HomeMy WebLinkAboutContract 12398 UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
NOTIFICATION OF GRANT APPROVAL
49 U. S.C. § 1604 CITY SECRETARY
(SECTION 5 — CAPITAL ASSISTANCE)
CONTRACT No..jaJ-
Project No. TX-05-0071
r
GRANTEE: City of Fort Worth
DESIGNATED RECIPIENT: City of Fort !forth
ESTIMATED TOTAL PROJECT COST: $1 ,006,400.00
ESTIMATED NET PROJECT COST: $1 ,006,400.00
MAXIMUM FEDERAL SHARE: $ 805,120.00
OBLIGATION DATE: W I
SOURCES OF FEDERAL FINANCIAL ASSISTANCE:
DC1 - 21 .20.00 - FY 1981 - $805,120.00
DATE OF SECTION 13 (c) CERTIFICATION LETTER FROM THE
DEPARTMENT OF LABOR:
January 13, 1981
PROJECT DESCRIPTION:
Two 40-foot advanced design buses; two support vehicles; three service vehicles;
office equipment; fare collection counter; one printing press and related
equipment; shop equipment; construct bus washer housing; :construct expansion
to parts storage area; management information system; real estate acquisition;
force account; engineering and design; cost allocation plan; contingency
A P R 1q8? o
OFFICIAL RECHO ? DATE REGIONAL ADMINISTRATOR, REGION VI
CITY SECRETARY
F a. Vi uil"N, TEX.
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
GRANT
49 U.S .C. § 1604
(SECTION 5 - CAPITAL ASSISTANCE)
PART I
THIS GRANT, effective on the date specified in the
Notification of Grant Approval is entered into by and between
the United States of America ("Government") and the Grantee
named in the Notification of Grant Approval .
In consideration of the mutual covenants , promises, and
representations herein, the parties hereto agree as follows :
Sec. 1. Purpose of Grant - The purpose of this Grant
is to provide for the undertaking of an urban mass transpor-
tation capital improvement project ("Project" ) with Government
financial assistance to the Grantee in the form of a capital
grant ( "Grant" ) , under Section 5 of the Urban Mass Trans-
portation Act of 1964, as amended, ("Act") , and to state the
terms and conditions upon which such assistance will be
provided and the manner in which the Project will be under-
taken and completed and the Project facilities/equipment used.
Sec. 2 . The Project - The Grantee agrees to undertake
and complete the Project, and to provide for the use of the
Project facilities/equipment, substantially as described in
its Application, incorporated herein by reference, filed with
and approved by the Government, and in accordance with the
terms and conditions of this Grant. The "Project Description"
on the Notification of Grant Approval describes the Project to
be funded under this Grant.
Sec. 3. The Grant - (a) In order to assist the Grantee
in financing that portion of the total cost of the Project
which the Department of Transportation (DOT) has determined
cannot reasonably be financed from revenues of the public
transportation system in which the Project-facilities/equipment
are to be used ("Net Project Cost") , such Net Project Cost
being estimated to be that amount stated in the Notification
of Grant Approval, the Government will make a Grant in an
amount equal to eighty percent (80%) of the actual Net Project
Cost, as determined by DOT upon completion of the Project, or
in the amount designated as Maximum Federal Share in the
Notification of Grant Approval, whichever is the lesser.
Form UMTA F 2002
Rev. 5/20/80 Page 1
(b) 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.
Sec. 4. Local Share - The Grantee agrees that it will
provide from sources other than (a) Federal funds (except as
may otherwise be authorized by Federal statute) , (b) receipts
from the use of the Project facilities/equipment, or (c) revenues
of the public transportation system in which such facilities/
equipment are used, funds in an amount sufficient, together
with the Grant, to assure payment of the actual Net Project
Cost. State or local tax revenues which are used for the
operation of public mass transportation service in the area
involved may be credited (to the extent necessary) toward
the non-Federal share of the cost of the Project. The
Grantee further agrees that no refund or reduction of the
amount so provided below the level of Federal assistance
will be made at any time, unless there is at the same time
a refund to the Government of a proportional amount of the
Grant.
Sec. 5. Fares and Services - The Grantee agrees and
assures that in compliance with Section 5 (i) of the Act and
regulations issued thereunder, at 49 C.F.R. Part 635, Subpart
A, it will not institute increases in fares or substantial
changes in service during the period after May 17 , 1980 for
which Section 5 assistance is requested except --
(a) after having held a public hearing or having afforded
an opportunity for such hearings, after adequate public
notice;
(b) after having given proper consideration to the views
and comments expressed in such hearings; and
(c) after having given consideration to the effect on
energy conservation, and the economic , environmental,
and social impact of the change in such fare or such
service.
Sec. 6. Maintenance of Effort - (a) The Grantee agrees
that the Federal financial assistance provided pursuant to
this Grant will be supplementary to and not in substitution
for the average amount of State and local government funds
and other transit revenues, expended on the operation of
public mass transportation service in the area involved for
the two fiscal years preceding the fiscal year for which
the funds are made available as defined in Section 5 (f) of
the Act and any implementing guidelines and regulations
issued by UMTA: provided, however, that in accordance with
Section 5 (f) and any implementing guidelines and regulations:
Page 2
(1) If such State and local government funds or other
transit revenues used to support public mass transportation
operations are reduced, there shall be no loss of Federal
assistance under Section 5, if such reduction is offset by
an increase in operating revenues through changes in fare
structure.
(2) If the Secretary finds that the Grantee has reduced
operating costs without reducing service levels , the Grantee
may make a proportionate reduction in the amount of revenues
required to be expended under this Subsection.
(3) If such State and local government funds or other
transit revenues are reduced and (a) such reductions are not
offset by an increase in operating revenues through changes
in the fare structure, or (b) the Grantee has reduced operating
costs which reductions result in reduced service levels ,
reductions in Federal assistance shall be determined in
accordance with guidelines and regulations issued pursuant
to Section 5 (f) .
(b) Any failure on the part of the Grantee to comply
with this Section shall be deemed a violation of the terms
of this Grant, and the Government may in its discretion take
either or both of the following actions : ;1) terminate all
of the financial assistance provided pursuant to this Grant;
and ( 2) require the Grantee to return to the. Government any
financial assistance provided pursuant to this Grant.
Sec. 7 . Use of Project Facilities/Equipment - The
Grantee agrees to observe the property management standards
as set forth in OMB Circular A-102, Attachment N, or OMB
Circular A-110, Attachment N, as appropriate , as now or
hereafter amended. Exceptions to the requirements of
Attachment N must be specifically approved by UMTA. If,
during the period, any Project facilities/equipment
are not used in mass transportation service, whether by
planned withdrawal or casualty loss, the Grantee shall
immediately notify the Government and shall remit to the
Government a proportional amount of the fair market value,
if any, of the property, which shall be determined on the
basis of the ratio of the grant made by the Government to
the actual cost of the Project. Fair market value shall be
deemed to be the value of the property as determined by
competent appraisal at the time of such withdrawal from use
of misuse, or the net proceeds from public sale, whichever
is approved by UMTA. In the event of loss due to
Page 3
,casualty or fire, the damages paid by the insurance carrier
or payable from the self-insured reserve account shall be
considered fair market value. In no event is salvage value
to be considered fair market value.
The Grantee shall keep satisfactory records with regard
to the use of the property and submit to the Government upon
request such information as is required in order to assure
compliance with this Section and shall immediately notify
UMTA in all cases in which Project facilities/equipment are
used in a manner substantially different from that described
in the Project Description. The Grantee shall also submit to
the Government at the beginning of each calendar year during
such period, a certification that the Project facilities/equip-
are still being used in accordance with the terms of this
Section and that no part of the local contribution to this
cost of the Project has been refunded or reduced, except as
authorized above .
Sec . 8 . Labor Protection - The Grantee agrees to
undertake, carry out , and complete the Project under the
terms and conditions determined by the Secretary of Labor
to be fair and equitable to protect the interests of
employees affected by the Project and meeting the require-
ments of Section 13(c) of the Act, 49 U. S. C. 9 1609(c) , and
Department of Labor regulations at 29 C.F.R. Part 215 .
These terms and conditions are identified in the letter
W of certification to the Government from the Department of
Labor on the date set forth in the Notification of Grant
Approval, which letter and any documents cited in that
letter are incorporated into this Grant by reference . The
Grant is subject to the conditions stated in the Department
of Labor letter.
Sec. 9. Procurement of Rolling Stock and Buses -
In accordance with any guidelines issued by b'-MTA the Grantee
shall make third party contract awards for the acquisition
of rolling stock, including buses , only after consideration
of performance, standardization, and life-cycle costs , in
addition to the consideration of initial capital costs .
There necessary, the Secretary will assist the Grantee in
making such evaluations .
Page 4
Sec. 10. Special Conditions - The Grantee agrees and
assures that the rates charged elderly and handicapped
persons during nonpeak hours for transportation utilizing or
involving the facilities and equipment financed pursuant to
this Grant will not exceed one-half of the rates generally
applicable to other persons at peak hours , whether the
operation of such facilities and equipment is by the applicant
or is by another entity under lease or otherwise.
Sec. 11. The Grant - This Grant consists of the Notifi-
cation of Grant Approval; this Part I, Form UMTA F 2002 ,
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 incor-
porated herein by reference and made part of this Grant.
The approved Project Buldget is incorporated herein by
reference and made par;: 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. 12 . Execution of Grant - This Grant may be simul-
taneously 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.
The Grantee does hereby ratify and adopt all statements ,
representations , warranties , covenants , and materials sub-
mitted by it, and does hereby accept the Government' s award
of financial assistance and agrees to all of the terms and
conditions of this Grant.
Executed this _ Zday of �� � 19 �02.
ATTEST: - ' s' BY
ITLE AND O GANIZATIONTITL AND ORGANIZATION
Page 5 APPROVED BY CITY COUNCIL
fF-3
City Secretary
2-3b-
Date
Certificate of Grantee' s Attorney
I , , acting as Attorney for the Grantee do
here y cer i-fy that I have examined this Grant and have
ascertained that execution of the Grant was authorized on
the date of 0- A copy of this authorization is
attached or has eviously 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.
r.d
Dated this 3 day of 40 V`1 '
SIGNATURE
Wade Adkins
City Attorney
City of Fort Worth, Texas
TITLE AND ORGANIZATION
Page 6
UNITED STATES OF AFRICA
DEPAYtTME ]T OF TRANSPORTATICN
URAAN MASS TRANSPORrATICN ADMINISTRATICN
WASHIIJG`ICN, D.C. 20590
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URBAN MASS TRANSPORTATICN AC IST
PART II
TERMS AND CCtMITICNS
for Projects under Section 3, 5, 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 Clem Air Act
Amendments of 1977, 42 U.S.C. S 7505.
i"WA F SE
PRv. S/20/80
Section 111. Environmental, Resource, and Energy Protection and .�
Conservation Requirements..... .. . . . . . ... . . . . . . . . .. . . . 30
(a) Compliance with Environmental Standards. .. . ... .. . 30
(b) Air Pollution. .. . .. . . .. . . .. . .. . . . .. . . . . . . . .. .. . . . 31
(c) Use of Public Lands.. . .. . . . . . . . . . . .. . . . . .. . . .. . . . 31
(d) Historic Preservation. . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
(e) Energy Conservation. . . . . . . . .. . . . . . . . . . . . . . . .. . . . . 31
Section 112. Patent Rights. . . . . . . .. .. . . . . . . . .. . . . .. . . . . . . . . . . . . . .. . 31
Section 113. Rights in Data. . . . . .. . . . . . . . . . . . . . . . . . . . . .. . . . . .. . . . . .34
Section 114. Cargo Preference - Use of United States-Flag
Vessels. . . . . . .. . .. . . . . .. . . . . . . .. . . .. . . . . . . . . . . . . . . . . .35
Section115. Buy Werica. . . . . . .. .. . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . .36
Section 116. Charter and School Bus Operations. . .. . . . . .. . . .. . . . . . . .37
(a) Charter Bus. . . . . .. .. . . . . . .. . . . . . . . . . . . . . . . . . . . . . .37
(b) School Bus. . . . . . .. . . .. .. .. . . . . . . .. . . . . . . . . . . . . . . .37
Section 117. Compliance with Elderly and Handicapped
Regulations. . . . . . . .. . . . . . . .. .. . . . . . . . . . . . . . . . . . . . . . . .37
Section 118. Flood Hazards. . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . .. . .. .37
Section119. Privacy. . . . . .. . . . .. . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . .38
Section120. Miscellaneous. . .. . . . . . . . .. . . . . . . . . . . . . .. . . . . . . . . . . . . .39
(a) Bonus or Commission. . . .. . . . . . . . . . .. . . . . . . . . . .. . . .39
(b) State and Territorial Law. . . . . .. . . . . .. . . . . . . . . . . .39
(c) Records. . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .40
(d) Severability. . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . .. . . . .40
ii
DEPARTMENT OF TRANSPORTATION
UFSAN MASS TRANSPORTATION ADMINISTRATION
AGREEMENT
PART II — TEFVS AND OONIDITIONS
Constituting part of the AGREEM 1T 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 Government granting
permission to the Recipient to perform or omit an act pursuant to
this Agreement which could not be performed or emitted without such
permission. An approval, authorization, concurrence, or waiver
permitting the performance or emission of a specific act shall not
�- constitute permission to perform or snit 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 U4TA manual of
that title, which presents information about the UMTA 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 conveyance, either publicly
or privately owned, which provides to the public general or special
transportation service (but not including school buses, charter or
sightseeing service) to the public on a regular and continuing basis.
(c) Allowable Costs. Expenditures made by the Recipient shall be reim-
e as owable costs to the extent they meet all of the
requirements set forth below. They must:
(1) be made in conformance with the Project Description and
the Project Budget and all other provisions of this Agreement;
(2) be necessary in order to acvampli.sh 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 from UMTA to the
contrary is received;
(6) be in conformance with the standards for allowability of
costs set forth in Federal Management Circular (FMC) 74-4 and
with any guidelines or regulations issued by LDUA; in the case of
Projects with educational institutions, the standards for allowability
of cost set forth in Office of Management and Budget (CHB) Circular
A-21 Revised, rather than the standards of FMC 74-4, shall apply;
(7) be satisfactorily documented; and
(8) be treated uniformly and consistently balder accounting
principles and procedures approved or prescribed by UHTA 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,
including 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 on file in the office of the
Recipient stating in proper detail the purpose for which such check
or order is drawn. All checks, payrolls, invoices, contracts,
vouchers, orders, or other accounting documents pertaining in whole
or in part to the Project shall be clearly identified, readily
accessible, and, to the extent feasible, kept separate and apart
from all other such documents.
4
M slit and I ,�. :;e Recipient shall permit, and shall require
its cors.tra&-ms to permit, the Secretary and the Cmptroller General
of. the United States, or any of their duly authorized respresentatives
to inspect all work, materials, payrolls, and other data and zetcords
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 governments or Indian tribal govern-
ments shall be responsible for meeting the audit requirements of CM
Circular A-102, Attachmec-it P, or any revision or supplement thereto. The
Recipient is responsible for auditing third party contracts and agreements.
1WA also may rec;F: ire tom. Recipient to furnish at any tine prior to
closeout of the Project, audit reports prepared in aco dance with generally
accepted accounting prim:iples. In the case of Section 5 operating
Projects, subsequens to the close of the local fisc year for which
which operating assistance is sought, the Recipient shall furnish a
final audit report prepared by a State or local goverrrnent independent
audit agency or an 1-ndepe-alent public accountant which shall include
as a minimum a Stat ent of Revenue and Expense, a Statement of
Changes in Financial Position, and a Maintenance of Effort Calculation
of the mass trers1-ortar-,.ota operator for the assisted local fiscal
year.
Section 105. Requisitions arO PaN eats.
(a) Requests for Pa�ment Ly the Recipient. The Recipient may make
requestsoar paymentt t the federal snare of allowable ccsts, and
UMTA will horarr st ch rectivas",s in the manner set forth in this
section. Pa mr-n*7 ru. s- to Re—cirients must amply with 31 C.F.R.
Part 205. Recipients shall follow the procedures set forth in [RSA
Circular 9050.1. In order to receive federal assistance p-rents, the
Recipient must:
(1) am pletel;• exmite and submit to UMM the infozna:..ion
required by Standard Form 270;
(2) submit to UMEA. an e=ccplanation of the purposes for w± iah
costs have been incarxed to date or are reasonably expectd to be
incurred within the requisition period (not more than 30 days after
the date of uukmssioon)
(3) de trat-e or certifv that it has supplied local funds
• adequate, when oombin-r-3d with the federal payments, to cover all.
costs to be irucan,ad to the end of the requisition period;
(4) have suixnitted to tiCA all financial &nd px—e s
required to date under this Agreement; and
(5) identify the source* of financial assistanoe prrrvidec3
under this Project fn-ra which uze payment is to be cl�rit .
(b) Payment by the Upon receipt of the raqaisitirnr anti the
rt
accompanying w,if=-A-;1-,J:..-07 :.n satisfactory form, the Goer-r pt will
process the z-ec�u x s J; »1 1," r1,e Recipient is ocmplyinr with its
obligations has satisfied LMh of its
need for the fedexzO- Pruir; reqvec sd during the regvds ltim. perrio s,
and is r.oking a:rn:a* �,-Lx� ea towards the tir�ly c mpp f--ticn
the Project. 7f al; t"-ae circrostances are fmt--; to
5
the Govenmvnt will reimburse apparent allowable costs incurred (or
to be incurred during the requisition period) by the Recipient up
to the maximsn amount of the federal assistance payable through the
fiscal year in which the requisition is submitted as stated in the
Project Budget. However, reimbursement of any cost pursuant to
this section shall not constitute a final determination by the
Government of the allowability of such cost and shall not constitute
a waiver of any violation of the terms of this Agreement oomtitted
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 armunt of the federal assistance, LWA
will exclude a1TProject 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 UMrA 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 LMrA.
Exceptions to the above statement on disallowed costs are contained
in the External Operating Manual or in written guidance from LMTA.
(d) Letter of Credit. Should a letter of credit be issued to the
Recipient, the following terms and. conditions in confonnanee with
31 C.F.R. Part 205, are applicable:
(1) the Recipient shall initiate cash drawdowns only when
actually needed for Project disbursements.
(2) the Recipient shall report its cash disbursements and
balances in a timely manner as required by the Government.
(3) the Recipient shall provide for effective control and
aocoturtability for all Project funds in accordance with require-
meets and procedures issued by the Government for use of the letter
of credit.
(4) the Recipient shall impose on its mkwecipients all the
requirements of Section 105(d) (1) (2) and (3) above as applicable.
(5) should the Recipient fail to adhere to the requirements of
Section 105(d) (1) (2) (3) and (4) above, the Goverment may rwjohe
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 Payments. Upon notice by UMTA to the Recipient of
specific amounts Gorvenn mt, the recipient shall promptly
remit any excess payment of amounts or disallowed costs to UMTA.
Interest may be assessed from the tine of notice and charged for any
amounts due to the Government 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 Government reserves the right to suspend or terminate
all or part of the financial assistance provided herein if the Recipient
is, or has been, in violation of the terms of this Agreement or if UMM
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 UMTA prior to the date of termination, to the extent
they are noncancellable. The acceptance of a remittance by the Government
of any or all Project Funds previously received by the Recipient or
the closing out of federal financial participation in the Project shall
not constitute a waiver of any claim which the Government may otherwise
have arising out of this Agreement.
Section 107. Project Completion, Settlement, and Close-out. upon successful
completion of the Project or upon termination by UMTA, the Recipient shall,
within 90 days of the completion date of the Project, submit a final
Financial Status Report (Standard Form 269) , a certification or summary
of Project expenses, and third party audit reports, when applicable. Upon
receipt of this information, UMTA or an agency designated by LWA 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 UMTA has made payments to the Recipient in excess of
the total amount of such federal assistance, the Recipient shall promptly
remit to UMTA such excess and interest as may be required by section
105 (e) . Project close-rout occurs when UMTA notifies the Recipient and
forwards the final grant payment or when an appropriate refund of federal
• grant funds has been received frau the Recipient and acknowledged by UMTA.
Close-out shall not invalidate any continuing obligations imposed on the
Recipient by this Agreement or contained in the final notification or
acknowledgement from UMTA.
Section 108. Contracts of the Recipient. The Recipient shall not execute
any lease, pledge, mortgage, lien, or other contract touching or affecting
Projectfacilities 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 detexmined by DOT.
7
Section 109. Restrictions, Prohibitions, Qontxvls, and Libor Provisions.
(a) Bqual Erqpl2=t 9MIrtunity. In connection with the carrying out
of the Project, the Recipient shall not discriminate against any
employee or applicant for eWloyamt because of race, color, age,
creed, sex, or national origin. The Recipient shall take affirmative
action to ensure that applicants are enployed, 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 Agreement, 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 Recipient agrees to carry out, such program is incorporated
into this Agreement by reference. Such program shall be treated as
a contractual obligation; and failure to carry out the terms of that
equal employment opportunity program shall be treated as a violation
c-L this Agreement. Upon notification to the Recipient of its failure
to carry out the approved program, the Government will impose such
remedies as it may deem appropriate, which remedies may include
termination of the Agreement as provided in Section 106 of this
Agreement or other measures that may affect the ability of the
Recipient to,.obtain future financial assistance under the Urban
Mass Transportation Act of 1964, as amended, or the Federal Aid
Highway Act of 1973, as amended.
(b) Minority and Women's Business Enterprise. The Recipient shall be
responsible for meeting the applicable regulations regarding
participation by minority business enterprise (MBE) in Department
of Transportation programa 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) PoZicy. It is the poZicy 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 federaZ funds under
this agreement. ConeequentZy, the MBE requirements of 49 C.F.R.
Part 23 apply to this agreement.
8
�- (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 maximum opportunity to participate in the performance of
contracts and subcontracts financed in whole or in part with federal
funds provided under this Agreement. In this regard all Recipients and
contractors shall take all necessary and reasonable steps in accordance
with 49 C.F.R. Part 23 to ensure that minority business enterprises have
the maximum opportunity to compete for and perform contracts. Recipients
and their contractors shall not discriminate on the basis of race,
color, national origin or sex in the award and performance of DOT-
assisted contracts.
(3) If as a condition of assistance the Recipient has submitted and
the Department has approved a minority business enterprise affirmative
action program which the Recipient agrees to carry out, this program is
incorporated into this financial assistance agreement by reference.
This program shall be treated as a legal obligation and failure to cavy
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 cavy out the requirements set forth in
- 23.43(a) shall constitute a breach of contract and, after the notification
of the Department, may result in termination of the Agreement or contract
by the Recipient or such remedy as the Recipient deems appropriate.
(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 agreements
with non-ME's for operation of major transportation-related activities
for the provision of goods and services to the facility or to the public
on the facility.
(B) 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 Department for approval with their programs
overall goals for the participation as lessees of firms owned and controlled
by minorities and firms owned and controlled by women. These goals
shall be for a specified period of time and shall be based on the factors
listed in 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 IBE participation during the period covered by
the review and any changes in factual circumstances 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 ME 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 MBE's.
(6) The Recipient agrees to include the clauses in Subsection (1)
and (2) of Section 109(b) above in all subsequent agreanents between the
Recipient and any subrecipient and in all subsequent DOT--assisted contracts
between the Recipient or subrecipients and any third party contractor.
(c) Title VI Civil Rights Act of 1964. The Recipient will comply and
will assure a compliance by 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. S 2000d) , the Regulations of
DOT issued thereunder, 49 C.F.R. Part 21 and the Assurance by the
Recipient pursuant thereto.
(d) Campetition in Procurement. The Recipient shall comply with the
Procurement Standards requirements set forth in Attachment 0 of CMB
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
of cEiffuct 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:
e
10
1. the emloyee, officer or agents
2. any member of his imnediate family;
3. his or her partner; or
4. an organization which employs, or is about to emploY• any
of the above.
The code shall also provide that the Recipient's officers, employees or
agents shall neither solicit nor accept gratuities, favors or anything
of monetary value Exon contractors, potential contractors, or parties
to eubagreagw, &
The Recipient may set minimn rules where the financial interest
is not substantial or the gift is an unsolicited item of naninal
intrinsic value.
To the extent permitted by State or local law or regulations, such
standards of conduct shall provide for penalties, sanctions, or
other disciplinary actions for violations of such standards by
the Recipient's officers, employees, or agents, or by contractors
or their agents.
(f) Interest of Members of or Delegates to Congress. No member of or
dielegate to the 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 Contracts.
(a) Nondiscrimination. The Recipient hereby agrees that it will incorporate
or causeincorporated into any contract for construction work,
or modification thereof, as defined in the Regulations of the
Secretary of Labor at 41 C.F.R. Chapter 60, which is paid for in
whole or in part with funds obtained from the Federal Government
or borrowed on the credit of the Federal Government pursuant to a
grant, contract, loan, insurance, or guarantee, or undertaken
Pursuant to any federal program involving such grant, contract,
loan, insurance, or guarantee, the following equal opportunity
clause:
11
During the performance of this contract, the contractor agrees
as follows:
(1) The contractor will not discriminate against any
employee or applicant for employment because of race, color,
religion, sex, or national origin. The contractor will take
affirmative action to ensure that applicants are employed,
and that employees are treated during employment without
regard to their mace, color, religion, sex, or national origin.
Such action shall include, but not be limited to the following:
Employment, upgrading, demotion, or transfer; recruitment or
recruitment advertising; layoff or termination; mates of pay
or other forms of compensation; and selection for training,
including apprenticeship. The contractor agrees to post in
conspicuous places, available to emplojees and applicants for
employment, notices to be provided setting forth the provisions
of this nondiscrimination clause.
(2) The contractor will, in all solicitations or advertise-
•ients for employees placed by or on behalf of the contractor,
statc that all qualified applicants will receive consideration
."or employment without regard to race, color, religion, sex, or
national origin.
(3) The contractor will send to each labor 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 places available to
employees and applicants for employment.
(4) The contractor will comply with all provisions of
Executive Order 11246 of September 24, 1965, as amended, and
of the rules, regulations, and relevant orders of the Secretary
of Labor.
(5) The contractor will furnish all information and reports
required by Executive Order 11246 of September 24, 1965, as
amended, and by rules, regulations, and orders of the Secretary
of Labor, or pursuant thereto, and will permit access to his
books, records, and accounts by the administering agency and
the Secretary of Labor for purposes of investigation to
ascertain compliance with such rules, regulations, and orders.
(6) In 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 suspended in whole or in part and
the contractor may be declared ineligible for further
Government contracts or federally assisted construction
contracts in accordance with procedures authorised in
Executive Order 11246 of September 24, 1965, as amended,
and such other sanctions may be imposed and remedies invoked
as provided in Executive Order 11246 of September 24, 1965,
as amended, or by rule, regulation, or order of the Secretary
of Labor, or as 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 shall 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 protect the interests of the United States.
The Recipient further agrees that it will be bound by the above
equal opportunity clause with respect to its own enployment practices
when it participates in federally assisted construction work; Provided
That if the Recipient so participating is a State or local governMent,
the above equal opportunity clause is not applicable to any agency,
instrumentality or subdivision of such grnvrnmnent 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 and the Secretary of Labor in obtaining
the oomplianee of contractors and subcontractors with the equal
opportunity clause and the rules, regulations, and relevant orders
of the Secretary of Labor, that it will furnish the administering
agency and the Secxetazy of Labor such informatim as they may
require for the supervision of such ccmpliance, and that it will
otherwise assist the administering agency in the discharge of the
agency's primary responsibility for securing ocupliance.
7he Recipient further agrees that it will refrain from
entering into any contract or contract modification subject to
Em utive Order 11246 of September 24, 1965, as amended, with any
13
ocn tractor debarred from, our %W has not demonstrated eligibility �
for Goverrurent contracts and federally assisted construction contracts
pursuant to the Executive Order and will carry out such sanctions
and per:alties for violation of the equal opportunity clause as
may be imposed upon contractors and suboontractors 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 comply with these undertakings, the administering
agency may take any or all of the following actions: Cancel, terminate,
or suspend in whole or in part this Agreement (grant, contract, loan,
insurance, guarantee) ; refrain 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 catplianee
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 to be incorporated the specifications set forth below in
all federal and federally assisted oontruction oontracts, 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 nonconstruction federal contracts and subcontracts
covered under Executive Order 11246:
STANDARD FEDERAL EQUAL EMPLOYMENT OPFORTUNITY CONSTRUCTION
CONTRACT SPECIFICATIONS (Executive Order 11246):
1. As used in these specifications:
a. "Covered area" means the geographical area
described in the solicitation from which this
contract resulted;
b. "Director" means Director, Office of Federal
Contract Compliance Programs, United States
Department of Labor, or any person to whom the
Director delegates authority;
C. "Employer identifioation number" means the
Federal Social Security number used on the Employer's
Quarterly Federal Tax Return, U.S. Treaoury Depart-
ment Form 941.
14
d. "Minority" inoludee:
(i) Black (all persona having origins in any
of the Black African raoiaZ groups not of
Hispanic origin);
(ii) Hispanic (all persona of Mexican, Puerto
Rican, Cuban, CentraZ 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 AZaekan Native (all
persona -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 shall physically include in each subcontract
in excess of $10,000 the provisions, of these specifications and
the Notice which contains the applicable goals for minority and
female participation and which is set forth in the solicitations
from which this contract resulted.
3. If the contractor is participating (pursuant to 41
C.F.R. 60-4.5) in the covered area either individually or
through an association, its affirmative action obligations on
all work in the Plan area (including goals and timetables)
ahaZZ be in accordance with that Plan for those trades which
have unions participating in the Plan. Contractors must be
able to demonstrate their participation in and compliance with
the provisions of any such Hometown Plan. Each contractor or
subcontractor participating in an approved Plan is individually
required to comply with its obligations under the EEO clause,
and to make a good faith effort to achieve each goal under
the PZan in each trade in which it has eVZoyees. The overall
good faith performanoe by other contractors or subcontractors
toward a goal in an approved Plan does not excuse any covered
contractor's or auboncontractor'a failure to take good faith
efforts to achieve the Plan goals and timetables.
is
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 solicitation from
which this contract resulted are expressed as percentages
of the total hours of employment and training of minority
and female utilization the contractor should reasonably be
able to achieve in each construction trade in which it has
employees in the coverd 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 11246, 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 shall
be based upon its effort to achieve maximum results from its
actions. The contractor shall document these efforts fully,
and shall implement affirmative action steps at least as
extensive as the following:
a. Ensure and maintain a working environment free
of harassment, intimidation, and coercion at all sites,
and in all facilities at which. the contractor's employees
are assigned to work. The contractor, where possible,
will assign two or more women to each construction project.
The contractor shall specifically ensure that all foremen,
superintendents, and other on-vita 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. EetabZieh and maintain a current list of minority
and female recruitment sources, provide written notification
to minority and female recruitment sources and to
oommuni.ty organisations when the contractor or its unions
have employment opportunities available, and maintain
a record of the organizations ' responses.
c. Maintain a current file of the names, addresses
and telephone numbers of each minority and femaZe off-the-
street appZioant and minority or femaZe 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 shaZZ be documented in the file
with the reason therefor, along with whatever additional
actions the contractor may have taken.
d. Provide immediate written notification to the
Director when the union or unions with which the contractor
has a collective bargaining agreement has not referred to
the contractor a minority person or woman sent by the
contractor, or when the contractor has other information
that the union referral process has impeded the contractor's
efforts to meet its obligations.
e. Develop on-the-site training opportunities and/or
participate in training programs for the area which expreesZy
include minorities and women, including upgrading programs
and apprenticeship and trainee programs relevant to the
contractor's employment needs, especially those programs
funded or approved by the Department of Labor. The
contractor ehaZZ provide notice of these programa to the
aources compiled 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 collective
bargaining agreement; by publicizing it in the company
newspaper, annual report, etc.; by specific review of
the policy with all management pereonneZ and- with all
minority and female employees at least once a year;
and by posting the company EEO policy on bulletin boards
aooesai.ble to all employees at each location where
construction work is performed.
17
g. Review, at least annually, the company's EEO
policy and affirmative aotion obligations wader these
specifications with all employees having any responsi-
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 shall be made and maintained identifying
the time and place of these meetings persons attending,
subject matter discussed, and disposition of the subject
matter.
h. Disseminate the contractor's EEO policy externally ,
by including it in any advertising in the news media,
specifically including minority and female news media,
and providing written notification to and discussing the
contractor's EEO policy with other contractors and 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 fimaZe recruitment and training organiaations
serving the contractor's recruitment area and employment
needs. Not later than one month prior to the date for
the acceptance of applications for apprenticeship or
other training by any recruitment source, the contractor
shall send written notification to organizations such
as the above, describing the openings, screening procedures,
and tests to be used in the selection process.
j. Encourage present minority and female employees
to recruit other minority persons and women and, where
reasonable, provide after school, summer and vacation
employment to minority and female youth both on the site
and in other areas of 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 50-3.
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.
18
m. Ensure that seniority practioee, job olassifi-
cations, work assignments and other personnel practices,
do not have a discriminatory effect by continually
monitoring all personnel and employment related activities
to ensure that the EEO policy and the contractor's
obligations under these specifications are being carried
out.
n. Ensure that all facilities and company activities
are nonsegregated except that separate or single-user
toilet and necessary changing facilities shalt be provided
to assure privacy between the sexes.
o. Document and maintain a record of all solicita-
tions of offers for subcontracts from minority and female
construction contractors and suppliers, including circulation
o. soZicitations to minority and female contractor associa-
tions and other business associations.
p. Conduct a review, at least annually, of all
supervisors ' adherence to and performance under the
contractor's EEO policies and affirmative action obli-
gations.
8. Contractors are encouraged to participate in voluntary
associations which assist in fulfilling one or more of their
affirmative action obligations (7a through p). The efforts
of a contractor association, joint contractor-union, contractor-
community, or other similar group of which the contractor is
a member and participant, may be asserted as fulfilling any
one of more of its obligations 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 participntion, makes a good faith effort to meet its
individual goals and timetables, and can provide access to
documentation which demonstrates the effectiveness of actions
taken on behalf of the contractor. The obligation to comply,
however, is the contractor's and failure of such a group to
fulfill an obligation shall not be a defense for the contractor's
noncompliance.
9. A single goal for minorities and a separate single
goal for women have been established. The contractor, however,
is required to provide equal employment opportunity and to
take affirmative action for all minority groups, both male
19
and female, and all women, both minor i.ty 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 goals 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 shall not enter into any subcontract
with any person or firm debarred from Government contracts
pursuant to Executive Order 11246.
12. The contractor shall carry out such sanctions and
penalties for violation of these specifications and of the
Equal Opportunity Clause, including suspension, termination
and cancellation of existing subcontracts as may be imposed
or ordered pursuant to Executive Order 11246, as amended,
and its implementing regulations by the Office of Federal
Contract Compliance Programs. Any contractor who fails
to carry out such sanctions and penalties shall be in
violation of these specifications and Executive Order 11246,
as amended.
13. The contractor, in fulfulling its obligations under ...�.'
-i„�iese specifications, shall implement specific affirmative
action steps, at least as extensive as those standards
prescribed in paragraph 7 of these specifications, so as to
achieve maximum results from its efforts to ensure equal
employment opportunity. If the contractor fails to comply
with the requirements of the Executive Order, the implementing
regulations, or these specifications, the Director shall
proceed in accordance with 41 C.F.R. 60-4.8.
14. The contractor shall designate a responsible official
to monitor all employment related activity to ensure that the
company EEO policy is being carried out, to submit reports
relating to the provisions hereof as may be required by the
Government and to keep records. Records shall at least include
for each employee the name, address, telephone numbers,
construction trade, union affiliation if any, employee
identification number when assigned, social security number
race, sex, status (e.g., mechanic,apprentice, trainee, helper,
20 ,
or Zaborer), dates of changes in status, hours worked
per week in the indicated trade, rate of pay, and locations
at which the ;cork was performed. Records shaZZ be maintained
..� in an easily understandable and retrievable form; however,
to the degree that existing records satisfy this requirement,
contractors shall not be required to maintain separate records.
15. Nothing herein provided shall be construed as a
limitation upon the application of other laws which establish
different standards of compliance or upon the application
of requirements for the hiring of local or other area residents
(e.g., those under the Public Works Employment Act of 1977
and the Community Development Block Grant Program. )
(c) Notice. Recipient hereby agrees that it will ensure that the
m c_ 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 performed in geographical areas designated by the Director,
Office of Federal Contract Ccnpliance Programs of the Department
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. Thi: Offeror's or Bidder's attention is called to
the "Equal Opportunity CZ,ause" and the "Standard Federal
Equal EMpZoyment Opportunity Construction Contract Specifi-
cations" set for,h herein.
2. The goals and timetables for minority and female
participation, expressed in percentage terms for the
contractor's aggregate workforce in each trade on all
construction work in the covered area, are as follows:
Timetable Goats for Coals for female
minority participation participation in
for each trade each trade
Insert goals for Insert goals for
each year. each year.
These goals arc: applieable to all the contractor's con-
struction work (what.her or not it is federaZ or federally
assisted) performed in the covered area.
L
The contractor's om plianoe with the Executive Order and the
regulations in 41 C.F.R. Part 60-4 shall be based on its imple-
mentation of the Equal Opportunity Clause, specific affirmative -
action obligations required by the specifications set forth in
41 C.F.R. 60-4.3(a), and its efforts to meet the goals estabZiehed
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 substantially uniform throughout
the length of the contract, and in each trade, and the- contractor
shall make a good faith effort to employ minorities and women
evenly on each of its projects. The transfer of minority or female s
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 the Director of the Office of Federal Contract Compliance
Programs within 10 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 shalt 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) Labor Provisions. pursuant to regulations set forth at 29
C.F.R.the f0115;irV provisicns shall be incorporated in all
oonstructien contracts of $2,000 let by the Aacipient in carrying
out the Project.
(1) Minimum wa es. (i) All mechanics and laborers
employed or working upon the site of the work, will be paid
unconditionally and not less often than once a week, and
without subsequent deduction or rebate on any account
(except such payroll deductions as are permitted by regu-
lations 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 rates not Zess than
22
those contained in the wage determination decision
of the Secretary of Labor applioable to the Projeot,
regardless of any contractual relationship which may
be alleged to exist between the contractor and such
laborers and mechanics; and the wage determination
decision shall be posted by the contractor at the site
of the work in a prominent place where it can be
easily seen by the workers. For the purpose of this
clause, contributions made or costs reasonably antici-
pated under section l(c)(2) of the Davis-Baoon 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 weekly period under plans,
funds, or program
s, .but covering the particular weekly
period, are deemed to be constructively made or incurred
during such weekly 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 which is to be employed under the contract, shall be
classified or reclassified conformably to the wage deter-
mination, and a report of the action taken shalt be sent
by DOT to the Secretary of Labor. In the event the interested
parties cannot agree on the proper classification or reclassifi-
cation of a particular class of laborers and mechanics,
including apprentices and trainees, to be used, the question
acoompanied by the recommendation of the contracting officer,
shall be referred to the Secretary of Labor for final
determination.
(iii) The contracting officer shalt require, whenever
the minimum wage rate prescribed in the contract for a
class of laborers or mechanics includes a fringe benefit
whioh 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
be established. In the event the interested parties
cannot agree upon a cash equivalent of the fringe benefit,
the question, a000mpanied by the recommendation of the
contracting officer, shall 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 costa —�
reasonably anticipated in providing benefits under a plan
or program of a type expressly listed in the mage 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 Davis-Bacon Act have been met.
The Secretary of Labor may require the contractor to set
aside in a separate account assets for the meeting of
obligations under the plan or program.
(2) Withholding. DDT 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 wages 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 Mork, 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. (i) Payrolls and basic ...r�
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, his 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)(1) (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 1(b) (2)(B) of the Davis-Bacon Act, the contractor
shall maintain records which show that the corrsnitment 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 sontractor wiZZ submit weskZy a copy of aZZ
payrolls to the Recipient for tranemittaZ to DOT. The copy
shall be accompanied by a statement signed by the employer
or his agent indicating that the payrolls are correct and
complete, that the wage rates contained therein are not
Zees 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 Compliance" which is required under
this contract and the CopeI`and regulations of the 5ecrstary
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 shalt
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 and the Department of Labor, and will permit such
representatives to irtexti�,`.ew errk Zoyees during working ho zra
on the ,job.
Contractors employing apprentices or trainees under approved
programs shall include a notation on the first weekly certified
payrolls auhmit•ted to t hP contrasting agencies that their employ-
ment is purauant to an unproved program and shalt identify the
program.
(4) Apprentices and ''`r air,ees.
(A) entices. Apprerstices will be permitted to work
at less than the pred,,,!':eYr7-"ned rate for the work they perform
when they are employed and individually registered in a bona
fide apprenticeship program registered with the U.S. Depart-
ment of Labor. SrnpZoyrnent and Training A&ninistration,
Bureau of Apprenticeship ant Training, or with a State
Apprenticeship Agency recognised by the Bureau, or if a person
is employed in his .firat 90 days of probationary employment
as an apprentice in sutch an apprenticeship program, who is
not individua Vy .,reg?.stered in the program, but who has been
certified by the Bureau of Apprenticeship and Training or
a State Apprenticeship Agency ('where appropriate) to be
eligible for probationary employment as an apprentice. The
allowable ratio of apprentices to journeymen in any craft
classification shalt 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 Wage-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 wage rate paid
apprentices shalt 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 format certification, by the U.S.
Department of Labor, EfnpZoyment and Training Administration,
Bureau of Apprenticeship and Training. The ratio of trainees
to journeymen shall 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 Zieted 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 shalt be paid not
less 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 J'crnish 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 less than the applicable predetermined rate for the work
performed until an acceptable program is approved.
(C) Equal EmZoyment 0 ortunit . The utilisation of
apprentices,, trainees and ,journeymen under this part shall
be in conformity with the equal employment opportunity
requirements of Executive Order 11246, as amended, and
29 C.F.R. Part 30.
26
(5) Comp lianoe with Copeland Regulations (29 C.F.R. Part 3).
The contractor shall comply with the Copeland 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 (1) through (5) may be grounds
for termination of the contract, and for debarment as provided
in 29 C.F.R. 5.6.
(7) Overtime Requircments.
No contractor or subcontractor contracting for any part
of the contract work which may require or involve the employ-
ment of laborers or mechanics shall require or permit any
laborer 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 calendar 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 shall be liable to any affected employee
for his upaid wages. In addition, such contractor and sub-
contractor shall be liable to the United States (in the case
of work done under contract for the District of Columbia or a
territory, to such District or to such territory), for
liquidated damages. Such liquidated damages shall be computed
with respect to each individual laborer or mechanic employee
in violation of the clause set forth in subparagraph (7), in
the sum of $10 for each calendar day on which such 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 M.
(9) Withholding for Liquidated Damages.
DOT may withhold or cause to be withheld, from any moneys
payable on account of work performed by the contractor or
subcontractor, such eume as may administratively be determined
27
to be necessary to satisfy any Ziabiliti#e of eueh contractor
or subcontractor for liquidated damages as provided in the
clause set forth in subparagraph (8).
('10) Final Labor Summary.
The contractor and each subcontractor #hall furnish to
the Recipient, upon the completion of the contract, a sunimary
of all employment, indicating, for the completed Project,
the total hours worked and the total 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 laborer,
mechanic, apprentice or trainee conformed to the classifications
set forth in the contract or training program provisions
appliea bl, 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 performance of this contract, the contractor shalt
immediately give notice thereof, including all relevant in-
formation with respect thereto, to the Recipient.
(13) Disputes Clause.
(i) All disputes concerning the payment of prevailing
wage rates or classification 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,
ehalZ be final.
(ii) All questions relating to the appZieation or
interpretation of the Copeland Act, 40 U.S.C. S 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. S 2609, shall
be sent to UMTA for referral to the Secretary of Labor for
ruling or interpretation, and such ruling or interpretation
shall be final.
(14) Convict Labor.
In connection with the performance of work under this
contract the contractor agrees not to employ any person
undergoing sentence of imprisonment at hard labor. This
does not include convicts who are on parole or probation.
(15) Insertion in Subcontracts.
The contractor shall insert in all construction subcontracts
the clauses 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 Covernment may by appropriate instructions
require.
(e) Changes in Construction Contracts. Any changes in a construction
contract shall nye subnutted to DOT for prior approval unless the
gross amount 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) Contract Security. The Recipient shall follow the requirements
of CMB Circular A-102, as amended, or A-110, as may be appropriate,
and LMTA guidelines with regard to bid guarantees arra bondinq requirements.
(g) Insurance Durj'n2 Contraction. The Recipient shall follow the
insurance requirements narnnn y required by their State and
local governments.
(h) Signs. The Recipient shall cause to be erected at the site of
construction, and maintained during construction, signs
29
satisfactory to Dar identifying the Project and indicating that the
Govverrnneit is participating in the development of the Project.
(i) Liquidated Dams s Provision. The Recipient shall include in all contracts
or construction, a c ause satisfactory to Dar providing for liquidated
damages, if (1) Dar may reasonably expect to surfer damages (increased
costs on the grant project involved) front the late completion of the
construction and (2) the extent or amount of such damages would be
difficult or WpDssible 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, must be specified in the contract.
(j) Provisions of Construction Contract. The terms and conditions of each
competitively bid oonstrucU& oontract 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. The Recipient shall require that a construction
contractor perform, an 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 costs of construction performed by employees of the
Reclp- t are estimated 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 ander Standards Act and Depart=ment of Labor Regulations at
29 C.F.R. S 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 under construction
and health standards prcmmulgated by the Secretary of Labor.
Section 111. Environmental Resource, and Energy Protection and Conservation
Faquuwmts.
(a) Compliance with Envisormental Standards. The Recipient shall
comply with provisions of the C1 Air Act, as amended (42
U.S.C. S 1857 et seq.) ; the Federal Water Pollution Control Act, as
amended (33 U.S.C. S 1251 et seq.) ; and implementing regulations,
in the facilities which are involved in the Project for which
federal assistance is given. The Recipient shall ensure that the
facilities Hurler ownership, lease or supervision, whether directly
or under contract, that shall be utilized in the accomplishment of
the Project are not listed an the EPA's List of Violating Facilities.
Contracts, subcontracts, and subgrants of amounts in excess of
$100,000 shall contain a provision which requires compliance with
all applicable standards, orders, or requirements issued under
Section 306 of the Clean Air Act (42 U.S.C. 1857(h)) , Section 508
of the Clean Water Act (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 umzk and to
30
the EPA Assistant Administrator for Enforcement. In addition, the
Recipient shall notify LSA of the receipt of any camunicaticn
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 pollution as provided in the External Operating Manual and
in a000rdance with all other applicable standards.
(c) Use of Public Lands. No publicly owned land from a park, recreation area,
or wildlife and waterfowl refuge of national, State, or local significance
as determined by the Federal, State or local officials having jurisdiction
thereof, or any land from an historic site of national, State, or local
significance as so determined by such officials may be used for the
Project without the prior concurrence of DOT.
(d) Historic Preservation. The Recipient shall assist LWA in its oorpliance
with Section 106 of the National 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 UNTA of the existence of any such properties, and by (b)
oamplying with all requirements established by UMM to avoid or mitigate
adverse effects upon such properties.
(e) Energy Conservation. The Recipient and its third party contractors shall
recognize mandatory standards and policies relating to energy efficiency
Which are contained in the State energy conservation plan issued in ccinpliance
with the Energy Policy and Conservation Act (P.L. 94-163) .
Section 112. Patent Rights.
(a) Hhsnever any invention, improvement, or discovery (whether or not patentable)
is conceived or for the first time actually reduced to practice, by the
Recipient or its employees, in the course of, in connection with, or under
the terms of this Agreement, the Recipient shall kmiediat:ely give the
Secretary of DOT, through UMM, or his authorized representative written
notice thereof; and the Secretary shall have the sole and exclusive power
to determine 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 discovery, including title to and rights under any patent appli-
cation or patent that may issue thereon. The determination of the
Secretary on all these matters shall be accepted as final, and the Recipient
agrees that it will, and warrants that all of its employees who may be
the inventors will, execute all documents and do all things necessary
or proper to the effectuation of such determination.
31
(b) bccept as otherwise authorized in writing by the Secretary or
his authorized representative, the Recipient shall obtain patent
agreetnants to effectuate the provisions of this clause from all
persons who perfcaacm any part of the work under this Agreement,
eacoept such clerical and muLal labor personnel as will have no
access to tschnical 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 one of its purposes, provisions
making this clause applicable to the third-party contractor and
its Mployees.
(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 an each invention subject to this
clause and resulting patent in which the Goverment acquires title.
The license shall 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 soaps 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 UMTA 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 UMIA 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-panty 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 contractor's nonexclusive license in any foreign country
reserved pursuant to paragraph (d) (1) of this clause may be revoked
or modified at the discretion of LMA to the extent the third-party
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, UNTA shall furnish the third-party
contractor a written notice of its intention to modify or revoke the
32 `
license, and the third-party contractor shall be allawed 30 days
(or such longer period as may be authorized by UMM for good cause
shown in writing by the third-party contractor) after the notice to
Show cause why the license should not be modified or revoked. The
third-party contractor shall have the right to appeal, in ao=-dance
with Procedures prescribed by UKCA,any decision the
modification or revocation of his license.
(e) In the event no inventions, inprove ments,or discoveries (whether
or not patentable) are conceived, or for the first time actually
reduced to practice by the Recipient, its aV. loyees, its third-
party contractors, or their employees, in the course of, in
connection with, or under the terms of th Agreannt, 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 contractor is pernLitted to file
Patent applications pursuant to this Agreement, the following
statement shall be included within the first paragraph of the
specification of any such patent application or patent:
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 thin3-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
Gover invent.
(h) The Secretary or his authorized representative shall, before the
expiration of three (3) years after final payment under this
grant, have the right to examine 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 of inventions
falling within the criteria set out* in paragraph (a) , or to
eoaVliance by the recipient with the requirements, of this clause.
The Secretary or his authorized representative shall, during
the period specified above, have the further right to require the
Recipient to examine any books, records, documents, and other
supporting data of the third-party contractor which the Re~ ipient
shall reasonably dew directly pertinent to the discovery or
33
identification of inventions falling within the criteria sat - .
out in paragraph (a) or to ompliance by the third-party
contractor with the requirements of the patent 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 media such as drawings or photographs; ffi
text in specifications or related performance or design-type
docu<rents; machine forms such as punched cards, magnetic tape,
or computer memory printouts; arra information retained in oamputer
memory. Examples include, but are not limited to, engineering
drawings and associated lifts, specifications, standards, process
sheets, manuals, technical reports, catalog item identifications,
and related information. The teas 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 own internal use, the Recipient shall not publish or
reproduce such data in whole or in part, or in any mariner or form,
no- 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 Govern-
ment and to its officers, agents, and etployees acting within the
scope of their official duties, a royalty-free, non =lusive,
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, r production,
delivery, perfommm, use, or disposition of any data fumiWied
under this Agreement.
(e) Nothing contained in this clause shall imply a license to the
GoAvernment under any patent or be construed as affecting the
scope of any license or other right otherwise granted to the
Government under any patent.
(f) In the event that the Project, which is the subject of this Agram nt.
is not completed, for any reason whatsover, all data generated
under that Project shall becaee 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 Gmrern meet 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-Flay Vessels.
(a) 46 U.S.C. S 1241 provides in pertinent part as follows:
".� (b) (1) Whenever the 17 ited States shall procure, contract
for, or otherwise obtain for its own account, or shall furnish to
or for the account of any foreign nation without provision for
reimburseement, any equipment, materials, or commodities, within
or without the United States, or shall advance funds or credits
or guarantee the convertibility of foreign currencies in =uvxtion
with the furnishing of such equipment, materials, or oo wditie3s,
the appropriate agency or agencies shall take such steps as may
be necessary and practicable to assure that at least 50 per, centum
of the gross tonnage of such equipment, materials, or oamt dities
(ocgmted separately for dry bulk carriers, dry cargo liners, and
tankers) , which may be transported on privately owned United States-
flag commercial vessels, to the extent such vessels are available
at fair and reasonable rates for United States-flag ocavercial
vessels, in such manner as will insure a fair and reasonable partici-
pation of United States-flag oamnercial vessels in such cargoes
by geographic areas: . . . .
(2) Every department or agency having responsibility under
this subsection shall administer its program with respect to
this subsection under regulations issued by the Secretary of
Caaaeroe . ..
35
(b) Pursuant to regulations published by the Secretary of Ccnmaroe at
46 C.F.R. Part 381, the Recipient agrees to insert the following
clauses in all contracts let by the Recipient under which equipment,
materials or ccts, ities may be transported by ocean vessel in
carrying out the Project:
The contractor agrees --
(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 commercial
vessels.
(2) To furnish within 30 days following the date of loading
for shipments originating within the United States, or within 30
working days following the date of loading for shipment originating
outside the United States, a legible copy of a rated, "on-board"
commercial ocean bill-of-Zading in EngZieh for each shipment of
cargo described in paragraph (Z) above to the Recipient (through
the prime contractor in the case of subcontractor bills-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 my amendment thereto exoseds $500,000,and if funds therefor
are obligated by the Government after Novanber 6, 1978, the Recipient
shall require with respect to any third party contract thereunder
that exceeds $500,000 that only such unm&nufacturad 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 substantially all from
articles, materials, and supplies mired, produced, or manufactured,
as the case may be, in the United States, will be used in such Project,
unless a waiver of these provisions is.-granted.
.36
Upon written request to the Secretary, the Recipient may request
a waiver of the above provisicns. Such waiver may be granted if
the Secretary determines:
(1) their application would be inoonsistent with the public
interest;
(2) in the case of acquisition of rolling stock, their appli-
cation would result in unreasonable cost (after granting appropriate
price adjustments to domestic products based on that portion of
Projekt 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 dcmestic 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 oar 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 requlaticns published thereunder.
(b) School Bus. The Recipient, or any operator of mass transportation
acting en its behalf, shall not engage in school bus operations,
exclusively for the transporation of students or school personnel,
in ccnpetition with private school bus operators, except as
provided under Section 3(g) of the Urban Mass Transportation Act
of 1964, as amended, 49 U.S.C. S 1602(q) and requlations cublished
thereunder.
Section 117. Compliance with Elderly and Handicapped Regulations.
The Recipient shall insure that all fixed facility construction or
alteration and all new equipment included in the Project ccaply with
applicable regulations regarding Transportation for Elderly and Handi-
capped Persons, set forth at 49 C.F.R. Part 27.
Section 118. Flood Hazards.
The Recipient shall amply with the flood insurance purchase require-
ments with respect to construction or acquisition purposes, of
Section 102(a) of the Flood Disaster Protection Act of 1973,
42 U.S.C. S 4012(a) .
37
Section 119. Privacy.
Should the Recipient, its third party contractors or its anploy"s
administer any system of records on behalf of the Federal Government,
the following terms and conditions are applicable.
(a) The Recipient agrees:
(1) to ccrply with the Privacy Act of 1974, 5 U.S.C. S 552a
(the Act) and the rules and regulations issued pursuant to the Act when
performance under the contract involves the design, development,
or operation of any system of records on individuals to be
operated by the Recipient, its contractors or employees to
accomplish a Government function;
(2) to notify the Government when the Recipient anticipates
operating a system of records on behalf of the Government in order
to accomplish the requirements of this Agreement, if such
system contains information about individuals which will be
retrieved by the individual's mane or other identifier assigned
to the individual. A system of records subject to the Act
may not be employed in the performance of this Agreement until
the necessary approval and publication requirements applicable
to the system have been carried out. 7he Recipient agrees to
correct, maintain, disseminate, and use such records in
accordance with the requirements of the Act, and to comply
with all applicable requirements of the Act;
(3) to include the Privacy Act Notification contained
in this Agreement in every third party contract solicitation
and in every third party contract when the performance of
work under the proposed third party contract may involve the
design, development, or operation of a system of records on
individuals that is to be operated under the contract to
accomplish a Gove mnt 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 marded pursuant to this Agreement or which
may involve the design, development, or operation of such
a system of records on behalf of the Government.
(b)Fbr purposes of the Privacy Act, when the Agreement involves
the operation of a system of records on individuals to
accamplish a Government function, the Recipient, third party
contractor and any of their employees is considered to be an
employee of the Government with respect to the Government
function and the requirements of the Act, including the
38
civil and criminal penalties for violation of the Act, are
applicable emoept that the criminal penalties shall not apply
with regard to contracts effective prior to September 27, 1975.
In addition, failure to oomply 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 following meanings;
(1) "Operation of a system of records" means perforrmnoe
of any of the activities associated with maintaining the system
of records on behalf of the Government including the collection,
use and. dissemination of records.
(2) "Record" means any item, collection, or grouping of
information about an individual that is maintained by the
Recipient on behalf of the Government, including, but not
limited to, his education, financial transactions, medical
history, and criminal or employment history and that contains
his name, or the identifying number, symbol, or other
identifying particular assigned to the individual, such as
a finger or voice print, or a photograph.
(3) "System of records" on individuals means a group of
any records under the control of the Recipient on behalf of
the Govexn ent from which information is retrieved by the name
of the individual or by some identifying number, symbol, or
other identifying particular assigned to the individual.
Section 120. Miscellaneous.
(a) Bonus or Commission. The Recipient warrants that it has not
paw a so agrees not to pay, any bonus or oonmission 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 no� taMij, nothing in the Agreement shall
require the Recipient to observe or enforce ocmplianae with
any provision thereof, perform any other act or do any other
thing in contravention of any applicable State or territorial
law; Provided, That if any of the provisions of the Agreement
violate any applicable State or territorial law, or if compliance
with the provisions of the Agreement would require the Recipient
to violate any applicable State or territorial law, the
Recipient will at once notify 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.
r
39
(c) Records. the Recipient, and aw wass tsensportation operator
TO—F—W& it am"& will, for each loam fiscal year m4irg `1
an or after July L 1978, oanfoam to the sepaztinp system and
the uniform system of accounts and records to the ecbsnt
required by section 15 of the Urban Ness Transpos+ation Act
of 1%4, as amw ded, 49 U.S.C. S 1611, effective 9W each
local fiscal year ending on or after July 1, 1978, and UNTA
regulations.
(d) Severabilit If any provision of this Agrmmt is held invalid,
theremaun r of this Agreemaat shall not be affected thereby
if such remainder would then continue to aonfosm to the terms
and requirements of applicable law.
40
i
U.S.DeWmnent REGION VI 819 Taylor Street
of Transportation Arkansas, Louisiana, Suite 9A32
New Mexico, Oklahoma, Fort Worth, Texas 76102
Urban Mass Texas
Transportation
Administration
APR 2 192
Mr. Robert Herchert
City Manager
City of Fort Worth
1000 Throckmorton
Fort Worth, Texas 76132
Re: Project No. TX-05-0071
Dear Mr. Herchert:
I am pleased to advise you that your application for a capital grant
under Section 5 of the Urban Mass Transportation Act of 1964, as
amended, has been approved in the maximum amount of $805,120.
These funds will aid in financing the purchase of two 40-foot advanced
design buses, four support vehicles, shop/office equipment, expand
maintenance facility structures, and expand bus parking.
Enclosed are two copies of the approved project budget and four counter-
parts of an Offer of Contractual Assistance executed on behalf of
this Administration. Instructions which you should follow in executing
these counterparts are enclosed.
Please be advised that this contract contains an additional provision
as provided at paragraph 9. This provision is required by the recently
passed DOT Appropriations Act for FY 1980 (P.L. 96-131) and requires
recipients to certify prior to awarding a procurement contract for
rolling stock, including buses, that performance, standardization, and
life-cycle costs, in addition to the initial capital costs, have been con-
sidered. A copy of the required certification has been included for
your convenience. Please forward a copy of the certification upon
its execution prior to the award of the procurement contract.
We look forward to working with you in carrying out this worthwhile
project. If you have any questions, please feel free to call Mr. Ray
Casos, Director, Office of Transit Assistance, at 817/334-3836.
WSincely,
Glen Ford
Regional Administrator
Obligation Date: MAR 2 1982 Fund Code: DCI
Enclosures
I
CERTIFICATE
The undersigned duly qualified and acting (Title of Officer, Name of Officer)
of the (Legal Nave of Recipient) certifies that the above named recipient o an
UMTA Section 3, Section 5, or Section 16(b)(2) capital assistance grant for the
procurement of rolling stock has considered performance, standardization, and life-
cycle costs, in addition to the consideration of initial capital costs, before having
awarded a procurement contract for the purchase of any rolling stock, including
buses.
If the grantee has an official seal , impress here.
Signature of Authorized Officer
Title of Authorized Officer
Date
APPROVED PROJECT BUDGET
(CAPITAL)
Project No. : TX-05-0071 A R R 2 19; 2
Grantee: City of Fort Worth
The project budget and corresponding cost estimates are as follows:
Project Budget
Line Item Code Description Amount
10.01 .65 Two 40-foot advanced design buses 4326,000
10.02.01 Two support vehicles 35,000
1 ) van
2) auto
10.03.01 Three service vehicles 75,000
1 ) pick-up
2) tractor
3) ,forklift
10.02.02 Office equipment (marketing - photo) 19,500
10.02.04 Fare collection counter 35,000
10.03.02 One printing press and related equipment 60,000
10.03.02 Shop equipment 30,000
10.11 .20 Construct bus washer housing 30,000
10.11 .20 Construct expansion to parts storage area 50,000
10.02.07 Management information system 30,000
1 ) CRT
2) High speed reader
10.11 .30 Real estate acquisition (nine city lots) 184,500
10.15.02 Force Account 25,000
10.08.01 Engineering and design 2,000
10.16.00 Cost allocation plan 24,400
32.00.00 Contingency 80,000
APPROVED FINANCING
ESTIMATED GROSS PROJECT COST $ 1 ,006,400
Revenue Financing $ -0-
ESTIMATED NET PROJECT COST $ 1 ,006,400
Program Code Year Fund Code Description Amount
21.10.00 Basic $
21.10.00 Basic S
21.10.00 Basic $
21.30.00 Supplemental $
21.50.00 Fixed Guideway Capital $-
21.20.00 81 DC1 Bus Capital $ 805,120
Total Federal Grant (80X) $ 805,120
Local Share (20X) $ 201 ,280.
Maximum Federal funds to be expended under this grant $ 805,120
Revised 11/81
i
APPROVED PROJECT BUDGET
(CAPITAL)
Project No. : TX-05-0071 APR 2 1982
Grantee: City of Fort Worth
The project budget and corresponding cost estimates are as follows:
Project Budget
Line Item Code Description Amount
10.01 .65 Two 40-foot advanced design buses $326,000
10.02.01 Two support vehicles 35,000
1 ) van
2) auto
10.03.01 Three service vehicles 75,000
1 ) pick-up
2) tractor
3) .forklift
10.02.02 Office equipment (marketing - photo) 19,500
10.02.04 Fare collection counter 35,000
10.03.02 One printing press and related equipment 60,000
10.03.02 Shop equipment 30,000
10.11 .20 Construct bus washer housing 30,000
10.11 .20 Construct expansion to parts storage area 50,000
10.02.07 Management information system 30,000
1 ) CRT
2) High speed reader
10.11 .30 Real estate acquisition (nine city lots) 184,500
10.15.02 Force Account 25,000
10.08.01 Engineering and design 2,000
10.16.00 Cost allocation plan 24,400
32.00.00 Contingency 80,000
APPROVED FIN,4NCING
• ESTIMATED GROSS PROJECT COST S 1 ,006,400
Revenue Financing $ -.0-
ESTIMATED NET PROJECT COST $ 1 ,006,400
Program Code Year Fund Code Description Amount
21.10.00 Basic $
21.10.00 Basic $
21.10.00 Basic $
21.30.00 Supplemental $
21.50.00 Fixed Guideway Capital $-
21.20.00 81 DC1 Bus Capital $ 805,120
Total Federal Grant (80%) $ 805,120
Local Share (20X) S 201 ,280. "
Maximum Federal funds to be expended under this grant S 805,120
Revised 11/81
INSTRUCTIONS FOR EXECUTING AGREEMENTS
Attached are four (4) copies of a Grant Agreement which have been signed on behalf
of the Urban Mass Transportation Administration.
The person officially authorized by the Grantee to accept the Government's award
of financial assistance should execute the Grant Agreements. This execution
.5hould be witnessed.
The attorney's certification should specify the date the Grantee authorized the
execution of the Government's award. That will be the date of the resolution,
ordinance, board minutes, delegation order or other "official action," not the date
of execution of the Grant Agreement (unless the execution took place on the some
day it was authorized).
Please return two complete copies of the executed Grant Agreements to:
Regional Administrator
Urban Mass Transportation Administration
Suite 9A32, 819 Taylor Street
Fort Worth, Texas 76102
Please also send with the Grant Agreements two certified copies of the document
which authorizes execution of the award. If the execution was authorized by
statute and further delegated, please be sure to cite the statute and send a copy
of the delegation of authority to execute to the above address.
In the event the Grant Agreements cannot be returned within the ninety (90) day
period, please notify the Regional Director immediately in writing setting forth
the reason for delay and requesting an extension.
3 R
City of Fort Worth, Texas
.mayor and Council Communication
DATE REFERENCE SUBJECT: 1980-81 Capital Assistance Grant PAGE
NUMBER for CITRAN; UMTA Section 5 Grant
9/30/80 **TE-361 i or �--
On June 3, 1980 (M&C TE-327) , the City Council approved the 1980-81 Transporta-
tion Improvement Program (TIP) - Transit Element. Included in the 1980-81 TIP
were various projects for improving and enhancing the CITRAN system. The
following projects with associated funding amounts are proposed for inclusion
within a Section 5 Capital Assistance Grant for CITRAN at this time:
TIP Project A-20, Data Collection $ 50,000
TIP Project A-22, Service Center Improvements $ 300,000
TIP Project A-23, Vehicles for CITRAN $ 391,000
TIP Project A-28, Operational Support Facilities $ 40,000
TIP Project A-34, Office Equipment/Furniture $ 50,000
TIP Project A-37, Shop and Support Equipment $ 84,000
Contingency, Force Account Work, Salaries, etc. $ 91,400
Total Grant Amount $1,006,400
Funding for the 1980-81 Capital Assistance Grant for CITRAN will be derived from
Federal, State, and local sources, as follows:
UMTA (80%) - Section 5 $ 805,120
SDHPT (13`/0) $ 130,832
Local (7%) $ 70,448
Total $1 ,006,400
The local funding will be derived from the City' s Public Transportation Bond
Fund, Account No. 22-041901-00, in the amount of $46,648, and the CITRAN Vehicle
Depreciation Account No. 311-000044 in the Capital Reserve Fund, in the amount
of $23,800.
7°
The Fort Worth Public Transportation Advisory Committee reviewed the 1980-81
Capital Assistance Grant for CITRAN at its regular meeting on Thursday,
August 14, 1980, and recommends City Council approval. Public hearings were held
September 18, 1980, on the proposed grant.
Recommendations:
It is recommended that the Fort Worth City Council:
1. Adopt the attached resolution, pursuant to the Urban Mass Transportation
Administration' s Capital Assistance Grant Guidelines; and
O�
s
DATE REFERENCE SUBJECT: 1980-81 Capital Assistance Grant PAGE
NUMBER for CITRAN; UMTA Section 5 Grant
9/30/80 **TE-361 2 ofes
20 Authorize the City Manager to submit grant applications to the Urban Mass
Transportation Administration and the State Department of Highways and
Public Transportation for funding consideration in the total amount of
$1,006,4000
VSoip
Attachment
SUBMITTED FOR THE
CITY MANAGER'S DISPOSITION BY COUNCIL: PROCESSED BY
OFFICE BY: ❑ APPROVED
ORIGINATING ❑ OTHER (DESCRIBE)
DEPARTMENT HEAD: (Jar L. Santerre CITY SECRETARY
FOR ADDITIONAL INFORMATION
CONTACT: Achard Le Peterson ext., 8080 DATE