HomeMy Public PortalAboutORD09643 BILL NO.
INTRODUCED BY COUNCILMAN
ORDINANCE NO. Lo 3
AN ORDINANCE OF THE CITY OF JEFFERSON, MISSOURI AUTHORIZING THE
MAYOR AND CLERK OF THE CITY OF JEFFERSON TO EXECUTE AN AMENDED
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 TRANSIT EQUIPMENT.
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
16 008, Amendment No. 1, involving a grant of $476,080 to the City
for 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 amends a contract authorized
by Ordinance No. 9145.
Section 3. This ordinance shall take effect and be in
full force from and after its passage and approval.
Passed �„� �� / q�L Approved
P Yof the Counc ayor
Attest:
ty CD rk
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
NOTIFICATION OF GRANT APPROVAL
49 U.S.C. 5 1602
(SECTION 3 - CAPITAL ASSISTANCE)
AMENDATORY AGREEMENT
Project No. MO-03-0008
Amendment No. 01
GRANTEE: City of Jefferson City, Missouri
PURPOSE OF THIS AMENDMENT: To revise the existing grant contract to reflect:the current
'star terns and conditions and alter the project description for purchase of addi-
tional capital equipment items. This amendment will also change the name of the grantee
from the Jefferson City Transit Authority to the City of Jefferson City.
ESTIMATED TOTAL PROJECT COST AFTER THIS AMENDMENT: $595,100 (Five Hundred, Ninety-Five
Thousand, One Hundred Dollars
ESTIMATED NET PROJECT COST AFTER THIS AMENDMENT: $595,100 (Five Hundred, Ninety-Five
Thousand, One Hundred Dollars
MAXIMUM FEDERAL SHARE AFTER THIS AMENDMENT: $476,080 (Four Hundred Seventy-Six
Thousand, Eighty Dollars
OBLIGATION DATE OF ORIGINAL- AGREEMENT AND DATE(S) OF AMENDMENT(S) :
June 26, 1978 (original) June 11, 1981 (This amendment)
SOURCES OF FEDERAL FINANCIAL ASSISTANCE:
Code Year Description Amount
31.10.00.00 1978 Urban Discretionary $476,080
DATE OF SECTION 13 (c) CERTIFICATION LETTER FROM THE DEPARTMENT OF LABOR:
March 29, 1978 (original) February 24, 1981 (This amendment)
PROJECT DESCRIPTION AFTER THIS AMENDMENT:
a. Purchase 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 14 two-way radios and I base station
kd. Purchase and installation of 15 passenger shelters
e. Purchase of one complete engine/transmission power unit assembly
f. Purchase and installation of 800 bus stop signs with posts and schedule holders
g. Continencies
DATE REGIONAL ADMINISTRATOR
,t
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
GRANT
49 U.S.C. S 1602
(SECTION 3)
PART I
THIS GRANT, effective on the date specified in the
Notification of Grant Approval is entered into by and between
the United States of America ("Government") and the Grantee
named in the Notification of Grant Approval.
In consideration of the mutual covenants, promises, and
representations herein, the parties hereto agree as follows:
Sec. 1. Purpose of Grant - The purpose of this Grant
is to provide for the undertaking of an urban mass transpor-
tation capital improvement project ("Project") with Government
financial assistance to the Grantee in the form of a capital
grant ("Grant") , under Section 3 of the Urban Mass Transpor-
tation Act of 1964 , as amended, ("Act") , and to state the
terms and conditions upon which such assistance will be
provided and the manner in which the Project will be undertaken
and completed and the Project facilities/equipment used.
Sec. 2. The Project - The Grantee agrees to undertake
and complete the Project, and to provide for the use of the
Project facilities/equipment, substantially as described in
its Application, incorporated herein by reference, filed
with and approved by the Government, and in accordance with
the terms and conditions of this Grant. The "Project
Description" on the Notification of Grant Approval describes
the Project to be funded under this Grant.
Sec. 3. The Grant - In order to assist the Grantee in
financing that portion of the total cost of the Project
which the Department of Transportation (DOT) has determined
cannot reasonably be financed from revenues of the public
transportation system in which the Project facilities/
equipment are to be used ("Net Project Cost") , such Net
Project Cost being estimated to be that amount stated in the
Notification of Grant Approval, the Government will make a
• Grant in an amount equal to eighty percent (80%) of the
Form UMTA F 2000
Rev. 5/20/80 Page 1
actual Net Project Cost, as determined by DOT upon completion
of the Project, or in the amount designated as Maximum
Federal Share in the Notification of Grant Approval, whichever
is the lesser. However, if this Grant is an Amendment to
a prior Grant and if the Government's share was limited to
66 2/3% under that Grant, then that limit shall continue to
apply in calculating the Government's share of the Net
Project Cost as approved on the date of the original Grant
and the date of any Amendment subject to such 66 2/3% limit.
The obligation of the Government to make Federal Grant '
payments in any fiscal year shall not exeed the amount
provided in the Project Budget for the fiscal year in which
requisitions therefor are submitted or drawdowns under letter
of credit are made.
The Grantee agrees that it will provide from sources
other than (a) Federal funds (except as may otherwise be
authorized by federal statute) , (b) receipts from the use of
the Project facilities/equipment, or (c) revenues of the
public transportation system in which such facilities/equip-
ment are used, funds in an amount sufficient, together with
the Grant, to assure payment of the actual Project Cost. The
Grantee further agrees that no refund or reduction of the
amount so provided will be made at any time, unless there is
at the same time a refund to the Government of a proportional
amount of the Grant.
Sec. 4. Use of Project Facilities/Equipment - The
Grantee agrees to observe the property management standards
as set forth in OMB Circular A-102, Attachment N, or OMB Circular
A-110, Attachment N, as appropriate, as now or hereafter amended.
Exceptions to the requirements of Attachment N must be specifically
approved by UMTA. If, during the period, any Project facilities/
equipment are not used in mass transportation service,
whether by planned withdrawal or casualty loss, the Grantee
shall immediately notify the Government and shall remit to
the Government a proportional amount of the fair market
value, if any, of the property, which shall be determined on
the basis of the ratio of the Grant made by the Government
to the actual cost of the Project. Fair market value shall
be deemed to be the value of the property as determined by
competent appraisal at the time of such withdrawal from use
or misuse, or the net proceeds from public sale, whichever
is approved by UMTA. In the event of loss due to casualty
or fire, the damages paid by the insurance carrier or payable
from the self-insured reserve account shall be considered
fair market value. In no event is salvage value to be
considered fair market value.
Page 2
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/equipment throughout the period of required
use. The cost of such insurance shall not be an item of
allowable cost. The Grantee shall also submit to the Govern-
ment 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.
Sec. 5. 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 requirements of
Section 13 (c) of the Act, 49 U.S .C. S 1609 (c) , and Department
of Labor regulations at 29 C.F.R. Part 215.
These terms and conditions are identified in the letter
of certification to the Government from the Department of
Labor on the date set forth in the Notification of Grant
Approval, which letter and any documents cited in that
letter are incorporated into this Grant by reference. The
Grant is subject to the conditions stated in the Department
of Labor letter.
Sec. 6 . Procurement of Rolling Stock and Buses - In
accordance with any guidelines issued by UMTA the Grantee
shall make third party contract awards for the acquisition
of rolling stock, including buses, only after consideration
of performance, standardization, and life-cycle costs, in
addition to the consideration of initial capital costs.
Where necessary, the Secretary will assist the Grantee in
making such evaluations.
• Page 3
Sec. 7. The Grant - This Grant consists of the Notifi-
cation of Grant Approval; this Part I, Form UMTA F 2000,
Rev. 5/20/80, entitled Grant; and Part II, Form UMTA F 5E,
Rev. 5/20/80, entitled Urban Mass Transportation Agreement,
Terms and Conditions. Should the grant award letter include
special conditions for this Project, that letter is incorporated
herein by reference and made part of this Grant. The approved
Project Budget is incorporated herein by reference and made
part of this Grant. Amendments to any of these documents
shall require a formal amendment to this Grant, except that
reallocations of funds among budget items or fiscal years
which do not increase the total amount of the Federal grant
shall only require prior authorization from UMTA and the
issuance of a New Project Budget.
Sec. 8. Execution of Grant - This Grant may be simul-
taneously executed in several counterparts, each of which
shall be deemed to be an original having identical legal
effect. When signed by the Government, this Grant should be
executed by the Grantee within ninety (90) days after the
Obligation Date. The Government may withdraw its obligation
hereunder if the Grant is not executed within the above
ninety-day period. The effective date of the Grant shall
be the Obligation Date.
The Grantee does hereby ratify and adopt all statements.
representations, warranties, convenants, and materials submitted
by it, and does hereby accept the Government' s award of
financial assistance and agrees to all of the terms and
conditions of this Grant.
Executed this 9 kL day of , 19g".
ATTEST: BY- -
G.;hj IkJ -ea. �� IYI
TITLEJ,ND ORGANIZATT� TITL AND OVA I N
Page 4
Certificate of Grantee's Attorney
I, , acting as Attorney for the Grantee do
hereby certify that I have examined this Grant and have
ascertained that execution of the Grant was authorized on
the date of . A copy of this authorization is
attached or had pkeviously been submitted to UMTA. The
execution of this Grant and the proceedings taken by the
Grantee are in all respects due and proper and in accordance
with applicable State and local law. I further certify
that, in my opinion, said Grant constitutes a legal and
binding obligation of the Grantee in accordance with the
terms thereof and certify that to the best of my knowledge
there is no legislation or litigation pending or threatened
which might affect the performance of the Project in accordance
with the terms of this Grant.
Dated this day of v� , 19 �f
SIGNAT
I'a lap-- c a . rZ�fcKC o,J
TITLEAAN`D ORGANIZAT ON
Page 5
UNITED STAPES OF AMERICA
DEPARMW OF TRANSPORTATICN
URBAN MASS TRANSPORTATION AOMINISTRAMN
{{' WASHIIVCTICN, D.C. 20590
of
♦ w
ci'ffOSr�MIEs
URBAN MASS TRANSPORTATICN FONT
PART II
TERMS AND CONDITIONS
for Projects under Section 3, 5, 6, or 8,,.
of the Urban Mass Transportation Act of
1964 as amended 49 U.S.C. S 1601 et seq.,
for Mass Transportation Projects under
the Federal-Aid Highway Act of 1973,
as amended, 23 U.S.C. S 103 et seq.,
or for Section 175 of the Clean Air Act
rents of 1977, 42 U.S.C. S 7505.
Foam UMTA F 5E
Rev. 5/20/80
TABLE OF CICNTENZS
Section 101. Definitions...................... .....................1
Section 102. Ac=nplishment of the Project........................ .2
(a) General Requirements.............................2
® (b) Pursuant to Federal, State and Local Law.........2
(c) Funds of the Recipient.......... .......... .......2
(d) Submission of Proceedings, Contracts, and Other
Documents:..................... ............... ..3
(e) Changed Conditions Affecting Perfonranoe...... . ..3
(f) No Government Obligations to Third Parties..... ..3
(g) Land Acquisition Policy..o...o.........o.. .......3
Section 103. The Project Budget....................................3
Section 104. Ac=mting Records....................... .............3
(a) Project Accounts.................... .............3
(b) Fluids 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 Recipient.............5
(b) Payment by the Government............ ............5
(c) Disallowed Costs.................... .............6
® (d) Letter of Credit.................... . ............6
(e) Interest on Late Payments........................7
Section 106. Right of Government to Terminate......................7
Section 107. Project Completion, Settlement and Close-Out..........7
Section 108. Contracts of the Recipient..................... ...... .7
Section 109. Restrictions, Prohibitions, Controls, and Labor
Provisions............................. ....... ......8
(a) Equal. Employment Opportunity......... ............8
(b) Small, Minority and Wam m's Business
Enterprise......................................8
(c) Title VI - Civil Rights Act of 1964.............. .10
(d) CImpetitive Bidding.............................. 10
(e) Ethics.......... ..................................10
(f) Interest of Members of or Delegates to
Congress........................................ 3.1
Section 110. Construction Contracts................................ 11
(a) Nondiscrimination................................ 11
(b) Specifications....................................14
(c) Notice.................................... ...... . 21
(d) Labor Provisions.......................... ....... 22
(e) Changes in Construction Contracts................ 29
(f) Contract Security...... .......................... 29
(g) insurance During Construction.................... 29
(h) Signs............................................ 29
(i) Liquidated Damages Provision..................... 30
(j) Provisions of Construction Contracts............. 30
(k) Actual. Work by Contractor........................ 30
(1) Force Aooaurt.................................... 30
(m) Safety Standards..so.o........so*.....o so o*o so o 30
i
Section 111. Enviramnental, Resource, and Energy Protection and ••
Conservation Requirements............................30
(a) Compliance with Environmental standards..........30
(b) Air Pollution....................................31 ,
(c) Use of Public Lands..............................31
(d) Historic Preservation............................31.
(e) Energy Conservation..............................31
Section 112. Patent Rights......................... ................31
Section 113. Rights in Data........................................34
Section 114. Cargo Preference - Use of United States Flag
Vessels..............................................35
Section 115. Buy America.............................. .............36
Section 116. Garter and Schaal Bus Operations.....................37
(a) Charter Bus......................................37
(b) School Bus.......................................37
Section 117. Compliance with Elderly and Handicapped
Regulations..........................................37
Section 118. Flood Hazar+ds.........................................37
Section 119. Privacy.... ...........................................38
Section 120. Miscellaneous.........................................39
(a) Bonus or Catmission..............................39 O
(b) State and Territorial Law........... .............39
(c) Records................ ................. .........40
(d) Severability.....................................40
ii
IWARTMENT OF TRANSPOFMATION
URBAN MASS TRANSPORTATIM ADMINISTRATION
AGREEMTr
® PART II -- TERMS AND CONDITIONS
Constituting part of the AGREEENT providing for federal
financial assistance under the provisions of the urban Mass
Transportation Act of 1964, as amended, and/or the Federal Aid
Highway Act of 1973.
Section 101. Definitions. As used in this Agreement:
"Application" means the signed and dated proposal as may be amended
for federal financial assistance for the Project, together with all
explanatory, supporting, and supplementary documents heretofore filed
with LMM by or on behalf of the Recipient, which has been accepted
and approved by LISA.
"Approval, Authorization, Concurrence, Waiver" means a conscious,
written act by an authorized official of the Goverrnrnnt granting
permission to the Recipient to perform or snit an act pursuant to
this Agreement which could not be performed or emitted without such
permission. An approval, authorization, concurrence, or waiver
® permitting the performance or cmissicn of a specific act shall not
constitute permission to perform or snit similar acts unless such
broad permission is clearly stated. oral pemtission or interpreta-
tions shall have no legal force or effect.
"External. Operating Manual" means the most recent iMM manual of
that title, which presents information about the iVZA programs,
application processing procedures, and guidance for administering
approved projects; There are also IMA and DOT directives applicable
to the Project.
"Government" means the United States of America, or its cognizant
Agency, the Department of Transportation (DOT) or its Agency, the
Urban Mass Transportation Administration (UMTA) used hereafter
interchangeably.
"Mass Transportation" includes public transportation and means
transportation by bus, rail or other conveyance, either publicly
or privately owned, which provides to the public general or special
transportation service (but not including school buses, charter or
sightseeing service) to the public on a regular and continuing basis.
"Project" means the task or set of tasks provided for in the Project
budget which the Recipient undertakes to perform pursuant to the
Agreement with EwA. �.
"Project Budget" means the most recently dated statement, approved by
LUM, of the estimated total cost of the Project, the items to be
deducted from such total in order to calculate the estimated net
project cost, the maximsn amount of the federal grant for which the
Recipient is currently eligible, the specific items (including
contingencies and relocation) for which the total may be spent, the
estimated cost of each of such items, and the maximum amount of
federal funds which may be disbursed in any fiscal year.
"Recipient" means any entity that receives federal financial assistance
fram MM for the accomplishment of the Project. The term "Recipient"
includes any entity to which federal funds have been passed through
for the accomplishment of the Project.
"Secretary" means Secretary of the Department of Transportation or
his duly authorized designee.
Section 102. Accomplishment of the Project.
(a) General Requirements. The Recipient shall conmence, carry an, and
canplete the Project with all practicable dispatch, in a sound,
economical, and efficient manner, and in accordance with the
provisions hereof, the Application, and all applicable laws and
regulations.
(b) Pursuant to Federal, State, and Local Law. In performance of its
obligations pursuant to this Agreement, the Recipient and its con-
tractors shall ccmply with all applicable provisions of Federal,
State, and local law. All limits or standards set forth in this
Agreement to be observed in the performance of the Project are
minimum requirements, and shall not affect the application of more
restrictive State or local standards for the performw= of the
Project; provided, however, in its procurement actions pursuant
to the Project, the Recipient shall not give any preference to or
discriminate against goods and services produced or manufactured in
any country, State, or other geographical area except as provided
in Section 115 below. The Recipient agrees further that notwithstanding
the requirements in Section 115, no Federal funds shall be used to
support procurements utilizing exclusionary or discriminatory
specifications, nor shall federal funds be used for the payment of
ordinary governmental or nonproject operating expenses.
(c) Funds of the Recipient. The Recipient shall initiate and prosecute
to comp etian all proceedings necessary to enable the Recipient to
provide its share of the Project costs at or prior to the time that
such funds are needed to meet Project costs.
2
® (d) Submission of Proceedings, Contract and Other Documents. The
• Recipient 901 submit to the Government ta, reports, records,
contracts and other documents relating to the Proiect as the r"iernment
may require. The Recipient shall retain intact, for three years
following Project close-out, all Project documents, financial
records, and supporting documents.
(e) Changed Conditions Affect' Performance. The Recipient shall immedi-
ate y notify WTA of any change in itions or local law, or of
any other event, which may significantly affect its ability to
perform the Project in accordance with the provisions of this
Agreement.
(f) No Government Obligations to Third Parties. The Government shall
not be subject to any obligations or liabilities by contractors
of the Recipient or their subcontractors or any other person not
a P rtv to this Agreement in connection with the performance of
this Project without its specific consent and notwithstanding its
concurrence in or approval of the award of any contract or sub-
contract or the solicitation thereof.
® (g) Land Ac isiticn Policy. Any acquisition of land for use in connection
with Project mist conform to the policies and procedures set
forth in 49 C.F.R. Part 25 and applicable Circulars.
Section 103. The Project Budget. A Project Budget shall be prepared and
maintained by the Recipient. The-Recipient shall carry out the Project
and shall incur obligations against and make disbursements of Project
Funds only in conformity with the latest approved budget for the Project.
Section 104. Accounting Records.
(a) Project Accounts. The Recipient shall establish and maintain as
a separate set of accounts, or within the framework of an established
accounting system, accounts for the Project in the manner consistent
with Office of Management and Budget (CHID) Circular A-102, as wed,
or A-110, as may be appropriate.
(b) Funds Received or Made Available for the Project. In accordance with
the provisions of CHI Circular A-102, as amended, or A-110, as may be
appropriate, the Recipient shall record in the Project Account, and
deposit in a bank or trust company which is a member of the Federal
Deposit Insurance Corporation, all Project payments received by it from
the Government pursuant to this Agreement and all other funds provided
for, accruing to, or otherwise received on account of the Project,
("Project Funds"). Any balances exceeding the FDIC coverage must be
collaterally secured as provided in 12 U.S.C. S 265 and implementing
regulations or in applicable UMM procedures. A separate bank account
may be required when drawdowns are made by letter of credit.
3
(c) Allowable Costs. Expenditures made by the Recipient shall be reim-
e as allowable costs to the extent they meet all of the
requirements set forth below. They must:
(1) be made in conformance with the Project Description and
the Project Budget and all other provisions of this Agreement;
(2) be necessary in order to accomplish the Project;
(3) be reasonable in amount for the goods or services purchased;
(4) be actual net costs to the Recipient (i.e., the price paid
minus any refunds, rebates, or other items of value received by
the Recipient that have the effect of reducing the cost actually
incurred;)
(5) be incurred (and be for work performed) after the date
of this Agreement, unless specific authorization from LWA to the
contrary is received;
(6) be in conformance with the standards for allowability of
costs set forth in Federal Management Circular (FYI) 74-4 and
with any guidelines or regulations issued by UMZA; in the case of
Projects with educational institutions, the standards for allowability
of cost set forth in Office of Management and Budget (OMB) Circular
A-21 Revised, rather than the standards of FM 74-4, shall apply;
(7) be satisfactorily documented; and
(8) be treated uniformly and consistently under accounting
principles and procedures approved or prescribed by UWA for the
Recipient; and those approved or prescribed by the Recipient for
its contractors.
(d) Documentation of Project Costs. All costs charged to the Project,
including any approved services contributed by the Recipient or
others, shall be supported by properly executed payrolls, time
records, invoices, contracts, or vouchers evidencing in detail the
nature and propriety of the charges.
(e) Checks, orders, and Vouchers. Any check or order drawn by the
Recipient with respect to any item that is or will be chargeable
against the Project Account will be drawn only in accordance with
a properly signed voucher then on file in the office of the
Recipient stating in proper detail the purpose for which such check
or order is drawn. All checks, payrolls, invoices, contracts,
vouchers, orders, or other accounting documents pertaining in whole
or in part to the Project shall be clearly identified, readily
accessible, and, to the extent feasible, kept separate and apart
from all other such documents.
4
M Audit and Inspection. The Recipient shall permit, and shall require
its contractors to permit, the Secretary and the Comptroller General
of the United States, or any of their duly authorized respresentatives
to inspect all work, materials, payrolls, and other data and records
with regard to the Project, and to audit the books, records, and
accounts of the Recipient and its contractors with regard to the Project.
Recipients that are State or local governments or Indian tribal govern-
ments shall be responsible for meeting the audit requirements of CMB
Circular A-102, Attachment P, or any revision or supplement thereto. The
Recipient is responsible for auditing third party contracts and agreements.
UWA also may require the Recipient to furnish at any time prior to
closeout of the Project, audit reports prepared in accordance with generally
accepted accounting principles. In the case of Section 5 operating
projects, subsequent to the close of the local fiscal year for which
which operating assistance is sought, the Recipient shall furnish a
final audit report prepared by a State or local government independent
audit agency or an independent public accountant which shall include
as a mininumt a Statement of Revenue and Expense, a Statement of
Changes in Financial Position, and a Maintenance of Effort Calculation
of the mass transportation operator for the assisted local fiscal
year.
Section 105. Requisitions and Payments.
(a) Requests for Payment by the Recipient. The Recipient may make
requests for payment of the federal sbare of allowable costs, and
UN M will honor such requests in the manner set forth in this
section. Payments made to Recipients must amply with 31 C.F.R.
Part 205. Recipients shall follow the procedures set forth in LEA
Circular 9050.1. In order to receive federal assistance payments, the
Recipient must:
(1) canpletely execute and submit to u4I'A the information
required by Standard Form 270;
(2) submit to UMM an explanation of the purposes for which
costs have been incurred to date or are reasonably expected to be
incurred within the requisition period (not more than 30 days after
the date of submission) ;
(3) demonstrate or certify that it has supplied local funds
adequate, when combined with the federal payments, to cover all
costs to be incurred to the end of the requisition period;
(4) have submitted to UMTA all financial and progress reports
required to date under this Agreement; and
(5) identify the souroe(s) of financial assistance provided
under this Project from which the payment is to be derived.
(b) Payment by the Government. Upon receipt of the requisition and the
accompanying information in satisfactory form, the Government will
process the requisition if the Recipient is ocmplying with its
obligations pursuant to the Agreement, has satisfied UMTA of its
need for the federal funds requested during the requisition period,
and is making adequate progress towards the timely completion of
the Project. If all of these circumstances are found to exist,
5
the Government will reimburse apparent allowable ooats incurred (or �.
to be ic==ed during the requisition period) by the Aocipient up
to the mnximn amount of the federal assistance payable through the
fiscal year in which the requisitions is submitted as stated in the
Project Budget. However, reimbursement of any cost pursuant to
this section shall not constitute a final determination by the
Government of the allowability of such cost and shall not constitute
a waiver of any violation of the terms of this Agreement committed
by the Recipient. The Government will make a final determination
as to allowability only after final audit of the Project has been
conducted.
In the event that UWA determines that the Recipient is not currently
eligible to receive any or all of the federal funds requested, it
shall promptly notify the Recipient stating the reasons for such
determination.
(d) Disallowed Costs. In determining the amount of the federal assistance, UWA
will exclude all Project costs incurred by the Recipient prior to
the date of this Agreement, or prior to the date of the approved
budget for the Project, whichever is earlier unless an authorized
representative of UWA advises in writing to the contrary; any
costs incurred by the Recipient which are not provided for in the
latest approved budget for the Project; and any costs attributable
to goods or services received under a oontract or other arrangement
which has not been concurred in or approved in writing by UMrA.
Exceptions to the above statement on disallowed costs are contained
in the External Operating Manual or in written guidance from UMIA.
(d). Letter of Credit. Should a letter of credit be issued to the
Recipient, the ollowing terms and conditions in conformance with
31 C.F.R. Part 205, are applicable:
(1) the Recipient shall initiate cash drawdowns only when
actually needed for Project disbursements.
(2) the Recipient shall report its cash disbursements and
balances in a timely manner as required by the Government.
(3) the Recipient shall provide for effective control and
accountability for all Project funds in accordance with require-
vents and procedures issued by the Government for use of the letter
of credit.
(4) the Recipient shall impose on its subrecipients all the
requirements of Section 105(d) (1) (2) and (3) above as applicable.
(5) should the Recipient fail to adhere to the requirements of
Section 105(d) (1) (2) (3) and (4) above, the Government may revoke
the unobligated portion of the letter of credit.
6
(6) Section 105(a) , (b) , and (c) above remain effective to the
extent that they do not conflict with the provisions of section 105(d) .
(e) Interest on Late Pa u ts. Upon notice by LTMTA to the Recipient of
specific amounts dueGovernment, the Recipient shall pranptly
remit any excess payment of amounts or disallowed costs to UMIA.
Interest may be assessed from the time of notice and charged for any
amounts due to the Government that are not paid as set forth in the
Treasury Fiscal Requirements Manual.
Section 106. Right of Goverrunent to Terminate. Upon written notice to
the Recipient, the Government reserves the right to suspend or terminate
all or part of the financial assistance provided herein if the Recipient
is, or has been, in violation of the terms of this Agreement or if UMTA
determines that the purposes of the Act would not be adequately served
by continuation of federal financial assistance for the Project. Any
failure to make progress or other violation of the Agreement which
significantly endangers substantial performance of the Project within
a reasonable time shall be deemed to be a violation of the terms of
this Agreement. Termination of any part of the financial assistance
will not invalidate obligations properly incurred by the Recipient and
conctuxed in by UNM prior to the date of termination, to the extent
they are noncancellable. The acceptance of a remittance by the Government
of any or all Project Funds previously received by the Recipient or
the closing out of federal financial participation in the Project shall
not constitute a waiver of any claim which the Government may otherwise
AMk have arising out of this Agreement.
Section 107. Project Capletion, Settlement, and Close-out. Upon successful
completion of the Project or upon termination by UMTA, the Recipient shall,
within 90 days of the completion date of the Project, submit a final
Financial Status Report (Standard Form 269) , a certification or summary
of Project expenses, and third party audit reports, when applicable. Upon
receipt of this information, UNTA or an agency designated by UMTA will
perform a final audit of the Project to determine the allowability of costs
incurred, and will make settlement of the federal grant described in Part I
of this Agreement. If LlMM has made payments to the Recipient in excess of
the total amount of such federal assistance, the Recipient shall pranptly
remit to UMTA such excess and interest as may be required by section
105(e) . Project closetout occurs when UMM notifies the Recipient and
forwards the final grant payment or when an appropriate refund of federal
grant funds has been received from the Recipient and acmowledged by UMTA.
Close-out shall not invalidate any continuing obligations imposed on the
Recipient by this Agreement or contained in the final. notification or
acknowledgement from UMTA.
® Section 108. Contracts of the Recipient. The Recipient shall not execute
any lease, pledge, mortgage, lien, or other contract touching or affecting
Project facilities or equipment, nor shall it obligate itself in any other
manner, with any third party with respect to the Project, unless such lease,
pledge, mortgage, lien, contract, or other obligation is expressly authorized
in writing by DOT; nor shall the Recipient, by any act or omission of any
kind, impair its continuing control over the use of Project facilities or
equipment during the useful life thereof as determined by DOT.
7
Section 309. Restrictions, Prohibitions, Cbntrols, and Iabor Provisions. ®•
(a) ET41
Dp Mot 222artunity. In connection with the carrying out
of Project, the Recipient shall not discriminate against any
employee or applicant for employment because of race, color, age,
creed, sex, or national origin. The Recipient shall take affirmative
action to ensure that applicants are enployed, and that employees
are treated during employment, without regard to their race, color,
religion, sex, age,or national origin. Such action shall include,
but not be limited to, the following: employment, upgrading, demotion
or transfer, recruitment or recruitment advertising, layoff or
termination; rates of pay or other forms of compensation; and
selection for training, including apprenticeship. The Recipient
shall insert the foregoing provision (modified only to show the
particular contractual relationship) in all of its contracts
in connection with the development or operation of the Project, except
contracts for standard eammercial supplies or raw materials and
construction contracts subject to the provisions of Section 110 (a)
of this Agreement, and shall require all such contractors to insert
a similar provision in all subcontracts, except subcontracts for
standard commerical supplies or raw materials.
If, as a condition of assistance, the Recipient has submitted,and the
Government has approved, an equal employment opportunity program
that the Recipient agrees to carry out, such program is incorporated
into this Agreement by reference. Such program shall be treated as
a contractual obligation; and failure to carry out the terms of that
equal employment opportunity program shall be treated as a violation
of this Agreement. Upon notification to the Recipient of its failure
to carry out the approved program, the Government will impose such
rem ies as it may deem appropriate, which remedies may include
termination of the Agreement as provided in Section 106 of this
Agreement or other measures that may affect the ability of the
Recipient to obtain future financial assistance under the Urban
Mass Transportatien Act of 1964, as amended, or the FWeral Aid
Highway Act of 1973, as amended.
(b) Minority and Women's Business En rise_. The Recipient shall be
responsible or meeting the applicable regulations regarding
participation by minority business enterprise (MBE) in Department
of Transportation programs set forth at 49 C.F.R. Part 23, 45 F.R.
21172 at seq., March 31, 1980, or any revision or supplement thereto. •
Pursuant to the requirements of section 23.43 of those regulations:
(1) PoZicy. It is the poZicy of the Department of Transportation
that minority business enterprises, as defined in 49 C.F.R. Part 23,
shaZZ have the maximum opportunity to participate in the performance
of contracts financed in whole or in part with federaZ funds under
this agreement. ConaequentZy, the MBE requirements of 49 C.F.R.
Part 23 appZy to this agreement.
8
(2) MBE Obligation. The Recipient and its contractors agree to
ensure that minority business enterprises as defined in 49 C.F.R. Part
23 have the maximum opportunity to participate in the performance of
contracts and subcontracts financed in whole or in part with federal
funds provided under this Agreement. In this regard all Recipients and
contractors shall take all necessary and reasonable steps in accordance
with 49 C.F.R. Part 23 to ensure that minority business enterprises have
the maximum opportunity to compete for and perform contracts. Recipients
and their contractors shall not discriminate on the basis of race,
color, national origin or sex in the award and performance of DOT-
assisted contracts.
(3) If as a condition of assistance the Recipient has submitted and
the Department has approved a minority business enterprise affirmative
action program which the Recipient agrees to carry out, this program is
incorporated into this financial assistance agreement by reference.
This program shall be treated as a legal obligation and failure to carry
out its terms shall be treated as a violation of this financial assistance
agreement. Upon notification to the Recipient of its failure to carry
out the approved program, the Department shall impose such sanctions as
® noted in 49 C.F.R. Part 23, Subpart E, which sanctions may include
termination of the Agreement or other measures that may affect the
ability of the Recipient to obtain future DOT financial assistance.
(4) The Recipient shall advise each subrecipient, contractor, and
subcontractor that failure to carry out the requirements set forth in
23.43(a) shall constitute a breach of contract and, after the notification
of the Department, may result in termination of the Agreement or contract
by the Recipient or such remedy as the Recipient deers appropriate.
(5) Recipients shall take action concerning lessees as follows:
(A) Recipients shall not exclude NE's from participation in
business opportunities by entering into long-term, exclusive agreements
with non-MBE's for operation of major transportation-related activities
for the provision of goods and services to the facility or to the public
on the facility.
(B) Recipients required to submit affirmative action programs
under section 23.41(a) (2) or (a) (3) that have business opportunities for
lessees shall submit to the Department for approval with their programs
is overall goals for the participation as lessees of firms owned and controlled
by minorities and firms owned and controlled by women. These goals
shall be for a specified period of time and shall be based on the factors
listed in section 23.45(g) (5) . Recipients shall review these goals at
least annually, and whenever the goals expire. The review shall analyze
projected versus actual ME participation during the period covered by
the review and any changes in factual circumstances affecting the selection
9
of goals. Following each review, the Recipient shall submit new overall
goals to the Department for approval. Recipients that fail to meet
their goals for NBE lessees shall demonstrate to the Department in
writing that they made reasonable efforts to meet the goals.
(C) Except as provided in this section, Recipients are requried
to include lessees in their affirmative action programs. Lessees themselves
are not subject to the requirements of this Part, except for the obligation
of section 23.7 to avoid discrimination against MBE's.
(6) The Recipient agrees to include the clauses in Subsection (1)
and (2) of Section 109(b) above in all subsequent agreements between the
Recipient and any subrecipient and in all subsequent DOT-assisted contracts
between the Recipient or subrecipients and any third party contractor.
(c) Title VI Civil Rights Act of 1964. The Recipient will oamply and
Will assure the. camp lance by contractors and subcontractors under
this Project with all the requirements imposed by Title VI of the
Civil Rights Act of 1964 (49 U.S.C. § 2000d) , the Regulations of
DOT issued thereunder, 49 C.F.R. Part 21 and the Assurance by the
Recipient pursuant thereto.
(d) Campetiticn in Procurement. The Recipient shall comply with the
Procurement Standards requirements set forth in Attachment 0 of CAB
Circular A-102, as amended, or A-110, as may be appropriate; and
with any supplementary guidelines or regulations as may be promulgated.
by the Government.
(e) Ethics. The Recipient shall maintain a written code or standards
oflciUffuct which shall govern the performance of its officiers,
employees or agents engaged in the award and administration of
contracts supported by Federal funds. Such oode shall provide that
no employee, officer or agent of the Recipient shall participate in
the selection, or in the award or administration of a contract
supported by federal funds if a conflict of interest, real or
apparent, would be involved. Such a conflict would arise when any
of the parties set forth below has a financial or other interest in
the firm selected for award:
10
1. the aployee, officer or agent;
2. any member of his immdiate family;
3. his or her partner; or
4. an organization which employs, or is about to employ, any
of the above.
The code shall also provide that the Recipient's officers, employees or
agents shall neither solicit nor accept gratuities, favors or anything
of monetary value f:am contractors, potential contractors., or parties
to subagreerentn,,
The Recipient may set minimum rules where the financial interest
is not substantial or the gift is an unsolicited item of nominal
intrinsic value.
To the extent permitted by State or local law or regulations, such
standards of conduct shall provide for penalties, sanctions, or
other disciplinary actions for violations of such standards by
the Recipient's officers, employees, or agents, or by contractors
or their agents.
(f) Interest of Members of or Del aces to Congress. No member of or
agate to the Congress of e United States shall be admitted
to any share or part of this agreement or to any benefit arising
therefrom.
Section 110. Construction Contracts..
(a) Nondiscrimination. The Recipient hereby agrees that it will incorporate
or 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 C.F.R. Chapter 60, which is paid for in
whole Or in part with funds obtained from the Federal Government
or borrowed on the credit of the Federal Government pursuant to a
grant, contract, loan, insurance, or guarantee, or undertaken
pursuant to any federal program involving such grant, contract,
loan, insurance, or guarantee, the following equal opportunity
clause:
11
During the performance of this contract, the contractor agrees
as foZZows:
(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 foZZowing:
Employment, upgrading, demotion, or transfer; recruitment or
recruitment advertising; layoff or termination; rates of pay
or other forms of compensation; and selection for training,
i.nctuding apprenticeship. The contractor agrees to post in
conspicuous places, available to empZoyees and applicants for
employment, notices to be provided setting forth the provisions
of this nondiscrimination clause.
(2) The contractor ;gill, in all solicitations or advertise-
ments for employees placed by or on behalf of the contractor,
state that all qualified applicants will receive consideration
,or employment without regard to race, color, religion, sex, or
national origin.
(3) The contractor will send to each labor union or repre-
sentative of workers with which he has a collective bargaining
agreement or other contract or understanding, a notice to be
provided advising the said labor union or workers ' representatives
of the contractor's commitments under this section, and shall
post copies of the notice in conspicuous places available to
employees and applicants for employment.
(4) The contractor will comply with all provisions of
Executive Order 11246 of September 24, 1965, as amended, and
of the rules, regulations, and relevant orders of the Secretary
of Labor.
(5) The contractor will furnish all information and reports
required by Executive Order 11246 of September 24, 1965, as
amended, and by rules, regulations, and orders of the Secretary
of Labor, or pursuant thereto, and will permit access to his
books, records, and accounts by the administering agency and
the Secretary of Labor for purposes of investigation to
ascertain compliance with such rules, regulations, and orders.
(6) in the event of the contractor's noncompliance with S
the non-discrimination clauses of this Agreement or with any
of the said rules, regulations or orders, this Agreement may be
12
AV cancelled, terminated, or suspended in whole or in part and
the. contractor may be declared ineligible for further
Government contracts or federally assisted construction
contracts in accordance with procedures authorised in
Executive Order 11246 of September 24, 1965, as amended,
and such other sanctions may be imposed and remedies invoked
as provided in Executive Order 11246 of September 24, 1965,
as amended, or by rule, regulation, or order of the Secretary
of Labor, or as otherwise provided by law.
(7) The contractor will include the portion of the sentence
immediately preceding paragraph (1) and the provisions of
paragraphs (1) through (7) in every subcontract or purchase
order unless exempted by rules, regulations, or orders of
the Secretary of Labor issued pursuant to Section 204 of
Executive Order 11246 of September 24, 1965, as amended, so
that such provisions shaZZ 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 subcontractor or vendor
as a result of such direction by the administering agency,
the contractor may request the United States to enter into'
such litigation to protect the interests of the United States.
The Recipient further agrees that it will be bound by the above
equal opportunity clause with respect to its own employment practices
when it participates in federally assisted construction work; Provided
That if the Recipient so participating is a State or local government,
the above equal opportunity clause is not applicable to any agency,
instrumentality or subdivision of such gov AM= which does not
participate in work on or under the Agreement.
The Recipient agrees that it will assist and cooperate actively
with the administering agency and the Secretary of Labor in obtaining
the compliance of contractors and subcontractors with the equal
opportunity clause and the rules, regulations, and relevant orders
of the Secretary of Labor, that it will furnish the administering
agency and the Secretary of Labor such informatim as they may
require for the supervision of such conplianee, and that it will
otherwise assist the administering agency in the discharge of the
agency's primary responsibility for securing canplianee.
She Recipient further agrees that it will refrain from
entering into any contract or contract modification subject to
Executive order 11246 of September 24, 1965, as amended, with any
13
contractor debarred from, or who has not demonstrated eliciibility
for Government contracts and federally assisted construction contracts
pursuant to the Executive Order and will carry out such sanctions
and peralties for violation of the equal opportunity clause as
may be imposed upon contractors and suboontractors by the administering
agency or the Secretary of Labor pursuant to Part II, Subpart D of
the Executive Order. In addition, the Recipient agrees that if it
fails or refuses to comply with these undertakings, the administering
agency may take any or all of the following actions: Cancel, terminate,
or suspend in whole or in part this Agreement (grant, contract, loan,
insurance, guarantee) ; refrain from extending any further assistance
to the Recipient under the program with respect to which the failure
or refund occurred until satisfactory assurance of future compliance
has been received from such Recipient; and refer the case to the
Department of Justice for appropriate legal proceedings.
(b) Specifications. Recipient hereby agrees that it will incorporate or
cause to be incorporated the specifications set forth below in
all federal and federally assisted contruction contracts, or modifi-
cations thereof, in excess of $10,000 to be performed in geographical
areas designated by the Director, Office of Federal Contract Compliance
Programs of the Department of Labor pursuant to the Regulations of
the Secretary of Labor at 41 C.F.R. Section 60-4.6 and in construction
subcontracts in excess of $10,000 necessary in whole or in part to
the performance of nonconstruction federal contracts and subcontracts
covered under Executive Order 11246:
STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION
CONTRACT SPECIFICATIONS (Executive Order 11246):
1. As used in these specifications:
a. "Covered area" means the geographical area
described in the solicitation from which this
contract resulted;
b. "Director" means Director, Office of Federal
Contract Compliance Programs, United States
Department of Labor, or any person to whom the
Director delegates authority;
C. "EmpZoyer identification number" means the
Federal Social Security number used on the Employer's
Quarterly Federal Tax Return, U.S. Treasury Depart-
ment Form 941. •
14
® d. "Minority" includes:
(i) Black fall persons having origins in any
of the Black African racial groups not of
• Hispanic origin);
(ii) Hispanic (aZZ persons of Mexican, Puerto
Rican, Cuban, Central or South American or
other Spanish Culture or origin, regardless
of mace);
(iii) Asian and Pacific Islander (all persons
having origins in any of the original people
of the Far East, Southeast Asia, the Indian
Subcontinent, or the Pacific Islands); and
(iv) American Indian or Alaskan Native (aZZ
persons having origins in any of the original
people of North America and maintaining
identifiable tribal affiliations through
membership and participation or community
® identification).
2. Whenever the contractor, or any subcontractor at any
tier, subcontracts a portion of the work involving any con-
struction trade, it shalt physically include in each subcontract
in excess of $ZO,000 .the provisions of these specifications and
the Notice which contains the applicable goals for minority and
femaZe participation and which is set forth in the solicitations
from which this contract resulted.
3. If the contractor is participating (pursuant to 42
C.F.R. 60-4.5) in the covered area either individually or
through an association, its affirmative action obligations on
all work in the Plan area (including goals and timetables)
shall be in accordance with that Plan for those trades which
have unions participating in the Plan. Contractors must be
able to demonstrate their participation in and compliance with
• the provisions of any such Sometown Plan. Each contractor or
subcontractor participating in an approved Plan is individualZy
required to comply with its obligation under the EEO clause,
and to make a good faith effort to achieve each goal under
the Plan in each trade in which it has employees.. The overall
good faith performance by other contractors or subcontractors
toward a goal in an approved Plan does not excuse any covered
contractor's or auboneontraetor's failure to take good faith
efforts to achieve the Plan goals and timetables.
15
4. The contractor shall implement the specific affirmative
action standards provided in paragraphs 7a through p of these
specifications. The goals set forth in the solicitation from
which this contract resulted are expressed as percentages
of the total hours of employment and training of minority
and female utilization the contractor should reasonably be
able to achieve in each construction trade in which it has
employees in the coverd area. The contractor is expected to
make substantially uniform progress toward its goal in each
craft during the period specified.
5. Neither the provisions of any collective bargaining
agreement, nor the failure by a union with whom the contractor
has a collective bargaining agreement, to refer either
minorities or women shaZZ excuse the contractor's obligations
under these specifications, Executive Order 11246, or the
regulations promulgated pursuant thereto.
6. In order for the nonworking training hours of
apprentices and trainees to be counted in meeting the goals,
such apprentices and trainees must be employed by the contractor
during the training period, and the contractor must have made
a commitment to employ the apprentices and trainees at the
completion of their training, subject to the availability of
employment opportunities. Trainees must be trained pursuant to
training programs approved by the U.S. Department of Labor.
7. The contractor shall take specific affirmative actions
to ensure equal employment opportunity. The evaluation of
the contractor's compliance with these specifications shaZZ
be based upon its effort to achieve maximum results from its
actions. The contractor shaZZ document these efforts fully,
and shall implement affirmative action steps at least as
extensive as the following:
a. Ensure and maintain a working environment free
of harassment, intimidation, and coercion at all sites,
and in all facilities at which the contractor's employees
are assigned to work. The contractor, where possible,
will assign two or more women to each construction project.
The contractor shalt specifically ensure that all foremen,
superintendents, and other on-sits supervisory personnel
are aware of and carry out the contractor's obligation
to maintain such a working environment, with specific
attention to minority or female individuals working at
such sites or in such facilities.
16
b. EetabZish and maintain a current list of minority
and female recruitment sources, provide written notification
to minority and female recruitment sources and to
community organisations when the contractor or its unions
have employment opportunities available, and maintain
a record of the organizations ' responses.
c. Maintain a current file of the names, addresses
and telephone numbers of each minority and female off-the-
street applicant and minority or female referral from
a union, a recruitment source or community organization
and of what action was taken with respect to each such
individual. If such individual was sent to the union
hiring hall for referral and was not referred back to
the contractor by the union or, if referred, not employed
by the contractor, this shaZZ be documented in the file
with the reason therefor, along with whatever additional
actions the contractor may have taken.
d. Provide immediate written notification to the
Director when the union or unions with which the contractor
® has a collective bargaining agreement has not referred to
the contractor a minority person or woman sent by the
contractor, or when the contractor has other information
that the union referral process has impeded the contractor's
efforts to meet its obligations.
e. Develop on-the-site training opportunities and/or
participate in training programs for the area which 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 ehaZZ provide notice of these programs to the
aourcee compiled under 7 b above.
f. Disseminate the contractor's EEO policy by
providing notice of the policy to unions and training
programs and requesting their cooperation in assisting
the contractor in meeting its EEO obligations; by
including it in any policy manual and collective
bargaining agreement; by publicizing it in the company
newspaper, annual report, etc.; by specific review of
the policy with all management personnel and with all
minority and female empZoyeee at Zeaet once a year;
and by posting the company EEO policy on bulletin boards
accessible to all employees at each location where
construction work is performed.
17
g. Review, at least annually, the company's EEO �•
poZicyand affirmative action obligations under these
specifications with all employees having any responsi-
bility for hiring, assignment, Zayoff, termination or .
other employment decisions incZuding specific review
of these items with onsite supervisory pereonneZ such
as Superintendents, General Foreman, etc., prior to the
initiation of construction work at any ,job site. A
written record shaZZ be made and maintained identifying
the time and place of these meetings, persons attending,
subject matter discussed, and disposition of the subject
matter.
h. Disseminate the contractor's EEO policy externally
by including it in any advertising in the news media,
specifically including minority and female news media,
and providing written notification to and discussing the
contractor's EEO policy with other contractors and sub-
contractors with whom the contractor does or anticipates
doing business.
i. Direct its recruitment efforts, both oral and
written, to minority, female and community organizations,
to schools with minority and femaZe students and to
minority and female recruitment and training organizations
serving the contractor's recruitment area and employment
needs. Not later than one month prior to the date for
the acceptance of applications for apprenticeship or
other training by any recruitment source, the contractor
shall send written notification to organizations such
as the above, describing the openings, screening procedures,
and tests to be used in the selection process.
j. Encourage present minority and female employees
to recruit other minority persons and women and, where
reasonable, provide after school, summer and vacation
employment to minority and female youth both on the site
and in other areas of contractor's workforce.
k. Validate aZZ tests and other selection require-
ments where there is an obligation to do so under 41
C.F.R. Part 60-3.
Z. Conduct,, at least annually, an inventory and
evaluation at least of all minority and femaZe personneZ
for promotional opportunities and encourage these
empZoyees to seek or to prepare for, through appropriate
training, etc., such opportunities.
18
m. Ensure that seniority practices, Job olassifi-
catione, work assignments and other personnel practices,
do not have a discriminatory effect by continually
monitoring all personnel and employment related activities
to ensure that the EEO policy and the contractor's
obligations under these specifications are being carried
out.
n. Ensure that all facilities and company activities
are nonsegregated except that separate or singZe-user
toilet and necessary changing facilities shalt be provided
to assure privacy between the sexes.
o. Document and maintain a record of all soZicita-
tione of offers for subcontracts from minority and female
construction contractors and suppliers, including circulation
of solicitations to minority and female contractor assoc?.a-
tions and other business associations.
p. Conduct a review, at least annually, of all
supervisors' adherence to and performance under the
® contractor's EEO policies and affirmative action obli-
gations.
8. Contractors are encouraged to participate in voluntary
associations which assist in fuZfitting one or more of their
affirmative action obligations (7a through p). The efforts
of a contractor association, ,joint contractor-union, contractor-
community, or other similar group of which the contractor is
a member and participant, may be asserted as fuZfitting any
one of more of its obligations under 7a through p of these
Specifications provided that the contractor activeZy participates
in the group, makes every effort to assure that the group has
a positve impact on the employment of minorities and women
in the industry, ensures that the concrete benefits of the
program are reflected in the contractor's minority and female
workforce participation, makes a good faith effort to meet its,
individual goals and timetables, and can provide access to
documentation which demonstrates the effectiveness of actions
taken on behalf of the contractor. The Obligation to comply,
however, is the contractor's and failure of such a group to
fuZfiZZ an obligation shall not be a defense for the contractor's
noncompliance.
9. A single goal for minorities and a separate single
goal for women have been established. The contractor, however,
is required to provide equal employment opportunity and to
take affirmative action for all minority groups, both mate
19
and female, and all women, both minority and non-minority.
Consequently, the contractor may be in violation of the
Executive Order if a particular group is employed in a
substantially disparate manner (for example, even though
the contractor has achieved its goals for women generally,
the contractor may be in violation of the Executive Order '
if a specific minority group of women is underutilised).
10. The contractor shall not use the goals and timetables
or affirmative action standards to discriminate against any
person because of race, color, religion, sex, or national
origin.
11. The contractor shaZZ not enter into any subcontract
with any person or firm debarred from Government contracts
pursuant to Executive Order 11246.
12. The contractor shall carry out such sanctions and
penalties for violation of these specifications and of the
Equal Opportunity Clause, including suspension, termination
and cancellation of existing subcontracts as may be imposed
or ordered pursuant to Executive Order 11246, as amended,
and its implementing regulations by the Office of Federal
Contract Compliance Programs. Any contractor who fails
to carry out such sanctions and penalties shall be in
violation of these specifications and Executive Order 11246,
as amended.
13. The contractor, in fuZfuZling its obligations under
these specifications, shaZZ implement specific affirmative
action steps, at least as extensive as those standards
prescribed in paragraph 7 of these specifications, so as to
achieve maximum results from its efforts to ensure equal
employment opportunity. If the contractor faiZs to comply
with the requirements of the Executive Order, the implementing
regulations, or these specifications, the Director shall
proceed in accordance with 41 C.F.R. 60-4.8.
14. The contractor shaZZ designate a responsible official
to monitor all employment related activity to ensure that the
company EEO policy is being carried out, to submit reports
relating to the provisions hereof as may be required by the
Government and to keep records. Records shall at least include
for each employee the name, address, telephone numbers,
construction trade, union affiliation if any, employee
identification number when assigned, social security number
race, sex, status (e.g., mechanic,apprentice, trainee, helper,
20
or Zaborer), dates of changes in statue, hours worked
per week in the indicated trade, rate of pay, and Zoeatione
at which the work was performed. Records shaZZ be maintained
in an easily underetandable and retrievable form; however,
to the degree that existing records satisfy this requirement,
contractors ehaZZ not be required to maintain separate records.
Z5. Nothing herein provided shaZZ be construed as a
Zimitation upon the appZication of other Zaws which estabZish
different standards of compZiance or upon the appZieation
of requirements for the hiring of ZocaZ or other area residents
(e.g., those under the PubZic Works EmpZoyment Act of 1977
and the Community DeveZopment BZoek Grant Program.)
(c) Notice. Recipient hereby agrees that it will ensure that the
iZ ce 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 suboontracts in excess of $10,000
to be performed in geographical areas designated by the Director,
Office of Federal Contract Cmpliance Programs of the Department
of Labor at 41 C.F.R. Section 60-4.6:
NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL
® EMPLOYMENT OPPORTUNITY (Executive Order 11246):
1. The Offeror'e or Bidder's attention is caZZed to
the "Equal Opportunity Mause" and the "Standard FederaZ
EquaZ E3npZoyment Opportunity Construction Contract Specifi-
cations" set forth herein.
2. The goaZe and timetables for minority and femaZe
participation, expressed in percentage terms for the
contractor's aggregate workforce in each trade on aZZ
construction work in the -covered area, are as follows:
Timetable GoaZe for Goals for femaZe
minority participation participation in
for each trade each trade
Insert goaZe for Insert goaZe for
each year. each year.
These goals are appZicable to aZZ the contractor's con-
struction work (whether or not it is federaZ or federaZZy
assisted) performed in the covered area.
21
1
77he contractor's compliance with the Executive Order and the
regulations in 41 C.F.R. Part 60-4 shall be based on its imple-
mentation of the Equal Opportunity Clause, specific affirmative
action obligations required by the specifications set forth in
41 C.F.R. 60-4.3(a), and its efforts to meet the goals 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 C.F.R. Part 60-4. Compliance with the goals will
be measured against the total work hours performed.
3. The contractor shalt provide written notification
to the Director of the Office of FederaZ Contract Compliance
Programs within ZO working days of award of any construction
subcontract in excess $10,000 at any tier for construction
work under the contract resulting from this solicitation.
The notification shalt list the name, address and telephone
number of the subcontractor; employer identification number;
estimated dollar amount of the subcontract; estimated starling
and completion dates of the subcontract; and the geographical
area in which the contract is to be performed.
4. As used in this Notice, and in the contract resulting
from this solicitation, the "covered area" is (insert
description of the geographical areas where the contract
is to be performed giving the State, county and city, if any).
M IaUoProvisions. Pursuant to regulations set forth at 29
C.F.R.the fo lowing provisions shall be incorporated in all
construction Contracts of $2,000 let by the recipient in carrying
out the Ptoject.
(1) Minimum wages. (i) All mechanics and laborers
employed or working upon the site of the work, will be paid
unconditionally and not less often than once a week, and
Without subsequent deduction or rebate on any account
(except such payroll deductions as are permitted by regu-
Zations issued by the Secretary of Labor under the Cope-
land Act (29 C.F.R. Part 3)), the full amounts due at
time of payment computed at wage rates not Use than
22
those contained in the sage determination decision
of the Secretary of Labor appZicable to the Project,
regardZeea of any contractuaZ relationship which may
be aZZeged to exist between the contractor and such
laborers and mechanics; and the wage determination
decision ehaZZ be posted by the contractor at the site
of the work in a prominent place where it can be
easiZy seen by the workers. For the purpose of this
eZauee, contributions made or costs reasonabZy antici-
pated under section Z(c)(2) of the Davis-Bacon Act on
behalf of laborers or mechanics are considered wages
paid to such Zaborers or mechanics, subject to the
provieione of 29 C.F.R. 5.5 (a)(Z)(iv). AZso for the
purpose of this cZauee, regular contributions made or
coats incurred for more than a weekly period under pZans,
funds, or programs, but covering the partieular weekZy
period, are deemed to be constructiveZy made or incurred
during such weekZy period.
® (ii) The contracting officer shaZZ require that any
class of Zaborers or mechanics, including apprentices
and trainees, which is not Zisted in the wage determination
and which is to be empZoyed under the contract, shaZZ be
cZasai,fied or recZaesified conformabZy to the wage deter-
mination, and a report of the action taken shaZZ be sent
by DOT to the Secretary of Labor. In the event the interested
parties cannot agree on the proper cZassification or reeZaseifi-
cation of a particular class of Zaborers and mechanics,
incZuding apprentices and trainees, to be used, the question
accompanied by the recommendation of the contracting officer,
shaZZ be referred to the Secretary of Labor for finaZ
determination.
(iii) The contracting officer ehaZZ require, whenever
the minimum wage rate prescribed in the contract for a
cZaee of Zaborers or mechanics includes a fringe benefit
which is not expressed as an hourZy wage rate and the
contractor is obZigated to pay a cash equivalent of such
a fringe benefit, an hourZy cash equivaZent thereof to
be estabZished. In the event the interested parties
cannot agree upon a cash equivaZent of the fringe benefit,
the question, accompanied by the recommendation of the
contracting officer, shaZZ be referred to the Secretary
of Labor for determination.
23
(iv) If the contractor does not make payments to a �.
trustee or other third person, he may consider as part of
the wages of any laborer or mechanic the amount of any costs
reasonably anticipated in providing benefits under a plan
or program of a type expreeeZy listed in the wage determination
decision of the Secretary of Labor which is a part of this
contract: Provided, however, the Secretary of Labor has
found, upon the written request of the contractor, that the
applicable standards of the Davis-Bacon Act have been met.
The Secretary of Labor may require the contractor to set
aside in a separate account assets for the meeting of
obligations under the plan or program.
(2) Withholding. DOT may withhold or cause to be
withheld from the contractor 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 taborer 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 reZating 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
empZoyee, his correct cZaesification, rates of pay (including
rates of contributions or costs anticipated of the types
described in section 1(b)(2) of the Davis-Bacon Act), daily
and weekly number of hours worked, deductions made and actual
wages paid. Whenever the Secretary of Labor has found under
29 C.F.R. 5.5 (a)(1) (vi) that the wages of any laborers or
mechanics include the amount of any costs reasonably anticipated
in providing benefits under a plan or program described in
section: 1(b) (2)(B) of the Davis.-Bacon Act, the contractor
shalt maintain records which show that the commitment to
provide such benefits is enforeeable, and that the plan
or program is financially responsible, and that the plan
or program has been communicated in writing to the laborers
or mechanics affected, and records which show the costs
anticipated or the actual cost incurred in providing such
benefits.
24
(ii) The sontraotor wilt submit weskZy a copy of aZZ
payroZZe to the Recipient for transmittal to DOT. The copy
ohaZZ be accompanied by a statement signed by the empZoyer
or his agent indicating that the payroZZe are correct and
complete, that the wage rates contained therein are not
Zoos than those determined by the Secretary of Labor and
that the eZaeeifieatione set forth for each Zaborer or
mechanic conform to the work to be performed. A submission
of the "WeekZy Statement of CompZianee" which is required under
this contract and the CopeZand regulations of the Secretary
of Labor (29 C.F.R., Part 3) and the filing with the initiaZ
payroZZ or any subsequent payroZZ of a copy of any findings
by the Secretary of Labor under 29 C.F.R. 5.5 (a)(1)(iv)
shaZZ satisfy this requirement. The prime contractor shaZt
be responsible for the submission of copies of payrolla of
aZZ subcontractors. The contractor wiZZ make the records
required under the Zabor standards cZauses of the contract
available for inspection by authorized representatives of
DOT and the Department of Labor, and wi.ZZ permit such
representatives to interview empZoyees during working hours
on the ,job.
® Contractors empZoying apprentices or trainees under approved
programs shalt incZude a notation on the first weekly certified
payroZZe submitted to the contracting agencies that their empZoy-
ment is pursuant to an approved program and shalt identify the
program.
(4) Apprentices and Trainees.
(A) Apprentices. Apprentices wiZZ be permitted to work
at Zess than the predetermined rate for the work they perform
when they are employed and individuaZZy registered in a borer
fide apprenticeship program registered with the U.S. Depart-
ment of Labor, EhrpZoyment and Training Administration,
Bureau of Apprenticeship and Training, or with a State
Apprenticeship Agency recognized by the Bureau, or if a person
is employed in hie first 90 days of probationary empZoyment
as an apprentice in such an apprenticeship program, who is
not individuaZZy 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 empZoyment as an apprentice. The
• aZZowable ratio of apprentices to journeymen in any craft
classification shaZZ not be greater than the ratio permitted
to the contractor as to his entire work force under the
registered program. Any empZoyee Zisted on a payroZZ at
25
an apprentice wage rate, who is not a trainee as defined in
subdivision (B) of this subparagraph or is not registered or �.
otherwise employed as stated above, shall be paid the wage
rate determined by the Secretary of Labor for the classification
of work he actually performed.
The contractor or subcontractor will be required to
furnish to the contracting officer or a representative of
the Wage-Hour Division of the U.S. Department of Labor
written evidence of the registration of his program and
apprentices as well as the appropriate ratios and wage
rates (expressed in percentages of the ,journeyman hourly
rates) for the area of construction prior to using any
apprentices on the contract work. The wage rate paid
apprentices shalt not be less than the appropriate percentage
of the journeyman's rate contained in the applicable wage
determination.
(B) Trainees. Except as provided in 29 C.F.R. 5.15, trainees
will not be permitted to work at less than the predetermined
rate for the work performed unless they are employed pursuant
to or individually registered in a program which has received
prior approval, evidenced by formal certification, by the U.S.
Department of Labor, Employment and Training Administration,
Bureau of Apprenticeship and Training. The ratio of trainees
to journeymen shall not be greater than that permitted under
the plan approved by the Bureau of Apprenticeship and Training.
Every trainee must be paid at not less than the rate specified
in the approved program for his level of progress. Any
employee Zisted on the payroll at a trainee rate who is not
registered and participating in a training plan approved by
the Bureau of Apprenticeship and Training shall be paid not
less than the wage rate determined by the Secretary of Labor
for the classification of work he actually performed. The
contractor or subcontractor will be required to furnish the
contracting officer or a representative of the Wage-Hour
Division of the U.S. Department of Labor written evidence
of the certification of his program, the registration of
the trainees, and the ratios and wage rates prescribed in that
program. In the event the Bureau of Apprenticeship and
Training withdraws approval of a training program, the
contractor will no longer be permitted to utilize trainees
at less than the applicable predetermined rate for the work
performed until an acceptable program is approved.
(C) Equal Employment Opportunity. The utilization of
apprentices, trainees and journeymen under this part shall
be in conformity with the equal employment opportunity
requirements of Executive Order 11246, as amended, and
29 C.F.R. Part 30.
26
•� (5) CompZianee with Copeland Regulations (29 C.F.R. Part 3).
The contractor shalt comply with the Copeland Regulations
(29 C.F.R. Part 3) of the Secretary of Labor which are herein
incorporated by reference.
(6) Contract Termination; Debarment.
A breach of clauses (I) through (5) may be grounds
for termination of the contract, and for debarment as provided
in 29 C.F.R. 5.6.
(7) Overtime Reguircmenta.
No contractor or subcontractor contracting for any part
of the contract work which may require or involve the empZoy-
ment of laborers or mechanics shalt require or permit any
taborer or mechanic in any workweek in which he is employed
on such work to work in excess of eight hours in any caZendar
day or in excess of forty hours in such workweek unless such
® laborer or mechanic receives compensation at a rate not less
than one and one-half times his basic rate of pay for all
hours worked in excess of eight hours in any calendar day or
in excess of forty hours in such workweek, as the case may be.
(8) Violation; Liability for Unpaid Wages; Liquidated Damages.
In the event of any violation of the clause set forth in
subparagraph (7), the contractor and any subcontractor
responsible therefor shall be liable to any affected employee
for his upaid wages. In addition,-such contractor and sub-
contractor shaZZ be liable to the United States (in the case
of work done under contract for the District of Columbia or a
territory, to such District or to such territory), for
liquidated damages. Such liquidated damages shall be computed
with respect to each individual laborer or mechanic employee
in violation of the clause set forth in eubparagraph (7), in
the sum of $10 for each calendar day on which such employee
is required or permitted to work in excess of eight hours or
in excess of the standard workweek of forty hours without
payment of the overtime wages required by the clause set forth
in subparagraph (7).
(9) Withholding for Liquidated Damages.
DOT may withhold or cause to be withheld, from any moneys
payable on account of work performed by the contractor or
subcontractor, such owns as may administratively be determined
27
to be necessary to satisfy any Ziabilitiee of such contractor
or subcontractor for liquidated damages as provided in the
clause set forth in subparagraph (8).
(10) Final Labor Sunmary.
The contractor and each subcontractor shall furnish to
the Recipient, upon the completion of the contract, a summary
of all employment, indicating, for the completed Project,
the total hours worked and the total amount earned.
(11) Final Certificate._
Upon completion of the contract, the contractor shall
submit to the Recipient with the voucher for final payment
for any work performed under the contract a certificate
concerning wages and classifications for laborers and
mechanics, including apprentices and trainees employed
on the Project, in the following form:
The undersigned, contractor on
(Contract No. )
hereby certifies that all laborers, mechanics, apprentices
and trainees employed by him or by a subcontractor performing
work under the contract on the Project have been paid wages
at rates not less than those required by the contract
provisions, and that the work performed by each such laborer,
mechanic, apprentice or trainee conformed to the classifications
set forth in the contract or training program provisions
applicable to the wage rate paid.
Signature and title
(12) Notice to the Recipient of Labor Disputes.
Whenever the contractor has knowledge that any actual
or potential labor dispute is delaying or threatens to delay
the timely performance of this contract, the contractor shaZZ
immediateZy give notice thereof, including all relevant in-
formation with respect thereto, to the Recipient.
(13) Disputes Clause.
(i) All, disputes concerning the payment of prevailing
wage rates or classification shaZZ be promptly reported to
28
the Recipient for its referral to DOT for decision or, at the
option of DOT, DOT referral to the Secretary of Labor. The
decision of DOT or the Secretary of Labor as the case may be,
shall be final.
(ii) All questions relating to the application or
interpretation of the Copeland Act, 40 U.S.C. S 276c, the
Contract Work Hours Standards Act, 40 U.S.C. SS 327-333, the
Davis-Bacon Act, 40 U.S.C. S 276a, or Section 13 of
the Urban Mass Transportation Act, 49 U.S.C. S 2609, shall
be sent to UMTA for referral to the Secretary of Labor for
ruling or interpretation, and such ruling or interpretation
shall be final.
(14) Convict Labor.
In connection with the performance of work under this
contract the contractor agrees not to employ any person
undergoing sentence of imprisonment at hard labor. This
does not include convicts who are on parole or probation.
(15) Insertion in Subcontracts.
The contractor shall insert in all construction subcontracts
the clauses set forth in subsections (1) through (25) 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.
(e) Changes in Constr-ction Contracts. Any changes in a construction
contract shall be submitted to DOT for prior approval unless the
gross amount of the changes is $100,000 or less, the contract was
originally awarded on a ccmvetitive basis, and the change does
not change the scope of work or exceed the contract period.
Construction contracts shall include a provision specifiying that
the above requirenrnnt will be met.
(f) Contract Security. The Recipient shall follow the requirements
of CMB Circular A-102, as amended, or A-110, as may be appropriate,
and UMM guidelines with regard to bid guarantees and bonding requirements.
• (g) Insurance During Contruction. The Recipient shall follow the
insurance requirenents normally required by their State and
local governments.
(h) Signs. The Recipient shall cause to be erected at the site of
construction, and maintained during construction, signs
29
satisfactory to DOT identifying the Project and indicating that the
Government is participating in the development of the Project.
(i) Liquidated Damages Provision. The Recipient shall include in all contracts
for oor.struct n,�o ,a clause satisfactory to DOT providing for liquidated
damages, if (1) DOT may reasonably expect to suffer damages (increases
costs on the grant project involved) fran the late om pletion of the
construction and (2) the extent or amount of such damages would be
difficult or Uiossible to assess. The assessment for damages shall be
at a specified rate per day for each day of overrun in omtract time
deducted from payments otherwise due the contractor. This rate, which
mast be satisfactory to DOT, must be specified in the contract.
(j) Provisions of Construction Contract. The terms and conditions of each
competiU: y bid constructiim contract are subject to prior approval by
DOT if the estimated cost will exceed $25,000, unless and to the extent
that such prior approval is waived in writing by DOT. In addition to the
requirements of this Section 110, each construction contract shall
contain, among others, provisions required by subsections (e) , and (f)
of Section 109 hereof.
(k) Actual. Work by Contractor. The Recipient shall require that a construction
contractor perform, on the site and with his own staff, work equivalent
to at least 10 percent of the total amount of construction work covered
by his contract.
(1) Force Account. If costs of construction performed by employees of the
Recipient are estimated to exceed $25,000, prior approval of DOT must
be obtained or else such costs may not be included as eligible
Project Costs.
(m) Safety Standards. Pursuant to Section 107 of the Contract Work
Hours and Safety Standards Act and Department of Labor Regulations at
29 C.F.R. S 1926, no laborer of mechanic working on a construction
contract shall be required to work in surroundings or under work-
ing conditions which are unsanitary, hazardous, or dangerous to
his or her health and safety as determined under construction
and health standards prop lgated by the Secretary of Labor.
Section 111. Environmental, Resource, and Energy Protection and Conservation
Requiremea is.
(a) Compliance with Environmental Standards. The Recipient shall
oomply wit'—h, the prorovisi —s &f the Clean Air Act, as amended (42
U.S.C. S 1857 et seq.) ; the Federal Water Pollution Control Act, as
amerr3ed (33 U.S.C. S 1251 et seq.) ; and implementing regulations,
in the facilities which are involved in the Project for which
federal assistance is given. The Recipient shall ensure that the
facilities under ownership, lease or supervision, whether directly
or under contract, that shall be utilized in the acorn plishment of
the Project are not listed an the EPA's List of Violating Facilities. •
Contracts, subcontracts, and subgrants of amounts in excess of
$100,000 shall contain a provision which requires compliance with
all applicable standards, orders, or requirements issued under
Section 306 of the Clean Air Act (42 U.S.C. 1857(h)) , Section 508
of the Clean Water Act (33 U.S.C. 1368) , Executive Order No. 11738,
and Environmental Protection Agency (EPA) regulations (40 C.F.R.
Part 15) . The Recipient and any third-party contractor thereof
shall be responsible for reporting any violations to tHM and to
30
the EPA Assistant Administrator for Enforcement. In addition, the.
Recipient shall notify UNTA 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 acquired, constructed,
• or unproved as a part of the Project unless the Recipient obtains satis-
factory assurances that they are (or will be) designed and equipped to
limit air pollution as provided in the External Operating Manual and
in 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 ooncurrenoe of DOT.
(d) Historic Preservation. The Recipient shall assist UWA in its compliance
with Section 106 F_EFe National Historic Preservation Act of 1966, as
amended (16 U.S.C. 470) , Executive Order No. 11593, and the Archeological
and Historic Preservation Act of 1966 (16 U.S.C. 469a-1 et seq.) by (a)
consulting with the State Historic Preservation Officer on the conduct
® of investigations, as necessary, to identify properties listed in or
eligible for inclusion in the National Register of Historic Places that
are subject to adverse effects (see 36 C.F.R. Part 800.8) by the activity,
and notifying UWA of the existence of any such properties, and by (b)
complying with all requirements established by UNM to avoid or mitigate
adverse effects upon such properties.
(e) Energy Conservation. The Recipient and its third party contractors shall
recognize mandatory standards and policies relating to energy efficiency
which are contained in the State energy conservation plan issued in compliance
with the Energy Policy and Conservation Act (P.L. 94-163) .
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
Recipient or its employees, in the course of, in connection with, or under
the terms of this Agreement, the Recipient 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,
is and to determine the disposition of all rights in such, invention, improve-
ment, or discovery, including title to and rights under any patent appli-
cation or patent that may issue thereon. The determination of the
Secretary on all these matters shall be aocepted as final, and the Recipient
agrees that it will, and warrants that all of its employees who may be
the inventors will, execute all documents and do all things necessary
or proper to the effectuation of such determination.
31
(b) Except as otherwise authorized in writing by the Secretary or e,
his authorized representative, the Recipient shall obtain patent
agreanents to effectuate the provisions of this clause from all
parsons who perform any part of the work under this Agrt, ,
except such clerical and manual labor personnel as will have no
access to technical data.
(c) Except as otherwise authorized in writing by the Secretary or
his authorized representative, the Recipient will insert in each
third-party contract having design, test, experimental, develop-
mental, or research work as one of its purposes, provisions
making this clause applicable to the third party contractor and
its a ployees.
(d) (1) The Recipient and the third-party contractor, each, may reserve
a revocable, nonexclusive, royalty-free license in each patent
application filed in any country on each invention subject to this
clause and resulting patent in which the Governnant acquires title.
The license shall extend to the third-party contractor's domestic
subsidiaries and affiliates, if any, within the corporate structure
of which the third-party contractor is a part and shall include the
right to grant sublioenses of the same scope to the extent the
third-party contractor was legally obligated to do so at the time
the contract was awarded. The license shall be transferable only
with approval of UMTA except when tranLsfere9 to the successor of
that part of the third-party contractor's business to which the
invention pertains.
(2) The third-party contractor's nonexclusive domestic license
retained pursuant to paragraph (d) (1) of this clause may be revoked
or modified by am to the extent necessary to achieve expeditious
practical application of the Subject Invention under 41 C.F.R.
101-4.103-3 pursuant to an application for aw1usive license submitted
in accordance with 41 C.F.R. 101-4.104-3. This license shall not
be revoked in that field of use and/or the geographical areas in
which the third-party contractor has brought the invention to the
point of practical application and continues to make the benefits
of the invention reasonably accessible to the public. The third-
party contractor's nonexclusive license in any foreign country
reserved pursuant to paragraph (d) (1) of this clause may be revoked
or modified at the discretion of vUM to the extent the third-party
contractor or his domestic subsidiaries or affiliates have failed •
to achieve the practical application of the invention in that
foreign country.
(3) Before modification or revocation of the license, pursuant to
paragraph (d) (2) of this clause, UMTA shall furnish the third-party
contractor a written notice of its intention to modify or revoke the
32
® license, and the third-party contractor shall be allowed 30 days
(or such longer period as may be authorized by UGA for good cause
shcx m in writing by the third-party contractor) after the notice to
show cause why the license should not be modified or revoked. The
• third-party contractor shall have the right to appeal, in a000rdancm
with procedures prescribed by iMA,any decision concerning the
modification or revocation of his license.
(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 Recipient, its employees, its third-
party contractors, or their employees, in the course of, in
connection with, or under the terms of this Agreement, the Recipient
shall so certify to the Secretary or his authorized representative,
no later than the date on which the final report of work done, is
due.
(f) If the Recipient or the third-party contractor is permitted to file
patent applications pursuant to this Agreement, the following
statement shall be included within the first paragraph of the
specification of any such patent application or patent:
The invention described herein was made in the course
of, or under, a Project with the Department of Trans-
portation.
(g) In the event the Recipient or the third-party contractor is permitted
to acquire principal rights pursuant to this clause and fails to
take effective steps within 3 years after issuance of a patent
on any patent applications permitted to be filed pursuant to this
clause to bring the claimed invention to the point of practical
application, the Secretary or his authorized representative may
revoke such rights or require the assignment of such rights to the
Government.
(h) The Secretary or his authorized representative shall, before the
expiration of three (3) years after final payment under this
grant, have the right to examine any books, records, documents,
and other supporting data of the Recipient which the Secretary or
his authorized representative shall reasonably deem directly
pertinent to the discovery or identification of inventions
falling within the criteria set out in paragraph (a) , or to
om plianee by the Recipient with the requirements of this clause.
The Secretary or his authorized representative shall, during
the period specified above, have the further right to require the
Recipient to examine any books, records, documents, and other
supporting data of the third-party contractor which the Recipient
shall reasonably dean directly pertinent to the discovery or
33
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 is delivered or specified to be
delivered under this Agreement. The term includes graphic or
pictorial delineations in media such as drawings or photographs;
text in specifications or related performance or design-type
documents; machine forms such as punched cards, magnetic tape,
or computer memory printouts; and information retained in computer
memory. Examples include, but are not limited to, engineering
drawings and associated lists, specifications, standards, process
sheets, manuals, technical reports, catalog item identifications,
and related information. The tern does not include financial
reports, cost analyses, and similar information incidental to
contract administration.
(b) All "subject data" first produced in the performance of this Agree-
meet shall be the sole property of the Goverment. The Recipient
agrees not to assert any rights at common law or equity and not
to establish any claim to statutory copyright in such data. accept
for its own internal use, the Recipient shall not publish or
reproduce such data in whole or in part, or in any manner or form,
nor authorize others to do so, without the written consent of the
Goverment until such time as the Goverment may have released
such data to the public; this restriction, however, does not
apply to Agreements with Academic Institutions.
(c) The Recipient agrees to grant and does hereby grant to the Govern-
ment and to its officers, agents, and employees acting within the
scope of their official duties, a royalty-free, nonexclusive,
and irrevocable license throughout the world (1) to publish,
translate, reproduce, deliver, perform, use, and dispose of, in
any manner, any and all data not first produced or composed in
the performance of this Agreement but which is incorporated in
the work furnished under this Agreement; and (2) to authorize
others so to do.
(d) The Recipient shall indemnify and save and hold harmless the Govern- S
meet, 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 Pecipieht of proprietary rights, eapyrights, or rights of
34
•® privacy, arising out of the publication, translation, reproducticn,
delivery, performance, use, or disposition of any data furnished
under this Agreement.
(e) Nothing contained in this clause shall imply a license to the
Government under any patent or be construed as affecting the
scope of any license or other right otherwise granted to the
Government under any patent.
(f) In the event that the Project, which is the subject of this Agreement,
is not completed, for any reason whateover, all data generated
under that Project shall beocme subject data as defined in the
Rights in Data clause in this Agreement and shall be delivered as
the Govm'rnment may direct. This clause shall be included in all
third-party contracts under the Project.
(g) Paragraphs (c) and (d) above are not applicable to material furnished
to the Recipient by the Gcverrnpnt and incorporated in the work
furnished under the contract: provided that such incorporated material
is identified by the Recipient at the time of delivery of such
work.
Section 114. Cargo Preference - Use of United States-Flag Vessels.
(a) 46 U.S.C. S 1241 provides in pertinent part as follows:
(b) (1) Whenever the United States shall procure, contract
for, or otherwise obtain for its own account, or shall furnish to
or for the account of any foreign nation without provision for
reumbursement, any equipment, materials, or camjmrodities, within
or without the United States, or shall advance funds or credits
or guarantee the convertibility of foreign currencies in connection
with the furnishing 7 of such equipment, materials, or cmuodities,
the appropriate agency or agencies shall take such steps as may
be necessary and practicable to assure that at least 50 per eentum
of the gross tonnage of such equipment, materials, or commodities
(computed separately for dry bulk carriers, dry cargo liners, and
tankers), which may be transported on privately owned United States-
flag oomoercial vessels, to the extent such vessels are available
at fair and reasonable rates for United States-flag commercial
vessels, in such manner as will insure a fair and reasonable partici-
pation of United States-flag commercial vessels in such cargoes
by geographic areas: ... .
(2) Every department or agency having responsibility under
this subsection shall administer its programs with respect to
this subsection under regulations issued by the Secretary of
Cammeroe ... .
35
(b) Pursuant to regulations published by the Secretary of C auerce at
46 C.F.R. Part 381, the Recipient agrees to insert the following
clauses in all contracts let by the Recipient under which equipment,
materials or c=nodities may be transported by ocean vessel in
carrying out the Project:
The contractor agrees --
(Z) To utilize privately owned United States-flag commercial
vessels to ship at least 50 percent of the gross tonnage (computed
separately for dry bulk carriers, dry cargo liners, and tankers)
involved, whenever shipping any equipment, materials, or commodities
pursuant to this section, to the extent such vessels are available
at fair and reasonable rates for United States-flag commercial
vessels.
(2) To furnish within 30 days following the date of loading
for shipments originating within the United States, or within 30
working days following the date of loading for shipment originating
outside the United States, a legible copy of a rated, "on-board"
commercial ocean biZZ-of-lading in English for each shipment of
cargo described in paragraph (Z) above to the Recipient (through
the prime contractor in the case of subcontractor bills-of-Zading)
and to the Division of National Cargo, Office of Market Develop-
ment, Maritime Administration, Washington, D.C. 20230, marked
with appropriate identification of the Project.
(3) To insert the substance of the provisions of this clause
in all subcontracts issued pursuant to this contract.
Section 115. Buy America.
Pursuant to Section 401 of the Surface Transportation Assistance
Act of 1978 P.L. 95-599, Nov. 6, 1978, and regulations published
thereunder, the Recipient agrees that if the total cost of this
Project or any amendment thereto exceeds $500,000,and if funds therefor
are obligated by the Government after November 6, 1978, the Recipient
shall require with respect to any third party contract thereunder
that exceeds $500,000 that only such unmanufactured articles, materials,
and supplies as have been mined or produced in the United States,
and only such manufactured articles, materials, and supplies as have
been manufactured in the United States substantially all from
articles, materials, and supplies mined, produced, or manufactured,
as the case may be, in the United States, will be used in such Project,
unless a waiver of these provisions is--granted.
36
Upon written request to the Secretary, the Recipient may request
a waiver of the above provisions. Such waiver may be granted if
• the Secretary determines:
. (1) their application would be inconsistent with the public
Interest;
(2) in the case of acquisition of rolling stock, their appli-
cation would result in unreasonable cost (after granting appropriate
price adjustments to domestic products based on that portion of
Project cost likely to be returned to the United States and to
the States in the form of tax revenues) ;
(3) supplies of the class or kind to be used in the manufacture
of articles, materials, supplies are not mined, produced, or
manufactured in the United States in sufficient and reasonably
available quantities and of a satisfactory quality; or
(4) that inclusion of domestic material will increase the
cost of the overall Project contract by more than 10 per centum.
Section 116. Charter and School Bus Operations.
(a) Charter Bus. The Recipient, or any operator of mass transportation,
® acting on its behalf, shall not engage in charter bus operations
outside the urban area within which it provides regularly scheduled
mass transportation service, except as provided under Section 3(f)
of the Urban Mass Transportation Act of 1964, as amended, 49 U.S.C.
S 1602(f) , and regulations published thereunder.
(b) School Bus. The Recipient, or any operator of mass transportation
acting on its behalf, shall not engage in school bus operations,
exclusively for the transporation of students or school personnel,
in cccTpetition with private school bus operators, except as
provided under Section 3(g) of the Urban Mass Transportation Act
of 1964, as amended, 49 U.S.C. S 1602(8) and regulations published
thereunder.
Section 117. Compliance with Elderly and Handicapped Regulations.
The Recipient shall insure that all fixed facility construction or
alteration and all new equipment included in the Project comply with
applicable regulations regarding Transportation for Elderly and Hanci-
capped Persons, set forth at 49 C.F.R. Part 27.
• Section 118. Flood Hazards.
The Recipient shall comply with the flood insurance purchase require-
ments with respect to constriction or acquisition purposes, of
Section 102(a) of the Flood Disaster Protection Act of 1973,
42 U.S.C. S 4012(a) .
l
37
section W. Privacy.
Should the Recipient, its third party contractors or its employees
administer any system of records on behalf of the Federal Government,
the following terms and oonditions are applicable.
(a) The Recipient agrees:
(1) to cenply with the Privacy Act of 1974, 5 U.S.C. S 552a
(the Act) and the rules and regulations issued pursuant to the Act Jten
perfornance under the contract involves the design, development,
or operation of any system of records on individuals to be
operated by the Recipient, its contractors or employees to
ac=rplish a Govenuent function;
(2) to notify the Government when the Recipient anticipates
operating a system of records on behalf of the Government in order
to acoomplish the requirements of this Agreement, if such
system contains information about individuals which will be
retrieved by the individual's name or other identifier assigned
to the individual. A system of records subject to the Act
may not be employed in the performance of this Agreement until
the necessary approval and publication requirements applicable
to the system have been carried out. The Recipient agrees to
correct, maintain, disseminate, and use such records in
acoordanoe with the requirements of the Act, and to ommply
with all applicable requirements of the Act;
(3) to include the Privacy Act Notification contained
in this Agreement in every third party contract solicitation
and in every third party contract when the performance of
work under the proposed third party contract may involve the
design, development, or operation of a system of records on
individuals that is to be operated under the contract to
accomplish a Governmment function; and
(4) to include this clause, including this paragraph, in
all third party contracts under which work for this Agreement
{ is performed or which is awarded pursuant to this Agreement or which
may involve the design, development, or operation of such
a system of records on behalf of the Goverrment.
(b)Fbr purposes of the Privacy Act, when the Agreement involves
the operation of a system of records on individuals to
ac�ccnplish a Government function, the Recipient, third party
contractor and any of their employees is considered to be an
enployee of the Governiment with respect to the Government
function and the requirements of the Act, including the
38
civil and criminal penalties for violation of the Act, are
applicable em pt that the criminal penalties shall not apply
® with regard to contracts effective prior to Septe ter 27, 1975.
In addition, failure to comply with the provisions of the Act
or of this clause will ms)w this Agreement subject to termi-
nation.
(c) The terms used in this clause have the following meanings:
(1) "Operation of a system of records" means performanoe
of any of the activities associated with maintaining the system
of records on behalf of the Gaver:mment including the collection,
use and dissemination of records.
(2) "Record" means any item, collection, or grouping of
information about an individual that is maintained by the
Recipient on behalf of the Gcver� ent, including, but not
limited to, his education, financial transactions, medical
history, and criminal or employment history and that contains
his name, or the identifying number, symbol, or other
identifying particular assigned to the individual, such as
a finger or voice print, or a photograph.
® (3) "System of records" on individuals means a group of
any records under the control of the Recipient on behalf of
the Government from which information is retrieved by the name
of the individual or by some identifying number, symbol, or
other identifying particular assigned to the individual.
Section 120. Miscellaneous.
(a) Bonus or Commission. The Recipient warrants that it has not
paid, ard also agrees not to pay, any bonus or commission for
the purpose of obtaining an approval of its application for
the financial assistance hereunder.
(b) State or Territorial Law. Anything in the Agreement to the
contrary notwi tarxiing, nothing in the Agreement shall
require the Recipient to observe or enforce compliance with
any provision thereof, perform any other act or do any other
thing in contravention of any applicable State or territorial
law; provided, That if any of the provisions of the Agreement
violate yonya applicable State or territorial law, or if compliance
• with the provisions of the Agreement would require the Recipient
to violate any applicable State or territorial law, the
Recipient will at once notify DOT in writing in order that
appropriate changes and nndifications may be made by DOT and the
Recipient to the end that the Recipient may proceed as soon
as possible with the Project.
39
(c) Aeoords. 2w Recipient, and any mass transportation operator
Tor vEM it applies will, for each local fiscal year ending ..
on or after July 1, 1978, conform to the reporting system and
the uniform system of ac=mts and records to the extent
required by section 15 of the Urban Mass Transporation Act
of 1964, as attended, 49 U.S.C. S 1611, effective for each `
local fiscal year ending on or after July 1, 1978, and iMTA
regulations.
(d) Severabilit . If any provision of this Agreement is held invalid,
t7remain of this Agreement shall not be affected thereby
if such remainder would then oontinue to canfo= to the term
and requireomts of applicable law.
t
i
i
t
tt
I
i
t
40 j