HomeMy Public PortalAboutORD10259 BILL NO.
SPONSORED BY COUNCILMAN
ORDINANCE NO.
AN ORDINANCE OF THE CITY OF JEFFERSON, MISSOURI , AUTHORIZING THE
MAYOR AND CLERK TO ACCEPT AN AMENDED GRANT FROM THE URBAN MASS
TRANSPORTATION ADMINISTRATION FOR THE PURPOSE OF PURCHASING BUSES
AND EQUIPMENT.
WHEREAS, the City of Jefferson, Missouri, has received
approval on a grant amendment application under Section 3 of the
Urban Mass Transportation Act of 1964.
NOW THEREFORE, BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF
JEFFERSON, MISSOURI, AS FOLLOWS:
Section 1. The MAYOR AND Clerk are hereby authorized to
accept the amended grant in the sum of $813,568.00 from the Urban
Mass Transportation Administration, said grant Amendment No. 1,
Project MO-03-0020 to be substantially the same in form and
content as that document attached hereto and made a part hereof
by reference.
Section 2 . This Ordinance shall be in full force and effect
Aw from and afters its passage and approval.
Passed - - Xq 3:/
r sidi& Officer UMayv
ATTEST:
City e- k
M E M O R A N D U M
TO: Mayor Hartsfield and Members of the C' y Council
FROM: Marty Brose, Director of Transpor ion
DATE: August 3, 1984
RE: Contract Amendment UMTA, Bill No. 84-74
Bill No. 84-74 authorizes the acceptance of a grant amendment to
our original Transit-C/M Facility Grant to include the purchase
of buses and equipment. The Council has already passed the
necessary appropriations bill to provide $55, 700 in local match
funds for the project.
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n 49
U.S.Department REGION VII 6301 Rock Hill Road
of litonsportation Iowa.Kansas Suite 100
UrbwMm Missouri, Nebraska Kansas City, Missouri 64131
Y'QP sportatkm
AdWn stratlon
July 10, 1984
t
The Honorable George Hartsfield
Mayor, City of Jefferson
City Hall
240 E. High Street
Jefferson City, Missouri 65101
Re: Project No. MO-03-0020
Amendment No. 1
Dear Mayor Hartsfield:
I am pleased to advise you that your application for an amended capital
assistance grant under Section 3 of the Urban Mass Transportation Admin-
istration Act of 1964, as amended, has been approved. This amendment does
not provide additional funding but rather reflects a deobligation of
$46,000 in Federal funds from the $859,568 originally approved. Therefore
our total contribution to this project will be 1;813,568. The funds under
this amendment will aid in financing the purchase of one 35' replacement
coach, one 12-17 passenger van, 5 A/C retrofit kits, 5 window retrofit
kits, an automated floor scrubber and maintenance equipment.
Enclosed are two copies of the Approved Project Budget and four counter-
parts of a Notification of Grant Approval executed on behalf of this Admin-
istration. Instructions which you should follow in executing these counter-
parts are included. You may incur costs for this project as of the date
specified below which is the date on which the Government obligated funds
for this project amendment and is the date reflected on the enclosed Notifi-
cation of Grant Approval .
If you have any questions regarding the enclosed materials, please call the
UMTA Region VII Office. We look forward to working with you in carrying
out this important project.
Sinaerely,
Lee Waddleton
Regional Administrator
Enclosures
Obligation Date: July 10, 1984
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
NOTIFICATION OF GRANT APPROVAL
49 U.S.C. 1602
(SECTION 3 - CAPITAL ASSISTANCE)
AMENDATORY AGREEMENT
Project No. MO-03-0020
Amendment No. 1
GRANTEE: City of Jefferson City, Missouri
PURPOSE OF THIS AMENDMENT: To aid in the financing of one 35' ADB, one
T7-77—passenger van, C retrofit kits, 5 window retrofit kits, an
automated floor scrubber and maintenance equipment.
MAXIMUM PERCENTAGE OF FEDERAL PARTICIPATION: Eighty Percent (80%) and
Seventy-Five Percent (75%)
ESTIMATED TOTAL PROJECT COST AFTER THIS AMENDMENT: $1,057,048
(One Million, Fifty-Seven Thousand, Forty-Eight Dollars)
ESTIMATED NET PROJECT COST AFTER THIS AMENDMENT: $1,037,348 '(:One
Million, Thirty-Seven Thousand, Three Hundred Forty-Eight Dollars)
MAXIMUM FEDERAL SHARE AFTER THIS AMENDMENT: $813,568 (Eight Hundred
Thirteen rhousand, Five Hundred Sixty-Z ig t Dollars)
OBLIGATION DATE OF ORIGINAL AGREEMENT AND DATE(S) OF AMENDMENT(S):
Original : ep em er is en men ,u y 1984
SOURCES OF FEDERAL FINANCIAL ASSISTANCE:
Accounting
Project Description Classification FPC Amount
Urban Discretionary 81340331 00 $ 813,568
DATE OF SECTION 13(c) CERTIFICATION LETTER FROM THE DEPARTMENT OF
riginal : June 30, 1981 This Amendment: August 12, 1983
PROJECT DESCRIPTION AFTER THIS AMENDMENT:
a) Construction of maintenance/storage facility g) Purchase maintenance
b) Purchase 1 35' ADB equipment
c) Purchase 1 12-17 passenger bus h) Contingencies
d) Purchase and install 5 A/C retrofit kits i) Revenue financing
e) Purchase and install 5 window retrofit kits
f) Purchased automated floor scrubber
SPECIAL CONDITIONS: "Attached"
i
A N ' • •
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
•
GRANT
49 U.S.C. § 1602
(SECTION 3)
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 transportation capital improvement project
("Project") with Government financial assistance to the Grantee in the form of
a capital grant ("Grant") , under section 3 of the Urban Mass Transportation
Act of 1964, as amended, ("Act"), and to state the terms and conditions upon
which such assistance will be provided and the manner in which the Project
will be undertaken and completed and the Project facilities/equipment will be _
used.
Sec. 2. The Project - The Grantee agrees to undertake and complete the
Project, and to p— rovide_Tor the use of the Project facilities/equipment,
substantially as described in its Application, incorporated herein by -
reference, filed with and approved'by the Government, and in accordance with
the terms and conditions of this Grant. The "Project Description" on the
Notification of Grant Approval describes the Project to be funded under this
Grant.
Sec. 3, Federal Assistance = a.- - In order- to assist..the Grantee in -
financing that--portion of.-the -total cos�=of7the Project which the Department -•--_=
of Transportation (DOT) has determined cannot reasonably be financed from
revenues of the public•.transportation-system-in:whizh the Project:-- _
facilities/equipment are -to be-used• ("Net Project Cost"), such Net .Project _
Cost being estimated to be that amount stated in the Notification of Grant
Approval , the Government will make' a Grant. in. an amount equal to either (1 ) _
the maximum amount permitted -by Federal . law.and regulations, or (2) the
Maximum Federal Share as set forth in the Notification of Grant Approval , or
(3) the Maximum Percentage of Federal Participation as set forth in the
Notification of Grant Approval , .whichever amount is the least.
Page 1
Form U14TA F 2000 .
Rev. 4/1/83
i
b. For purposes of this Agreement. "Net Project Cost" must be in
conformance with the requirements of Office of Management and Budget Circular
_ (0148 Circular) A-87. "Cost Principles Applicable to Grants and Contracts with
State and Local Governments." and with any guidelines or regulations issued by
the Government. _
c. The obligation of the Government to make Federal Grant payments
shall not exceed the amount provided in the Project Budget.
Sec. 4, Local Share - The Grantee agrees that it will provide from sources
other than a e eral—funds (except as may otherwise be authorized by Federal
statute), (b) receipts from the use of the Project facilities/equipment,
except as may be authorized by the Government, 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
Project Cost. The Grantee further agrees that no refund or reduction of the
amount so provided 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. Labor Protection - The Grantee agrees to undertake, carry out, and
complete the-Project under t e terms and conditions determined by the
Secretary of Labor to be fair and equitable to protect the interests of
employees affected by the Project and meeting the requirements of section
13(c) of the Act, 49 U.S.C. § 1609(c), and Department of Labor regulations at
29 C.F-R. Part 215. These terms and conditions are identified in the letter
of certification to the Governre nt from the Department of Labor on the date
set forth in the Notification of Grant Approval , which letter and any
docur-�2nts 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. 6. Procurement of Rolling Stock and Buses - In accordance with any
guidelines issued by the Government, the rant-e s all make third party
contract awards for the acquisition of rolling stock, including buses, only
after evaluation -of performance, standardization, life-cycle costs, and other
factors the Government may deem relevant; in addition to the consideration of
initial capita]-'costs.--Jhe:Grantee sha]a==also .submi.t-a_=zer-ti.fioation- to= the -�
Government •fo]dnwing-the;-awar_d._of_:-any-,contract.-'or -roil irig=stock;!that--these�-��-
factors have -been -evaluated :n •accordance_wi th .the..Act..-;-,lhei-e: nec'essary�-the-' :
Government will-assist=:the=.Grantee_in=making:-such evaluations.-This�-;:__ -:._:a=i
requirement apps i es,--except: as--provi ded' bel ow:•--°.':
In the case of• grant -.agreements- approved on or. after_ January 6; 1983,••i n --:_
lieu of requiring. that%contracts.-.for the acqui siti.on- of. rolling stock be-,.-.
awarded on the basis of evaluation or consideration of. performance, _
standardization,- life-cycle costs and other-factors, or on the basis of
lowest initial capital cost,-- such contracts may be awarded based on a
competitive procurement process. Such competitive procurement process
must be consistent'with the provisions of Part II, Section 110.d:
Page 2
Sec. 7. The Grant - This Grant consists of the Notification of Grant
Approval ; this art orm UMTA F 2000, Rev. 4/1/83, entitled Grant; and Part
11 , •UMTA F 5G. Rev. 4/1/83, entitled Urban Mass Transportation Agreement,
' Terms and Conditions. Should the Grant award letter include special
conditions for this Project, that letter is incorporated herein by reference
and made part of this Grant. The latest approved Project Budget is
incorporated herein by reference and made part of this Grant. Amendments to
any of these documents shall require a formal amendment to this Grant, except
that reallocations of funds among budget items or fiscal years which
reallocations do not increase the total amount of the Federal Grant shall be
made in accordance with all UMTA circulars and regulations. Amendments of any
type that pertain to financial matters shall require the issuance of a new
Project Budget.
Sec. 8. Execution of Grant - This Grant may be simultaneously executed
in several counterparts, each of which counterparts shall be deemed to be an
original having identical legal effect. , When the Notification of Grant
Approval is signed by the Government, this Grant should be executed by the
Grantee within ninety (90) days after the Obligation Date. The Government -may
withdraw its obligation hereunder if the Grant is not executed within the
above ninety-day period. The effective date of the Grant shall be the
Obligation Date. The effective date of any Amendment shall be the Obligation
Date for that Amendment,
The Grantee does hereby ratify and adopt all statements, representations,
warranties, covenants, and materials submitted by it, and does hereby accept
the Gevernment 's award of financial a,,-,i stance and agrees to all of the terms
and conditions of this Grant. `
Executed this -day of , 19
ATTEST= _
k C
Cit C E r
_— � D RG�1t�17
.. ." _.._ - - _rte- --�.•\1. _ - .._+ •t a.----.... _�_. __•.-- �_ r.1._�-�.�
Certificate of Grantee's Attorney
, acting as Attorney for the Grantee do
' I � iUA�L /y.7'oR7�R�l F_l�
hereby certi y that—I have examined this Grant and have ascertained that
® execution of the Grant was authorized on the date of .2✓ •
_ A copy of this authorization is attached or has previous y een su Otte to
UMTA. The execution of this Grant and the proceedings taken by the Grantee
are in all respects due and proper and in accordance with applicable State and
local law. I further certify that, in my opinion, said Grant constitutes a
legal and binding obligation of the Grantee in accordance with the terms.
thereoF and certify that to the best of my knowledge there is no legislation
or litigation pending or threatened which might affect the performance of the
Project in accordance with the terms of this Grant.
Dated this .O day of S#pr,
+TILF-4ND ORGANIZA�It�^
•• •..��� '��^t�����y�...r�1'.•"`!'_w.��_�•_. ..��+.w��..��+a2�`t�'..:��..�.:.1.!{�_.r-�.h3�a.:F,C S•I�+'i+•r_�'
Page 4
1
SPECIAL CONDITION `
Amendment to Use of Project Facilities/Equipment Clause
The last sentence- of section 108.b of the 4/1/83 edition of Part II, Terms
and Conditions (or paragraph b. of the Use of Project Facilities and
Equipment clause set forth as a special condition of the grant) is amended
to read as follows:
Unless the Government acknowledges in writing that exceptional
circumstances justify otherwise, in cases where the property is
not insured, the fair market value will be the value of the
property immediately before the casualty or fire.
1p
SPECIAL CONDITION
Aft
Section 111.d. of Part II , Terms and Conditions is amended to read as follows:
d. Labor Provisions. Pursuant to regulations set forth at 29 C.F.R. Part 5,
the following provisions shall be incorporated in all construction contracts
of $2,000 let by the Recipient in carrying out the project.
(1) MINIMUM WAGES.
(a) ALL LABORERS AND MECHANICS EMPLOYED OR WORKING UPON THE SITE OF
THE WORK (OR UNDER THE UNITED STATES HOUSING ACT OF 1937 OR UNDER THE HOUSING
ACT OF 1949 IN THE CONSTRUCTION OR DEVELOPMENT OF THE PROJECT) , WILL BE PAID
UNCONDITIONALLY AND NOT LESS OFTEN THAN ONCE A WEEK, AND WITHOUT SUBSEQUENT
DEDUCTION OR REBATE ON ANY ACCOUNT (EXCEPT SUCH PAYROLL DEDUCTIONS AS ARE
PERMITTED BY REGULATIONS ISSUED BY THE SECRETARY OF LABOR UNDER THE COPELAND
ACT (29 CFR PART 3) ) , THE FULL AMOUNT OF WAGES AND BONA FIDE FRINGE BENEFITS
(OR CASH EQUIVALENTS THEREOF) DUE AT TIME OF PAYMENT COMPUTED AT RATES NOT
LESS THAN THOSE CONTAINED IN THE WAGE DETERMINATION OF THE SECRETARY OF LABOR
WHICH IS ATTACHED HERETO AND MADE A PART HEREOF, REGARDLESS OF ANY CONTRACTUAL
RELATIONSHIP WHICH MAY BE ALLEGED TO EXIST BETWEEN THE CONTRACTOR AND SUCH
LABORERS AND MECHANICS. CONTRIBUTIONS MADE OR COSTS REASONABLY ANTICIPATED
FOR BONA FIDE FRINGE BENEFITS UNDER SECTION 1(b)(2) OF THE DAVIS-BACON ACT ON
BEHALF OF LABORERS OR MECHANICS ARE CONSIDERED WAGES PAID TO SUCH LABORERS OR
MECHANICS, SUBJECT TO THE PROVISIONS OF PARAGRAPH (a) (1) (iv) OF 29 C.F.R.
§ 5.5; ALSO, REGULAR CONTRIBUTIONS MADE OR COSTS INCURRED FOR MORE THAN A
WEEKLY PERIOD (BUT NOT LESS OFTEN THAN QUARTERLY) UNDER PLANS, FUNDS, OR
PROGRAMS WHICH COVER THE PARTICULAR WEEKLY PERIOD, ARE DEEMED TO BE
CONSTRUCTIVELY MADE OR INCURRED DURING SUCH WEEKLY PERIOD. SUCH LABORERS AND
MECHANICS SHALL BE PAID THE APPROPRIATE WAGE RATE AND FRINGE BENEFITS ON THE
WAGE DETERMINATION FOR THE CLASSIFICATION OF WORK ACTUALLY PERFORMED, WITHOUT
REGARD TO SKILL, EXCEPT AS PROVIDED IN 29 CFR § 5.5(a)(4). LABORERS OR
MECHANICS PERFORMING WORK IN MORE THAN ONE CLASSIFICATION MAY BE COMPENSATED
AT THE RATE SPECIFIED FOR EACH CLASSIFICATION FOR THE TIME ACTUALLY WORKED
THEREIN: PROVIDED, THAT THE EMPLOYER'S PAYROLL RECORDS ACCURATELY SET FORTH
THE TIME SPENT IN EACH CLASSIFICATION IN WHICH WORK IS PERFORMED. THE WAGE
DETERMINATION (INCLUDING ANY ADDITIONAL CLASSIFICATION AND WAGE RATES
CONFORMED UNDER PARAGRAPH (a)(1) (ii ) OF 29 CFR § 5.5 AND THE DAVIS-BACON
POSTER (WH-1321) SHALL BE POSTED AT ALL TIMES BY THE CONTRACTOR AND ITS
SUBCONTRACTORS AT THE SITE OF THE WORK IN A PROMINENT AND ACCESSIBLE PLACE
WHERE•. IT CAN BE EASILY SEEN BY THE WORKERS.
(b) 1. THE CONTRACTING OFFICER SHALL REQUIRE THAT ANY CLASS OF
LABORERS OR MEUHANICS WHICH IS NOT LISTED IN THE WAGE DETERMINATION AND WHICH
IS TO BE EMPLOYED UNDER THE CONTRACT SHALL BE CLASSIFIED IN CONFORMANCE WITH
THE WAGE DETERMINATION. THE CONTRACTING OFFICER SHALL APPROVE AN ADDITIONAL
CLASSIFICATION AND WAGE RATE AND FRINGE BENEFITS THEREFOR ONLY WHEN THE
FOLLOWING CRITERIA HAVE BEEN MET:
I
2
a. THE WORK TO BE PERFORMED BY THE CLASSIFICATION REQUESTED
IS NOT PERFORMED--3Y A CLASSIFICATION IN THE WAGE DETERMINATION; AND
b. THE CLASSIFICATION IS UTILIZED IN THE AREA BY THE
CONSTRUCTION INDUSTRY; AND
c. THE PROPOSED WAGE RATE, INCLUDING ANY BONA FIDE FRINGE
BENEFITS, BEARS A REASONABLE RELATIONSHIP TO THE WAGE RATES CONTAINED IN THE
THE WAGE DETERMINATION.
2. IF THE CONTRACTOR AND THE LABORERS AND MECHANICS TO BE
EMPLOYED IN THE CLASSIFICATION (IF KNOWN), OR' THEIR REPRESENTATIVES, AND THE
CONTRACTING OFFFICER AGREE ON THE CLASSIFICATION AND WAGE RATE (INCLUDING THE
AMOUNT DESIGNATED FOR FRINGE BENEFITS WHERE APPROPRIATE), A REPORT OF THE
ACTION TAKEN SHALL BE SENT BY THE CONTRACTING OFFICER TO THE ADMINISTRATOR OF
THE WAGE AND HOUR DIVISION, EMPLOYMENT STANDARDS ADMINISTRATION, U.S.
DEPARTMENT OF LABOR, WASHINGTON, D.C. 20210. THE ADMINISTRATOR, OR AN
AUTHORIZED REPRESENTATIVE, WILL APPROVE, MODIFY, OR DISAPPROVE EVERY
ADDITIONAL CLASSIFICATION ACTION WITHIN 30 DAYS OF RECEIPT AND SO ADVISE THE
CONTRACTING OFFICER OR WILL NOTIFY THE CONTRACTING OFFICER WITHIN THE 30-DAY
PERIOD THAT ADDITIONAL TIME IS NECESSARY.
3. IN THE EVENT THE CONTRACTOR, THE LABORERS OR MECHANICS TO BE
EMPLOYED IN TIDE CLASSIFICATION OR THEIR REPRESENTATIVES, AND THE CONTRACTING
OFFICER DO NOT AGREE ON THE PROPOSED CLASSIFICATION AND WAGE RATE (INCLUDING
THE AMOUNT DESIGNATED FOR FRINGE BENEFITS, WHERE APPROPRIATE), THE CONTRACTING
OFFICER SHALL REFER THE QUESTIONS INCLUDING THE VIEWS OF ALL INTERESTED
PARTIES AND THE RECOMMENDATION OF THE CONTRACTING OFFICER, TO THE
ADMINISTRATOR FOR DETERMINATION. THE ADMINISTRATOR, OR AN AUTHORIZED
REPRESENTATIVE, WILL ISSUE A DETERMINATION WITHIN 30 DAYS OF RECEIPT AND SO
ADVISE THE CONTRACTING OFFICER OR WILL NOTIFY THE CONTRACTING OFFICER WITHIN
THE 30-DAY PERIOD THAT ADDITIONAL TIME IS NECESSARY.
4. THE WAGE RATE (INCLUDING FRINGE BENEFITS WHERE APPROPRIATE)
DETERMINED PURSUANT TO SUBPARAGRAPHS (a) (1) (B) OR (C) OF 29 CFR § 5.5, SHALL
BE PAID TO ALL WORKERS PERFORMING WORKIN THE CLASSIFICATION UNDER THIS
CONTRACT FROM THE FIRST DAY ON WHICH WORK IS PERFORMED IN THE CLASSIFICATION.
(c) WHENEVER THE MINIMUM WAGE RATE PRESCRIBED IN THE CONTRACT FOR A
CLASS OF LABORERS OR MECHANICS INCLUDES A FRINGE BENEFIT WHICH IS NOT
EXPRESSED AS AN HOURLY RATE, THE CONTRACTOR SHALL EITHER PAY THE BENEFIT AS
STATED IN THE WAGE DETERMINATION OR SHALL PAY ANOTHER BONA FIDE FRINGE BENEFIT
OR AN HOURLY CASH EQUIVALENT THEREOF.
(d) IF THE CONTRACTOR DOES NOT MAKE PAYMENTS TO A TRUSTEE OR OTHER
THIRD PERSON, THE CONTRACTOR MAY CONSIDER AS PART OF THE WAGES OF ANY LABORER
OR MECHANIC THE AMOUNT OF ANY COSTS REASONABLY ANTICIPATED IN PkOVIDING BONA
FIDE FRINGE BENEFITS UNDER A PLAN OR PROGRAM, PROVIDED, THAT THE SECRETARY OF
LABOR HAS FOUND, UPON THE WRITTEN REQUEST OF THE—T'MACTOR, THAT THE
3
APPLICABLE STANDARDS OF THE DAVIS-BACON ACT HAVE BEEN MET. THE SECRETARY OF
LABOR MAY REQUIRE THE CONTRACTOR TO SET ASIDE IN A SEPARATE ACCOUNT ASSETS FOR
THE MEETING OF OBLIGATIONS UNDER THE PLAN OR PROGRAM.
(2) WITHHOLDING. DOT SHALL UPON ITS OWN ACTION OR UPON WRITTEN REQUEST
OF AN AUTHORIZED REPRESENTATIVE OF THE DEPARTMENT OF LABOR WITHHOLD OR CAUSE
TO BE WITHHELD FROM THE CONTRACTuR UNDER THIS CONTRACT OR ANY OTHER FEDERAL
CONTRACT WITH THE SAME PRIME CONTRACTOR, OR ANY OTHER FEDERALLY-ASSISTED
CONTRACT SUBJECT TO DAVIS-BACON PREVAILING WAGE REQUIREMENTS, WHICH IS HELD BY
THE SAME PRIME CONTRACTOR, SO MUCH OF THE ACCRUED PAYMENTS OR ADVANCES AS MAY
BE CONSIDERED NECESSARY TO PAY LABORERS AND MECHANICS, INCLUDING APPRENTICES,
TRAINEES, AND HELPERS, EMPLOYED BY THE CONTRACTOR OR ANY SUBCONTRACTOR THE
FULL AMOUNT OF WAGES REQUIRED BY THE CONTRACT. IN THE EVENT OF FAILURE TO PAY
ANY LABORER OR MECHANIC, INCLUDING ANY APPRENTICE, TRAINEE, OR HELPER,
EMPLOYED OR WORKING ON THE SITE OF THE WORK (OR UNDER THE UNITED STATES
HOUSING ACT OF 1937 OR UNDER THE HOUSING ACT OF 1949 IN THE CONSTRUCTION OR
DEVELOPMENT OF THE PROJECT), ALL OR PART OF THE WAGES REQUIRED BY THE
CONTRACT, DOT MAY, AFTER WRITTEN NOTICE TO THE CONTRACTOR, SPONSOR, APPLICANT,
OR OWNER, TAKE SUCH ACTION AS MAY BE NECESSARY TO CAUSE THE SUSPENSION OF ANY
FURTHER PAYMENT, ADVANCE, OR GUARANTEE OF FUNDS UNTIL SUCH VIOLATIONS HAVE
CEASED.
(3) PAYROLLS AND BASIC RECORDS.
(a) PAYROLLS AND BASIC RECORDS RELATING THERETO SHALL BE MAINTAINED
BY THE CONTRACTOR DURING THE COURSE OF THE WORK AND PRESERVED FOR A PERIOD OF
THREE YEARS THEREAFTER FOR ALL LABORERS AMD MECHANICS WORKING AT THE SITE OF
THE WORK (OR UNDER THE UNITED STATES HOUSING ACT OF 1937, OR UNDER THE HOUSING
ACT OF 1949, IN THE CONSTRUCTION OR DEVELOPMENT OF THE PROJECT). SUCH RECORDS
SHALL CONTAIN THE NAME, ADDRESS, AND SOCIAL SECURITY NUMBER OF EACH SUCH
WORKER, HIS OR HER CORRECT CLASSIFICATION, HOURLY RATES OF WAGES PAID
( INCLUDING RATES OF CONTRIBUTIONS OR COSTS ANTICIPATED FOR BONA FIDE FRINGE
BENEFITS OR CASH EQUIVALENTS THEREOF OF THE TYPES DESCRIBED IN SECTION
1(b)(2) (B) OF THE DAVIS-BACON ACT) , DAILY AND WEEKLY NUMBER OF HOURS WORKED,
DEDUCTIONS MADE AND ACTUAL WAGES PAID. WHENEVER THE SECRETARY OF LABOR HAS
FOUND UNDER 29 CFR § 5.5(a)(1)(iv) THAT THE WAGES OF ANY LABORER OR MECHANIC
INCLUDE THE AMOUNT OF ANY COSTS REASONABLY ANTICIPATED IN PROVIDING BENEFITS
UNDER A PLAN OR PROGRAM DESCRIBED IN SECTION 1(b)(2) (B) OF THE DAVIS-BACON
ACT, THE CONTRACTOR SHALL MAINTAIN RECORDS WHICH SHOW THAT THE COMMITMENT TO
PROVIDE SUCH BENEFITS IS ENFORCEABLE, THAT THE PLAN OR PROGRAM IS FINANCIALLY
RESPONSIBLE, AND THAT THE PLAN OR PROGRAM HAS BEEN COMMUNICATED IN WRITING TO
THE LABORERS OR MECHANICS AFFECTED, AND RECORDS WHICH SHOW THE COSTS
ANTICIPATED OR THE ACTUAL COST INCURRED IN PROVIDING SUCH BENEFITS.
CONTRACTORS EMPLOYING APPRENTICES OR TRAINEES UNDER APPROVED PROGRAMS SHALL
MAINTAIN WRITTEN EVIDENCE OF THE REGISTRATION OF APPRENTICESHIP PROGRAMS AND
CERTIFICATION OF TRAINEE PROGRAMS, THE REGISTRATION OF THE APPRENTICES AND
TRAINEES, AND THE RATIOS AND WAGE, RATES PRESCRIBED IN THE APPLICABLE PROGRAMS.
4
(b) 1. THE CONTRACTOR SHALL SUBMIT WEEKLY FOR EACH WEEK IN WHICH ANY
CONTRACT WORK IS PERFORMED A COPY OF ALL PAYROLLS TO DOT IF DOT IS A PARTY TO
THE CONTRACT, BUT IF DOT IS NOT SUCH A PARTY, THE CONTRACTOR WILL SUBMIT THE
PAYROLLS TO THE APPLICANT, SPONSOR, OR OWNER, AS THE CASE MAY BE, FOR
TRANSMISSION TO DOT. THE PAYROLLS SUBMITTED SHALL SET OUT ACCURATELY AND
COMPLETELY ALL OF THE INFORMATION REQUIRED TO BE MAINTAINED UNDER §
5.5(a)(3)(i ) OF REGULATIONS, 29 CFR PART 5. THIS INFORMATION MAY BE SUBMITTED
IN ANY FORM DESIRED. OPTIONAL FORM WH-347 IS AVAILABLE FOR THIS PURPOSE AND
MAY BE PURCHASED FROM THE SUPERINTENDENT OF DOCUMENTS (FEDERAL STOCK NUMBER
029-005-00014-1) , U.S. GOVERNMENT PRINTING OFFICE, WASHINGTON, D.C. 20402.
THE PRIME CONTRACTOR IS RESPONSIBLE FOR THE SUBMISSION OF COPIES OF PAYROLLS
BY ALL SUBCONTRACTORS.
2. EACH PAYROLL SUBMITTED SHALL BE ACCOMPANIED BY A "STATEMENT
OF COMPLIANCE" SIGNED BY THE CONTRACTOR OR SUBCONTRACTOR OR HIS OR HER AGENT
WHO PAYS OR SUPERVISES THE PAYMENT OF THE PERSONS EMPLOYED UNDER THE CONTRACT
AND SHALL CERTIFY THE FOLLOWING:
a. THAT THE PAYROLL FOR THE PAYROLL PERIOD CONTAINS THE
INFORMATION REQU'IRED TO BE MAINTAINED UNDER § 5.5(a)(3)(i ) OF REGULATIONS,
29 CFR PART 5 AND THAT SUCH INFORMATION IS CORRECT AND COMPLETE;
b. THAT EACH LABORER OR MECHANIC (INCLUDING EACH HELPER,
APPRENTICE, AND TRAINEE) EMPLOYED ON THE CONTRACT DURING THE PAYROLL PERIOD
HAS BEEN PAID THE FULL WEEKLY WAGES EARNED, WITHOUT REBATE, EITHER DIRECTLY OR
INDIRECTLY, AND THAT NO DEDUCTIONS HAVE BEEN MADE EITHER•DIRECTLY OR
INDIRECTLY FROM THE FULL WAGES EARNED, OTHER THAN PERMISSIBLE DEDUCTIONS AS
SET FORTH IN REGULATIONS, 29 CFR PART 3;
c. THAT EACH LABORER OR MECHANIC HAS BEEN PAID NOT LESS THAN
THE APPLICABLE WAGE RATES AND FRINGE BENEFITS OR CASH EQUIVALENTS FOR THE
CLASSIFICATION OF WORK PERFORMED, AS SPECIFIED IN THE APPLICABLE WAGE
DETERMINATION INCORPORATED INTO THE CONTRACT.
3. THE WEEKLY SUBMISSION OF A PROPERLY EXECUTED CERTIFICATION
SET FORTH ON THE REVERSE SIDE OF OPTIONAL FORM WH-347 SHALL SATISFY THE
REQUIREMENT FOR SUBMISSION OF THE "STATEMENT OF COMPLIANCE" REQUIRED BY
PARAGRAPH (a)(3)(ii )(B) OF 29 CFR § 5.5.
4. THE FALSIFICATION OF ANY OF THE ABOVE CERTIFICATIONS MAY
SUBJECT THE CONTRACTOR OR SUBCONTRACTOR TO CIVIL OR CRIMINAL PROSECUTION UNDER
SECTION 1001 OF TITLE 18 AND SECTION 231 OF TITLE 31 OF THE UNITED STATES
CODE.
5
(c) THE CONTRACTOR OR SUBCONTRACTOR SHALL MAKE THE RECORDS REQUIRED
UNDER PARAGRAPH (a)(3)(i ) of 29 CFR § 5.5 AVAILABLE FOR INSPECTION, COPYING,
OR TRANSCRIPTION BY AUTHORIZED REPRESENTATIVES OF DOT OR THE DEPARTMENT OF
LABOR, AND SHALL PERMIT SUCH REPRESENTATIVES TO INTERVIEW EMPLOYEES DURING
WORKING HOURS ON THE JOB. IF THE CONTRACTOR OR SUBCONTRACTOR FAILS TO SUBMIT
THE REQUIRED RECORDS OR TO MAKE THEM AVAILABLE, THE FEDERAL AGENCY MAY, AFTER
WRITTEN NOTICE TO THE CONTRACTOR, SPONSOR, APPLICANT, OR OWNER, TAKE SUCH
ACTION AS MAY BE NECESSARY TO CAUSE THE SUSPENSION OF ANY FURTHER PAYMENT,
ADVANCE, OR GUARANTEE OF FUNDS. FURTHERMORE, FAILURE TO SUBMIT THE REQUIRED
RECORDS UPON REQUEST OR TO MAKE SUCH RECORDS AVAILABLE MAY BE GROUNDS FOR
DEBARMENT ACTION PURSUANT TO 29 CFR § 5.12.
(4) APPRENTICES AND TRAINEES--APPRENTICES.
(a) APPRENTICES WILL BE PERMITTED TO WORK AT LESS THAN THE
PREDETERMINED RATE FOR THE WORK THEY PERFORMED WHEN THEY ARE EMPLOYED PURSUANT
TO AND INDIVIDUALLY REGISTERED IN A BONA FIDE APPRENTICESHIP PROGRAM
REGISTERED WITH THE U.S. DEPARTMENT OF LABOR, EMPLOYMENT AND TRAINING
ADMINISTRATION, BUREAU OF APPRENTICESHIP AND TRAINING, OR WITH A STATE
APPRENTICESHIP AGENCY RECOGNIZED BY THE BUREAU, OR IF A PERSON IS EMPLOYED IN
HIS OR HER FIRST 90 DAYS OF PROBATIONARY EMPLOYMENT AS AN APPRENTICE IN SUCH
AN APPRENTICESHIP PROGRAM, WHO IS NOT INDIVIDUALLY REGISTERED IN THE PROGRAM,
BUT WHO HAS BEEN CERTIFIED BY THE BUREAU OF APPRENTICESHIP AND TRAINING OR A
STATE APPRENTICESHIP AGENCY (WHERE APPROPRIATE) TO BE ELIGIBLE FOR
PROBATIONARY EMPLOYMENT AS AN APPRENTICE. THE ALLOWABLE RATIO OF APPRENTICES
TO JOURNEYMEN ON THE JOB SITE IN ANY CRAFT CLASSIFICATION SHALL NOT BE GREATER
THAN THE RATIO PERMITTED TO THE CONTRACTOR AS TO THE ENTIRE WORK FORCE UNDER
THE REGISTERED PROGRAM. ANY WORKER LISTED ON A PAYROLL AT AN APPRENTICE WAGE
RATE, WHO IS NOT REGISTERED OR OTHERWISE EMPLOYED AS STATED ABOVE, SHALL BE
PAID NOT LESS THAN THE APPLICABLE WAGE RATE ON THE WAGE DETERMINATION FOR THE
CLASSIFICATION OF WORK ACTUALLY PERFORMED. IN ADDITION, ANY APPRENTICE
PERFORMING WORK ON THE JOB SITE IN EXCESS OF THE RATIO PERMITTED UNDER THE
REGISTERED PROGRAM SHALL BE PAID NOT LESS THAN THE APPLICABLE WAGE RATE ON THE
WAGE DETERMINATION FOR THE WORK ACTUALLY PERFORMED. WHERE A CONTRACTOR IS
PERFORMING CONSTRUCTION ON A PROJECT IN A LOCALITY OTHER THAN THAT IN WHICH
ITS PROGRAM IS REGISTERED, THE RATIOS AND WAGE RATES (EXPRESSED IN PERCENTAGES
OF THE JOURNEYMAN'S HOURLY RATE) SPECIFIED IN THE CONTRACTOR'S OR
SUBCONTRACTOR'S REGISTERED PROGRAM SHALL BE OBSERVED. EVERY APPRENTICE MUST
BE PAID AT NOT LESS THAN THE RATE SPECIFIED IN THE REGISTERED PROGRAM FOR THE
APPRENTICE'S LEVEL OF PROGRESS, EXPRESSED AS A PERCENTAGE OF THE JOURNEYMAN'S
HOURLY RATE SPECIFIED IN THE APPLICABLE WAGE DETERMINATION. APPRENTICES SHALL
BE PAID FRINGE BENEFITS IN ACCORDANCE WITH THE PROVISIONS OF THE
APPRENTICESHIP PROGRAM. IF THE APPRENTICESHIP PROGRAM DOES NOT SPECIFY
FRINGE BENEFITS, APPRENTICES MUST BE PAID THE FULL AMOUNT OF FRINGE BENEFITS
LISTED ON THE WAGE DETERMINATION FOR THE APPLICABLE CLASSIFICATION. IF THE
ADMINISTRATOR DETERMINES THAT A DIFFERENT PRACTICE PREVAILS FOR THE APPLICABLE
APPRENTICE CLASSIFICATON, FRINGE BENEFITS SHALL BE PAID IN ACCORDANCE WITH
THAT DETERMINATION. IN THE EVENT THE BUREAU OF APPRENTICESHIP AND TRAINING,
6
OR A STATE APPRENTICESHIP AGENCY RECOGNIZED BY THE BUREAU, WITHDRAWS APPROVAL
OF AN APPRENTICESHIP PROGRAM, THE CONTRACTOR WILL NO LONGER BE PERMITTED TO
UTILIZE APPRENTICES AT LESS THAN THE APPLICABLE PREDETERMINED RATE FOR THE
WORK PERFORMED UNTIL AN ACCEPTABLE PROGRAM IS APPROVED.
(b) TRAINEES. EXCEPT AS PROVIDED IN 29 CFR § 5.16, TRAINEES WILL
NOT BE PERMITTED-7UWK AT LESS THAN THE PREDETERMINED RATE FOR THE WORK
PERFORMED UNLESS THEY ARE EMPLOYED PURSUANT TO AND INDIVIDUALLY REGISTERED IN
A PROGRAM WHICH HAS RECEIVED PRIOR APPROVAL, EVIDENCED BY FORMAL CERTIFICATION
BY THE U.S. DEPARTMENT OF LABOR, EMPLOYMENT AND TRAINING ADMINISTRATION. THE
RATIO OF TRAINEES TO JOURNEYMEN ON THE JOB SITE SHALL NOT BE GREATER THAN
PERMITTED UNDER THE PLAN APPROVED BY THE EMPLOYMENT AND TRAINING
ADMINISTRATION. EVERY TRAINEE MUST BE PAID AT NOT LESS THAN THE RATE
SPECIFIED IN THE APPROVED PROGRAM FOR THE TRAINEE'S LEVEL OF PROGRESS,
EXPRESSED AS A PERCENTAGE OF THE JOURNEYMAN'S HOURLY RATE SPECIFIED IN THE
APPLICABLE WAGE DETERMINATION. TRAINEES SHALL BE PAID FRINGE BENEFITS IN
ACCORDANCE WITH THE PROVISIONS OF THE TRAINEE PROGRAM. IF THE TRAINEE PROGRAM
DOES NOT MENTION FRINGE BENEFITS, TRAINEES SHALL BE PAID THE FULL AMOUNT OF
FRINGE BENEFITS LISTED ON THE WAGE DETERMINATION UNLESS THE ADMINISTRATOR OF
THE WAGE AND HOUR DIVISION DETERMINES THAT THERE IS AN APPRENTICESHIP PROGRAM
ASSOCIATED WITH THE CORRESPONDING JOURNEYMAN'S WAGE RATE ON THE WAGE
DETERMINATION WHICH PROVIDES FOR LESS THAN FULL FRINGE BENEFITS FOR
APPRENTICES. ANY EMPLOYEE LISTED ON THE PAYROLL AT A TRANINEE RATE WHO IS NOT
REGISTERED AND PARTICIPATING IN A TRAINING PLAN APPROVED BY THE EMPLOYMENT AND
TRAINING ADMINISTRATION SHALL BE PAID NOT LESS THAN THE APPLICABLE WAGE RATE Aft
ON THE WAGE DETERMINATION FOR THE CLASSIFICATION OF WORK ACTUALLY PERFORMED.
IN ADDITION, ANY TRAINEE PERFORMING WORK ON THE JOB SITE IN EXCESS OF THE
RATIO PERMITTED UNDER THE REGISTERED PROGRAM SHALL BE PAID NOT LESS THAN THE
APPLICABLE WAGE RATE ON THE WAGE DETERMINATION FOR THE WORK ACTUALLY
PERFORMED. IN THE EVENT THE EMPLOYMENT AND TRAINING ADMINISTRATION WITHDRAWS
APPROVAL OF A TRAINING PROGRAM, THE CONTRACTOR WILL NO LONGER BE PERMITTED TO
UTILIZE TRAINEES AT LESS THAN THE APPLICABLE PREDETERMINED RATE FOR THE WORK
PERFORMED UNTIL AN ACCEPTABLE PROGRAM IS APPROVED.
(c) EQUAL EMPLOYMENT OPPORTUNITY. THE UTILIZATION OF APPRENTICES,
TRAINEES AND JOURNEYMEN UNDER THIS PART SH LL BE IN CONFORMITY WITH THE, EQUAL
EMPLOYMENT OPPORTUNITY REQUIREMENTS OF EXECUTIVE ORDER 11246, AS AMENDED, AND
29 CFR PART 30.
(5) COMPLIANCE WITH COPELAND ACT REQUIREMENTS. THE CONTRACTOR SHALL
COMPLY WI ARE INCORPORATED BY
REFERENCE.
(6) CONTRACT TERMINATION: DEBARMENT. A BREACH OF THE CONTRACT CLAUSES
IN 29 CFR § 5.5. MAY BE GROUNDS FOR TERMINATION OF THE CONTRACT, AND FOR
DEBARMENT AS A CONTRACTOR AND A SUBCONTRACTOR AS PROVIDED IN 29 CFR § 5.12:
7
(7) COMPLIANCE WITH DAVIS-BACON AND RELATED ACT REQUIREMENTS. ALL
RULINGS A ND INTERPRETATIONS OF rHE DAVIS-BACON AND RELATEU ACTMNTAINED IN
29 CFR PARTS 1, 3, AND 5 ARE HEREIN INCORPORATED BY REFERENCE.
(8) DISPUTES CONCERNING LABOR STANDARDS. DISPUTES ARISING OUT OF THE
LABOR STANDARDS PROVISIONS HALL NOT BE SUBJECT TO THE
GENERAL DISPUTES CLAUSE OF THIS CONTRACT. SUCH DISPUTES SHALL BE RESOLVED IN
ACCORDANCE WITH THE PROCEDURES OF THE DEPARTMENT OF LABOR SET FORTH IN 29 CFR
PARTS 5, 6, and 7. DISPUTES WITHIN THE MEANING OF THIS CLAUSE INCLUDE
DISPUTES BETWEEN THE CONTRACTOR (OR ANY OF ITS SUBCONTRACTORS) AND THE
CONTRACTING AGENCY, THE U.S. DEPARTMENT OF LABOR, OR THE EMPLOYEES OR THEIR
REPRESENTATIVES.
(9) (a) CERTIFICATION OF ELIGIBILITY. BY ENTERING INTO THIS CONTRACT,
THE CONTRACTOR I I (NOR HE OR SHE) NOR ANY PERSON OR
FIRM WHO HAS AN INTEREST IN THE CONTRACTOR'S FIRM IS A PERSON OR FIRM
INELIGIBLE TO BE AWARDED GOVERNMENT CONTRACTS BY VIRTUE OF. SECTION 3(a) OF THE
DAVIS-BACON ACT OR 29 CFR § 5.12(a)(1).
(b) NO PART OF THIS CONTRACT SHALL BE SUBCONTRACTED TO ANY PERSON OR
FIRM INELIGIBLE FOR AWARD OF A GOVERNMENT CONTRACT BY VIRTUE OF SECTION 3(a)
OF THE DAVIS-BACON ACT OR 29 CFR § 5.12(a)(1).
(c) THE PENALTY FOR MAKING FALSE STATEMENTS IS PRESCRIBED IN THE U.S.
CRIMINAL CODE, 18 U.S.C. § 1001.
(10) OVERTIME REQUIREMENTS. NO CONTRACTOR OR SUBCONTRACTOR CONTRACTING
FOR ANY PART OF THE CONTRACT W RK WHICH MAY REQUIRE OR INVOLVE THE EMPLOYMENT
OF LABORERS OR MECHANICS SHALL REQUIRE OR PERMIT ANY SUCH LABORER OR MECHANIC
IN ANY WORKWEEK IN WHICH HE OR SHE IS EMPLOYED ON SUCH WORK TO WORK IN EXCESS
OF EIGHT HOURS IN ANY CALENDAR DAY OR IN EXCESS OF FORTY HOURS IN SUCH
WORKWEEK UNLESS SUCH LABORER OR MECHANIC RECEIVES COMPENSATION AT A RATE NOT
LESS THAN ONE AND ONE-HALF TIMES THE BASIC RATE OF PAY FOR ALL HOURS WORKED IN
EXCESS OF EIGHT HOURS IN ANY CALENDAR DAY OR IN EXCESS OF FORTY HOURS IN SUCH
WORKWEEK, WHICHEVER IS GREATER.
(11) VIOLATION; LIABILITY FOR UNPAID WAGES; LIQUIDATED DAMAGES. IN THE
EVENT OF ANY VIOLATION OF THE CLAUSE 3ET FORTH IN SUBP R GR P 1) 29 CFR
§ 5.5, THE CONTRACTOR AND ANY SUBCONTRACTOR RESPONSIBLE THEREFOR SHALL BE
LIABLE FOR THE UNPAID WAGES. IN ADDITION, SUCH CONTRACTOR AND SUBCONTRACTOR
SHALL BE LIABLE TO THE UNITED STATES (IN THE CASE OF WORK DONE UNDER CONTRACT
FOR THE DISTRICT OF COLUMBIA OR A TERRITORY, TO SUCH DISTRICT OR TO SUCH
TERRITORY), FOR LIQUIDATED DAMAGES. SUCH LIQUIDATED DAMAGES SHALL BE COMPUTED
WITH RESPECT TO EACH INDIVIDUAL LABORER OR MECHANIC, INCLUDING WATCHMEN AND
GUARDS, EMPLOYED IN VIOLATION OF THE CLAUSE SET FORTH IN SUBPARAGRAPH (b)(1)
OF 29 CFR § 5.5 IN THE SUM OF $10 FOR EACH CALENDAR DAY OR WHICH SUCH
INDIVIDUAL WAS REQUIRED OR PERMITTED TO WORK IN EXCESS OF EIGHT HOURS OR IN
EXCESS OF THE STANDARD WORKWEEK OF FORTY HOURS WITHOUT PAYMENT OF THE OVERTIME
WAGES REQUIRED BY THE CLAUSE SET FORTH IN SUBPARAGRAPH (b)(1) OF 29 CFR
§ 5.5.
8
Alk
(12) WITHHOLDING FOR UNPAID WAGES AND LIQUIDATED DAMAGES. DOT OR THE IF
RECIPIENT SHALL UPON ITS OWN ACTION OR UPON WRITIEN REQUEST UF AN AUTHORIZED
REPRESENTATIVE OF THE DEPARTMENT OF LABOR WITHHOLD OR CAUSE TO BE WITHHELD,
FROM ANY MONEYS PAYABLE ON ACCOUNT OF WORK PERFORMED BY THE CONTRACTOR OR
SUBCONTRACTOR UNDER ANY SUCH CONTRACT OR ANY OTHER FEDERAL CONTRACT WITH THE
SAME PRIME CONTRACTOR, OR ANY OTHER FEDERALLY-ASSISTED CONTRACT SUBJECT TO THE
CONTRACT WORK HOURS AND SAFETY STANDARDS ACT, WHICH IS HELD BY THE SAME PRIME
CONTRACTOR, SUCH SUMS AS MAY BE DETERMINED TO BE NECESSARY TO SATISFY ANY
LIABILITIES OF SUCH CONTRACTOR OR SUBCONTRACTOR FOR UNPAID WAGES AND
LIQUIDATED DAMAGES AS PROVIDED IN THE CLAUSE SET FORTH IN SUBPARAGRAPH (b)(2)
OF 29 CFR § 5.5.
(13) NONCONSTRUCTION CONTRACTS. IN ADDITION TO THE CLAUSES CONTAINED IN
29 CFR § 53(b) or paragraphs 10 HROUGH (14) HEREIN, IN ANY CONTRACT
SUBJECT ONLY TO THE CONTRACT WORK HOURS AND SAFETY STANDARDS ACT AND NOT TO
ANY OF THE OTHER STATUTES CITED IN 29 CFR § 5.1, THE RECIPIENT SHALL INSERT A
CLAUSE REQUIRING THAT THE CONTRACTOR OR SUBCONTRACTOR SHALL MAINTAIN PAYROLLS
AND BASIC PAYROLL RECORDS DURING THE COURSE OF THE WORK AND SHALL PRESERVE
THEM FOR A PERIOD OF THEREE YEARS FROM THE COMPLETION OF THE CONTRACT FOR ALL
LABORERS AND MECHANICS, INCLUDING GUARDS AND WATCHMEN, WORKING ON THE
CONTRACT. SUCH RECORDS SHALL CONTAIN THE NAME AND ADDRESS OF EACH SUCH
EMPLOYEE, SOCIAL SECURITY NUMBER, CORRECT CLASSIFICATIONS, HOURLY RATES OF
WAGES PAID, DAILY AND WEEKLY NUMBER OF HOURS WORKED, DEDUCTIONS MADE, AND
ACTUAL WAGES PAID. FURTHER, THE RECIPIENT SHALL REQUIRE THE CONTRACTING
OFFICER TO INSERT IN ANY SUCH CONTRACT A CLAUSE PROVIDING THAT THE RECORDS TO Amtk
BE MAINTAINED UNDER THIS PARAGRAPH SHALL BE MADE AVAILABLE BY THE CONTRACTOR
OR SUBCONTRACTOR FOR INSPECTION, COPYING, OR TRANSCRIPTION BY AUTHORIZED
REPRESENTATIVES OF DOT AND THE DEPARMTENT OF LABOR, AND THE CONTRACTOR OR
SUBCONTRACTOR WILL. PERMIT SUCH RESPRESENTATIVES TO INTERVIEW EMPLOYEES DURING
WORKING HOURS ON THE JOB.
(14) SUBCONTRACTS. THE CONTRACTOR OR SUBCONTRACTOR SHALL INSERT IN ANY
SUBCONTRACTS THE GLA SET FORTH IN SUBPARAGRAPH (1) THROUGH (14) OF THIS
PARAGRAPH AND ALSO A CLAUSE REQUIRNG THE SUBCONTRACTORS TO INCLUDE THESE
CLAUSES IN ANY LOWER TIER SUBCONTRACTS. THE PRIME CONTRACTOR SHALL BE
RESPONSIBLE FOR COMPLIANCE BY ANY SUBCONTRACTOR OR LOWER TIER SUBCONTRACTOR
WITH THE CLAUSES SET FORTH IN SUBPARAGRAPHS (1) THROUGH (14) OF THIS
PARAGRAPH.
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
® WASHINGTON, D.C. 20590
Z of T
4
a
SITES
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AM
URBAN MASS TRANSPORTATION AGREEMENT
PART II
TERMS AND CONDITIONS
for Projects under section 3, 4(1 ), 5, 6, 8,
9, 9A, and 20 of the Urban Mass Transportation
Act of 1964, as amended, 49 U.S.C. §. 1601 et seq. ;
for Mass Transportation Projects under
the Federal-Aid Highway Act of 1973,
as amended, title 23 U.S.C. (Highways);
or for section 175 of the Clean Air Act
Amendments of 1977, 42 U.S.C. § 7505.
Form UMTA F 5G
Rev. 4/i/83
TABLE OF CONTENTS
Section 101. Definitions.................... ........ .............. 1
Section 102. Accomplishment of the Project. .... ..... ......... ... ..2
a. General Requirements......... .. . ..... ...........2
b. Pursuant to Federal , State and Local Law........2
c. Funds of the Recipient. ........... ... ...........2
d. Submission of Proceedings, Contracts, and Other.
Documents.... ...... ... .... ... ........ ... ........2
e. Changed Conditions Affecting Performance...... ..3
f. No Government Obligations to Third Parties......3
g. Land Acquisition Policy.............. ...........3
Section 103. The Project Budget....... ...... ... ... ................3
Section 104. Accounting Records. ...... ................. ... ........3
a. Project Accounts.......... ......................3
b. Funds Received or Made Available for the. .......
Project............ ...... ...... .. . .............3
c. Allowable Costs..... ...... ... ..... ...... ...... ..3
d. Documentation of Project Costs..... .............4
e. Checks, Orders and Vouchers.. ...... ... ..........4
f. Audit and Inspection............................4
Section 105. Requisitions and Payments... ... ... ...... ........... ..5
a. Request for Payment by the Recipient.. ..........5
b. Payment by the Government. ......... ... .. ........5
c. Disallowed Costs................... ........... ..6
d. Prohibition Against Use of Federal Funds for....
Lobbying.. ................ .. ... ... ...... .......6
e. Letter of Credit....... ... ...... ... ...... .......6
f. Interest on Late Payments. ... ......... ........ ..7
g. Deobligation of Funds.............. ... ........ ..7
Section 106. Right of Government to Terminate.. ...... .............7
Section 107. Project Completion, Settlement and Close-Out. .... ....7
Section 108. Use of Project Facilities/Equipment.. ... ... ... ... ....8
Section 109. Encumbrance of Project Property. ...... .. .. . ... ..... ..9
Section 110. Restrictions, Prohibitions, Controls, and Labor.. ... .
Provisions. ........ ...... ... .. . ... ... .. ... ... .......9
a. Equal Employment Opportunity.......... ...... .. . .9
b. Small , Minority and Women's Business.. ... .......
Enterprise.............. ... ...... ........ ......10
c. Title VI - Civil Rights Act of 1964. ..... ......11
d. Competition in Procurement. ... .. . .............. 11
e. Force Account........ ... ...... ... .. ...... ... ...12
f. Settlement of Third Party Contract: Disputes.....
or Breaches. ....... .. ... . .. ... ...... ..... ......12
g. Ethics......... .... .. . .. ... ... ... ... ... .. . .. ...12
h. Interest of Members of or Delegates to. ........
Congress............ . .. ...... ... ... .. . ........13
Section 111 . Construction Contracts. . . . . ..... ... ... ... ... .. . .. ...13
a. Nondiscrimination.... ...... ... ...... ... .. . ... ..13
b. Specifications. . ........ ... ... ... ... ... .. . .. ...15
c. Notice......... .... ..... . .. . .. ... ... .. ... ......20
d. Labor Provisions. .. .. . .. ... ...... ..............22
e. Contract Security....
® 1
f. Insurance During Construction....... ..........27
g. Signs............................ .............27
h. Safety Standards. .. .. ..................... ... .27
i. Liquidated Damages. .. ............ ............ .27
Section 112. Environmental , Resource, and Energy Protection and. ..
Conservation Requirements..... ................. ....28
a. Compliance with Environmental Standards. ..... .28
b. Air Pollution... .. .......•.................... .28
c. Use of Public Lands. ......................... .28
d. Historic Preservation..... ....... ............ .28
e. Energy Conservation.............. .............29
Section 113. Patent Rights..... ... ................................29
Section 114. Rights in Data. ... ...................................29
Section 115. Cargo Preference - Use of United States-Flag... ....
. .
Vessels. .......................................... .30
Section 116. Buy America.................................. ....... .31
Section 117. Charter and School Bus Operations...... .... ..... .....32
a. Charter Bus..... .......... ....................32
b. School Bus. .. .. . ....... .. .... .. .. ... ......... .32
Section 118. Nondiscrimination on the Basis of Handicap....... ....32
Section 119. Flood Hazards..... ..... ......... ........... ..........32
Section 120. Privacy................ ..................... .........32
Section 121 . Miscellaneous. .......... ................ .... ...........34
a. Bonus or Commission.. .........................34
b. State and Territorial Law....... ............. .34
c. Records.... ...................................34
d. Severability....... .. .. .. ... ...... .. ......... .34
ii
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
AGREEMENT
PART II - TERMS AND CONDITIONS
Constituting part of the AGREEMENT providing for Federal financial
assistance under the provisions of the Urban Mass Transportation Act
of 1964, as amended, and/or the Federal-Aid Highway Act of 1973,
and/or the Clean Air Act Amendments of 1977.
Section 101. Definitions. As used in this Agreement:
a. Agreement means any Grant Agreement or Cooperative Agreement.
b. �Appp�lication means the signed and dated proposal as may be amended for
Federal financial assistance for the Project, together with all explanatory,
supporting, and supplementary documents heretofore filed with the Government
(UMTA) by or on behalf of the Recipient, which has been accepted and approved
by the Government (UMTA).
C. Approval , Authorization, Concurrence, Waiver means a conscious, written
act by an authorized' official of the Government granting permission to the
Recipient to perform or omit an act pursuant to this Agreement which could not
be performed or omitted without such permission. An approval , authorization,
concurrence, or waiver permitting the performance or omission of a specific
act shall not constitute permission to perform or omit similar acts unless
such broad permission is clearly stated. Oral permission or interpretations
shall have no legal force or effect.
d. External Operating Manual means the most recent UMTA manual of that title,
whit presents information about the UMTA programs, application processing
procedures, and guidance for administering approved projects ; there are also
other UMTA and DOT directives applicable to the Project.
e. Government means the United States of America, or its cognizant agency,
the Department of Transportation (DOT) or its operating administration, the
Urban Mass Transportation Administration (UMTA) , used hereafter
interchangeably.
f. Mass Transportation includes public transportation and means
transportation by bus,—rail or other conveyance, either publicly or privately
owned, which provides to the public general or special transportation service
(but not including school buses, charter or sightseeing service) to the public
on a regular and continuing basis.
wProject means the task or set of tasks provided for in the Project Budget
;ichothe Recipient undertakes to perform pursuant to the Agreement with the
Government. In the case of Federal financial assistance under Section 9 or 9A
Page 1
of the Urban Mass Transportation Act of 1964, as amended, "Project" includes
"Program" and "each Project within the Program" as may be appropriate.
h. Project Budget means the most recently dated statement, approved by the
Government,- of the estimated total cost of the Project, the items to be
deducted from such total in order to calculate the estimated net project cost,
the maximum amount of the Federal assistance for which the Recipient is
currently eligible, the specific items (including contingencies and
relocation) for which the total may be spent, and the estimated cost of each
of such items.
i. Recipient means any entity that receives Federal financial assistance from
UMTA or t e accomplishment of the Project. The term "Recipient" includes
"Grantee" and any entity to which Federal funds have been passed through for I'
the accomplishment of the Project .
j. Secretary means Secretary of the Department of Transportation or his duly
author ze designee.
Section 102. Accomplishment of the Project.
a. General Requirements. The Recipient shall commence, carry on, and
comp ete the Project with all practicable dispatch, in a sound, economical ,
and efficient manner, and in accordance with the provisions hereof, the
Application, and all applicable laws and regulations.
b. Pursuant to Federal , State, and Local Law. In performance of its
obliga ions pursuant to this Agreement, the Recipient and its contractors
shall comply with all applicable provisions of Federal , State, and local law.
All limits or standards set forth in this Agreement to be observed in the
performance of the Project are minimum requirements. If there is a conflict
between Federal and State requirements, the Recipient shall inform the
Government in order that an appropriate resolution may be arranged. The
Recipient agrees further that no Federal funds may be used for the payment of
ordinary governmental or nonproject operating expenses.
c. Funds of the Reci Tent. The Recipient shall initiate and prosecute to
complefTon all proceedings necessary to enable the Recipient to provide its
share of the Project costs at or prior to the time that such funds are needed
to meet Project costs.
d. Submission of Proceedings, Contracts and Other Documents. The Recipient
shall—submit to the Government such data, reports, recor s, contracts, and
other documents relating to the Project as the Government may require. The
Recipient shall retain intact, for three years following Project close-out,
all Project documents, financial records, and supporting documents.
Page 2
e. Changed Conditions Affecting Performance. The Recipient shall immediately
noti y UMTA of any change in con it ons or local law, or of any other event,
which may significantly affect its ability to perform the Project in
accordance with the provisions of this Agreement.
f. No Government Obligations to Third Parties. The Government shall not be
subject to any o ligations or liabillfies y contractors of the Recipient or
their subcontractors or any other person not a party to this Agreement in
connection with the performance of this Project without its express, written
consent and notwithstanding its concurrence in or approval of the award of any
contract or subcontract or the solicitation thereof.
g. Land Acquisition Policy. Any acquisition of land for use in connection
1 with-te�t rust conform to the policies and procedures set forth in
49 C.F.R. Part 25 and applicable circulars.
Section 103. The Project Budget. A Project Budget shall be prepared and
maintained by the Recipient. e Recipient shall carry out the Project and
shall incur obligations against and make disbursements of Project Funds only
in conformity with the latest approved budget for the Project. The Project
Budget may be revised, from time to time, in accordance with Federal
guidelines.
Section 104. Accounting Records.
a. Project Accounts. The Recipient shall establish and maintain as a
separate set of accounts, or within the framework of an established accounting
system, accounts for the Project in the manner consistent with Office of
Management and Budget (OMB) Circular A-102, as amended, or OMB Circular A-110,
as may be appropriate.
b. Funds Received or Made Available for the Project. In accordance with the
provisions of ircu ar A-102, as amen e , or UMU Circular A-110, as may be
appropriate, the Recipient shall record in the Project Account, and deposit in
a bank or trust company which is a member of the Federal Deposit Insurance
Corporation (FDIC), all Project payments received by it from the Government
pursuant to this Agreement and all other funds provided for, accruing to, or
otherwise received on account of the Project, ("Project Funds"). Any balances
exceeding the FDIC coverage must be collaterally secured as provided in 12
U.S.C. § 265 and implementing regulations or in applicable Federal procedures.
A separate bank account may be required when drawdowns are made by letter of
credit.
c. Allowable Costs. Expenditures made by the Recipient shall be reimbursable
as allowable cogs to the extent that they meet all of the requirements set
forth below. They must:
(1) Be made in conformance with the Project Description and the Project
Budget and all other provisions of this Agreement;
(2) Be necessary in order to accomplish the Project ;
Page 3
1
(3) Be reasonable in amount for the goods or services purchased;
(4) Be actual net costs to the Recipient (i .e. , the price paid minus any
refunds, rebates, or other items of value received by the Recipient that have
the effect of reducing the cost actually incurred, excluding Program Income as
defined in OMB Circular A-102 or A-110).
(5) Be incurred (and be for work performed) after the date of this
Agreement, unless specific authorization from the Government (UMTA) to the
contrary is received;
(6) Be in conformance with the standards for allowability of costs set
forth in Office of Management and Budget (OMB) Circular A-87, Revised, and
with any guidelines or regulations issued by UMTA; in the case of Projects
with educational institutions, the standards for allowability of costs set
forth in Office of Management and Budget (OMB) Circular A-21, Revised, rather
than the standards of OMB Circular A-87, Revised, shall apply; and in the *case
of nonprofit organizations, the standards for allowability of costs set forth
in Office of Management and Budget (OMB) Circular A-122, rather than the
standards of OMB Circular A-87, Revised, shall apply.
(7) Be satisfactorily documented; and
(8) Be treated uniformly and consistently under accounting principles and
procedures approved or prescribed by the Government for the Recipient; and
those approved or prescribed by the Recipient for its contractors.
d. Documentation of Project Costs. All costs charged to the Project,
inclu ng 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.
f. Audit and Inspection. The Recipient shall permit the Secretary and the
Comptro er General of United States, or any of their duly authorized
representatives to inspect all work, materials, payrolls, and other data and
records with regard to the Project, and to audit the books, records, and
accounts of the Recipient and its contractors with regard to the Project. In
the case of contracts awarded under other than competitive bidding procedures
as defined by the Secretary, the Recipient shall require those contractors to
Permit the Secretary and the Comptroller General of the United States, or any
of their duly authorized representatives to inspect all work, materials,
Page 4
payrolls, and other data and records with regard to the Project, and to audit
the books, records, aid accounts pertaining to such contracts with regard to
the Project. A Recipient that is a State or local government or Indian tribal
government shall be responsible for meeting the audit requirements of OMB
Circular A-102, Attachment P, or any revision or supplement thereto. Pursuant
to Departmental criteria, the Government (UMTA) may waive the Attachment P
audit requirement or substitute a requirement for a grant audit performed in
accordance with the Comptroller General 's standards.
Section 105. Requisitions and Payments
a. Requests for Payment by the Reci ent. The Recipient may make requests for
payment of the Federal share of allowable costs, and the Government (UMTA)
will honor such requests in the manner set forth in this section. Payments
made to Recipients must comply with 31 C.F.R. Part 205. In order to receive
Federal assistance payments, the Recipient must:
(1 ) Completely execute and submit to the Government (UMTA) the
information required by Standard Form 270;
(2) Submit to the Government (UMTA) an explanation of the purposes for
which costs have been incurred to date or are reasonably expected to be
incurred within the requisition period (not more than 30 days after the date
of submission);
(3) Demonstrate or certify that it has supplied local funds adequate,
When combined with the Federal payments, to cover all costs to be incurred to
the end of the requisition period;
(4) Have submitted to the Government (UMTA) all financial and progress
reports required to date under this Agreement; and
(5) Identify the source(s) of financial assistance provided under this
Project from which the payment is to be derived.
b. Payment by the Government. Upon receipt of the requisition and the
accompanying information in satisfactory form, the Government will process the
requisition if the Recipient is complying with its obligations pursuant to the
Agreement, has satisfied the Government of its need for the Federal funds
requested during the requisition period, and is making adequate progress
towards the timely completion of the Project. If all of these circumstances
are found to exist, the Government may reimburse apparent allowable costs
incurred (or to be incurred during the requisition period) by the Recipient up
to the maximum amount of Federal assistance payable through the fiscal year in
Page 5
which the requisition is submitted as stated in the Project Budget. However,
reimbursement of any cost pursuant to this section shall not constitute a
final determination by the Government of the allowability of such cost and
shall not constitute a waiver of any violation of the terms of this Agreement
committed by the Recipient. The Government will make a final determination as
to allowability only after final audit of the Project has been conducted. In
the event that the Government determines that the Recipient is not currently
eligible to receive any or all of the Federal funds requested, it shall
promptly notify the Recipient stating the reasons for such determination.
Unless prohibited by applicable law, the Government reserves the right to
offset any Federal assistance funds to be made available under this Project as
may be necessary to satisfy any monetary claims that the Government may have
outstanding against the Recipient.
c. Disallowed Costs. In determining the amount of the Federal assistance
that the edera vernment will provide, the Government will exclude all
Project costs incurred by the Recipient prior to the date of this Agreement,
or prior to the date of the approved budget for the Project, whichever is
earlier, unless an authorized representative of the Government advises in
writing to the contrary; any costs incurred by the Recipient which are not
provided for in the latest approved budget for the Project; and any costs
attributable to goods or services received under a contract or other
arrangement which has not been concurred in or approved in writing by the
Government (UMTA). Exceptions to the above statement on disallowed costs are
contained in the External Operating Manual or in other written Federal (UMTA)
guidance.
d. Prohibition Against Use of Federal Funds for Lobb in . The Recipient
or any su recip ent shall not use Feaeral assistance funds for publicity or
propaganda purposes designed to support or defeat legislation pending before
Congress.
e. Letter of Credit. Should a letter of credit be issued to the Recipient,
the ollowing terms and conditions, in conformance with 31 C.F.R. Part 205,
are applicable:
(1) The Recipient shall initiate cash drawdowns only when actually needed
for Project disbursements.
(2) The Recipient shall report its cash disbursements and balances in a
timely manner as required by the Government.
(3) The Recipient shall provide for effective control and accountability
for all Project funds in accordance with any requirements and procedures
issued by the Government for use of the letter of credit.
(4) The Recipient shall impose on its subrecipients all the requirements
of Section 105.e. (1 ), (2), and (3) of this Part II as applicable.
Page 6
(5) Should the Recipient fail to adhere to the requirements of Section
105.e (1 ). (2), (3), or (4) of this Part II, the Government may revoke the
unobligated portion of the letter of credit.
(6) Section 105.a. , b. , and c. of this Part II remain effective to the
extent that they do not conflict with the provisions of section 105.e.
f. Interest. The following requirements apply to the Recipient:
(1 ) Any interest earned on Federal funds by the Recipient must be
identified and remitted to the Government, except as provided by section 203
s, of the Intergovernmental Cooperation Act of 1968, 42 U.S.C. § 4213.
li,' (2) Upon notice by the Government to the Recipient of specific amounts
due the Government, the Recipient shall promptly remit any excess payment of
amounts or disallowed costs to the Government (UMTA). Interest may be
assessed from the time of notice and charged for any amounts due to the
Government that are not paid as set forth in the Treasury Fiscal Requirements
Manual .
g. Deobli ation of Funds. The Government reserves the right to deobligate
unspent Federal fun as prior to project closeout.
Section 106. Ri ht of Government to Terminate. Upon written notice to the
Recipient, the Government reserves the rig fit to suspend or terminate all or
part of the financial assistance provided herein if the Recipient is, or has
been, in violation of the terms of this Agreement, or if the Government
determines that the purposes of the Act would not be adequately served by
continuation of Federal financial assistance for the Project. Any failure to
make progress or other violation of the Agreement which significantly
endangers substantial performance of the Project within a reasonable time
shall be deemed to be a breach of the terms of this Agreement. Termination of
any part of the financial assistance will not invalidate obligations properly
incurred by the Recipient and concurred in by the Government (UMTA) prior to
the date of termination, to the extent those obligations are noncancellable.
The acceptance of a remittance by the Government of any or all Project funds
previously received by the Recipient or the closing out of Federal financial
participation in the Project shall not constitute a waiver of any claim 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 the Gov ernment, the Recipient
shall , within 90 days of the completion date of the Project, submit a final
Financial Status Report (Standard Form 269), a certification or summary of
Project expenses, and third party audit reports, when applicable. Any
Recipient covered by OMB Circular A-102 shall undertake the necessary audits
as required by OMB Circular A-102, Attachment P. With respect to any
Recipient not covered by OMB Circular A-102, upon receipt of this information,
the Government (UMTA) or an agency designated by the Government (UMTA) will
perform a final audit of the Project to determine the allowability of costs
incurred, and will make settlement of the Federal grant described in Part I of
Page 7
this Agreement. If UMTA has made payments to the Recipient in excess of the
total amount of such Federal assistance, the Recipient shall promptly remit to
the Government (UMTA) such excess and interest as may be required by section
105.e. and f. Project close-out occurs when the Government notifies the
Recipient and forwards the final grant payment or when an appropriate refund
of Federal grant funds has been received from the Recipient and acknowledged
by the Government. Close-out shall not invalidate any continuing obligations
imposed on the Recipient by this Agreement or contained in the final
notification or acknowledgment from the Government.
Section 108. Use of Project Facilities/Equi ment - The following conditions
are applicable to capital ac> > ies and equ pment financed under this
Agreement:
a. The Recipient agrees to observe the property management standards as set
forth in OMB Circular A-102, Attachment N, or OMB Circular A-110, Attachment
N, as appropriate, as now or hereafter amended, and any guidelines or
regulations that the Government may issue. Exceptions to the requirements of
Attachment N must be specifically approved by the Government. The Government
reserves the right to require the Recipient to transfer title to any personal
property financed with Federal assistance funds made available under this
Agreement in accordance with Attachment N to OMB Circular A-102 or A-110, as
may be appropriate. The Government also reserves the right to direct the
disposition of real or personal property financed with Federal assistance
funds made available under this Agreement in accordance with Attachment N to
OMB Circular A-102 or A-110, as may be appropriate.
Am
b. The Recipient agrees to maintain the project property in good operating
order, and in accordance with any guidelines, directives, or regulations which
UMTA may issue. If, during the period, any Project facilities/equipment are
not used in mass transportation service, whether by planned withdrawal , misuse
or casualty loss, the Recipient shall immediately notify the Government.
Unless otherwise approved by the Government, the Recipient shall remit to the
Government a proportional amount of the fair market value, if any, of the
property, which value shall be determined on the basis of the ratio of the
Federal Assistance awarded by the Government to the actual cost of the
Project. Unless otherwise required by the Government, the following
guidelines shall be observed in determining fair market value: In the case of
planned withdrawal , fair market value shall be deemed to be the value of the
property as determined by competent appraisal at the time of such withdrawal
from use or the net proceeds from public sale. Unless otherwise approved by
the Government, in the event of loss due to casualty or fire, for property
that is insured, the damages paid by the insurance carrier or payable from the
self-insured reserve account shall be considered fair market value. Unless
otherwise required by the Government, in cases where the property is not
insured, the fair market value will be the value of the property immediately
following the casualty or fire.
c. The Recipient further agrees that the Project facilities/equipment shall
be used for the provision of mass transportation service within the area and
in the manner described in the Project Description. The Recipient shall keep
Page 8
Ell
satisfactory records with regard to the use of the property and submit to the
Government upon request such information as is required in order to assure
compliance with this Section and shall immediately notify the Government in
all cases where Project facilities/equipment are used in a manner
substantially different from that described in the Project Description. The
Recipient shall obtain Government concurrence before undertaking any transfer
of title, lease, encumbrance, or alienation of property financed with
Government assistance. The Government reserves the right to require the
Recipient to restore project property or pay for damage to project property
as a result of abuse or misuse of such property with the Recipient 's knowledge
and consent.
Section 109. Encumbrance of Project Property. The Recipient shall not
execute any lease, pledge, mor gage, lien, or other contract (including a
grant anticipation note or "Safe Harbor Lease" under section 168(g)(8) of the
Internal Revenue Code of 1954) touching or affecting the Federal interest in
any Project facilities or equipment, nor shall it obligate itself in any other
manner, with any third party with respect to Project facilities or equipment,
unless such lease, pledge, mortgage, lien, contract, or other obligation is
expressly authorized in writing by the Government; nor shall the Recipient, by
any act or omission of any kind, adversely affect the Federal interest or
impair its continuing control over the use of Project facilities or equipment.
Section 110. Restrictions, Prohibitions, Controls, and Labor Provisions.
a. Equal Employment Opportunity - The following conditions are applicable:
(1 ) In connection with the carrying out of the Project, the Recipient
shall not discriminate against any employee or applicant for employment
because of race, color, age, creed, sex, or national origin. The Recipient
shall take affirmative action to ensure that applicants are employed, and that
employees are treated during employment, without regard to their race, color,
religion, sex, age, or national origin. Such action shall include, but not be
limited to, the following: employment, upgrading, demotion or transfer,
recruitment or recruitment advertising, layoff or termination; rates of pay or
other forms of compensation; and selection for training, including
apprenticeship. The Recipient shall insert the foregoing provision (modified
only to show the particular contractual relationship) in all of its contracts
in connection with the development or operation of the Project, except
contracts for standard commercial supplies or raw materials and construction
contracts subject to the provisions of Section 110.a. of this Agreement, and
shall require all such contractors to insert a similar provision in all
subcontracts, except subcontracts for standard commercial supplies or raw
materials.
(2) If, as a condition of assistance, the Recipient has submitted, and
the Government has approved, an equal employment opportunity program that the
Recipient agrees to carry out, such program is incorporated into this
Agreement by reference. Such program shall be treated as a contractual
obligation, and failure to carry out the terms of that equal employment
AIM opportunity program shall be treated as a violation of this Agreement. Upon
ip notification to the Recipient of its failure to carry out the approved
Page 9
program, the Government will impose such remedies as it may deem appropriate,
which remedies may include termination of the Agreement as provided in Section
106 of this Agreement or other measures that may affect the ability of the
Recipient to obtain future financial assistance under the Urban Mass
Transportation Act of 1964, as amended, or the Federal -Aid Highway Act of
1973, as amended.
b. Small , Minority and Women 's Business Enterprise The following provisions
are applicable:
(1 ) The Recipient shall be responsible for meeting the applicable
regulations regarding participation -by minority business enterprises (MBE) in
Department of Transportation programs set forth at 49 C.F.R. Part 23, 45 F.R.
21172 et seq., March 31, 1980, or any revision or supplement thereto.
Pursuant to the requirements of 49 C.F.R. 23.43, the following clauses must be p
inserted in each third party contract.
(a) POLICY. IT IS THE POLICY OF THE DEPARTMENT OF TRANSPORTATION
THAT MINORITY BUSINESS ENTERPRISES, AS DEFINED IN 49 C.F.R. PART 23, SHALL
HAVE THE MAXIMUM OPPORTUNITY TO PARTICIPATE IN THE PERFORMANCE OF CONTRACTS
FINANCED IN WHOLE OR IN PART WITH FEDERAL FUNDS UNDER THIS AGREEMENT.
CONSEQUENTLY, THE MBE REQUIREMENTS OF 49 C.F.R. PART 23 APPLY TO THIS
AGREEMENT.
(b) MBE OBLIGATION. THE RECIPIENT AND ITS CONTRACTORS AGREE TO
ENSURE THAT MINORITY BUSINESS ENTERPRISES AS DEFINED IN 49 C.F.R. PART 23 HAVE
THE MAXIMUM OPPORTUNITY TO PARTICIPATE IN THE PERFORMANCE OF CONTRACTS AND
SUBCONTRACTS FINANCED IN WHOLE OR IN PART WITH FEDERAL FUNDS PROVIDED UNDER AM
THIS AGREEMENT. IN THIS REGARD ALL RECIPIENTS AND CONTRACTORS SHALL TAKE ALL
NECESSARY AND REASONABLE STEPS IN ACCORDANCE WITH 49 C.F.R. PART 23 TO ENSURE
THAT MINORITY BUSINESS ENTERPRISES HAVE THE MAXIMUM OPPORTUNITY TO COMPETE FOR
AND PERFORM CONTRACTS. RECIPIENTS AND THEIR CONTRACTORS SHALL NOT
DISCRIMINATE ON THE BASIS OF RACE, COLOR, NATIONAL ORIGIN OR SEX IN THE AWARD
AND PERFORMANCE OF DOT-ASSISTED CONTRACTS.
(2) If as a condition of assistance the Recipient has submitted and the
Department has approved a minority business enterprise affirmative action
program which the Recipient agrees to carry out, this program is incorporated
into this financial assistance agreement by reference. This program shall be
treated as a legal obligation and failure to carry out its terms shall be
treated as a violation of this financial assistance Agreement. Upon
notification to the Recipient of its failure to carry out the approved
program, the Department shall impose such sanctions as noted in 49 C.F.R. Part
23, Subpart E, which sanctions may include termination of the Agreement or
other measures that may affect the ability of the Recipient to obtain future
DOT financial assistance.
(3) The Recipient shall advise each subrecipient, contractor, and
subcontractor that failure to carry out the requirements set forth in
49 C.F.R. 23.43(a) shall constitute a breach of contract and, after the
notification of the Department, may result in termination of the Agreement or
contract by the Recipient or such remedy as the Recipient deems appropriate.
(4)• The Recipient shall take action concerning lessdes as follows :
Page 10
(a) The Recipient shall not exclude MBE's from participation in
business opportunities by entering into long-term, exclusive agreements with
Aft non-MBE's for operation of major transportation-related activities for the
provision of goods and services to the facility or to the public on the
facility.
(b) A Recipient that is required to submit affirmative action
programs under 49 C.F.R. 23.41(a)(2) or (a)(3) that has business opportunities
for lessees shall submit to the Department for approval with their programs
overall goals for the participation as lessees of firms owned and controlled
by minorities and firms owned and controlled by women. These goals shall be
for a specified period of time and shall be based on the factors listed in 49
C.F.R. 23.45(g)(5). The Recipient shall review these goals at least annually,
and whenever the goals expire. The review shall analyze projected versus
actual MBE participation during the period covered by the review and any
changes in factual circumstances affecting the selection of goals. Following
each review, the Recipient shall submit new overall goals to the Department
for approval. A Recipient that fails to meet its goals for MBE lessees shall
demonstrate to the Department in writing that it made reasonable efforts to
meet the goals.
(c) Except as provided in this section, the Recipient is required to
include lessees in affirmative action programs. lessees themselves are not
subject to the requirements of this Part, except for the obligation of
49 C.F.R. 23.7 to avoid discrimination against MBE's.
(5) The Recipient agrees to include the clauses in Subsection (1) and
(2) of Section 109.b. above in all subsequent agreements between the Recipient
and any subrecipient and in all subsequent DOT-assisted contracts between the
Recipient or subrecipients and any third party contractor.
c. Title VI Civil Rights Act of 1964. The Recipient will comply and will
assure the compliance by contractors and subcontractors under this Project
with all the requirements imposed by Title VI of the Civil Rights Act of 1964
(49 U.S.C. § 2000d), the regulations of the Department of Transportation
issued thereunder, 49 C.F.R. Part 21 and the Assurance by the Recipient
pursuant thereto.
d. Competition in Procurement. The Recipient shall comply with the
Procurement Standards requirements set forth in Attachment 0 of OMB Circular
A-102, as amended, or A-110, as may be appropriate; and with any supplementary
directives or regulations including UMTA Circular 4220.1A and any revisions
thereof, as may be appropriate. UMTA reserves the right to review the
Recipient 's technical specifications and requirements, where such review is
necessary for proper project administration. The Recipient further agrees
that notwithstanding the requirements in Section 116 herein, no Federal funds
shall be used to support procurements utilizing exclusionary or discriminatory
specifications.
Page 11
e. Force Account. The Government (UMTA) reserves the right to determine the
extent to which it will participate in force account costs.
f. Settlement of Third Party Contract Disputes or Breaches. The Government
has a vested interest in t e settlement of sputes, eau ts, or breaches
involving any Federally-assisted third party contracts. The Government
retains a right to a proportionate share, based on the percentage of the
Federal share committed to the Project, of any proceeds derived from any third
party recovery. Therefore the Recipient shall avail itself of all legal
rights available under any third party contract. The Recipient shall notify
the Government of any current or prospective litigation pertaining to any
third party contract. The Government reserves the right to concur in any
compromise or settlement of the Recipient's claim(s) involving any third party
contract, before making Federal assistance available to support that
settlement. If the third party contract contains a liquidated damages
provision, any liquidated damages recovered shall be credited to the Project
account involved unless the Government permits otherwise.
g. Ethics. The Recipient shall maintain a written code or standards of
conduct which code or standards shall govern the performance of its officers,
employees, or agents engaged in the award and administration of contracts
supported by Federal funds. Such code or standards shall provide that no
employee, officer, or agent of the Recipient shall participate in the
selection, or in the award, or in the administration of a contract supported
by Federal funds if a conflict of interest, real or apparent, would be
involved. Such a conflict would arise when any of the parties set forth below
has a financial or other interest in the firm selected for award:
(1 ) the employee, officer, or agent;
(2) any member of his or her immediate family;
(3) his or her partner; or
(4) an organization that employs, or is to employ, any of the above.
The code or standards shall also provide that the Recipient 's officers,
employees or agents shall neither solicit nor accept gratuities, favors or
anything of monetary value from contractors, potential contractors, or parties
to the subagreement. The Recipient may set minimum rules where the financial
interest is not substantial or the gift is an unsolicited item of nominal
intrinsic value. To the extent permitted by State or local law or
regulations, such code or standards of conduct shall provide for penalties,
sanctions, or other disciplinary actions for violations of such code or
standards by the Recipient 's officers, employees, or agents, or by contractors
or their agents.
Page 12
h. Interest of Members of or Delegates to Congress. No member of or delegate
to the Congress of the U ed States shall e admitted to any share or part of
this Agreement or to any benefit arising therefrom.
Section 111. Construction Contracts. The following provisions are
applicable:
a. Nondiscrimination. Pursuant to 41 C.F.R. § 60-1 .4(b) (1 ) and (c)
(1 ) The Recipient hereby agrees that it will incorporate or cause to be
o incorporated into any contract for construction work, or modification thereof,
as defined in the regulations of the Secretary of Labor at 41 C.F.R. Chapter
60, which contract or modification is paid for in whole or in part with funds
obtained from the Federal Government or borrowed on the credit of the Federal
Government pursuant to a grant, contract, loan, insurance, or guarantee, or
undertaken pursuant to any Federal program involving such grant, contract,
loan, insurance, or guarantee, the following equal opportunity clause:
DURING THE PERFORMANCE OF THIS CONTRACT, THE CONTRACTOR AGREES AS FOLLOWS:
(a) THE CONTRACTOR WILL NOT DISCRIMINATE AGAINST ANY EMPLOYEE OR
APPLICANT FOR EMPLOYMENT BECAUSE OF RACE, COLOR, RELIGION, SEX, OR NATIONAL
ORIGIN. THE CONTRACTOR WILL TAKE AFFIRMATIVE ACTION TO ENSURE THAT APPLICANTS
ARE EMPLOYED, AND THAT EMPLOYEES ARE TREATED DURING EMPLOYMENT WITHOUT REGARD
TO THEIR RACE, COLOR, RELIGION, SEX, OR NATIONAL ORIGIN. SUCH ACTION SHALL
INCLUDE, BUT NOT BE LIMITED TO THE FOLLOWING: EMPLOYMENT, UPGRADING,
AM DEMOTION, OR TRANSFER; RECRUITMENT OR RECRUITMENT ADVERTISING; LAYOFF OR
TERMINATION; RATES OF PAY OR OTHER FORMS OF COMPENSATION; AND SELECTION FOR
TRAINING, INCLUDING APPRENTICESHIP. THE CONTRACTOR AGREES TO POST IN
CONSPICUOUS PLACES, AVAILABLE TO EMPLOYEES AND APPLICANTS FOR EMPLOYMENT,
NOTICES TO BE PROVIDED SETTING FORTH THE PROVISIONS OF THIS NONDISCRIMINATION
CLAUSE.
(b) THE CONTRACTOR WILL, IN ALL SOLICITATIONS OR ADVERTISEMENTS FOR
EMPLOYEES PLACED BY OR ON BEHALF OF THE CONTRACTOR, STATE THAT ALL QUALIFIED
APPLICANTS WILL RECEIVE CONSIDERATION FOR EMPLOYMENT WITHOUT REGARD TO RACE,
COLOR, RELIGION, SEX, OR NATIONAL ORIGIN.
(c) THE CONTRACTOR WILL SEND TO EACH LABOR UNION OR REPRESENTATIVE OF
WORKERS WITH WHICH HE HAS A COLLECTIVE BARGAINING AGREEMENT OR OTHER CONTRACT
OR UNDERSTANDING, A NOTICE TO BE PROVIDED ADVISING THE SAID LABOR UNION OR
WORKERS' REPRESENTATIVES OF THE CONTRACTOR'S COMMITMENTS UNDER THIS SECTION
202 OF EXECUTIVE ORDER 11246 OF SEPTEMBER 24, 1965, AND SHALL POST COPIES OF
THE NOTICE IN CONSPICUOUS PLACES AVAILABLE TO EMPLOYEES AND APPLICANTS FOR
EMPLOYMENT.
+ (d) THE CONTRACTOR WILL COMPLY WITH ALL PROVISIONS OF EXECUTIVE ORDER
11246 OF SEPTEMBER 24, 1965, AND OF THE RULES, REGULATIONS, AND RELEVANT
ORDERS OF THE SECRETARY OF LABOR.
Page 13
(e) THE CONTRACTOR WILL FURNISH ALL INFORMATION AND REPORTS REQUIRED
BY EXECUTIVE ORDER 11246 OF SEPTEMBER 24, 1965, AND BY RULES, REGULATIONS, AND
ORDERS OF THE SECRETARY OF LABOR, OR PURSUANT THERETO, AND WILL PERMIT ACCESS
TO HIS BOOKS, RECORDS, AND ACCOUNTS BY THE URBAN MASS TRANSPORTATION
ADMINISTRATION AND THE SECRETARY OF LABOR FOR PURPOSES OF INVESTIGATION TO
ASCERTAIN COMPLIANCE WITH SUCH RULES, REGULATIONS, AND ORDERS.
(f) IN THE EVENT OF THE CONTRACTOR'S NONCOMPLIANCE WITH THE
NONDISCRIMINATION CLAUSES OF THIS AGREEMENT OR WITH ANY OF THE SAID RULES,
REGULATIONS OR ORDERS, THIS AGREEMENT MAY BE CANCELLED, TERMINATED, OR
SUSPENDED IN WHOLE OR IN PART AND THE CONTRACTOR MAY BE DECLARED INELIGIBLE
FOR FURTHER GOVERNMENT CONTRACTS OR FEDERALLY ASSISTED CONSTRUCTION CONTRACTS
IN ACCORDANCE WITH PROCEDURES AUTHORIZED IN EXECUTIVE ORDER 11246 OF SEPTEMBER
24, 1965, AS AMENDED, AND SUCH OTHER SAN;TIONS MAY BE IMPOSED AND REMEDIES
INVOKED AS PROVIDED IN EXECUTIVE ORDER 11246 OF SEPTEMBER 24, 1965, OR BY
RULE, REGULATION, OR ORDER OF THE SECRETARY OF LABOR, OR AS OTHERWISE PROVIDED
BY LAW.
(g) THE CONTRACTOR WILL INCLUDE A CITATION TO 41 C.F.R. §
60-1 .4(b)(1 ) and (c) AND THE PROVISIONS OF PARAGRAPHS (a) THROUGH (g) IN EVERY
SUBCONTRACT OR PURCHASE ORDER UNLESS EXEMPTED BY RULES, REGULATIONS, OR ORDERS
OF THE SECRETARY OF LABOR ISSUED PURSUANT TO SECTION 204 OF EXECUTIVE ORDER
11246 OF SEPTEMBER 24, 1965, SO THAT SUCH PROVISIONS SHALL BE BINDING UPON
EACH SUBCONTRACTOR OR VENDOR. THE CONTRACTOR WILL TAKE SUCH ACTION WITH
RESPECT TO ANY SUBCONTRACT OR PURCHASE ORDER AS THE URBAN MASS TRANSPORTATION
ADMINISTRATION MAY DIRECT AS A MEANS OF ENFORCING SUCH PROVISIONS, INCLUDING
SANCTIONS FOR NONCOMPLIANCE; PROVIDED, HOWEVER, THAT IN THE EVENT A CONTRACTOR
BECOMES INVOLVED IN, OR IS THREATENED WI LITIGATION WITH A SUBCONTRACTOR OR
VENDOR AS A RESULT OF SUCH DIRECTION BY THE URBAN MASS TRANSPORTATION Ah
ADMINISTRATION, THE CONTRACTOR MAY REQUEST THE UNITED STATES TO ENTER INTO
SUCH LITIGATION TO PROTECT THE INTERESTS OF THE UNITED STATES.
(2) The Recipient shall assure that each nonexempt prime contractor or
subcontractor shall include the above clause in each of its nonexempt
contracts.
(3) The Recipient further agrees that it will be bound by the above equal '
opportunity clause with respect to its own employment practices when it
participates in Federally assisted construction work; Provided that if the
Recipient so participating is a State or local government, the above equal
opportunity clause is not applicable to any agency, instrumentality or '
subdivision of such government which does not participate in work on or under
the Agreement.
(4) The Recipient agrees that it will assist and cooperate actively with
the Urban Mass Transportation Administration and the Secretary of Labor in
obtaining the compliance of contractors and subcontractors with the equal
opportunity clause and the rules, regulations, and relevant orders of the
Secretary of Labor, that it will furnish the Urban Mass Transportation
Administration and the Secretary of Labor such information as they may require
for the supervision of such compliance, and that it will otherwise assist the
Urban Mass Transportation Administration in the discharge of the agency 's
primary responsibility for securing compliance.
Page 14
(5) The Recipient further agrees that it will refrain from entering
into any contract or contract modification subject to Executive Order 11246 of
September 24, 1965, as amended, with any contractor debarred from, or who has
not demonstrated eligibility for Government contracts and Federally assisted
construction contracts pursuant to the Executive Order; and will carry out
such sanctions and penalties for violation of the equal opportunity clause as
may be imposed upon contractors and subcontractors by the Urban Mass
Transportation Administration or the Secretary of Labor pursuant to Part II,
Subpart D of the Executive Order. In addition, the Recipient agrees that if
it fails or refuses to comply with these undertakings, the administering
agency may take any or all of the following actions: Cancel , terminate, or
suspend in whole or in part this Agreement (grant, contract, loan, insurance,
guarantee); refrain from extending any further assistance to the Recipient
under the program with respect to which the failure or refund occurred until
satisfactory assurance of future compliance has been received from such
Recipient; and refer the case to the Department of Justice for appropriate
legal proceedings.
b. Specifications. The Recipient hereby agrees that it will incorporate or
cause— to be nncorporated into its contracts the specifications set forth below
in all Federal or Federally assisted construction contracts, or modifications
thereof, in excess of $10,000 to be performed in geographical areas designated
by the Director, Office of Federal Contract Compliance Programs of the
Department of Labor pursuant to the Regulations of the Secretary of Labor at
41 C.F.R. Section 60-4.3 and in construction subcontracts in excess of $10,000
necessary in whole or in part to the performance of nonconstruction Federal
contracts and subcontracts covered under Executive Order 11246:
STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION CONTRACT
SPECIFICATIONS (EXECUTIVE ORDER 11246):
(1 ) AS USED IN THESE SPECIFICATIONS:
(a) "COVERED AREA" MEANS THE GEOGRAPHICAL AREA DESCRIBED IN THE
SOLICITATION FROM WHICH THIS CONTRACT RESULTED;
(b) "DIRECTOR" MEANS DIRECTOR, OFFICE OF FEDERAL CONTRACT
COMPLIANCE PROGRAMS, UNITED STATES DEPARTMENT OF LABOR, OR ANY PERSON TO WHOM
THE DIRECTOR DELEGATES AUTHORITY;
(c) "EMPLOYER IDENTIFICATION NUMBER" MEANS THE FEDERAL SOCIAL
SECURITY NUMBER USED ON THE EMPLOYER'S QUARTERLY FEDERAL TAX RETURN, U.S.
TREASURY DEPARTMENT FORM 941.
(d) "MINORITY" INCLUDES:
(i ) BLACK (ALL PERSONS HAVING ORIGINS IN ANY OF THE BLACK
AFRICAN RACIAL GROUPS NOT OF HISPANIC ORIGIN);
Page 15
is
(ii ) HISPANIC (ALL PERSONS OF MEXICAN, PUERTO RICAN,
CUBAN, CENTRAL OR SOUTH AMERICAN OR OTHER SPANISH CULTURE OR ORIGIN,
REGARDLESS OF RACE) ;
(iii ) ASIAN AND PACIFIC ISLANDER (ALL PERSONS HAVING
ORIGINS IN ANY OF THE ORIGINAL PEOPLE OF THE FAR EAST, SOUTHEAST ASIA, THE
INDIAN SUBCONTINENT, OR THE PACIFIC ISLANDS) ; AND
(iv) AMERICAN INDIAN OR ALASKAN NATIVE (ALL PERSONS
HAVING ORIGINS IN ANY OF THE ORIGINAL PEOPLE OF NORTH AMERICA AND MAINTAINING
IDENTIFIABLE TRIBAL AFFILIATIONS THROUGH MEMBERSHIP AND PARTICIPATION OR
COMMUNITY IDENTIFICATION).
(2) WHENEVER THE CONTRACTOR, OR ANY SUBCONTRACTOR AT ANY TIER,
SUBCONTRACTS A PORTION OF THE WORK INVOLVING ANY CONSTRUCTION TRADE, IT SHALL
PHYSICALLY INCLUDE IN EACH SUBCONTRACT IN EXCESS OF $10,000 THE PROVISIONS OF
THESE SPECIFICATIONS AND THE NOTICE WHICH CONTAINS THE APPLICABLE GOALS -FOR
MINORITY AND FEMALE PARTICIPATION AND WHICH IS SET FORTH IN THE SOLICITATIONS
FROM WHICH THIS CONTRACT RESULTED.
(3) IF THE CONTRACTOR IS PARTICIPATING (PURSUANT TO 41 C.F.R. 60-4.5) IN
A HOMETOWN PLAN APPROVED BY THE U.S. DEPARTMENT OF LABOR IN THE COVERED AREA,
EITHER INDIVIDUALLY OR THROUGH AN ASSOCIATION, ITS AFFIRMATIVE ACTION
OBLIGATIONS ON ALL WORK IN THE PLAN AREA (INCLUDING GOALS AND TIMETABLES)
SHALL BE IN ACCORDANCE WITH THAT PLAN FOR THOSE TRADES WHICH HAVE UNIONS
PARTICIPATING IN THE PLAN. CONTRACTORS MUST BE ABLE TO DEMONSTRATE THEIR
PARTICIPATION IN AND COMPLIANCE WITH THE PROVISIONS OF ANY SUCH HOMETOWN PLAN.
EACH CONTRACTOR OR SUBCONTRACTOR PARTICIPATING IN AN APPROVED PLAN IS
INDIVIDUALLY REQUIRED TO COMPLY WITH ITS OBLIGATIONS UNDER THE EEO CLAUSE, AND
TO MAKE A GOOD FAITH EFFORT TO ACHIEVE EACH GOAL UNDER THE PLAN IN EACH TRADE
IN WHICH IT HAS EMPLOYEES. THE OVERALL GOOD FAITH PERFORMANCE BY OTHER
CONTRACTORS OR SUBCONTRACTORS TOWARD A GOAL IN AN APPROVED PLAN DOES NOT
EXCUSE ANY COVERED CONTRACTOR'S OR SUBCONTRACTOR'S FAILURE TO TAKE GOOD FAITH
EFFORTS TO ACHIEVE THE PLAN GOALS AND TIMETABLES.
(4) THE CONTRACTOR SHALL IMPLEMENT THE SPECIFIC AFFIRMATIVE ACTION
STANDARDS PROVIDED IN PARAGRAPHS (7) (a) THROUGH (p) OF THESE SPECIFICATIONS.
THE GOALS SET FORTH IN THE SOLICITATION FROM WHICH THIS CONTRACT RESULTED ARE
EXPRESSED AS PERCENTAGES OF THE TOTAL HOURS OF EMPLOYMENT AND TRAINING OF
MINORITY AND FEMALE UTILIZATION THE CONTRACTOR SHOULD REASONABLY BE ABLE TO
ACHIEVE IN EACH CONSTRUCTION TRADE IN WHICH IT HAS EMPLOYEES IN THE COVERED
AREA. COVERED CONSTRUCTION CONTRACTORS PERFORMING CONSTRUCTION WORK IN
GEOGRAPHICAL AREAS WHERE THEY DO NOT HAVE A FEDERAL OR FEDERALLY ASSISTED
CONSTRUCTION CONTRACT SHALL APPLY THE MINORITY AND FEMALE GOALS ESTABLISHED
FOR THE GEOGRAPHICAL AREA WHERE THE WORK IS BEING PERFORMED. GOALS ARE
PUBLISHED PERIODICALLY IN THE FEDERAL REGISTER IN NOTICE FORM, AND SUCH
NOTICES MAY BE OBTAINED FROM A —N-F CAF OERAL CONTRACT COMPLIANCE PROGRAM
OFFICE OR FROM FEDERAL PROCUREMENT CONTRACTING OFFICERS. THE CONTRACTOR IS
EXPECTED TO MAKE SUBSTANTIALLY UNIFORM PROGRESS TOWARD ITS GOAL IN EACH CRAFT
DURING THE PERIOD SPECIFIED.
(5) NEITHER THE PROVISIONS OF ANY COLLECTIVE BARGAINING AGREEMENT, NOR
THE FAILURE BY A UNION WITH WHOM THE CONTRACTOR HAS A COLLECTIVE BARGAINING
AGREEMENT, TO REFER EITHER MINORITIES OR WOMEN SHALL EXCUSE THE CONTRACTOR'S
OBLIGATIONS UNDER THESE SPECIFICATIONS, EXECUTIVE ORDER- 11246, OR THE
REGULATIONS PROMULGATED PURSUANT THERETO.
Page 16
(G) 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:
r
(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, 1HE CONTRACTOR
SHALL SPECIFICALLY ENSURE THAT ALL FOREMEN, SUPERINTENDENTS, AND OTHER ON-SITE
SUPERVISORY PERSONNEL ARE AWARE OF AND CARRY OUT THE CONTRACTOR'S OBLIGATION
TO MAINTAIN SUCH A WORKING ENVIRONMENT, WITH SPECIFIC ATTENTION TO MINORITY OR
FEMALE INDIVIDUALS WORKING AT SUCH SITES OR IN SUCH FACILITIES.
(b) ESTABLISH AND MAINTAIN A CURRENT LIST OF MINORITY AND FEMALE
RECRUITMENT SOURCES, PROVIDE WRITTEN NOTIFICATION TO MINORITY AND FEMALE
RECRUITMENT SOURCES AND TO COMMUNITY ORGANIZATIONS WHEN THE CONTRACTOR OR ITS
UNIONS HAVE EMPLOYMENT OPPORTUNITIES AVAILABLE, AND MAINTAIN A REC6RD. OF THE
ORGANIZATIONS' RESPONSES.
(c) MAINTAIN A CURRENT FILE OF THE NAMES, ADDRESSES AND TELEPHONE
NUMBERS OF EACH MINORITY AND FEMALE OFF-THE-STREET APPLICANT AND MINORITY OR
FEMALE REFERRAL FROM A UNION, A RECRUITMENT SOURCE OR COMMUNITY ORGANIZATION
AND OF WHAT ACTION WAS TAKEN WITH RESPECT TO EACH SUCH INDIVIDUAL. IF SUCH
INDIVIDUAL WAS SENT TO THE UNION HIRING HALL FOR REFERRAL AND WAS NOT REFERRED
BACK TO THE CONTRACTOR BY THE UNION OR, IF REFERRED, NOT EMPLOYED BY THE
CONTRACTOR, THIS SHALL BE DOCUMENTED IN THE FILE WITH THE REASON THEREFOR,
ALONG WITH WHATEVER ADDITIONAL ACTIONS THE CONTRACTOR MAY HAVE TAKEN.
(d) PROVIDE IMMEDIATE WRITTEN NOTIFICATION TO THE DIRECTOR WHEN THE
UNION OR UNIONS WITH WHICH THE CONTRACTOR HAS A COLLECTIVE BARGAINING
AGREEMENT HAS NOT REFERRED TO THE CONTRACTOR A MINORITY PERSON OR WOMAN SENT
BY THE CONTRACTOR, OR WHEN THE CONTRACTOR HAS OTHER INFORMATION THAT THE UNION
REFERRAL PROCESS HAS IMPEDED THE CONTRACTOR'S EFFORTS TO MEET ITS OBLIGATIONS.
(e) DEVELOP ON-THE-JOB TRAINING OPPORTUNITIES AND/OR PARTICIPATE IN
TRAINING PROGRAMS FOR THE AREA WHICH EXPRESSLY INCLUDE MINORITIES AND WOMEN,
INCLUDING UPGRADING PROGRAMS AND APPRENTICESHIP AND TRAINEE PROGRAMS RELEVANT
TO THE CONTRACTOR'S EMPLOYMENT NEEDS, ESPECIALLY THOSE PROGRAMS FUNDED OR
APPROVED BY THE DEPARTMENT OF LABOR. THE CONTRACTOR SHALL PROVIDE NOTICE OF
THESE PROGRAMS TO THE SOURCES COMPILED UNDER (7)(b) ABOVE.
Page 17
(f) DISSEMINATE THE CONTRACTOR'S EEO POLICY BY PROVIDING NOTICE OF
THE POLICY TO UNIONS AND TRAINING PROGRAMS AND REQUESTING THEIR COOPERATION IN
ASSISTING THE CONTRACTOR IN MEETING ITS EEO OBLIGATIONS; BY INCLUDING IT IN
ANY POLICY MANUAL AND COLLECTIVE BARGAINING AGREEMENT; BY PUBLICIZING IT IN
THE COMPANY NEWSPAPER, ANNUAL REPORT, ETC. ; BY SPECIFIC REVIEW OF THE POLICY
WITH ALL MANAGEMENT PERSONNEL AND WITH ALL MINORITY AND FEMALE EMPLOYEES AT
LEAST ONCE A YEAR; AND BY POSTING THE COMPANY EEO POLICY ON BULLETIN BOARDS
ACCESSIBLE TO ALL EMPLOYEES AT EACH LOCATION WHERE CONSTRUCTION WORK IS
PERFORMED.
(g) REVIEW, AT LEAST ANNUALLY, THE COMPANY'S EEO POLICY AND
AFFIRMATIVE ACTION OBLIGATIONS UNDER THESE SPECIFICATIONS WITH ALL EMPLOYEES .q
HAVING ANY RESPONSIBILITY FOR HIRING, ASSIGNMENT, LAYOFF, TERMINATION OR OTHER
EMPLOYMENT DECISIONS INCLUDING SPECIFIC REVIEW OF THESE ITEMS WITH ONSITE
SUPERVISORY PERSONNEL SUCH AS SUPERINTENDENTS, GENERAL FOREMEN, ETC. , PRIOR TO Y
THE INITIATION OF CONSTRUCTION WORK AT ANY JOB SITE. A WRITTEN RECORD SHALL
BE MADE AND MAINTAINED IDENTIFYING THE TIME AND PLACE OF THESE MEETINGS,
PERSONS ATTENDING, SUBJECT MATTER DISCUSSED, AND DISPOSITION OF THE SUBJECT
MATTER.
(h) DISSEMINATE THE CONTRACTOR'S EEO POLICY EXTERNALLY BY INCLUDING
IT IN ANY ADVERTISING IN THE NEWS MEDIA, SPECIFICALLY INCLUDING MINORITY AND
FEMALE NEWS MEDIA, AND PROVIDING WRITTEN NOTIFICATION TO AND DISCUSSING THE
CONTRACTOR'S EEO POLICY WITH OTHER CONTRACTORS AND SUBCONTRACTORS WITH WHOM
THE CONTRACTOR DOES OR ANTICIPATES DOING BUSINESS.
(i ) DIRECT ITS RECRUITMENT EFFORTS, BOTH ORAL AND WRITTEN, TO
MINORITY, FEMALE AND COMMUNITY ORGANIZATIONS, TO SCHOOLS WITH MINORITY AND Aft
FEMALE STUDENTS AND TO MINORITY AND FEMALE RECRUITMENT AND TRAINING
ORGANIZATIONS SERVING THE CONTRACTOR'S RECRUITMENT AREA AND EMPLOYMENT NEEDS.
NOT LATER THAN ONE MONTH PRIOR TO THE DATE FOR THE ACCEPTANCE OF APPLICATIONS
FOR APPRENTICESHIP OR OTHER TRAINING BY ANY RECRUITMENT SOURCE, THE CONTRACTOR
SHALL SEND WRITTEN NOTIFICATION TO ORGANIZATIONS SUCH AS THE ABOVE, DESCRIBING
THE OPENINGS, SCREENING PROCEDURES, AND TESTS TO BE USED IN THE SELECTION
PROCESS.
(j) ENCOURAGE PRESENT MINORITY AND FEMALE EMPLOYEES TO RECRUIT OTHER
MINORITY PERSONS AND WOMEN AND, WHERE REASONABLE, PROVIDE AFTER SCHOOL, SUMMER
AND VACATION EMPLOYMENT TO MINORITY AND FEMALE YOUTH BOTH ON THE SITE AND IN
OTHER AREAS OF THE CONTRACTOR 'S WORKFORCE. ;
(k) VALIDATE ALL TESTS AND OTHER SELECTION REQUIREMENTS WHERE THERE
IS AN OBLIGATION TO DO SO UNDER 41 C.F.R. PART 60-3. `
(1 ) CONDUCT, AT LEAST ANNUALLY, AN INVENTORY AND EVALUATION AT LEAST
OF ALL MINORITY AND FEMALE PERSONNEL FOR PROMOTIONAL OPPORTUNITIES AND
ENCOURAGE THESE EMPLOYEES TO SEEK OR TO PREPARE FOR, THROUGH APPROPRIATE
TRAINING, ETC. , SUCH OPPORTUNITIES.
Page 18
Aft
(m) ENSURE THAT SENIORITY PRACTICES, JOB CLASSIFICATIONS, WORK
ASSIGNMENTS AND OTHER PERSONNEL PRACTICES, DO NOT HAVE A DISCRIMINATORY EFFECT
BY CONTINUALLY MONITORING ALL PERSONNEL AND EMPLOYMENT RELATED ACTIVITIES TO
QP ENSURE THAT THE EEO POLICY AND THE CONTRACTOR'S OBLIGATIONS UNDER THESE
SPECIFICATIONS ARE BEING CARRIED OUT.
(n) ENSURE- THAT ALL FACILITIES AND COMPANY ACTIVITIES ARE
NONSEGREGATED EXCEPT THAT SEPARATE OR SINGLE-USER TOILET AND NECESSARY
CHANGING FACILITIES SHALL BE PROVIDED TO ASSURE PRIVACY BETWEEN THE SEXES.
(o) DOCUMENT AND MAINTAIN A RECORD OF ALL SOLICITATIONS OF OFFERS
FOR SUBCONTRACTS FROM MINORITY AND FEMALE CONSTRUCTION CONTRACTORS AND
SUPPLIERS, INCLUDING CIRCULATION OF SOLICITATIONS TO MINORITY AND FEMALE
CONTRACTOR ASSOCIATIONS AND OTHER BUSINESS ASSOCIATIONS.
r (p) CONDUCT A REVIEW, AT LEAST ANNUALLY, OF ALL SUPERVISORS'
ADHERENCE TO AND PERFORMANCE UNDER THE CONTRACTOR'S EEO POLICIES AND
AFFIRMATIVE ACTION OBLIGATIONS.
(8) CONTRACTORS ARE ENCOURAGED TO PARTICIPATE IN VOLUNTARY ASSOCIATIONS
WHICH ASSIST IN FULFILLING ONE OR MORE OF THEIR AFFIRMATIVE ACTION OBLIGATIONS
SET FORTH IN PARAGRAPHS (7)(a) THROUGH (p). THE EFFORTS OF A CONTRACTOR
ASSOCIATION, JOINT CONTRACTOR-UNION, CONTRACTOR COMMUNITY, OR OTHER SIMILAR
GROUP OF WHICH THE CONTRACTOR IS A MEMBER AND PARTICIPANT, MAY BE ASSERTED AS
FULFILLING ANY ONE OR MORE OF ITS OBLIGATIONS UNDER (7) (a) THROUGH (p) OF
THESE SPECIFICATIONS, PROVIDED THAT THE CONTRACTOR ACTIVELY PARTICIPATES IN
THE GROUP, MAKES EVERY EFFORT TO ASSURE THAT THE GROUP HAS A POSITIVE IMPACT
ON THE EMPLOYMENT OF MINORITIES AND WOMEN IN THE INDUSTRY, ENSURES THAT THE
1p CONCRETE BENEFITS OF THE PROGRAM ARE REFLECTED IN THE CONTRACTOR'S MINORITY
AND FEMALE WORKFORCE PARTICIPATION, MAKES A GOOD FAITH EFFORT TO MEET ITS
INDIVIDUAL GOALS AND TIMETABLES, AND CAN PROVIDE ACCESS TO DOCUMENTATION WHICH
DEMONSTRATES THE EFFECTIVENESS OF ACTIONS TAKEN ON BEHALF OF THE CONTRACTOR.
THE OBLIGATION TO COMPLY, HOWEVER, IS THE CONTRACTOR'S AND FAILURE OF SUCH A
GROUP TO FULFILL AN OBLIGATION SHALL NOT BE A DEFENSE FOR THE CONTRACTOR'S
NONCOMPLIANCE.
(9) A SINGLE GOAL FOR MINORITIES AND A SEPARATE SINGLE GOAL FOR WOMEN
HAVE BEEN ESTABLISHED. THE CONTRACTOR, HOWEVER, IS REQUIRED TO PROVIDE EQUAL
EMPLOYMENT OPPORTUNITY AND TO TAKE AFFIRMATIVE ACTION FOR ALL MINORITY GROUPS,
BOTH MALE AND FEMALE, AND ALL WOMEN, BOTH MINORITY AND NON-MINORITY.
CONSEQUENTLY, THE CONTRACTOR MAY BE IN VIOLATION OF THE EXECUTIVE ORDER IF A
PARTICULAR GROUP IS EMPLOYED IN A SUBSTANTIALLY DISPARATE MANNER (FOR EXAMPLE,
EVEN THOUGH THE CONTRACTOR HAS ACHIEVED ITS GOAL FOR WOMEN GENERALLY, THE
CONTRACTOR MAY BE IN VIOLATION OF THE EXECUTIVE ORDER IF A SPECIFIC MINORITY
GROUP OF WOMEN IS UNDERUTILIZED).
(10) THE CONTRACTOR SHALL NOT USE THE GOALS AND TIMETABLES OR AFFIRMATIVE
ACTION STANDARDS TO DISCRIMINATE AGAINST ANY PERSON BECAUSE OF RACE, COLOR,
RELIGION, SEX, OR NATIONAL ORIGIN.
(11) THE CONTRACTOR SHALL NOT ENTER INTO ANY SUBCONTRACT WITH ANY PERSON
OR FIRM DEBARRED FROM GOVERNMENT CONTRACTS PURSUANT TO EXECUTIVE ORDER 11246.
Page 19
(12) THE CONTRACTOR SHALL CARRY OUT SUCH SANCTIONS AND PENALTIES FOR
VIOLATION OF THESE SPECIFICATIONS AND OF THE EQUAL OPPORTUNITY CLAUSE,
INCLUDING SUSPENSION, TERMINATION AND CANCELLATION OF EXISTING SUBCONTRACTS AS
MAY BE IMPOSED OR ORDERED PURSUANT TO EXECUTIVE ORDER 11246, AS AMENDED, AND
ITS IMPLEMENTING REGULATIONS BY THE OFFICE OF FEDERAL CONTRACT COMPLIANCE
PROGRAMS. ANY CONTRACTOR WHO FAILS TO CARRY OUT SUCH SANCTIONS AND PENALTIES
SHALL BE IN VIOLATION OF THESE SPECIFICATIONS AND EXECUTIVE ORDER 11246, AS
AMENDED.
(13) THE CONTRACTOR, IN FULFILLING ITS OBLIGATIONS UNDER THESE
SPECIFICATIONS, SHALL IMPLEMENT SPECIFIC AFFIRMATIVE ACTION STEPS, AT LEAST AS
EXTENSIVE AS THOSE STANDARDS PRESCRIBED IN PARAGRAPH (7) OF THESE -g
SPECIFICATIONS, SO AS TO ACHIEVE MAXIMUM RESULTS FROM ITS EFFORTS TO ENSURE
EQUAL EMPLOYMENT OPPORTUNITY. IF THE CONTRACTOR FAILS TO COMPLY WITH THE
REQUIREMENTS OF THE EXECUTIVE ORDER, THE IMPLEMENTING REGULATIONS, OR THESE
SPECIFICATIONS, THE DIRECTOR SHALL PROCEED IN ACCORDANCE WITH 41 C.F.R.
60-4.8.
(14) THE CONTRACTOR SHALL DESIGNATE A RESPONSIBLE OFFICIAL TO MONITOR ALL
EMPLOYMENT RELATED ACTIVITY TO ENSURE THAT THE COMPANY EEO POLICY IS BEING
CARRIED OUT, TO SUBMIT REPORTS RELATING TO THE PROVISIONS HEREOF AS MAY BE
REQUIRED BY THE GOVERNMENT AND TO KEEP RECORDS. RECORDS SHALL AT LEAST
INCLUDE FOR EACH EMPLOYEE THE NAME, ADDRESS, TELEPHONE NUMBERS, CONSTRUCTION
TRADE, UNION AFFILIATION IF ANY, EMPLOYEE IDENTIFICATION NUMBER WHEN ASSIGNED,
SOCIAL SECURITY NUMBER, RACE, SEX, STATUS (E.G. , MECHANIC, APPRENTICE,
TRAINEE, HELPER, OR LABORER), DATES OF CHANGES IN STATUS, HOURS WORKED PER
WEEK IN THE INDICATED TRADE, RATE OF PAY, AND LOCATIONS AT WHICH THE WORK WAS
PERFORMED. RECORDS SHALL BE MAINTAINED IN AN EASILY UNDERSTANDABLE AND
RETRIEVABLE FORM; HOWEVER, TO THE DEGREE THAT EXISTING RECORDS SATISFY THIS
REQUIREMENT, CONTRACTORS SHALL NOT BE REQUIRED TO MAINTAIN SEPARATE RECORDS.
(15) NOTHING HEREIN PROVIDED SHALL BE CONSTRUED AS A LIMITATION UPON THE
APPLICATION OF OTHER LAWS WHICH ESTABLISH DIFFERENT STANDARDS OF COMPLIANCE OR
UPON THE APPLICATION OF REQUIREMENTS FOR THE HIRING OF LOCAL OR OTHER AREA
RESIDENTS (E.G. , THOSE UNDER THE PUBLIC WORKS EMPLOYMENT ACT OF 1977 AND THE
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM.)
c. Notice. The Recipient hereby agrees that it will ensure that the notice
set o —below shall be included in, and shall be a part of, all
solicitations for offers and bids on all Federal and Federally assisted "
construction contracts or subcontracts in excess of $10,000 to be performed in
geographical areas designated by the Director, Office of Federal Contract
Compliance Programs of the Department of Labor at 41 C.F.R. Section 60-4.2:
Page 20
NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL EMPLOYMENT
OPPORTUNITY (EXECUTIVE ORDER 11246):
(1 ) THE OFFEROR'S. OR BIDDER'S ATTENTION IS CALLED TO THE "EQUAL
OPPORTUNITY CLAUSE" AND THE "STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY
CONSTRUCTION CONTRACT SPECIFICATIONS" SET FORTH HEREIN.
(2) (a) THE GOALS AND TIMETABLES FOR MINORITY AND FEMALE PARTICIPATION,
EXPRESSED IN PERCENTAGE TERMS FOR THE CONTRACTOR'S AGGREGATE WORKFORCE IN EACH
TRADE ON ALL CONSTRUCTION WORK IN THE COVERED AREA, ARE AS FOLLOWS:
f
TIME-TABLES GOALS FOR MINORITY GOALS FOR FEMALE
PARTICIPATION FOR PARTICIPATION IN
EACH TRADE EACH TRADE
INSERT GOALS FOR INSERT GOALS FOR
EACH YEAR EACH YEAR
THESE GOALS ARE APPLICABLE TO ALL THE CONTRACTOR'S CONSTRUCTION WORK (WHETHER
OR NOT IT IS FEDERAL OR FEDERALLY ASSISTED) PERFORMED IN THE COVERED AREA. IF
THE CONTRACTOR PERFORMS CONSTRUCTION WORK IN A GEOGRAPHICAL AREA LOCATED
OUTSIDE THE COVERED AREA, IT SHALL APPLY THE GOALS ESTABLISHED FOR SUCH
GEOGRAPHICAL AREA WHERE THE WORK IS ACTUALLY PERFORMED. WITH REGARD TO THIS
SECOND AREA, THE CONTRACTOR ALSO IS SUBJECT TO THE GOALS FOR BOTH ITS
FEDERALLY INVOLVED AND NONFEDERALLY INVOLVED CONSTRUCTION.
(b) THE CONTRACTOR'S COMPLIANCE WITH THE EXECUTIVE ORDER AND THE
REGULATIONS IN 41 C.F.R. PART 60-4 SHALL BE BASED ON ITS IMPLEMENTATION OF THE
EQUAL OPPORTUNITY CLAUSE, SPECIFIC AFFIRMATIVE ACTION OBLIGATIONS REQUIRED BY
THE SPECIFICATIONS SET FORTH IN 41 C.F.R. 60-4.3(a ), AND ITS EFFORTS TO MEET
THE GOALS. THE HOURS OF MINORITY AND FEMALE EMPLOYMENT AND TRAINING MUST BE
SUBSTANTIALLY UNIFORM THROUGHOUT THE LENGTH OF THE CONTRACT, AND IN EACH
TRADE, AND THE CONTRACTOR SHALL MAKE A GOOD FAITH EFFORT TO EMPLOY MINORITIES
AND WOMEN EVENLY ON EACH OF ITS PROJECTS. THE TRANSFER OF MINORITY OR FEMALE
EMPLOYEES OR TRAINEES FROM CONTRACTOR TO CONTRACTOR OR FROM PROJECT TO PROJECT
FOR THE SOLE PURPOSE OF MEETING THE CONTRACTOR'S GOALS SHALL BE A VIOLATION OF
THE CONTRACT, THE EXECUTIVE ORDER, AND THE REGULATIONS in 41 C.F.R. PART 60-4.
COMPLIANCE WITH THE GOALS WILL BE MEASURED AGAINST THE TOTAL WORK HOURS
PERFORMED.
(3) THE CONTRACTOR SHALL PROVIDE WRITTEN NOTIFICATION TO THE DIRECTOR OF
THE OFFICE OF FEDERAL CONTRACT COMPLIANCE PROGRAMS WITHIN 10 WORKING DAYS OF
AWARD OF ANY CONSTRUCTION SUBCONTRACT IN EXCESS OF $10,000 AT ANY TIER FOR
CONSTRUCTION WORK UNDER THE CONTRACT RESULTING FROM THIS SOLICITATION. THE
NOTIFICATION SHALL LIST THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE
SUBCONTRACTOR; EMPLOYER IDENTIFICATION NUMBER OF THE SUBCONTRACTOR; ESTIMATED
DOLLAR AMOUNT OF THE SUBCONTRACT; ESTIMATED STARTING AND COMPLETION DATES OF
THE SUBCONTRACT; AND THE GEOGRAPHICAL AREA IN WHICH THE CONTRACT IS TO BE
PERFORMED.
Page 21
I I MINI III
(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. Part 5
the following prov sions shall be incorporated in all construction contracts
of $2,000 let by the Recipient in carrying out the project.
(1 ) MINIMUM WAGES. (a) ALL MECHANICS AND LABORERS EMPLOYED OR WORKING
UPON THE SDK, WILL BE PAID UNCONDITIONALLY AND NOT LESS OFTEN
THAN ONCE A WEEK, AND WITHOUT SUBSEQUENT DEDUCTION OR REBATE ON ANY ACCOUNT
(EXCEPT SUCH PAYROLL DEDUCTIONS AS ARE PERMITTED BY REGULATIONS ISSUED BY THE
SECRETARY OF LABOR UNDER THE COPELAND ACT (29 C.F.R. PART 3)), THE FULL
AMOUNTS DUE AT THE TIME OF PAYMENT COMPUTED AT WAGE RATES NOT LESS THAN THOSE
CONTAINED IN THE WAGE DETERMINATION DECISION OF THE SECRETARY OF LABOR WIfICH
WAGE DETERMINATION DECISION IS ATTACHED HERETO AND MADE A PART HEREOF,
REGARDLESS OF ANY CONTRACTUAL RELATIONSHIP WHICH MAY BE ALLEGED TO EXIST
BETWEEN THE CONTRACTOR AND SUCH LABORERS AND MECHANICS; 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 ANTICIPATED
UNDER SECTION 1(b)(2) OF THE DAVIS-BACON ACT, 40 U.S.C.§ 216a(b)(2), 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)(l )(iv): ALSO FOR THE
PURPOSE OF THIS CLAUSE, REGULAR CONTRIBUTIONS MADE OR COSTS INCURRED FOR MORE
THAN A WEEKLY PERIOD UNDER PLANS, FUNDS, OR PROGRAMS, BUT COVERING THE
PARTICULAR WEEKLY PERIOD, ARE DEEMED TO BE CONSTRUCTIVELY MADE OR INCURRED
DURING SUCH WEEKLY PERIOD.
(b) 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 DETERMINATION, AND A REPORT
OF THE ACTION TAKEN SHALL BE SENT BY THE DEPARTMENT OF TRANSPORTATION (DOT) TO
THE SECRETARY OF LABOR. IN THE EVENT THE INTERESTED PARTIES CANNOT AGREE ON
THE PROPER CLASSIFICATIONS OR RECLASSIFICATION OF A PARTICULAR CLASS OF
LABORERS AND MECHANICS, INCLUDING APPRENTICES AND TRAINEES, TO BE USED, THE
QUESTION, ACCOMPANIED BY THE RECOMMENDATION OF THE CONTRACTING OFFICER SHALL
BE REFERRED TO THE SECRETARY OF LABOR FOR FINAL DETERMINATION.
(c) THE CONTRACTING OFFICER SHALL REQUIRE, WHENEVER THE MINIMUM WAGE
RATE PRESCRIBED IN THE CONTRACT FOR A CLASS OF LABORERS OR MECHANICS INCLUDES
A FRINGE BENEFIT WHICH IS NOT EXPRESSED AS AN HOURLY 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, ACCOMPANIED BY THE RECOMMENDATION OF THE CONTRACTING OFFICER, SHALL
BE REFERRED TO THE SECRETARY OF LABOR FOR DETERMINATION.
Page 22
(d) IF THE CONTRACTOR DOES NOT MAKE PAYMENTS TO A TRUSTEE OR OTHER
ANk THIRD PERSON, HE MAY CONSIDER AS PART OF THE WAGES OF ANY LABORER OR MECHANIC
THE AMOUNT OF ANY COSTS REASONABLY ANTICIPATED IN PROVIDING BENEFITS UNDER A
PLAN OR PROGRAM OF A TYPE EXPRESSLY LISTED IN THE WAGE DETERMINATION DECISION
OF THE SECRETARY OF LABOR WHICH IS A PART OF THIS CONTRACT: PROVIDED,
HOWEVER, THE SECRETARY OF LABOR HAS FOUND, UPON THE WRITTEN REQUEST OF THE
CONTRACTOR, THAT THE APPLICABLE STANDARDS OF THE DAVIS-BACON ACT HAVE BEEN
MET. THE SECRETARY OF LABOR MAY REQUIRE THE CONTRACTOR TO SET ASIDE IN A
SEPARATE ACCOUNT ASSETS FOR THE MEETING OF OBLIGATIONS UNDER THE PLAN OR
PROGRAM.
(2) WITHHOLDING. DOT MAY WITHHOLD OR CAUSE TO BE WITHHELD FROM THE
CONTRACTOR-M-MM-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 WORK, ALL OR PART OF THE WAGES REQUIRED BY THE CONTRACT, DOT MAY, AFTER
WRITTEN NOTICE TO THE CONTRACTOR, SPONSOR, APPLICANT, OR OWNER, TAKE SUCH
ACTION AS MAY BE NECESSARY TO CAUSE THE SUSPENSION OF ANY FURTHER PAYMENT,
ADVANCE, OR GUARANTEE OF FUNDS UNTIL SUCH VIOLATIONS HAVE CEASED.
(3) PAYROLL AND BASIC RECORDS. (a) PAYROLLS AND BASIC RECORDS RELATING
THERETO WILL BE MAINTAINED D-UnM 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, IN THE CONSTRUCTION OR DEVELOPMENT OF THE PROJECT.. SUCH
RECORDS WILL CONTAIN THE NAME AND ADDRESS OF EACH SUCH EMPLOYEE, HIS CORRECT
AM 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)(iv)
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 COMMITMENT TO PROVIDE SUCH BENEFITS IS
ENFORCEABLE, AND THAT THE PLAN OR PROGRAM IS FINANCIALLY RESPONSIBLE, AND THAT
THE PLAN OR PROGRAM HAS BEEN COMMUNICATED IN WRITING TO THE LABORERS OR
MECHANICS AFFECTED, AND RECORDS WHICH SHOW THE COSTS ANTICIPATED OR THE ACTUAL
COST INCURRED IN PROVIDING SUCH BENEFITS.
(b) THE CONTRACTOR WILL SUBMIT WEEKLY A COPY OF ALL PAYROLLS TO THE
RECIPIENT FOR TRANSMITTAL TO DOT. THE COPY SHALL BE ACCOMPANIED BY A
STATEMENT SIGNED BY THE EMPLOYER OR HIS AGENT INDICATING THAT THE PAYROLLS ARE
CORRECT AND COMPLETE, THAT THE WAGE RATES CONTAINED THEREIN ARE NOT LESS THAN
THOSE DETERMINED BY THE SECRETARY OF LABOR AND THAT THE CLASSIFICATIONS SET
FORTH FOR EACH LABORER OR MECHANIC CONFORM TO THE WORK TO BE PERFORMED. A
SUBMISSION OF THE "WEEKLY STATEMENT OF COMPLIANCE" WHICH IS REQUIRED UNDER
THIS CONTRACT AND THE COPELAND REGULATIONS OF THE SECRETARY OF LABOR
(29 C.F.R. PART 3) AND THE FILING WITH THE INITIAL PAYROLL OR ANY SUBSEQUENT
Page 23
PAYROLL OF A COPY OF ANY FINDINGS BY THE SECRETARY OF LABOR UNDER 29 C.F.R.
5.5(a)(1 )(1v) SHALL SATISFY THIS REQUIREMENT. THE PRIME CONTRACTOR SHALL BE
RESPONNSIBLE 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
INTERVIEW EMPLOYEES DURING WORKING HOURS ON THE JOB. CONTRACTORS EMPLOYING
APPRENTICES OR TRAINEES UNDER APPROVED PROGRAMS SHALL INCLUDE A NOTATION ON
THE FIRST WEEKLY CERTIFIED PAYROLLS SUBMITTED TO THE CONTRACTING AGENCIES THAT
THEIR EMPLOYMENT IS PURSUANT TO AN APPROVED PROGRAM AND SHALL IDENTIFY THE
PROGRAM.
(4) APPRENTICES AND TRAINEES. (a) APPRENTICES. APPRENTICES WILL BE
PERMITTED TO WORK AT LESS TH E PREDETERMINED—dMINED— RATE FOR THE WORK THEY
PERFORMED WHEN THEY ARE EMPLOYED AND INDIVIDUALLY REGISTERED IN A BONA FIDE
APPRENTICESHIP PROGRAM REGISTERED WITH THE U.S. DEPARTMENT OF LABOR,
EMPLOYMENT AND TRAINING ADMINISTRATION, BUREAU OF APPRENTICESHIP AND TRAINING,
OR WITH A STATE APPRENTICESHIP AGENCY RECOGNIZED BY THE BUREAU, OR IF A PERSON
IS EMPLOYED IN HIS FIRST 90 DAYS OF PROBATIONARY EMPLOYMENT AS AN APPRENTICE
IN SUCH AN APPRENTICESHIP PROGRAM, WHO IS NOT INDIVIDUALLY REGISTERED IN THE
PROGRAM, BUT WHO HAS BEEN CERTIFIED BY THE BUREAU OF APPRENTICESHIP AND
TRAINING OR A STATE APPRENTICESHIP AGENCY (WHERE APPROPRIATE) TO BE ELIGIBLE
FOR PROBATIONARY EMPLOYMENT AS AN APPRENTICE. THE ALLOWABLE RATIO OF
APPRENTICES TO JOURNEYMEN IN ANY CRAFT CLASSIFICATION SHALL NOT BE GREATER
THAN THE RATIO PERMITTED TO THE CONTRACTOR AS TO HIS ENTIRE WORK FORCE UNDER
THE REGISTERED PROGRAM. ANY EMPLOYEE LISTED ON A PAYROLL AT 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 JOURNEYMEN HOURLY RATES) FOR
THE AREA OF CONSTRUCTION PRIOR TO USING ANY APPRENTICES ON THE CONTRACT WORK.
THE WAGE RATE PAID APPRENTICES SHALL NOT BE LESS THAN THE APPROPRIATE
PERCENTAGE OF THE JOURNEYMAN'S RATE CONTAINED IN THE APPLICABLE WAGE
DETERMINATION.
(b) TRAINEES. EXCEPT AS PROVIDED IN 29 C.F.R. 5.15, TRAINEES WILL
NOT BE PERM1TTE97U 170RK AT LESS THAN THE PREDETERMINED RATE FOR THE WORK
PERFORMED UNLESS THEY ARE EMPLOYED PURSUANT TO OR INDIVIDUALLY REGISTERED IN A
PROGRAM WHICH HAS RECEIVED PRIOR APPROVAL, EVIDENCED BY FORMAL CERTIFICATION,
Page 24
BY THE U.S. DEPARTMENT OF LABOR, EMPLOYMENT 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 LISTED ON THE PAYROLL AT A TRAINEE RATE WHO IS NOT REGISTERED AND
PARTICIPATING IN A TRAINING PLAN APPROVED BY THE BUREAU OF APPRENTICESHIP AND
TRAINING SHALL BE PAID NOT 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 FURNISH THE CONTRACTING OFFICER OR A
REPRESENTATIVE OF THE WAGE-HOUR DIVISION OF THE U.S. DEPARTMENT OF LABOR
WRITTEN EVIDENCE OF THE CERTIFICATION OF HIS PROGRAM, THE REGISTRATION OF THE
TRAINEES, AND THE RATIOS AND WAGE RATES PRESCRIBED IN THAT PROGRAM. IN THE
EVENT THE BUREAU OF APPRENTICESHIP AND TRAINING WITHDRAWS APPROVAL OF A
TRAINING PROGRAM, THE CONTRACTOR WILL NO LONGER BE PERMITTED TO UTILIZE
TRAINEES AT LESS THAN THE APPLICABLE PREDETERMINED RATE FOR THE WORK PERFORMED
UNTIL AN ACCEPTABLE PROGRAM IS APPROVED.
(c) EQUAL EMPLOYMENT OPPORTUNITY. THE UTILIZATION OF APPRENTICES,
TRAINEES AND JOURNEYMEN N HI AR SHALL BE IN CONFORMITY WITH THE EQUAL
EMPLOYMENT OPPORTUNITY REQUIREMENTS OF EXECUTIVE ORDER 11246, AS AMENDED, AND
29 C.F.R. PART 30.
(5) COMPLIANCE WITH COPELAND REGULATIONS 29 C.F.R. PART 3). THE
CONTRACTOR C.F.R. PART 3) OF
THE SECRETARY OF LABOR WHICH ARE HEREIN INCORPORATED BY REFERENCE.
AND((14)CONTRACT TERMINATION, DEBARMENT.OF BREACH OF
PROVIDED IN 29 C.F.R. 5.6.
(7) OVERTIME REQUIREMENTS. NO CONTRACTOR OR SUBCONTRACTOR CONTRACTING FOR
ANY PARr OF THE CONIRACT WO WHICH MAY REQUIRE OR INVOLVE THE EMPLOYMENT 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.
Page 25
(8) VIOLATION: LIABILITY FOR UNPAID WAGES: LIQUIDATED DAMAGES. IN THE
EVENT OF ), THE
CONTRACTOR AND ANY SUBCONTRACTOR RESPONSIBLE THEREFOR SHALL BE LIABLE TO ANY
AFFECTED EMPLOYEE FOR HIS UNPAID WAGES. IN ADDITION, SUCH CONTRACTOR AND
SUBCONTRACTOR SHALL BE LIABLE TO THE UNITED STATES (IN THE CASE OF WORK DONE
UNDER CONTRACT FOR THE DISTRICT OF COLUMBIA OR A TERRITORY, TO SUCH DISTRICT
OR TO SUCH TERRITORY), FOR LIQUIDATED DAMAGES. SUCH LIQUIDATED DAMAGES SHALL
BE COMPUTED WITH RESPECT TO EACH INDIVIDUAL LABORER OR MECHANIC EMPLOYED 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 (7).
(9) WITHHOLDING FOR LIQUIDATED DAMAGES. DOT MAY WITHHOLD OR CAUSE TO BE
WITHHELD, T OF WORK PERFORMED BY THE
CONTRACTOR OR SUBCONTRACTOR, SUCH SUMS AS MAY ADMINISTRATIVELY BE DETERMINED
TO BE NECESSARY TO SATISFY ANY LIABILITIES OF SUCH CONTRACTOR OR SUBCONTRACTOR
FOR UNPAID WAGES AND LIQUIDATED DAMAGES AS PROVIDED IN THE CLAUSE SET FORTH IN
SUBPARAGRAPH (8).
(10) FINAL LABOR SUMMARY. THE CONTRACTOR AND EACH SUBCONTRACTOR SHALL
FURNISH 10 THE RECIPIENT, UPON THE COMPLETION OF THE CONTRACT, A SUMMARY OF
ALL EMPLOYMENT, INDICATING, FOR THE COMPLETED PROJECT, THE TOTAL HOURS WORKED
AND THE TOTAL AMOUNT EARNED.
(11 ) FINAL CERTIFICATION. UPON COMPLETION OF THE CONTRACT, THE CONTRACTOR
SHALL SUBMIT TO THEWIPI 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 APPLICABLE TO THE WAGE RATE PAID.
SIGNATURE AND TITLE
Page 26
(12) NOTICE TO THE RECIPIENT OF LABOR DISPUTES. WHENEVER THE CONTRACTOR
HAS ACKNOWLEDGED DISPUTE IS DELAYING OR
Am THREATENS TO DELAY THE TIMELY PERFORMANCE OF THIS CONTRACT, THE CONTRACTOR
SHALL IMMEDIATELY GIVE NOTICE THEREOF, INCLUDING ALL RELEVANT INFORMATION WITH
RESPECT THERETO, TO THE RECIPIENT.
(13) DISPUTES CLAUSE. (a) ALL DISPUTES CONCERNING THE PAYMENT OF
PREVAILII 'WAGE EM CLASSIFICATIONS SHALL BE PROMPTLY REPORTED TO THE
RECIPIENT FOR ITS REFERRAL TO DOT FOR DECISION OR, AT THE OPTION OF DOT, DOT
REFERRAL TO THE SECRETARY OF LABOR. THE DECISION OF DOT OR THE SECRETARY OF
LABOR, AS THE CASE MAY BE, SHALL BE FINAL.
(b) ALL QUESTIONS RELATING TO THE APPLICATION OR INTERPRETATION OF THE
COPELAND ACT, 40 U.S.C. § 276c, THE CONTRACT WORK HOURS AND SAFETY STANDARDS
ACT, 40 U.S.C. §§ 327-333, THE DAVIS-BACON ACT, 40 U.S.C. § 276a, OR SECTION
13 OF THE URBAN MASS TRANSPORTATION ACT, 49 U.S.C. § 1609, 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) INSERTION IN SUBCONTRACTS. THE CONTRACTOR SHALL INSERT IN ANY
SUBCONTRACTS F'TTH IN SUBSECTIONS (1) THROUGH (14) OF THIS
SECTION AND ALSO A CLAUSE REQUIRING THE SUBCONTRACTORS TO INCLUDE THESE
CLAUSES IN ANY LOWER TIER SUBCONTRACTS WHICH THEY MAY ENTER INTO, TOGETHER
WITH A CLAUSE REQUIRING THIS INSERTION IN ANY FURTHER SUBCONTRACTS THAT MAY IN
TURN BE MADE AND SUCH OTHER CLAUSES AS THE GOVERNMENT MAY BY APPROPRIATE
INSTRUCTIONS REQUIRE.
e. Contract Security. The Recipient shall follow the requirements of OMB
Circular A-102-, as amended, or A-110, as may be appropriate, and Federal
(UMTA) guidelines with regard to bid guarantees and bonding requirements.
f. Insurance During Construction. The Recipient shall , at a minimum, follow
the insurance requirements normally required by their State and local
governments.
g. Signs. The Recipient shall cause to be erected at the site of
construction, and maintained during construction, signs satisfactory to the
Department of Transportation identifying the Project and indicating that the
Government is participating in the development of the Project.
w
h. Safety Standards. Pursuant to section 107 of the Contract Work Hours and
Safety standards Act and Department of Labor Regulations at 29 C.F.R. § 1926,
no laborer or mechanic working on a construction contract shall be required to
work in surroundings or under working conditions which are unsanitary,
hazardous, or dangerous to his or her health and safety as determined under
construction and health standards promulgated by the Secretary of Labor.
i. Liquidated Damages. The Recipient shall include in all contracts for
construe o a clause providing for liquidated damages, where appropriate.
Liquidated damages clauses are appropriate if the parties may reasonably
expect to suffer damages (increased costs on the project involved) from the
late completion of the construction and the extent or amount of such damages
would be difficult or impossible to discuss. The assessment for damages shall
® be at a specified rate per day for each day of overrun in contract time; and
Page 27
the rate must be specified in the third party contract. Any liquidated
damages recovered shall be credited to the Project account involved unless the
Government permits otherwise.
Section 112. Environmental , Resource, and Energy Protection and Conservation
Requirements.
a. Compliance with Environmental Standards. The Recipient shall comply with
the provis ons of the Clean Air Act, as amended (42 U.S.C. § 1857 et seq. ),
the Federal Water Pollution Control Act, as amended (33 U.S.C. § 1251 et
seq. ), and implementing regulations, in the facilities which are involved in '
the Project for which Federal assistance is given. The Recipient shall ensure
that the facilities under ownership, lease or supervision, whether directly or
under contract, that will be utilized in the accomplishment of the Project are `
not listed on the Environmental Protection Agency's (EPA) List of Violating
Facilities. Contracts, subcontracts, and subgrants of amounts in excess of
$100,000 shall contain a provision which requires compliance with all
applicable standards, orders, or requirements issued 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, EPA regulations (40 C.F.R. Part
15). The Recipient and any third-party contractor thereof shall be
responsible for reporting any violations to the Government (UMTA) and to the
EPA Assistant Administrator for Enforcement. In addition, the Recipient shall
notify UMTA of the receipt of any communication from the Director of the EPA
Office of Federal Activities indicating that a facility to be utilized in the
Project is under consideration for listing by EPA.
b. Air Pollution. No facilities or equipment shall be acquired, constructed,
or improved as a part of the Project unless the Recipient obtains satisfactory
assurances that they are (or will be) designed and equipped to limit air
pollution as provided in accordance with the External Operating Manual and in
accordance with all other applicable standards.
c. Use of Public Lands. No publicly owned land from a park, recreation area,
or wild ife 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 the Department of Transportation.
d. Historic Preservation. The Recipient shall assist the Government (UMTA) ,
in its compliance with section 106 of the National Historic Preservation Act
of 1966, as amended (16 U.S.C. 470), Executive Order No. 11593, and the
Archeological and Historic Preservation Act of 1966 (16 U.S.C. § 469a-1 et
seq.) by:
(1 ) 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 the
Government (UMTA) of the existence of any such properties; and
Page 28
(2) Complying with all requirements established by the Government to
avoid or mitigate adverse effects upon such properties.
e. Energy Conservation. The Recipient and its third party contractors shall
recognize mandaory standards and policies relating to energy efficiency which
are contained in the State energy conservation plan issued in compliance with
the Energy Policy and Conservation Act (42 U.S.C. § 6321 et seq.).
Section 113. Patent Rights.
p If any invention, improvement, or discovery of the Recipient or any of its
third party contractors is conceived or first actually reduced to practice in
the course of or under this Project which invention, improvement, or discovery
may be patentable under the Patent Laws of the United States of America or any
foreign country, the Recipient shall immediately notify the Government (UMTA)
and provide a detailed report. The rights and responsibilities of the
Recipient, third party contractors and the Government with respect to such
invention will be determined in accordance with applicable Federal laws,
regulations, policies, and any waivers thereof.
Section 114. Rights in Data.
a. The term "subject data" as used herein means recorded information, whether
or not copyrighted, that is delivered or specified to be delivered under this
Agreement. The term includes graphic or pictorial delineations in media such
as drawings or photographs; text in specifications or rel'ated performance or
design-type documents; machine forms such as punched cards, magnetic tape, or
computer memory printouts; and information retained in computer memory.
Examples include, but are not limited to, engineering drawings and associated
lists, specifications, standards, process sheets, manuals, technical reports,
catalog item identifications, and related information. The term does not
include financial reports, cost analyses, and similar information incidental
to contract administration.
b. All "subject data" first produced in the performance of this Agreement
shall be the sole property of the Government. The Recipient agrees not to
assert any rights at common law or equity and not to establish any claim to
statutory copyright in such data. Except for its own internal use, the
Recipient shall not publish or reproduce such data in whole or in part, or in
any manner or form, nor authorize others to do so, without the written consent
of the Government until such time as the Government may have released such
data to the public; this restriction, however, does not apply to Agreements
with Academic Institutions.
Page 29
c. The Recipient agrees to grant and does hereby grant to the Government and
to its officers, agents, and employees acting within the scope of their
official duties, a royalty-free, nonexclusive, and irrevocable license
throughout the world:
(1 ) To publish, translate, reproduce, deliver, perform, use, and dispose
of, in any manner, any and all data not first produced or composed in the
performance of this Agreement but which is incorporated in the work furnished
under this Agreement; and
(2) To authorize others so to do.
d. The Recipient shall indemnify and save and hold harmless the Government,
its officers, agents, and employees acting within the scope of their official
duties against any liability, including costs and expenses, resulting from any
willful or intentional violation by the Recipient of proprietary rights,
copyrights, or rights of privacy, arising out of the publication, translation,
reproduction, delivery, performance, use, or disposition of any data furnished
under this Agreement.
e. Nothing contained in this clause shall imply a license to the Government
under any patent or be construed as affecting the scope of any license or
other right otherwise granted to the Government under any patent.
f. Sections 114.c. and d. above are not applicable to material furnished to
the Recipient by the Government and incorporated in the work furnished under
the contract; provided that such incorporated material is identified by the
Recipient at the time of delivery of such work.
g. In the event that the Project, which is the subject of this Agreement, is
not completed, for any reason whatsoever, all data generated under that
Project shall become subject data as defined in the Rights in Data clause in
this Agreement and shall be delivered as the Government may direct. This
clause shall be included in all third-party contracts under the Project.
Section 115. Cargo Preference - Use of United States-Flag Vessels.
a. 4E U.S.C. § 1241 provides in pertinent part as follows:
(b)(1) Whenever the United States shall procure, contract for, or
otherwise obtain for its own account, or shall furnish to or for the account
of any foreign nation without provision for reimbursement, any equipment, •
materials, or commodities, within or without the United States, or shall
advance funds or credits or guarantee the convertibility of foreign currencies
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in connection with the furnishing of such equipment, materials, or
commodities, the appropriate agency or agencies shall take such steps as may
be necessary and practicable to assure that at least 50 per centum of the
gross tonnage of such equipment, materials, or commodities (computed
separately for dry bulk carriers, dry cargo liners, and tankers), which may be
transported on privately owned United States flag commercial vessels, to the
extent such vessels are available at fair and reasonable rates for United
States-flag commercial vessels, in such manner as will insure a fair and
reasonable participation of United States-flag commercial vessels in such
cargoes by geographic areas: .
t (2) Every department or agency having responsibility under this
subsection shall administer its programs with respect to this subsection under
regulations issued by the Secretary of Commerce .. . .
b. Pursuant to regulations published by the Secretary of Commerce at 46
C.F.R. Part 381, the Recipient agrees to insert the following clauses in all
contracts let by the Recipient under which equipment, materials or commodities
may be transported by ocean vessel in carrying out the Project:
THE CONTRACTOR AGREES --
(1) TO UTILIZE PRIVATELY OWNED UNITED STATES-FLAG COMMERCIAL VESSELS TO
SHIP AT LEAST 50 PERCENT OF THE GROSS TONNAGE (COMPUTED SEPARATELY FOR DRY
BULK CARRIERS, DRY CARGO LINERS, AND TANKERS) INVOLVED, WHENEVER SHIPPING ANY
EQUIPMENT, MATERIALS, OR COMMODITIES PURSUANT TO THIS SECTION, TO THE EXTENT
SUCH VESSELS ARE AVAILABLE AT FAIR AND REASONABLE RATES FOR UNITED STATES-FLAG
COMMERCIAL VESSELS.
(2) TO FURNISH WITHIN 30 DAYS FOLLOWING THE DATE OF LOADING FOR SHIPMENTS
ORIGINATING WITHIN THE UNITED STATES, OR WITHIN 30 WORKING DAYS FOLLOWING THE
DATE OF LOADING FOR SHIPMENT ORIGINATING OUTSIDE THE UNITED STATES, A LEGIBLE
COPY OF A RATED, "ON-BOARD" COMMERCIAL OCEAN BILL-OF-LADING IN ENGLISH FOR
EACH SHIPMENT OF CARGO DESCRIBED IN PARAGRAPH (1) ABOVE TO THE RECIPIENT
(THROUGH THE PRIME CONTRACTOR IN THE CASE OF SUBCONTRACTOR BILLS-OF-LADING)
AND TO THE DIVISION OF NATIONAL CARGO, OFFICE OF MARKET DEVELOPMENT, MARITIME
ADMINISTRATION, 400 SEVENTH STREET, S.W. , WASHINGTON, D.C. 20590, MARKED WITH
APPROPRIATE IDENTIFICATION OF THE PROJECT.
(3) TO INSERT THE SUBSTANCE OF THE PROVISIONS OF THIS CLAUSE IN ALL
SUBCONTRACTS ISSUED PURSUANT TO THIS CONTRACT.
Section 116. �Buy America. Each third party contract utilizing UMTA funds
obligated afterJanuary , 1983, must comply with Section 165 of the Surface
Transportation Assistance Act of 1982, P.L. 97-424, 49 U.S.C. § 1601 note (the
Buy America provision), and UMTA regulations and/or guidance issued to
implement this statutory provision.
Page 31
Section 117. Charter and School Bus Operations.
a. Charter Bus. The Recipient, or any operator of mass transportation,
acting on its behalf, shall not engage in charter bus operations outside the
urban area within which it provides regularly scheduled mass transportation
service, except as provided under section 3(f) of the Urban Mass
Transportation Act of 1964, as amended, 49 U.S.C. § 1602(f), and regulations
pertaining to Charter Bus Operations, set forth at 49 C.F.R. Part 604 and any
amendments that may be issued. Any agreement entered into under these
regulations is incorporated into this ,Agreement by reference.
b. School Bus. The Recipient, or any operator of mass transportation acting j
on its behalf, shall not engage in school bus operations, exclusively for the
transportation of students or school personnel , in competition with private
school bus operators, except as provided under section 3(g) of the Urban Mass
Transportation Act of 1964, as amended, 49 U.S.C. § 1602(g) and regulations
pertaining to School Bus Operations, set forth at 49 C.F.R. Part 605 and any
amendments thereto that may be issued. Any agreement entered into under these
regulations is incorporated into this Agreement by reference.
Section 118. Nondiscrimination on the Basis of Handicap. The Recipient shall
insure that all fixed facility construction or alteration and all new
equipment included in the Project comply with applicable regulations regarding
Nondiscrimination on the Basis of Handicap in Programs and Activities
Receiving or Benefitting from Federal Financial Assistance, set forth at 49
C.F.R. Part 27, and any amendments thereto.
Section 119. Flood Hazards. The Recipient shall comply with the flood
insurance purchase requirements with respect to construction or acquisition
purposes, of section 102(a) of the Flood Disaster Protection Act of 1973, 42
U.S.C. § 4012(a).
Section 120. Privacy. Should the Recipient, its third party contractors or
its employees adm in ster any system of records on behalf of the Federal
Government, the following terms and conditions are applicable:
a. The Recipient agrees:
(1) To comply with the Privacy Act of 1974, 5 U.S.C. § 552a (the Act)
and the rules and regulations issued pursuant to the Act when performance
under the contract involves the design, development, or operation of any
system of records on individuals to be operated by the Recipient, its
contractors or employees to accomplish a Government function;
Page 32
(2) To notify the Government when the Recipient anticipates operating a
system of records on behalf of the Government in order to accomplish the
requirements of this Agreement, if such system contains information about
individuals which information will be retrieved by the individual 's name or
other identifier assigned to the individual . A system of records subject to
the Act may not be employed in the performance of this Agreement until the
necessary approval and publication requirements applicable to the system have
been carried out. The Recipient agrees to correct, maintain, disseminate, and
use such records in accordance with the requirements of the Act, and to comply
with all applicable requirements of the Act;
(3) To include the Privacy Act Notification contained in this Agreement
t in every third party contract solicitation and in every third party contract
when the performance of work under the proposed third party contract may
involve the design, development, or operation of a system of records on
individuals that is to be operated under the contract to accomplish a
Government function; and
(4) To include this clause, including this paragraph, in all third
party contracts under which work for this Agreement is performed or which is
awarded pursuant to this Agreement or which may involve the design,
development, or operation of such a system of records on behalf of the
Government.
b. For purposes of the Privacy Act, when the Agreement involves the operation
of a system of records on individuals to accomplish a Government function, the
Recipient, third party contractors and any of their employees is considered to
be an employee of the Government with respect to the Government function and
the requirements of the Act, including the civil and criminal penalties for
violations of the Act, are applicable except that the criminal penalties shall
not apply with regard to contracts effective prior to September 27, 1975. In
addition, failure to comply with the provisions of the Act or of this clause
will make this Agreement subject to termination.
c. The terms used in this clause have the following meanings:
(1) "Operation of a system of records" means performance of any of the
activities associated with maintaining the system of records on behalf of the
Government including the collection, use and dissemination of records.
' (2) "Record" means any item, collection, or grouping of information
about an individual that is maintained by the Recipient on behalf of the
Government, including, but not limited to, his education, financial
transactions, medical history, and criminal or employment history and that
contains his name, or the identifying number, symbol , or other identifying
particular assigned to the individual , such as a finger or voice print, or a
photograph.
(3) "System of records" on individuals means a group of any records
under the control of the Recipient on behalf of the Government from which
information is retrieved by the name of the individual or by some identifying
number, symbol , or other identifying particular assigned to the individual .
Page 33
Section 121 . Miscellaneous.
a. Bonus or Commission. The Recipient warrants that it has not paid, and
also agrees not to pay, any bonus or commission for the purpose of obtaining
an approval of its application for the financial assistance hereunder.
b. State or Territorial Law. Anything in the Agreement to the contrary
notw t stan ng, not ing n the Agreement shall require the Recipient to
observe or enforce compliance with any provision thereof, perform any other
act, or do any other thing in contravention of any applicable State or
territorial law; Provided, That if any of the provisions of the Agreement
violate any applicable State or territorial law, or if compliance with the t
provisions of the Agreement would require the Recipient to violate any
applicable State or territorial law, the Recipient will at once notify the
Government (UMTA) in writing in order that appropriate changes and
modifications may be made by the Government and the Recipient to the end that
the Recipient may proceed as soon as possible with the Project.
c. Records. The Recipient, and any mass transportation operator for which it
apps es wi , for each local fiscal year ending on or after July 1, 1978,
conform to the reporting system and the uniform system of accounts and records
to the extent required by section 15 of the Urban Mass Transportation Act of
1964, as amended, 49 U.S.C. § 1611, effective for each local fiscal year
ending on or after July 1, 1978, and Federal (UMTA) regulations.
d. Severaabil�ity. If any provision of this Agreement is held invalid, the
remaind—er of this Agreement shall not be affected thereby if such remainder
would then continue to conform to the terms and requirements of applicable ANIL
law.
Page 34
*U.S. GOM MUNT PRINTING Ornm 198:1-0-581-428/5159