HomeMy Public PortalAboutORD09145 1t
BILL N0, _
INTRODUCED BY COUNCILMAN
ORDINANCE NO. 2 V,,77
AN ORDINANCE OF THE CITY OF JEFFERSON, MISSOURI AUTHORIZING THE
MAYOR AND CLERK OF THE CITY OF JEFFERSON TO EXECUTE A CONTRACT
WITH THE URBAN MASS TRANSPORTATION ADMINISTRATION OF THE DEPARTMENT
OF TRANSPORTATION OF THE UNITED STATES ON PROJECT NO. MO-03-008
A GRANT FOR THE ACQUISITION OF NEW BUSES .
BE IT ORDAINED BY THE COUNCIL OF THE CITY OF JEFFERSON, MISSOURI ,
AS FOLLOWS:
Section 1 . The Mayor and the Clerk of the City of Jefferson,
are hereby authorized and directed to execute a contract with the
Urban Mass Transportation Administration of the Department of
Transportation of the United States involving Project No . MO-03-008
involving a grant of $476, 080 to the City for, the acquisition of
new transportation equipment to be operated by the City, a copy
of said contract being attached hereto and made a part hereof.
Section 2 . This ordinance shall take effect and be in
full force from and after its passage and approval .
Passed 011. N /qz sf Approved ai. 19
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Attes .
city lerk
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. UNITED STATES OF AMERICA L
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATIO14 ADMINISTRATION
WASHINGTON, D.C. 20590
URBAN MASS TRANSPORTATION CAPITAL GRANT CONTRACT
FART I
Project No. MO-03-0008
GRANTEE: JEFFERSON CITY TRANSIT AUTHORITY
ESTIMATED TOTAL PROJECT COST: Five Hundred Ninety-Five Thousand,
One Hundred Dollars ($595,100)
ESTIMATED NET PROJECT COST: Five Hundred Ninety-Five Thousand,
One Hundred Dollars , ($595,100)
MAXIMUM FEDERAL SHARE: Four Hundred Seventy-Six Thousand, Eighty
Dollars ($476,080)
DATE OF SECTION 13 (c) CERTIFICATION •LETTER
FROM THE DEPARTMENT OF LABOR:
March 29, 1978
PROJECT DESCRIPTION:
a. purchase of 5 new 35 ft. transit buses, air conditioned,
diesel powered, with tires;
b. purchase of 1 new 17 ,passenger _bus, . air conditioned,
wheelchair lift equipped;
C. purchase and installation of 9 two-way radios and 1
base station;
d. purchase and -installation -of .3 passenger shelters; and;-.
C. contingencies.
Form UMTA F 2000
58`78
.: Page .1
THIS CONTRACT, effective on the date herein below
specified, by and between the United States of America
(herein called the "Government") and the Grantee named on
page one of this Grant Contract, WITNESSETH:
In consideration of the mutual covenants , promises, and
representations herein, the parties hereto agree as follows:
Sec. 1. Purpose of Contract - The purpose of this
Contract is to provide for the undertaking of an urban mass
transportation capital improvement project (herein called
the ':Project") with Government financial assistance to the
Grantee in the form of a capital grant (herein called
the "Grant") , under the Urban Mass Transportation Act of
1964 , as amended (herein called the "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 used.
Sec. 2. The Project - The Grantee agrees to undertake
and complete t Ye .Project, and to provide for the use of
Project facilities/equipment, substantially as described in
its Application, herewith incorporated by reference, filed
with and approved by -the Government, and in accordance with
the terms and conditions of this Contract. The "Project
Description" on page -one of this Grant Contract describes
the Project to be funded under this Contract..
Sec. 3. -The Grant - In order to assist the Grantee in
financing that portion of the total cost of the Project
which the Department of Transportation (DOT) .has determined
cannot reasonably be financed from revenues of the public
transportation system in which the Project facilities/equipment
are to be used (herein called the O-Net Project Cost*) , such
Wet Project Cost -being estimated to be that amount stated on ,
.page one of this Grant Contract, the Government will make a
Grant in an amount equal to eighty-percent (80%) of the
actual Net Project Cost, as determined by DOT upon completion
:. 0
of the Project, or in the amount designated as Maximum
- : Federal Share on page one of this Grant Contract, whichever
-i,e .the lesser. however, if this Contract is an amendment to
a prior Grant Contract and if the Government's share was
limited to 66 2/3% under that Contract, then that limit
*hall continue to apply in calculating the Government's
share of the Net Project Cost as approved on the date of the
original Contract and the date of any amendment subject to
-such 66 2/3% limit.
vhe obligation of the Government to make Federal Grant
payments in any fiscal year shall not exceed the amount
provided in the 'Project Budget .for the fiscal year in which
' requisitions therefor are submitted.
S�'6,l76 -page 1 : _
The Grantee agrees that it will provide from sources
othen than (a) Federal funds, W receipts from the use of
the Project facilities/equipment, or Cc) revenues of the
public transportation system in which such facilities/equip-
ment are used, funds in the 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 . r- •'
at the same time a refund to the Government of a proportional
amount of the Grant.
Sec. 4. Use of Pro ect Facilities/Equipment - The Grantee
agrees that the Proj ect facilities/equipment shall be used for
the provision of mass transportation service within its urban
area substantially as described in the Project Description
for a period from the date of purchase of 10 years in the case
of buses and items of equipment costing less than $50, 000
and for a period from the date of construction or installation
of 20 years in the case of facilities or items of equipment
costing $50, 000 or more. If, during such period, any Project
facilities/equipment are not used in this manner or are
withdrawn from mass transportation service, the Grantee '
shall immediately notify the Government and shall remit to
qhe Government a proportional amount of the fair market value,
' if any, of such property (determined on the basis of the
ratio of the Grant made by the Government to the actual total
cost of the Project) . For the purpose of this Section, the
fair market value shall be' deemed to be the value of the
property as determined by competent appraisal conducted as
soon after such withdrawal or misuse occurs as feasible or
the actual proceeds from the public sale of such property,
whichever is approved by UMTA.
} The Grantee 'shall keep satisfactory records with regard
to the use of the property and submit to the Government upon
request such information as is required in order to assure
compliance with this Section and shall immediately notify
UMTA in all cases where Project facilities/equipment are used
in a manner substantially different from that described in
the Project Description. The Grantee shall mAintain in amount
and form satisfactory to the Government such insurance or
self-insurance as will be adequate to protect Project facilities
and/or equipment throughout the period of required uge. The
cost of such insurance shall not be an item of allowable
cost. The Grantee shall also submit to the Government at
the beginning of each calendar year during such period, a
certification that the Project facilities/equipment are still
being used in accordance with -the terms of this Section and
that no part of the local contribution to the cost of the
• ':; project has been refunded or reduced. .
Page 2
Sec. S. Labor Protection - The Grantee agrees to
undertake, carry out, and complete the Project under the
terms and conditions determined by the Secretary of Labor
to be fair and equitable to protect the interests of
employees affected by the Project and meeting the require-
ments of section 13 (c) of the Act.
These terms and conditions are identified in the letter
of certification to the Government from the Department of
Labor on the date indicated on page one of this Grant Contract..
That letter and any documents cited in that letter are
incorporated by reference into this Grant Contract. The
Grant"'is subject to the conditions stated in the Department
of Labor letter.
Sec: 6. The Grant Contract - This Contract consists of
ekis art IF entitled Urban Mass Transportation Capital
GarntVontract, and Form UMTA F 5B, dated 5;8/78 entitled
Urban-Mass Transportation Grant Contract, Part II, Terms and
Conditions. The latest approved Project Budget is incorporated
herein by reference. Amendments to the Project Description
or the Project Budget shall require a formal amendment to
this Contract, except that reallocations of funds among
budget items or fiscal years which do not increase the total
amount of the Federal Grant shall only require prior authori-
sation :from UMTA and the issuance of a new Project Budget.
•Spc. 7. .Offer and "Acceptance
(a) Execution of Contract - This Contract may be simul-
taneously executed in several counterparts, each of which
shall be deemed to be an original having identical legal
effect.
(b) Offer - When dated and signed by the Government,'
W his instrument shall constitute an offer which should be
cepted by the Grantee by execution within sixty (60)
days of such date. The Government may withdraw any offer
not accepted with the above sixty-day period. Upon accept
.mace of the offer the effective date of the Contract shall•
be the• date on which this offer was executed by the Govern-
Ment.
3/6/76 Rage 3 �
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•
The Government has duly executed this offer this
day of e 19
jLH 2 6
• ZY
ASSOCI TE ADMINI T 0
TURBAN MASS TRANSPORTATION
ADMINISTRATION
(c) Acceptance - The Grantee does hereby ratify and
adopt all statements, representations, warranties, convenants,
and' agreements contained in the Application and supporting
materials submitted by it, and does hereby accept the Govern-
ment's offer and agrees to all of the terms and conditions
thereof.
Zxecuted this --day of , 19 .
ATTEST
nu-1
Fry �TLE GANI ATION E RGANI1Z,A_TION
.l�r•'� �'� 1p.o-.al Q��.,tp.6-awe✓
riw
(d) t ate of Grantee's Attorn
(ILI acting as Attorney for the Grantee,
do ere y certify that I have examined this grant contract
and the proceedings taken by the Grantee relating thereto, and
ifind that the acceptance of the Goverment's offer by t Grantee
has been duly authorized by the .Grantee's action dated
(a copy of which has been submitted to t1MTA) and that h
execution of this Contract is in all -respects due and proper
and in accordance with applicable State and local law and
further that; iti my opinion, said grant.-contract constitutes
a legal and binding obligation of the Grantee in accordance
with the terms thereof. I further certify that to the best of
my knowledge there is no legislation or litigation pending
or threatened which might affect the performance of the
Psoject in accordance with the erms of this Contract.
Dated this �a day.of , 19 •
' ...5/8/7 B • • ' •
• IGNAT �.
® Fora U4M 5B
5/8/78
UNITED STATES OF AMERICA
DEPARIMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
WASHINGTON, D.C. 20590
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S4itS 1
URBAN MASS TRANSPORTATION GRANT CONTRACT
PART II
TERMS AND CONDITIONS
for Projects under Section 3, 5, 6, or 9 of
the Urban Mass Transportation Act of 1964,
as Amended and for Mass Transportation Projects
under the Federal Aid Highway Act of 1973
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TABLE OF CONMITS
Section 101. Definitions. . . . . . . . . . . . . . . . . . . .. . . . . . . . . .. . . . . . . . . .. . . 1
Section 102. Accanplishment of the Project. ... . .. . . .. . . . . . . . . . . . . . . . 2
(a) General Requirements. . . . .. . . . . . . . . . . . . . . . . . . . . 2
(b) Pursuant to Federal, State and Local Law. . . . . . . . 2
(c) Funds of the Grantee. . . . . . . . . . . . . . . . . .. . . . . . .. . . 2
(d) Submission of Proceedings, Contract and Other
Documents. . . .. . . . . . . . . . . . . . . . .. . . . . . .. . . . . . . . . 2
(e) Changed Conditions Affecting Performance. .. .. . . . 2
(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.. . . . . . . . . . . . .. . .. . .. . . .. . . . . .. . . 4
(d) Documentation of Project Costs. . . . .. . . . . . . . .. . . . 4
(e) Checks, Orders and Vouchers. . . . . . . . . . . . . . . . . . . . . 4
(f) Audit and Inspection. . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Section 105. Requisitions and Payments. . . . . . . . . . . . .. . . . . . . . . . . . .. . . 5
(a) Request for Payment by the Grantee. . . . . . .. . . . . . . 5
(b) Payment by the Government. . . .. . . . . .. . . . . . . . . . . . . 5
(c) Disallowed Costs. . .. . . . . . . . . . . . . . . .. . . . . . . . . .. . . 6
(d) Letter of Credit. . . . . . . . . . . . . . . . . . .. . . . . .. . . . . . . 6
Section 106. Right of Government to Terminate. . . . . . . . . . . . . . . . . . . . . . 6
Section 107 Project Settlement and Close-Out. . . . . .. . .. . . . . ... . .. . . 7
Section 108 Contracts of the Grantee. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Section 109 Restrictions, Prohibitions, Controls, and Labor
Provisions. . . . . . . . . . . . . . . . . . .. . . .. . . . . . . . . . . . . . . . . . . 7
(a) Equal Employment Opportunity. . . . . . .. . . . . . . . . .. . . 7
(b) Minority Business Enterprise.. . . . . .. . . . . . . . . .. . . 8
(c) Construction Contracts - Nondiscrimination. .. . . . 9
(d) Construction Contracts - Specifications . . . . .. . ..11
(e) Construction Contracts - Notice. . . . . . . . . . . . . .. . . 17
(f) Title VI - Civil Rights Act of 1964. . . . . . . . . .. . . lg
t; (g) Competitive Bidding. . . . . .. . . .. . . . . .. . . . . . . . . . . . . 18
(h) Ethics. . . . . . . . . . . . . . . .. . . . . . . . . .. . .. . . . . .. . . .. . . 18
(i) Interest of Members of or Delegates to
Congress. . . . . . . . . . . . . . .. . . . . . .. . . . . . . . .. . . . . . . 1 9
(j) Labor Provisions - Construction.. . . . . . . . . . . . . . . . 1 9
Section 110. Construction Contracts. . . . . . . . . . . . . . . . . . .. . . . . . .. . . . . . 26
(a) Changes in Construction Contracts. . .. . . . . . . . .. . . 26
(b) Contract Security. . .. . .. . .. . .. . . . . . . . . . . . .. . .. . . 26
(c) Insurance During Construction. . . . . .. . . . . . .. . .. . . 26
(d) Signs. . . . . . . .. . .. . . . . . .. . . . . . . . . . . . .. . . . . . . . . . . . 26
(e) Liquidated Damages Provision. . . . . . . . . . . . . . . . . . . . 26
(f) Provisions of Construction Contracts. . . . . . . . . . . . 26
(g) Actual Work by Contractor. . . . . . . . . .. . . . . .. . . . . . . 27
(h) Force Account. . . . . . . . . . . . . . . . . . . . . . . . . .. . .. . .. . . 27
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Section 111. Environmental and Resource Protection Requirements. . . . . . 27
(a) Compliance with Environmental Standards.. . .. . .. . . . 27
(b) Air Pollution.. . . . . . . . . .. .. . . . . . . . . . . . . .. . . . . .. . .. 2-7
(c) Use of Public Lands. . . . .. . . . . .. . . . . . .. . . . . . . . .. . .. 27
(d) Historic Preservation. . .. . .. . .. . .. . . .. . .. . . . . .. . .. 27
Section 112. Patent Rights. . . .. . . . . .. . .. . .. . . .. . .. . . .. ... .. .. . . ... .. . . 28
Section 113. Rights in Data. . . . . . . . .. . . .. . .. 30
Section 114. Cargo Preference - Use of United States-Flag Vessels. . .. 31
Section 115. Charter and School Bus Operations. . . . . . . . . .. . .. .. . . .. . . . 32'
(a) Charter Bus. . ... .. . .. . . .. . .. . .. . . . . .. . . . . . . . .. . . .. 32
(b) School Bus.. . . . . .. . . . . 32
Section 116. Compliance with Elderly and Handicapped Regulations. . .. . 32
Section 117. Flood Hazards. . . . . . . . . . . . . .. . . . . .. . .. . . .. . .. . . . . . . . . . . . . 32
Section 118. Miscellaneous. .. .. . .. . . . . .. . . . . . .. . .. . . .. . . . . . . . . . . . . . . . 33
(a) Bonus or Commission. . . . .. . . . . . . . . .. . . . . . . . . . . . .. . . 33
(b) State or Territorial Law. . . . . . . . . . . . . . . .. . . .. .. . . . 33,
(c) Records... ... . .. . . .. . .. . .. . . . . .. . . . 33
(d) How Contract Affected by Provisions Held Invalid.. 33
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DEPARTMENT OF TRANSPORTATION
URBAN tiIASS TRANSPORTATION ADMINISTRATION
GRANT CONTRACT
PART II -- TERMS AND CONDITIONS
Constituting part of the GRANT CONTRACT providing for
Federal financial assistance under the provisions of
the Urban Mass Transportation Act of 1964, as amended,
and/or the Federal-Aid Highway Act of 1973.
Section 101. Definitions. As used in this Grant Contract:
"Application" means the written application for Federal financial
assistance for the Project, together with all explantory, support-
ing, or supplementary documents, heretofore filed with Ur4TA by
or on behalf of the Grantee, which has been accepted and approved
by UMTA.
"Approval, Authorization, Concurrence, Waiver" means a conscious,
written act by an authorized official of the Government granting
L:>ert:d.ssion to the Grantee to perform an act pursuant.to this
Contract which could not be performed without such permission.
An approval, authorization, concurrence, or waiver permitting
the performance of a specific act shall not consititute per-
mission to perform similar acts unless such broad permission
is clearly stated. Oral permission or interpretations shall
have no legal force or effect.
"External Operating Manual" means the most recent UMTA manual of
that title, which presents information about the UMTA programs,
application processing procedures, and guidance for administering
approved projects.
"Government" means the United States of America, or its cognizant
Agency, the Department of Transportation (DOT) or its Agency,
the Urban Mass Transportation Administration (UMTA) used hereafter
interchangeably.
"Grantee" means the recipient, including any sub-grantee, of Federal
funds from UMTA.
"Mass Transportation Service" means general or special transporta-
tion service provided to the public (but not school bus, charter
or sightseeing service) on a regular and continuing basis in the
urban area described in the application. Project equipment and
facilities may be used for incidental charter or sightseeing
1
service when not needed for mass transportation service operations.
Project facilities or equipment may not be used for the provision
of service under contract either for the exclusive use of students
going to and from school or for which an individual fare is not
charged.
"Project Description" means the most recently dated statement, signed
by UMrA, setting forth all of the activities to be performed by
the Grantee with regard to its urban mass transportation program
pursuant to this Contract which are not otherwise specifically provided
for in this Contract.
"Secretary" means Secretary of the Department of Transportation or
his duly authorized designee.
Section 102. Accomplishment of the Project.
(a) General Requirements. The Grantee shall commence, carry on, and
complete 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.
(b) Pursuant to Federal, State, and Local Law. In performance of its
obligations pursuant to this Contract, the Grantee and its con-
tractors shall comply with all applicable provisions of Federal,
State, and local law. All limits or standards set forth in this
Contract to be observed in the performance of the Project are
minimum requirements, and shall. not affect the application of
more restrictive State or local standards for the performance of
the Project; Provided, however, in its procurement actions
pursuant to the Project, the Grantee shall not give any pre-
ference to or discriminate against goods and services produced
or manufactured in any country, State, or other geographical
area.
(c) Funds of the Grantee. The Grantee shall initiate and prosecute to
completion all proceedings necessary to enable the Grantee 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, Contract and Other Documents. The Grantee
shall submit to the Government such data, reports, records, contract•
and other documents relating to the Project as the Government may
require. The Grantee shall retain intact, for three years following
Project close-out, all Project documents, financial records, and
supporting documents.
(e) Changed Conditions Affecting Performance. The Grantee shall immedi-
ately notify UIITA of any change in conditions 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 Contract.
2
®(f) No Government Obligations to Third Parties. The Government shall
not be subject to any obligations or liabilities by contractors
of the Grantee or their subcontractors or any other person not
a party to this Contract in connection with the performance of
this I ,jject pursuant to the provisions of this Contract without
its specific consent and notwithstanding its concurrence in or
approval of the award of any Contract or subcontract or the soli-
citation thereof.
(g) Land Acquisition Policy. Any acquisition of land for use in connection
with the Project must conform to the policies and procedures set
forth in the External Operating Manual and the Land Acquisition and
Relocation Assistance Procedures Manual.
Section 103. The Project Budget. A Project Budget shall be prepared
and maintained by the Grantee. The Grantee 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 budget may be revised from time to time in accordance with the
External Operating Manual or other written guidance from UMrA.
® Section 104. Accounting Records.
(a) Project Accounts. The Grantee shall establish and maintain as a
separate set of accounts, or as an integral part of its current
accounting scheme, accounts for the Project as described in the
External Operating Manual unless UMTA specifically authorizes the
use of sane other accounting procedures.
(b) Funds Received or Made Available for the Project. The Grantee shall
appropriately record in the Project Account, and deposit in a bank
or trust company which is a member of the Federal Deposit Insurance
Corporation, all Grant payments received by it from the Government
' pursuant to this Contract and all other funds provided for, accruing
to, or otherwise received on account of the Project, which Govern-
ment payments and other funds are herein collectively referred to
a as "Project Funds," in accordance with the provisions of Office of
Management and Budget Circular A-102, Revised. The Grantee shall
require the depositories of Project Funds to secure continuously
and fully all Project Funds in excess of the amounts insured under
Federal plans, or under State plans which have been approved for
the deposit of Project Funds by DOT, by the deposit or setting aside
of collateral of the types and in the manner as described by State
law for the security of public funds, or approved by UMTA. A
separate bank account shall be required when drawdowns are made by
letter of credit.
3
(c) Allowable Costs. Expenditures made by the Grantee shall be reim-
bursable as allowable costs to the extent they meet all of the 0
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 Contract;
(2) be necessary in order to accomplish the Project;
(3) be reasonable in amount for the goods or services purchased;
(4) be actual net costs to the Grantee ( i.e. , the price paid
minus any refunds, rebates, or other items of value received by
the Grantee which have the effect of reducing the cost actually
incurred;)
(5) be incurred (and be for work performed) after the date
of this Contract, unless specific authorization from UPITA to the
contrary is received;
(6) be in conformance with the standards for allowability of
costs set forth in Federal Management Circular 74-4 (FIC 74-4) and
with anv guidelines or regulations issued by UYUA;
(7) be satisfactorily documented; and
(8) be treated uniformly and consistently under accounting
principles and procedures approved or prescribed by UMTA for the
Grantee; and those approved or prescribed by the Grantee for its
contractzrs.
(d) Documentation of Project Costs. All costs charged to the Project,
including any approved services contributed by the Grantee 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
Grantee with respect to any item which 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 Grantee stating in proper detail the purpose for which such
check or order is drawn. All checks, payrolls, invoices, contracts
vouchers, orders, or other accounting documents pertaining in whole
or in part to the Project shall be clearly identified, readily
accessible, and, to the extent feasible, kept separate and apart
fran all other such documents.
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® (f) Audit and Inspection. The Grantee shall permit, and shall require
its contractors to permit, the Government to inspect all work,
materials, payrolls, and other data and records with regard to
the Project. LMMPA also may require the Grantee to furnish at any
time prior to close-out of the Project, audit reports prepared
according to generally accepted accounting principles.
Section 105. Requisitions and Payments .
(a) Requests for Payment by the Grantee. The Grantee may make requests
for payment of the Federal share of allowable costs, and UMPA shall
honor such requests in the manner set forth in this section. In order
to receive Federal grant payments, the Grantee must:
(1) completely execute and submit to UMrA (1) Standard Form
270 in accordance with the instructions contained therein, a (2) LMA
F 1340.6 ("UMTA Project Budget Line Item Data Entry") ;
(2) submit to UMTA an explanation of the purposes for which
costs hove 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; and
(4) have submitted all financial and progress reports
currently required by this Contract.
(b) Payment by the Government. Upon receipt of the requisition form
and the accompanying information in satisfactory form, the Govern-
` ment shall process the requisition if the Grantee is complying
with its obligations pursuant to the Contract, has satisfied UMrA
of its need for the Federal funds requested during the requisition
period, and is making adequate progress towards the timely com-
pletion of the Project. If all of these circumstances are found
to exist, the Government shall reimburse apparent allowable costs
incurred (or to be incurred during the requisition period) by the
Grantee up to the maximum amount of the Federal grant payable
• through the fiscal year in which the requisition is submitted as
stated in the Project Budget. However, reimbursement of any cost
pursuant to this section shall not constitute a final determination
by the Government of the allowability of such cost and shall not
constitute a waiver of any violation of the terms of this Contract
committed by the Grantee. The Government will make a final deter-
mination as to allowability only after final audit of the Project
has been conducted.
5
In the event that EWA determines that the Grantee is not currently
eligible to receive any or all of the Federal funds requested, it
shall promptly notify the Grantee stating the reasons for such
determination.
(c) Disallowed Costs. In determining the amount of the Grant, LWA
will —exc ude all Project costs incurred by the Grantee prior to
the date of this Contract, or prior to the date of the approved
budget for the Project, whichever is earlier; any costs incurred
by the Grantee 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 UMTA. Exceptions to the above
statement on disallowed cost are provided in the External Operating
Manual or in written guidance form UMTA.
(d) Letter of Credit. In the event that a letter of credit is issued
to the Grantee, the following terms and conditions are
applicable:
(1) the Grantee shall initiate cash drawdowns only when actually
needed for Project disbursements.
(2) the Grantee shall report its cash disbursements and balances
in a timely manner as required by the Government.
(3) the Grantee shall provide for effective control and account-
ability for all Project funds in accordance with requirements and
procedures issued by the Government for use of the letter of credit.
(4) the Grantee shall impose on its subgrantees all the require-
ments of Section 105 (d) (1) (2) and (3) above as applicable.
(5) should the Grantee fail to adhere to the requirements of
Section 105 (d) (1) (2) (3) and (4) above, the Government may
revoke the unobligated portion of the letter of credit.
(6) Sections 105 (a) (b) and (c) above remain effective to
the extent that they do not conflict with the provisions of
section 105(d) .
Section 106, ht of Government to Terminate. Upon written notice to
the Grantee, Government reserves the right :F suspend or terminate 0
all or part of the financial assistance herein provided for when the
Grantee is, or has been, in violation of the terms of this Contract or
when UWA determines that the purposes of the Act would not be adequately
served by continuation of Federal financial assistance to the Project.
Any failure to make progress or other violation of the Contract which
significantly endangers substantial performance of the Project within
6
0 a reasonable time shall be deemed to be a violation of the terms of
this Contract. Termination of any part of the grant will not invalidate
obligations properly incurred by the Grantee and concurred in by UNTA
prior to the date of termination, to the extent they are noncancellable.
The acceptance of a remittance by the Government of any or all Project
Funds previously received by the Grantee 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
Contract.
Section 107. Project Settlement and Close-out. Upon receipt of notice
of successful campletion of the Project or upon termination by UMTA,
UMTA shall perform a final audit of the Project to determine the allow-
ability of costs incurred, and shall make settlement of the Federal grant
described in Part I of this Contract. If UMTA has made payments to the
Grantee in excess of the total amount of such Federal grant, the Grantee
shall promptly remit such excess to UMTA. The Project close-out occurs
when UMTA notifies the Grantee and forwards the final grant payment or when
an appropriate refund of Federal grant funds has been received frcm the
Grantee and acknowledged by UMTA. Close-out shall not invalidate any
continuing obligations imposed on the Grantee by this Contract or
contained in the final notification or acknowledgement fn--)m UMTA. The
Standard Form 269 will also be sukmitted at this time and signed by
the Chief Financial Officer and the Project Manager, as sr%ecified in
the External Operating Manual.
Section 108. Contracts of the Grantee. The Grantee shall not execute
any lease, pledge, mortgage, lien, or other contract touching or
affecting Project facilities or equipment, nor shall it obligate itself
in any other manner, with any third party with respect to the Project,
unless such lease, pledge, mortgage, lien, contract, or other obli-
gation is expressly authorized in writing by DOT; nor shall the Grantee,
by any act or omission of any kind, impair its continuing control over
the use of Project facilities or equipment during the useful life thereof
as determined by DOT.
Section 109. Restrictions, Prohibitions, Controls, and Labor Provisions.
(a) Equal Employment Opportunity. In connection with the carrying out
of the Project, the Grantee shall not discriminate against any
s.; employee or applicant for employment because of race, color, reli-
gion, sex, or national origin. The Grantee 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, 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
7
termination; rates of pay or other forms of compensation; and
selection for training, including apprenticeship. The Grantee
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 cdtmercial supplies or raw materials
and construction contracts subject to the provisions of Section 109
(c) of this Contract, and shall require all such contractors to
insert a similar provision in all subcontracts, except sub-
contracts for standard camierical supplies or raw materials.
If the Grantee has submitted and the Government has approved,
an equal employment opportunity program that the Grantee agrees
to carry out, such program is incorporated into this Contract
by reference. Such program shall be treated as a contractual
obligation; and failure to carry out the terms of that equal
employment opportunity program shall be treated as a violation of
this Contract. Upon notification to the Grantee of its failure
to carry out the approved program, the Government will impose
such remedies as it may deem appropriate, which remedies may
include termination of the Contract as provided in Section 106 of
this Contract or other measures that may affect the ability of the
Grantee to obtain future financial assistance under the Urban
Mass Transportation Act of 1964, as amended, or the Federal-Aid
Highway Act of 1973.
(b) Minority Business Enterprise. In connection with the performance
of this Contract the Grantee will provide for full and fair utilization
of minority business enterprises and will use its best efforts to
ensure that minority business enterprises shall have an equitable
opportunity to compete for contract and subcontract work under
this Contract.
If as a condition of assistance the Grantee has submitted, and the
Government has approved, a minority business enterprise affirmative
action program that the Grantee agrees to carry out, such program
is incorporated into this Contract by reference. Such program
shall be treated as a contractual obligation and failure to carry
out the terms of that approved minority business enterprise action
program shall be treated as a violation of this Contract. Upon
notification to the Grantee of its failure to carry out the approved
program the Goverment will impose such remedies as it may deem .
appropriate, which remedies may include termination of the Contract
as provided in Section 106 of this Contract or other measures that
may affect the ability of the Grantee to obtain future financial
assistance under the Urban Mass Transportation Act of 1964, as
amended, or the Federal-Aid Highway Act of 1973.
8
(c) Construction Contracts - Nondiscrimination. Grantee hereby agrees
that it will incorporate or cause to be incorporated into any
contract for construction work, or modification thereof, as defined
in the Regulations of the Secretary of Labor at 41 CFR Chapter 60,
which is paid for in whole or in part with funds obtained from the
Federal Government or borrowed on the credit of the Federal Govern-
ment 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:
' (1) The contractor will not discriminate against any employee
or applicant for employment because of race, color, religion, sex,
or national origin. The contractor will take affirmative action to
ensure that applicants are employed, and that employees are
treated during employment without regard to their race, color,
religion, sex, or national origin. Such action shall include,
but not be limited to the following: Employment, upgrading, demotion,
or transfer; recruitment or recruitment advertising; layoff or
termination; rates of pay or other forms of compensation; and
selection for training, including apprenticeship. The contractor
agrees to post in conspicuous places, available to employees and
applicants for employment, notices to be provided setting forth
the provisions of this nondiscrimination clause.
' (2) The contractor will, in all solicitations or advertise-
ments for employees placed by or on behalf of the contract, state
that all qualified applicants will receive consideration for employ-
ment without regard to race, color, religion, sex, or national origin.
' (3) The contractor will send to each labor union or repre-
sentative of workers with which he has a collective bargaining
agreement or other contract or understanding, a notice to be
provided advising the said labor union or workers' representatives
of the contractor's cotnni.tments under this section, and shall
post copies of the notice in conspicuous places available to
employees and applicants for employment.
' (4) The contractor will ccxnply with all provisions of
Executive order 11246 of September 24, 1965, as amended, and
of the rules, regulations, and relevant orders of the Secretary
of Labor.
9
1 (5) The contractor will furnish all information and reports
required by Executive Order 11246 of September 24, 1965, as amended,
and by rules, regulations, and orders of the Secretary of Labor,
or pursuant thereto, and will permit access to his books,
records, and accounts by t7-2 administering agency and the
Secretary of Labor for purposes of investigation to ascertain
compliance with such rules, regulations, and orders.
1 (6) In the event of the contractor's noncompliance with'
the non-discrimination clauses of this Contract or with any of
the said rules, regulations or orders, this Contract may be
cancelled, terminated, or suspended in whole or in part and
the contractor may be declared ineligible for further Government
contracts or federally assisted construction contracts in accordance
with procedures authorized in Executive Order 11246 of September 24,
1965, as amended, and such other sanctions may be imposed and remedies
invoked as provided in Executive Order 11246 of September 24, 1965, as
amended, or by rule, regulation, or order of the Secretary of
Labor, or as otherwise provided by law.
' (7) The contractor will include the portion of the sentence
immediately preceding paragraph (1) and the provisions of paragraphs
(1) through (7) in every subcontract or purchase order unless
exempted by rules, regulations, or orders of the Secretary of
Labor issued pursuant to Section 204 of Executive Order 11246
of September 24, 1965, as amended, so that such provisions shall
be binding upon each subcontractor or vendor. The contractor
will take such action with respect to any subcontract or purchase
order as the administering agency may direct as a means of enforcing
such provisions, including sanctions for noncompliance; Provided,
however, That in the event a contractor becomes involved in, or
is threatened with, litigation with a su°-contractor or ven-?or as a
result of such direction by the administering agency, the contractor
may recNest the United States to enter into such litigation to
protect the interests of the United States.
'The Grantee 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 Grantee 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 Contract. 0
"The Grantee agrees that it will assist and cooperate actively
with the administering agency and the Secretary of Labor in obtaining
the compliance of contractors and subconstractors with the equal
opportunity clause and the rules, regulations, and relevant orders
of the Secretary of Labor, that it will furnish the administering
agency and the Secretary of Labor such information as they may
require for the supervision of such compliance, and that it will
10
otherwise assist the administering agency in the discharge of the
agency's primary responsibility for securing compliance.
'The Grantee 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
a 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 administering agency or the Secretary of
Labor pursuant to Part II, Subpart D of the Executive Order. In
addition, the Grantee 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 Grant (contract, loan, insurance, guarantee) ;
refrain from extending any further assistance to the Grantee
under the program with respect to which the failure or refund occurred
until satisfactory assurance of future compliance has been received
® from such Grantee; and refer the case to the Department of Justice
for appropriate legal proceedings."
(d) Construction Contracts - Specifications. Grantee hereby agrees
that it will incorporate or cause to be incorporated into any contract
for construction work, or modification thereof, the specifications set
forth below in all Federal and federally assisted construction contracts
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 CFR Section 60-4.6 and in construction subcontracts in excess
of $10,000 necessary in whole or in part to the performance of nonconstruction
Federal contracts and subcontracts covered under Executive Order 11246:
STANDARD FEDERAL Ek-UTL 011PLOY TENT OPP0r2`IUNITY CONSTRUCTION CONTt2ACr
SPECIFICATIONS:
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 Emplover's Quarterly Federal Tax
Return, U.S. Treasury Department form 941.
11
d. "Minority"includes:
(i) Black (all per.,-mns ;paving origins in any of the Black
African racial groups not of Hispanic origin) ;
(ii) Hispanic (all persons of `Mexican, Puerto Rican, Cuban,
Central or South American or other Soanish Culture or origin,
regardless of race) ;
(iii) Asian and Pacific Islander (all persons having origins
in any of the original peoples of the Far East, Southeast
Asia, the Indian Subcontinent, or the Pacific Island) ; and
(iv) American Indian or Alaskan Native (all persons having
origins in any of the original peoples 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 510,000
the provisions of these specifications and the '.notice which contains
the applicable goals for runority and female participation and �.Oiich
is set forth in the solicitations Erapn which this Contract resulted.
3. If the contractor is participating Nursuant to 41 C1'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 affirrative
action obligations on all work in the Plan area (including goals,
and timetableW 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 Hometa,m Plan. Eac'n contractor or subcontractor
participating in an approved Plan is individually required to ccmply
with its obligations under the EEO clause, and to make a good faits
effort to achieve each goal ;under the Plan in each trade in which it
has e.-mj)loyees. The overall good faith performance by other contractors
or subcontractors toward a goal in an ar')proved Plan does not excuse
any covered contractor's or subcontractor's failure to take good
faith efforts to achieve the Plan goals and timeahles.
4. The contractor shall implement the sneciiic affirmative action
standards provided in paragraphs 7a through p of these specifications.
The goals set forth in the solicitation from which this Contract
resulted are expressed as percentages of the total hours of erploy- •
ment and traininy of adnority and female utilization the contractor
should reasonably be able to achieve in each construction trade in
which it has employees in the covered area. The contractor is expected
to make sub:.Lantially uniform progress toward its goal in each craft
during the period specified.
5. Aeither the provisions of any collective bargaining agreera nt, nor
the failure by a union with wham the contractor has a collective
baragaining agreement, to refer either minorities or work-n shall
excuse the contractor's obligations under these suecifications,Executive
Order 11246, or the regulations promulgated pursuant tnereto.
12
6. In order for the nonworking training hours of apprentices and
trainees to be counted in rk3etinq the goals, such apprentices and
trainees must be ep1cyed by the contractor during the training period,
and the contractor must have made a ca*mitment to employ the
apprentices and trainees at the completion of their training, subject
to the availability of sployment 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 small be based upon its effort
to achieve maximun results from its actions. Tne contractor shall
document these efforts fully, and shall inmler,-ent affirmative action
steps at least as extensive as the _`ollowina:
a. Ensure and maintain a 1,rorkina environment free of 'aarassnent,
intimidation, and coercion at all sites, and in all facilities
at which the contractor's employees are assigned to work. T.he
contractor, where possible,r:ill assign two or pore w=en to each
construction project. The contractor shall s;�ecifically ensure
that all foreinen, superintendents, and other on-site supervisory
personnel are aware of and carri out the contractor's obligation
® to maintain such a working environment, with specific attention
to minority or female individuals working at such sites or in
such facilities.
b. Establish and maintain a current list of minority and female
recruitment sources, provide written notification to minority and
female recruitment sources and to community organizations when
the contractor or its unions have employment opportunities
available, and maintain a record of. the organizations' responses.
c. :Maintain a current file of the names, addresses and teloPhone
numbers of each winority and female off-tae-street an
plicant
and rLinority or female referral from a union, a recruitmnt
source or eomiunity organization and of .,hat action was taken
with respect to each such individual. If such individual was
sent to the union 'zirirg hall for referral and was not referred
back to the contractcr by tf.e union or, if .referred, not cnr�loved
by the contractor, thus shall be documented in t'ze file .pith
the reason therefor, along with whatever additional actions
the contractor nay have taken.
d. Provide immediate written notification to the Director when
the union or unions with which thle contractor has a collective
bargaining agreement has not referred to the contractor a
minority person or c•.aoman sent the contractor, or when the
contractor has other information that the union referral process
has in��eded t-ie 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 small :?rovide notice of these -programs
to the sources caic,)i Led under 71) above.
13
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 meetinct its
EM obligations; by including it in any policy manual and
collective bargaining agreer•went; by publicizing it in the
company newspaivr, annual report, etc.; by specific reviel
of the policy with all management _personnel and with all minority
and female employees at least once a year; and by costing
the company EDD ,policy on hulletin boards accessible to all
employees at each location where construction work is performed.
g. Review, at least annually, the coar)any's EED policy and
affirmative action obligations under these specifications with
all empla.,ees having any responsibility for hiring, assignment,
layoff, termination or other employment decisions including
snecific review of these items with onsite supervisory personnel
such as Superintendents, General Pormian, etc. , :)rior to the
initiation of construction work at any job site. A written
record shall he made and maintained .identifying the time and
place of these meetings, persons attenOing, subject matter
discussed, and disposition of the subject :natter..
h. Disseminate the contractor's EEO ;)oliL-r externally.
including it in anv advertising in the news media, specifically
including, minority and female ne-.vs media, and providing
ivritten notification to and discussing the contractor's EEO
policy with other contractors and surcontractors with �4han
Cie contractor dons or anticipates doing business.
i. Direct its recruitment efforts, both oral and written, to
minority, female and community organizations, to schools
with minority and female students and to minority and Female
recruitment and training organizations serving the contractor's
recruitment area and enr,.loyment needs. Not later than one month
prior to the date for the acceptance of a-plications for a•-)?rentice-
ship or other training by any recruitment source, the contractor
shall send written notification to organizations such as the
above, describing the openings, screening L-)rocedures, 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, smmaer and vacation em?loyment to minority: and
female youth both on the site and in other ;areas of a contractor's
workforce. e
k. Validate all tests and other selection requirements Ighere
there is an obligation to do so under 41 CFrZ Part 60-3.
1. Conduct, at least annually, an inventory and evaluation at
least of all minority and ferule ,)ersonnel for promotional
op,mrtunities and encourage these an;i)loyees to seek or to pre;)are
for, through appropriate training, etc. , such oo>>ortunities.
rn. Ensure that seniority Oractices, joh classifications, work
assignments and other. •personnel ;practices, do not have a discrimi-
natory effect by continually monitorincJ all personnel and
14
employment related activities to ensure that the F�Do policy
and the contractor's obligations under these saecifications
are being carried out.
n. Ensure that all facilities and co,-,many activities are
nonsegregated except that separate or single-user toilet and
necessary changing facilities shall be -provided to assure privacv
between the sexes.
o. Document and maintain a record of all solicitations of
offers for subcontracts from minority and female construction
contractors and suppliers, including circulation of solicitations
to minority and female contractor associations and other business
associations.
p. Conduct a revie.,i, at least annually, cf all su�.�ervisors'
adherence to and -performance under the contractor's EFY)
aolicies and affirrative action obliga.ticns.
3. Contractors are encouraged to participate in voluntary associations
which assist in fulfilling one or m. re of their affirmative action
obligations (7a through p) . The efforts of a contractor association,
joint contractor-union, contractor-ccm.-unity, or other similar group
of which the contractor is a -ember and oarticinant, may be asserted
as fulfilling any one or rare of its obligations under 7a though
-3 of these SL?ecifications provided that the contractor actively
participates in the grout), mattes every effort to assure that the
group has a ;xpsitive iirDact on the ermrp).ovment of ritinorities ant'
women in the industrn,, ensures that the concrete benefits of the
,)rograra 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 ,)rovide access to documentation which demonstrates
the effectiveness of actions taken on behalf of the contractor. The
obligation to comt?ly, haaever, is the contractor's and failure of
such a grouro to fulfill an oblic_;ation shall not be a defense for t'te
contractor's noncoq. Dliance.
9. A single goal for minorities and a separate single goal for wo, n
have been established. The contractor, however, is required to provide
erual employment opportunity and to take affirmative action for all
minority groups, both .gale and fuamale, and all women, both tu. nority
and non-minority. Consequently, the contractor may be in violation
of the Executive Order i-f a articular group is employea in a
substantially disparate manner (for example, even though the contractor
has achieved its goals for women generally, the contractor may be
in violation of the Executive Order if a. specific minority group
of women is underutilized) .
15
0
10. The contractor shall not use the goals and timetabled or
affirmative action standards to discriminate against any person
because of race, color, religion, sex, or national origin.
11. The contractor shall not enter into any subcontract with any
person or firm debarred from Government contracts pursuant to
Executive Order 11246.
12. The contractor shall carry out such sanctions and penalties
for violation of these specifications and of the Equal Opportunity
Clause, including suspension, termination and cancellation of existing
subcontracts as may be imposed or ordered pursuant to Executive
order 11246, as amended, and its implementing regulations by the
office of Federal Contract Ccnpliance Programs. Any contractor who
fails to carry out such sanctions and penalties shall be in
violation of these specifications and Executive order 11246, as
amended.
13. The contractor, in fulfulling its obligations under these
specifications, shall implement specific affirmative action steps, Is
at least as extensive as those standards prescribed in paragraph 7
of these specifications, so as to achieve maximum results from its
efforts to ensure equal employment opportunity. If the contractor
fails to cenply with the requirements of the Executive order, the
implementing regulations, or these specifications, the Director
shall proceed in accordance with 41 CFR 60-4.8.
14. The contractor shall designate a responsible official to monitor
all employment related activity to ensure that the cm--any 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. 0
15. Nothing herein provided shall be construed as a limitation
upon the application of other laws which establish different standards
of ccntrpliance 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.)
16
(e) Construction Contracts - Notice. Grantee hereby agrees that it will
® incorporate or cause to be incorporated into any contract which is paid
for in whole or in part with funds obtained from the Federal Government
or borrowed on the credit of the Federal Government pursuant to a grant,
contract, loans, insurance, or guarantee, or undertaken pursuant to
any Federal program involving such grant, contract, loan, insurance,
or guarantee, the following requirement that the notice set forth below
shall be included in, and shall be a part of, all solicitions for offers
and bids on all Federal and federally assisted construction contracts
or subcontracts in excess of $10,000 to be performed in creocrraAhical areas
designated by the Director, Office of Federal Contract Compliance
Programs of the Department of Labor at 41 CFR Section 60-4.6:
NOTICE OF REQUIRE!-ENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL a'IPLOY"ENT:
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. The goals and timetables for minority and female participation,
expressed in percentage terms for the contractor's aggregate work-
force in each trade on all construction work in the covered area,
are as follows:
Timetables Goals for minority Goals for Fe-m--ale-
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 consactor's construction
work (whether or not it is Federal or federally assisted) per-
formed in the covered area.
The contractor's compliance with the Executive Order and the
regulations in 41 CFR Part 60-4 shall be based on its imple-
mentation of the Equal Opportunity Clause, specific affirmative
action obligations required by the specifications set forth in
41 CFR 60-4.3(a) , and its efforts to meet the goals established
for the geographical area where the contract resulting from this
solicitation is to be performed. The hours of minority and
female employment and training must be 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 CFR Part 60-4. Compliance with the goals will be measured
against the total work hours performed.
17
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
$10,000 at any tier for construction work under the contract
resulting from this solicitation. The notification shall list
the name, address and telephone number of the subcontractor;.
employer identification number; estimated dollar amount of the
subcontract; estimated starting and ccu pletion dates of the sub-
contract; and the geographical area in which the contract is to
be performed.
4. As used in this Notice, and in the contract resulting from this
solicitation, the "covered area" is (insert description of the
geographical areas where the contract is to be performed giving
the State, county and city, if any) .
(f) Title VI - Civil Rights Act of 1964. The Grantee will comply with
all the requirements imposed by Title VI of the Civil Rights Act
of 1p64 (78 Stat. 252) , the Regulations of DOT issued thereunder
(CFR Title 49, Subtitle A, Part 21) , and the assurance by the
Grantee pursuant thereto.
(8) Canpetitive Bidding. The Grantee shall not award or substantially
amend any contract in an amount greater than $10,000 pursuant to
the Project, except for professional service contracts, without
formal advertising, free, open, and unrestricted courpetitive bidding,
and award to the lowest responsive and responsible bidder, unless
UMrA specifically approves sane other form of procurement or award
to another party upon being satisfied by the Grantee that such
action will adequately protect the Government's interests in
encouraging competition, optimizing its cost; Provided, However,
the Grantee may issue change orders for competitively bid equip-
ment and construction contracts in an amount not exceeding
$100,000 at any one time which do not significantly alter the
scope of the Contract, without regard to the provisions of this
section.
(h) Ethics. The Grantee shall maintain a code or standards of conduct
whit shall govern the performance of its officers, employees, or
agents in contracting with and expanding Federal grant funds. •
Grantee's officers, employees, or agents shall neither solicit
nor accept gratiuties, favors, or anything of monetary value from
contractors or potential contractors. To the extent permissible
by State or local law, rules, or regulations such standards
18
shall provide for penalties, sanctions, or other disciplinary
actions to be applied for violations of such standards by
either the grantee officers, employees, or agents, or by contractors
or their agents.
Neither the Grantee nor any of its contractors or their subcontractors
shall enter into any contract, subcontract, or arrangement in
connection with the Project or any property included or planned
to be included in the Project, in which any member, officer, or
employee of the Grantee or the locality during his tenure or
for one year thereafter has any interest, direct or indirect.
If any such present or former member, officer, or employee
involuntarily acquires or had acquired prior to the begining
of his tenure any such interest, and if such interest is immediately
disclosed to the Grantee and such disclosure is entered upon the
minutes of the Grantee, the Grantee with the prior approval of
DOT, may waive the prohibition contained in this subsection;
Provided, that any such present member, officer or employee
shall not participate in any action by the Grantee or the locality
relating to such contract, subcontract, or arrangement.
The Grantee shall insert in all Contracts entered into in
connection with the Project or in connection with any property
included or planned to be included in any Project, and shall
require its contractors to insert in each of their subcontracts,
the following provision:
"No member, officer, or employee of the Grantee or of the
locality during his tenure or for one year thereafter
shall have any interest, direct or indirect, in this
Contract or the proceeds thereof, but this provision
shall not be construed to extend to this Contract if
made with a corporation for its general benefit."
The provisions of this subsection shall not be applicable to any
agreement between the Grantee and its fiscal depositories, or
to any agreement for utility services the rates for which are
fixed or controlled by a Governmental agency.
(i) Interest of Members of or Delegates to Congress. No member of
-' or delegate to the Congress of the United States shall be admitted
to any share or part of this Grant Contract or to any benefit
arising thereform; but this provision shall not be construed to
extend to this Contract if made with a corporation for its general
benefit.
(�)
Labor Provisions - Construction. The following provisions shall
be applicable to all construction contracts let by the Grantee
in carrying out the Project involving $2,000 or more.
19
(1) Minimum wages. U) All mechanics and laborers employed or
work Tgg-uponn the site of the work, will be paid unconditionally
and not less often than once a week, and without subsequent
deduction or rebate on any account (except such payroll
deductions as are permitted by regulations issued by the
Secretary of Labor under the Copeland Act (29 CFR Part 3) ) ,
the full amrounts due at time of payment computed at wage
rates not less than those contained in the wage determination
decision of the Secretary of Labor applicable to the Project,
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 l(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 29 CFR 5.5 (a) (1) (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.
(ii) The contracting officer shall require that any
class of laborers or mechanics, including apprentices and
trainees, that is not listed in the wage determination and
that 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 DOT to the
Secretary of Labor. In the event the interested parties cannot
agree on the proper classification or reclassification of a
particular class of laborers or mechanics, including
apprentices and trainees, to be used, the question acccn*panied
by the recommendation of the contracting officer, shall be
referred to the Secretary of Labor for determination.
(iii) 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.
(iv) The contractor may consider as part of the wages
of any laborer or mechanic the amount of any costs reasonably
20
anticipated in providing benefits under a plan or program
® described in a section l(b) (2) (B) of the Davis-Bacon Act,
or any bona fide fringe benefits not expressly listed in
Section 1(b) (2) of the Davis-Bacon Act, or otherwise not
listed in the wage determination decisions of the Secretary
of Labor which are incorporated in this Contract, only when
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. Whenever practicable, the contractor
should request the Secretary of Labor to make such findings
before the making of the contract. In the case of unfunded
plans and programs, 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
fray the contractor so much of the accrued payments or
advances as may be considered necessary to pay laborers and
mechanics, including apprentices and trainees, employed by
the contractor or any subcontractor on the work the full
amount of wages required by the contract. In the event
of failure to pay any laborer or mechanic, including any
apprentice or trainee, employed or working on the site of
the 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. (i) Payrolls and basic records
relating thereto will be maintained during the course of the
work and preserved for a period of three years thereafter for
all laborers and mechanics working at the site of the work.
Such records will contain the name and address of each such
employee, his correct classification, rates of pay (including
rates of contributions or costs anticipated of the types
described in section l(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
CFR 5.5 (a) (1) (iv) that the wages of any laborers or mechanics
include the amount of any costs reasonably anticipated in
f. providing benefits under a plan or program described in
section 1(b) (2) (B) of the Davis-Bacon Act, the contractor shall
S maintain records which show that the cc mitment to provide
such benefits is enforceable, that the plan or program is
financially responsible, and that the plan or program has
been camiuzicated in writing to the laborers or mechanics
affected, and records which show the costs anticipated or
the actual cost incurred in providing such benefits.
21
(ii) The contractor will submit weekly a copy of all
payrolls to the Grantee for transmission 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 he performed. A submission of the
Nbekly Statement of Compliance" Which is required under
this Contract and the Copeland regulations of the Secretary
of Labor (29 CFR, Part 3) and the filing with the intitial
payroll or any subsequent payroll of a copy of any findings
by the Secretary of Labor under 29 CFR 5.5(a) (1) (iv) shall
satisfy this requirement. The prime contractor shall be
responsible for the submission of copies of payrolls of all
subcontractors. The contractor will make the records required
under the labor standards clauses of the contract available
for inspection by authorized representatives of DOT 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) AMrentices and Trainees .
(A) Apprentices. Apprentices will be permitted to work
at less than the predetermined rate for the work they performed
when they are employed and individually registered in a bona
fide apprenticeship program registered with the U.S. Depart-
ment of Labor, Manpower Administration, Bureau of Apprentice-
ship 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
22
or is not registered or otherwise employed as stated above,
shall be paid the wage rate determined by the Secretary of
® Labor for the classification of work he actually performed.
The contractor or subcontractor will be required to furnish
to the contracting officer or a representative of the Wage-
Hour Division of the U.S. Department of Labor written evidence
of the registration of his program and apprentices as well
as the appropriate ratios and wage rates (expressed in
percentages of the journeyman hourly rates) for the area .
of construction prior to using any apprentices on the contract
work. The wage rate paid apprentices 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 CFR 5.15, trainees
will not Be�pennitted to work at less than the predetermined
rate for the work performed unless they are employed pursuant
to or individually registered in a program which has received
prior approval, evidenced by formal certification, by the U.S.
Department of Labor, Manpower Administration, Bureau of
Apprenticeship and Training. The ratio of trainees to journey-
men 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 certifi-
cation 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 under this part shall
be in conformity with the equal employment opportunity require-
ments of Executive Order 11246, as amended, and 29 CFR Part 30.
(5) Compliance with Copeland Regulations (29 CFR Part 3) .
The contractor shall comply with the Copeland Regulations
(29 CFR Part 3) of the Secretary of Labor which are herein
incorporated by reference.
(6) Contract termination; debarment. A breach of clauses (1)
through (5) and (1) may be grounds for termination of the
contract, and for debarment as provided in 29 CFR 5.6.
23
(7) overtime requirements. No contractor or subcontractor
contracting for any part of the contract work which may require
or involve the employment of laborers or mechanics shall re-
quire or permit any laborer or mechanic in any workweek in
which he is employed on such work to work in excess of eight
hours in any calendar day or in excess of forty hours in
such workweek unless such laborer or mechanic receives
compensation at a rate not less than one and one-half times
his basic rate of pay for all hours worked in excess of
eight hours in any calendar day or in excess of forty hours
in such workweek, as the case may be.
(8) Violation; liability for unpaid wages; liquidated damages.
In the event of any violation of the clause set forth in sub-
paragraph (7) , 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
as 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 subparagrah (7) .
(9) Withholdj,n 2 for liquidated damages. DOT may withhold or
cause to e withheld, from any moneys payable on account 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 liquidated damages as provided in the clause set forth
in subparagraph (8) .
(10) Final labor summary. The contractor and each subcontractor
shall furnish to the Grantee, 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 certificate. Upon completion of the contract,
the contractor shall submit to the Grantee 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
24
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 per-
forming 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
® (12) Notice to the Grantee of Labor Disputes. Whenever the
contractor has knowledge that any actual or potential labor
dispute is delaying or threatens to delay the timely per-
formance of this Contract, the contractor shall immediately
give notice thereof, including all relevant information with
respect thereto, to the Grantee.
(13) Disputes Clause . (i) All disputes concerning the payment
of prevailing wage rates or classifications shall be ;promptly
reported to the Grantee for its referral to DOT for decision
or, at the option of the Grantee, DOT referral to the Secretary
of Labor. The decision of DOT or the Secretary of Labor as
the case may be, shall be final.
(ii) All questions relating to the application or
interpretation of the Copeland Act, the Contract Work Hours
Standards Act, the Davis-Bacon Act, or Section 13 of the Act
shall be sent to UMrA for referral to the Secretary of Labor
for ruling or interpretation, and such ruling or interpretation
shall be final.
(14) Convict Labor. In connection with the performance of
work under this Contract the contractor agrees not to employ
any person undergoing sentence of imprisonment at hard labor.
This does not include convicts who are on parole or probation.
25
(15) Insertion in Subcontracts. The contractor shall insert
in all construction subcontracts the clauses set forth in '
subsections (1) through (15) of this section so that all
of the provisions of this section will be inserted in all
construction subcontracts of any tier, and such other clauses
as the Government may by appropriate instructions require.
Section 110. Construction Contracts.
(a) Changes in Construction Contracts. Any change in a construction
contract shall be submitted to DOT for prior approval unless the
gross amount of the change is $100,000 or less, the Contract was
originally awarded on a competitive basis, and the change does not
change the scope of work or exceed the contract period. Construction
contracts shall include a provision specifying that the above
requirement will be met.
(b) Contract Security. The Grantee shall follow the requirements of
the External Operating Manual with regard to bid guarantees and
bonding requirements (p. III C-16) .
(c) Insurance During Construction. The Grantee shall follow the insurance
requirements normally required by their State and local governments.
(d) Signs. The Grantee shall cause to be erected at the site of
construction, and maintained during construction, signs satis-
factory to DOT identifying the Project and indicating that
the Government is participating in the development of the
Project.
(e) Liquidated Damages Provision. The Grantee shall include in all
contracts for construction, a clause satisfactory to DOT providing
for liquidated damages, if both (1) 'YET may reasonably expect
to suffer damages (increased costs on the grant project involved)
from the late completion of the construction and (2) the extent
or amount of such damages would be difficult or impossible to
assess. The assessment for damages shall be at a specified rate
per day for each day of overrun in contract time deducted from
payments otherwise due the contractor. This rate, which must be
satisfactory to DOT, must be specified in the Contract.
(f) Provisions of Construction Contracts. The terms and conditions of
each ccmpetitively bid construction contract are subject to prior
approval by DOT if the estimated cost will exceed $25,000. In
addition to the requirements of this Section 110, each construction
contract shall contain, among others, provisions required by
subsections (c) , (f) , (g) , and (h) of Section 109 hereof.
26
(g) Actual Work by Contractor. The Grantee shall require that a
construction contractor perform, on the site and with his own
staff, work equivalent to at least 10 percent of the total
amount of construction work covered by his contract.
(h) Force Account. If costs of construction performed by erciployees
of the Grantee are estimated to exceed $25,000, prior approval
of DOT must be obtained or else such costs may not be included
as eligible Project costs.
Section 111. Environmental and Resource Protection Requirements.
(a) Compliance with Environmental Standards. The Grantee shall comply
with the provisions 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
issued by the Environmental Protection Agency (EPA) , in the
facilities which are involved in the Project for which Federal
assistance is given in this Grant. The Grantee shall ensure that
the facilities under its ownership, lease or supervison that shall
be utilized in the accomplishment of the Project are not listed
on the EPA's List of Violating Facilities and that the Grantee
shall notify UWA 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 in EPA.
(b) Air Pollution. No facilities or equipment shall be aoquired
constructed, or improved as a part of the Project unless the
Grantee obtains satisfactory assurances that they are (or will be)
designed and equipped to limit air pollution as provided in 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 wildlife and waterfowl refuge of national, State, or
local significance as determined by the Federal, State, or local
officials having jurisdiction thereof, or any land from an historic
site of national, State, or local significance as so determined
by such officials may be used for the Project without the prior
k>` concurrence of DOT.
• (d) Historic Preservation. The Grantee shall assist UMPA 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 (a) consulting with the
State Historic Preservation Officer on the conduct of investigations,
as necessary, to identify properties listed in or eligible for
27
inclusion in the National Register of Historic Places that are
subject to adverse effects (see 36 CFR Part 800.8) by the activity,
and notifying UMTA of the existence of any such properties, and
by (b) complying with all requirements established by UMTA to
avoid or mitigate adverse effects upon such properties.
Section 112. Patent Rights.
(a) Whenever any invention, improvement, or discovery (whether or not
patentable) is conceived or for the first time actually reduced to
practice, by the Grantee or its employees, in the course of, in
connection with, or under the terms of this Contract, the Grantee
shall immediately give the Secretary of DOT, through UMTA, or
his authorized representative written notice thereof; and the
Secretary shall have the sole and exclusive power to determine
whether or not and where a patent application shall be filed, and to
determine the disposition of all rights in such invention, improve-
ment, or discovery, including title to and rights under any patent
application or patent that may issue thereon. The determination
of the Secretary on all these matters shall be accepted as final,
and the Grantee agrees that it will, and warrants that all of its
employees who may be the inventors will, execute all docunents
and do all things necessary or proper to the effectuation
of such determination.
(b) Except as o-dherwise authorized in writing by the Secretary or
his authorized representative, the Grantee shall obtain patent
agreements to effectuate the provisions of this clause fran all
persons who perform any part of the work under this Contract,
except such clerical and manual labor personnel as will have no
access to technical data.
(c) Except as otherwise authorized in writing by the Secretary or
his authorized representative, the Grantee will insert in each
third-party contract having design, test, experimental, develop-
mental, or research work as one of its purposes, provisions
making this clause applicable to the third-party contractor and
its employees.
(d) If the Government obtains patent rights pursuant to this clause
of this Contract, the Grantee and the third-party contractor
shall be offered license rights thereto on terms at least as
favorable as those offered to any other party. However, in the
event no effective steps have been taken by the Grantee or the •
third-party contractor or any other party within 3 years after
issuance of a patent under which the Government acquires rights
pursuant to this clause to bring the claimed invention to the
point of practical application, the Government's obligation to
28
offer a license pursuant to this clause shall terminate, and any
license already granted to the Grantee or the third-party contractor
pursuant to this clause shall be revoked unless the Grantee or
the third-party contractor can show cause as to why such license
shall not be revoked.
(e) In the event no inventions, improvements, or discoveries (whether
or not patentable) are conceived, or for the first time actually
reduced to practice by the Grantee, its employees, its third-
party contractors, or their employees, in the course of, in
connection with, or under the terms of this Contract, the Grantee
shall so certify to the Secretary or his authorized representative,
no later than the date on which the final report of work done, is
due.
(f) If the Grantee or the third-party contractor is permitted to file
patent applications pursuant to this Contract, the following
statement shall be included within the first paragraph of the
specification of any such patent application or patent:
"The invention described herein was made in the course
® of, or under, a grant fran the Department of Trans-
portation."
(g) In the event the Grantee or the third-party contractor is permitted
to acquire principal rights pursuant to this clause and fails to
take effective steps within 3 years after issuance of a patent
on any patent applications permitted to be filed pursuant to this
clause to bring the cla and invention to the point of practical
application, the Secretary or his authorized representative may
revoke such rights or require the assignment of such rights
to the Government.
(h) The Secretary or his authorized representative shall, before the
expiration of three (3) years after final paymant under this
grant, have the right to examine any books, records, documents,
and other supporting data of the Grantee which the Secretary or
his authorized representative shall reasonably deem directly
pertinent to the discovery or identification of inventions
xa falling within the criteria set out in paragraph (a) , or to
catipliance by the Grantee with the requirements of this clause.
The Secretary or his authorized representative shall, during
the period specified above, have the further right to require the
Grantee to examine any books, records, documents, and other
supporting data of the third-party contractor which the Grantee
shall reasonably deem directly pertinent to the discovery or
29
I
identification of inventions falling within the criteria set
out in paragraph (a) or to compliance by the third-party
contractor with the requirements of the patent rights clause
of the third-party contract.
Section 113. Rights in Data.
(a) The term "subject data" as used herein means recorded information,
whether or not copyrighted, that is1 delivered or specified to
be delivered under this Contract. The term includes graphic
or pictorial delineations in media such as drawings or photographs;
text in specifications or related performance or design-type
documents; machine forms such as punched cards, magnetic tape,
or computer memory printouts; and information retained in computer
memory. Examples include, but are not limited to, engineering
drawings and associated lists, specifications, standards, process
sheets, manuals, technical reports, catalog item identifications,
and related information. The term does not include financial reports,
cost analyses, and similar information incidental to contract
administration.
(b) All "subject data" first produced in the performance of this
Contract shall be the sole property of the Government. The
Grantee agrees not to assert any rights at cc mon law or equity
and not to establish any claim to statutory copyright in such data.
Except for its own internal use, the Grantee 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.
(c) The Grantee 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 oomposed in the performance
of this Contract but which is incorporated in the work furnished
under this Contract; and (2) to authorize others so to do.
(d) The Grantee 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 Grantee 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
Contract.
30
(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) In the event that the Project, which is the subject of this Contract,
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 Contract and shall be delivered
as the Government may direct. This clause shall be included in
all third-party contracts under the Project.
(g) Paragraphs (c) and (d) above are not applicable to material furnished
to the Grantee by the Government and incorporated in the work fur-
nished under the contract; provided that such incorporated material
is identified by the Grantee at the time of delivery of such work.
Section 114. Cargo Preference - Use of United States-Flag Vessels.
(a) Pursuant to Pub. L. 664 (46 U.S.C. 1241(b) ) at least 50 percent
of any equipment, materials or commodities procured, contracted
for or otherwise obtained with funds granted, guaran`ceed, loaned,
or advanced by the U.S. Government under this agreement, and
which may be transported by ocean vessel, shall be transported
on privately-owned United States-flag commercial vessels, if
available.
(b) Within 20 days following the date of loading for shipments
originating within the United States or within 30 working days
following the date of loading for shipments originating outside
the United States, a legible copy of a rated, "on-board" commerical
ocean bill-of-lading in English for each shipment of cargo described
in paragraph (a) above shall be furnished to the Division of
National Cargo, Office of Market Develot-ment, Maritime Adminis-
tration, Washington, D.C. 20230 marked with appropriate identification
of the Project. The Grantee shall also obtain a copy of any such
bill-of-lading (through the prime contractor in the case of
subcontractor bills-of-lading) and retain records of the bill-of-
lading and any supporting documents for a period of three years
following closeout of the Project.
(c) The Grantee agrees to insert the following clauses in all contracts
let by the Grantee in carrying out the Project:
Cargo Preference - Use of United States-Flag Vessels.
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 c rcdities
31
pursuant to this Contract, to the extent such vessels are available
at fair and reasonable rates for United States-flag ccmmercial
vessels.
(2) To furnish within 20 days following the date of loading
for shipments originating within the United States, or within 30
working days following the date of loading for shipments originating
outside the United States, a legible copy of a rated, "on-board"
camiercial ocean bill-of-lading in English for each shipment of
cargo described in paragraph (1) above to the Grantee (through
the prime contractor in the case of subcontractor bills-of-lading)
and to the Division of National Cargo, Office of Market Develop-
ment, Maritime Administration, Washington, D.C. 20230, marked
with appropriate identification of the Project.
(3) To insert the substance of the provisions of this clause
in all subcontracts issued pursuant to this Contract.
Section 115. Charter School Bus Operations.
(a) Charter Bus. The Grantee, or any operator of mass transportation
acting on its behalf, shall not enagage 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, and
published LPITA regulations on charter bus operations.
(b) School Bus. The Grantee, or any operator of mass transportation
acting 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, and published UM .k regulations on school bus operations.
Section 116. Compliance with Elderly and Handicapped Regulations. The
Grantee shall insure that all fixed facility construction or alteration
and all new equipment included in the Project ccmply with applicable
provisions of 49 CFR Part 609 -- Transportation for Elderly and Handi-
capped Persons.
Section 117. Flood Hazards. The Grantee 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
Public Law 93-234,87 Stat. 975.
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Section 118. Miscellaneous.
(a) Bonus or Co mLission. The Grantee warrants that it has not paid,
also agrees not to pay, any bonus or coimiission for the purpose
of obtaining an approval of its application for the Grant hereunder.
(b) State or Territorial Law. Anything in the Grant Contract to the
contrary notwithstanding, nothing in the Grant Contract shall
require the Grantee 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 Grant Contract
violate any applicable State or territorial law, or if ampliance
with the provisions of the Grant Contract would require the
Grantee to violate any applicable State or territorial law, the
Grantee will at once notify DOT in writing in order that appropriate
changes and modifications may be made by DOT and the Grantee to
the end that the Grantee may proceed as soon as possible with
the Project.
(c) Records. The Grantee, and any mass transportation operator for
why—'ch it applies will 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 lgtiA, as amended,
effective for each local fiscal year ending on or after July 1,
1978, and published UMTA regulations.
(d) How Contract Affected by Provisions Held Invalid. If any provision
of this Contract is held invalid, the remainder of this Contract
shall not be affected thereby if such remainder would then continue
to conform to the term, and requirements of applicable law.
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