn.VIet'! FPA jilt re -m-.;,% jif7 01110.4:
TH1
true a:ad earre t, the documatt Iws basis
APPLICANT
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CERTIFIES
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a DATE SIGNS01
CERTIFYING
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Year " th day
IZ*a
MAY 44 198r
SENTATIYE
Bill McAllister, Mayor
25. APPLICA- fest month day
23. AGENCY NAME
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25. ORGANIZATIONAL UNIT
27. ADMINIZTRATIV E OFFICE
23. FFOERAL APPLICATION
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30. FEDERAL GRANT
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31. ACTION TAXEN
32- FUNDING
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34. Year monlA day
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33. ACTION DATED 19
STARTING
DATE 19
b. APPLICANT 00
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35. Yer--r asonth day
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424-101 STAHUARO FORM d--1 PAGE 1 1I0-73)
Praser05ed by GSA. Feder --J ..13nao.mens Cirerl;:r 74-7
UNIFIED WORK PROGRAM
TRANSIT ELEMENT
MARCH 1981
TRANSIT STUDY IMPROVEMENT PLAN
OBJECTIVE
The objective of this task is to examine the Transit System operated by the
subsidized private operator, Transit Management Company of Lubbock, and to
prepare recommendations for action which could improve service and/or reduce
deficits. To update and review previous work with an ongoing planning process
as may be required by UMTA for Capital Grant and Operating Assistance programs.
PREVIOUS WORK
The FY 1980 Technical Study included the refinement of the local special
efforts self -identification process to locate individuals and assess trans-
portation needs, Utilizing comments from interested elderly and handicapped
groups and evaluations of the service monitoring system, a program was de-
signed to provide additional service more efficiently. A Comprehensive
Operational Analysis program was assembled for study in FY 1981. A study
of maintenance management was completed with procedures and practices de-
fined and documented preparatory to moving to the new maintenance facility.
CURRENT WORK
The FY 1981 Transit 'technical Study Program has been divided into five task
elements.
1. Comprehensive Operational Analysis
A. To be performed by ATE Management and Service Co., Inc.; will pro-
vide an objective data base for future decisions; provide cost/
benefit analyses for various projects and recommendations for ser-
vice development, The analysis report will appear as a chapter
in the project final report.
B. Funding
UMTA $12,000
CITY $ 3,000
TOTAL $15,000 or 38% of the total project budget
2. Special Efforts Program - Elderly & Handicapped
A. Maintenance and development of the ongoing planning process
1) Continuance of the self -identification program with emphasis
on wheelchair and semi -ambulatory persons
a) Research other promary data collection sources
b) Monitor Elderly/Handicapped concentration areas
2) Update estimation of unmet travel needs
a) Amend provider inventory
b) Analysis of individual self -perceived needs from survey
c) Analysis of existing services
d) Comparison for determination of needs/services
3) Evaluation of proposed projects
a) Define measurable goals and objectives for special efforts
b) Revise and analyze special efforts trade-off matrix
c) Present a program as a chapter in the Technical Study
4) Every effort will be made to involve interested elderly and
handicapped persons in Transit Planning and Programming,
5) The continuance of a monitoring and evaluation system for the
Special Efforts Program, utilizing maximum involvement of local
elderly and handicapped individuals
B. Capital Acquisition Program
Update capital needs program through an analysis of the first 6
months of Special Efforts Services
C. Funding
UMTA $5,000
CITY $1,250
TOTAL $6,250 or 16% of the total project budget
3. Planning Documents
A. U.W.P. - Update development and documentation
B. TIP/AE - Development and documentation
C. TSM - Prepare short and intermediate transit analyses and goals
(through 1985)
D. Funding
UMTA $4,600
CITY $1,150
Total . $5,750 or 14% of the total project budget
4. Monitor system and miscellaneous studies
A. An ongoing monitoring task of data collection, assimilation and
analysis of route, schedule, maintenance and management efficiency
levels; along with various special projects and reports will con-
tinue to be an integral segment of the program
B. Funding
UMTA $7,600
CITY $1,900
TOTAL $9,500 or 23% of the total project budget
5. Energy Contingency Planning
A. Analysis and development of a proposed program including Capital
expenditures, and route and service expansion
B. Funding
UMTA $2,800
CITY $ 700
TOTAL $3,500 or 9% of the total project budget
PROPOSED WORK
The FY 1982 Transit Technical Study Program has been divided into four
task elements.
1. Area Studies and Analyses of/for New or Modified Service and Amenities
A. Detailed feasibility, cost/benefit and efficiency analyses based
upon local financial commitment to transit, neighborhood surveys
and planning profiles, and citizen perceived needs and commitment.
B. Funding
UMTA $17,280
CITY $ 41320
TOTAL $21,600 or 48% of the total project budget
2. Special Efforts Program - Elderly and Handicapped
A. Maintenance and Development of Ongoing Planning Process
11. ,Analysis of self -identification program
2. Analysis of travel needs
3. Update and evaluate goals and objectives for special efforts
(504 Transition Plan)
4. Analysis of citizen involvement
5. Report on system monitoring and evaluation
B. Funding
UMTA $5,040
CITY $1,260
TOTAL $6,300 or 14% of the total project budget
3, Planning Documents
A. U.W.P. - Update Development and Documentation
B. TIP/AE - Development and Documentation
C. TSM - Update Short Range Goals
D. Funding
UMTA $5,760
CITY $1,440
TOTAL $7,200 or 16% of the total project budget
4. Monitor System
A. An ongoing monitoring task of data collection, assimilation and
analysis of route, schedule, maintenance and management efficiency
levels; along with various special projects and reports will con-
tinue to be an integral segment of the program
B. Funding
UMTA $7,920
CITY $1,980
TOTAL $9,900 or 22% of the total project budget
RESPONSIBILITY
The primary responsibility for completion of the proposed work rests with
Y
the City of Lubbock Transit Department, Performance of the tasks is anti-
cipated to be accomplished by the Transit Department with the support and
involvement of the local staff of the subsidized private operator,
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 efforts will be coordinated with the subsidized private operAtor,
the State Department of Highways and Public Transportation, and other inter-
ested local agencies. There will be no duplication of effort since Transit
System review is a sole responsibility of the City,
PRODUCT
Documentation in report form.
FUNDING
Urban Mass Transportation
Administration $36,000
City of Lubbock $ 91000
Total Project $45,000
-CR ANTE E/CON FACTOR
X -PO or State
)irect.AgencY and/or Program Support and Administration
iegulatory-Administrative Requirements
;eneral Development and Comprehensive Planning
.ong Range Transportation Planning
[SM -Efficient Use of Road Space
CSM -Reduction of Vehicle Use in Congested Areas
rSM-Improvements to Transit Service
TSM -Improved Internal' Transit Management
TSM -Integrated TSM Planning Policy and Administration
Elderly and Handicapped Planning
Air Quality Planning
Energy Conservation and Contingency Planning
Other Special Projects
-00
1'AEfgIlEC DY D YE
UPWP Funding Summary
Current UMTA Project Budget lincluding
local /state match) #S D D D
Carry-over in UMTA funds (including
local/state match)
UPWP funding from FHWA (including $
local/state match)
UPWP funding from other agencies
(including local/state match)
Unmatched local/state funding
L !_.00_I0101
0000 :�•
l
0�00b.
Li oo_ L :.•
0=1 0 0 0
oobo
0000
MSM
UMTA FuNm ONLY
TOTAL ' .3 p o 0
Pass-through Funding Summary
Transit Operators S
Other Local Agencies S
Revised 12/80
END
►rs:.AE t��t
L -TATE AC-, 1%17't
_S:.G. fyo
Nv::.6 P
GRM.'3 A%VA,$I'ED
PA0)tCT NUu?E P
L7-
-CR ANTE E/CON FACTOR
X -PO or State
)irect.AgencY and/or Program Support and Administration
iegulatory-Administrative Requirements
;eneral Development and Comprehensive Planning
.ong Range Transportation Planning
[SM -Efficient Use of Road Space
CSM -Reduction of Vehicle Use in Congested Areas
rSM-Improvements to Transit Service
TSM -Improved Internal' Transit Management
TSM -Integrated TSM Planning Policy and Administration
Elderly and Handicapped Planning
Air Quality Planning
Energy Conservation and Contingency Planning
Other Special Projects
-00
1'AEfgIlEC DY D YE
UPWP Funding Summary
Current UMTA Project Budget lincluding
local /state match) #S D D D
Carry-over in UMTA funds (including
local/state match)
UPWP funding from FHWA (including $
local/state match)
UPWP funding from other agencies
(including local/state match)
Unmatched local/state funding
L !_.00_I0101
0000 :�•
l
0�00b.
Li oo_ L :.•
0=1 0 0 0
oobo
0000
MSM
UMTA FuNm ONLY
TOTAL ' .3 p o 0
Pass-through Funding Summary
Transit Operators S
Other Local Agencies S
Revised 12/80
A-95 Review
The A-95 Review of the Transit Planning Element contained in the UWP was
approved with the UWP on 5/12/81.
This application for Technical Studies Assistance described in the UWP
was submitted for A-95 Review on 5/19/81. A copy of the comments and
proceedings will be forwarded to UMTA as soon as they become available.
762-6411
P. O. Box 2000
LUBBOCK, TEXAS 79457
OPINION OF COUNSEL
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 C6uncil, 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 II, 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,
C—
CA ,
/ V
Donald G. Vandiver
First Assistant City Attorney
ASSURANCE OF COMPLIANCE WITH
TITLE VI OF THE CIVIL RIGHTS ACT OF 1964
(For Technical Studies Projects)
The City of Lubbock (Hereinafter referred to as the "Recipient") HEREBY
AGREES THAT as a condition to receiving any Federal financial assistance
from the Department of Transportation it will comply with Title'VI of the
Cvil Rights Act of 1964, 78 Stat. 252, 42 U.S.C. 20004-42 U.S.C. 2000d-4
(hereinafter referred to as the Act) and all requirements imposed by or
pursuant to Title 49, Code of Federal Regulations, Department of Trans-
portation, Subtitle A, Office of the Secretary, Part 21, Nondiscrimination
in Federally -assisted Programs of the Department of Transportation -
Effectuation of Title VI of the Civil Rights Act of 1964 (hereinafter
referred to as the Regulations) and other pertinent directives, to the
end that in accordance with the Act, Regualtions, and other pertinent
directives, no person in the United States shall on the grounds of race,
color, sex, or national origin be excluded from participation in, be
denied the benefits of, or be otherwise subjected to discrimination under
any program or activity for which the Recipient received Federal financial
assistance from the Department of Transportation, including the Urban Mass
Transportation Administration (UMTA), and HEREBY GIVES ASSURANCE THAT it
will promptly take any measures necessary to effectuate this agreement.
This assurance is required -by subsection 21.7 (a)(1) of the Regulations.
Moe specifically and without limiting the above general assurance, the
Recipient hereby gives the following specific assurance with respect to
the project:
1. That the Recipient agrees that each "program" and each "facility",
as defined in subsections 21.23 (e) and 21.23 (b) of the Regulations, will
be (with regard to a "program") conducted or will be (with regard to a
"facility") operated in compliance with all requirements imposed by, or
pursuant to, the Regulations.
2. That the Recipient shall insert the following notification in
all solicitations for bids for work or material subject to the Regulations
and made in connection with a project under the Urban Mass Transportation
Act of 1964, as amended (the UMTA Act), and, in adapted form, in all pro-
posals for negotiated agreements:
The Recipient, in accordance with Title VI of the
Civil Rights Act of 1964, 78 Stat, 252, 42 U.S.C.
2000d to 2000d-4 and Title 49, Code of Federal
Regulations, Department of Transportation, Subtitle
A, Office of the Secretary, Part 21, Nondiscrimination
in Federally -assisted Programs of the Department of
Transportation issued pursuant to such Act, hereby
notifies all bidders that will affirmatively insure
that in regard to any contract entered into pursuant
to this advertisement, minority business enterprises
will be afforded full opportunity to submit bids in
response to this invitation and will not be discrim-
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, sex, or national origin.
5. That where the Recipient 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 for the period during
which Federal financial assistance is extended to the project, except
where the Federal financial assistance is to provide, or is in the form
of, personal property, or real property of interest therein or structures
or improvements theron; in which case, the assurance obligates the Recip-
ient or any transferee for the longer of the following periods: (a) The
period during which the property is used for a purpose for which the
Federal financial assistance is extended, or for another purpose involving
the provision of similar services or benefits; or (b) the period during
which the Recipient retains ownership or posession of the property.
8. 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-,reasonabl.e 'guar-
antee that it, other Recipients, subgrantees, contractors, 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 Mass
Transportation Programs and is binding on it, other Recipients, subgrantees,
contractors, subcontractors, transferees, successors in interest, and other
participants in the Federal Urban Mass Transportation Program. The person
or persons whose signatures appear below are authorized to sign this assur-
ance on behalf of the Recipient.
DATE: Ay 14 199t
Attachment:
Appendix A
City of Lubbock
Recipient
BY:
1gnature of I A u jtf! r -iz e d__O ffficial)
Bill McAlister, Mayor
ATTACHMENT A
During the performance of this contract, the contractor, for itself, its
assignees, and successors in interest (hereinafter referred to as the
"Contractor") agrees as follows:
(1) Compliance with Regulations: The Contractor shall comply with the
Regulations relative to nondiscrimination in Federally assisted
programs of the Department of Transportation (hereinafter, "DOT"),
Title 49, Code of Federal Regulations, Part 21, as they may be
amended from time to time (hereinafter referred to as the Regulations),
which are herein incorporated by reference and made a part of this
contract.
(2) Nondiscrimination: The Contractor, with regard to the work per-
formed by it during the contract, shall not discriminate on the
grounds of race, color, sex, or national origin in the selection and
retention of subcontractors, including procurements of materials and
leases of equipment. The Contractor shall not participate either
directly or indirectly in the discrimination prohibited by Section
21.5 of the Regulations.
(3) Solicitations for Subcontracts, Including Procurements of Materials
and Equipment: In all solicitations either by competitive bidding
or negotiation made by the Contractor for work to be performed under
a subcontract, including procurements of materials or leases of
equipment, each potential subcontractor or supplier shall be notified
by the Contractor of the Contractor's obligations under this contract
and the Regulations relative to nondiscrimination on the grounds of
race, color, sex, or national origin.
(4) Infomation-Reports: The Contractor shall provide all information
and reports required by the Regulations or directives issued
pursuant thereto,and shall permit access to its books, records,
accounts, other sources of information, and its facilities as may be
determined by theRecipient or the Urban Mass Transportation
Administration (UMTA) to be pertinent to ascertain compliance with
such Regulations, orders, and instructions. Where any information
is required or a Contractor is in the exclusive possession of another
who fails or refuses to furnish this information, the Contractor
shall so certify to the Recipient or the Urban Mass Transportation
Administration, as appropriate, and shall set forth the efforts it
has made to obtain this information.
(5) Sanctions for Noncompliance: In the event of the Contractor's non-
compliance with the nondiscrimination provisions of this contract,
the Recipient shall impose such contract santions as it or the
Urban Mass Transportation Administration may determine to be appro-
priate, including but not limited to:
(a) Withholding of payments to the Contractor under the contract
until the Contractor complies; and/or
(b) Cancellation, termination, or suspension of the contract in
whole or in part.
(6) Incorporation of Provisions: The Contractor shall include the
provisions of paragraphs (1) through (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 subcontractor or supplier
as a result of such direction, the Contractor may request the
Recipient to enter into such litigation to protect the interests
of the Recipient and, in attidion, the Contractor may request the
United States to enter into such litigation to protect the interest
of the United States.