HomeMy Public PortalAboutORD09731 BILL- NO.
INTRODUCED BY COUNCILMAN
ORDINANCE NO. 1 131
AN ORDINANCE OF THE CITY OF JEFFERSON, MISSOIRI, AUTHORIZING AND
DIRECTING THE MAYOR AND CITY CLERK OF THE CITY TO EXECUTE A
WRITTEN AGREEMENT ON BEHALF OF THE CITY WITH THE URBAN MASS
TRANSPORTATION ADMINISTRATION FOR A GRANT TO IMPROVE A GENERAL
PUBLIC TRANSPORTATION PROJECT TO BE FUNDED UNDER SECTION 3 OF THE
URBAN MASS TRANSPORTATION ACT OF 1964 AS AMENDED.
BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF JEFFERSON,
MISSOURI AS FOLLOWS:
Section 1. The Mayor of the City of Jefferson, Missouri
is hereby authorized on behalf of the City of Jefferson to execute
a contract between the City of Jefferson and the Urban Mass
Transportation Administration for a grant to construct a new
maintenance and storage facility to be funded under Section 3 of
the Urban Mass Transportation Act of 1964 as amended, in she
amount of Eight Hundred Fifty Nine Thousand Five Hundred Sixty
Eight- dollars ($859,568) .
Section 2. Said agreement shall read to words as follows
(SEE ATTACHED)
Section 3. This ordinance shall take effect and be in
full force after its passage and approval.
Passed SA Approved
res ent of Co it Ma or
ATTEST:
City Clerk
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I
1
APPROVED 1'1tOJWV BUDGEN'
Capital Grant Project No. MO-03-0020
Oplicant: City of Jefferson City, Missouri
The project budget and corresponding cost estimates are as follows:
Project Budget
Line Item Code Description Cost
10.11.20 Construction of maintenance/storage $997,467
facility
32.00.00 Contingencies 95,193
APPROVED FINANCING
Estimated-Gross Project Cost 1,092,660
Revenue Financing 18,200
Estimated Net Project Cost 1,074,460
Federal Grant (80%) $859,568
Local Share (20%) $214,892
SOURCES OF FEDERAL FINANCIAL ASSISTANCE
Code. Year Description Amount
31.10.10.00 1981 Urban Discretionary $859,568
Maximum Federal funds to be expended under this grant: $859,568
(.LN US1?'L
Loca 1
1'I'1M Sec. 3 Sec. 18 C/M_ Totj�l
1. Wstruction of Facility
a. Sitc hrvj)arat:ion $ 313,790 $ 154,233 $ 14,507 $ 482,530
b. Transit/Maintenance 323,170 -0- 253,920 577,090
Building
C. Vehicle Storage 248,170 -0- -0- 248,170
d. Service Canopy 10,857 -0- 10,858 21,715
e. Bus Washer/Shelter 101,48.0 -0- -0- 101,480
2. Fkpirxwent z
4
a. Twin Post Hoist =0- 14,000 -0- 14,000
b. Shop Vac System -0- 800 -0- 800
c. Lt. Vehicle Hoist -0- -0- 6,640 6,640
® Misc. Equil.cr--nt - -0- 15,000 15�000 30�000
Sub TuLals: 997,467 184,033 300,925 1,482,425
Contingencies 95 193 18 402 30 U0 143,595
Gross Estim- t.ed Project 1,092,660 202,435 330,925 1,626,020
Budget.
Deduct Revenue Fi.nancing: (18,200) _ -0-_ -0-- (18,200)
Total Estimated Project 1,074,460 202,435 330,925 1,607,820
Budyet:
Total Federal Share (80%) 859,568 161,948 -0- 1,021,516
Total Total Share (20%): 214,892 40,487 330,925 586,304
t.
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
NOTIFICATION OF GRANT APPROVAL
49 U.S.C. § 1602
(SECTION 3 - CAPITAL ASSISTANCE)
Project No. MO-03-0020
GRANTEE: City of Jefferson City, Missouri
ESTIMATED TOTAL PROJECT COST: $1,092,660 (One Million, Ninety Two
Thousand, Six Hundred Sixty Dollars
ESTIMATED NET PROJECT COST: $1,074,460 (One Million, Seventy-Four
Thousand, Four Hundred Sixty Dollars
MAXIMU:-q FEDERAL SHARE: $859,568 (Eight Hundred Fifty Nine Thousand,
Five Hundred Sixty-Eight Dollars
OBLIGATION DATE: September 15, 1981
SOURCES OF FEDERAL FINANCIAL ASSISTANCE:
31.10.10.00 1981 Urban Discretionary $859,568
DATE OF SECTION 13 (c) CERTIFICATION LETTER
FROM THE DEPARVIENT OF LABOR: June 30, 1981
PROJECT DESCRIPTION:
- Construction of a maintenance/storage facility
- Contingency
Special Provision: The Advisory Council on Historic Preservation's
Memorandum of Agreement mitigating the effects
of the proposed project is herein incorporated by
reference and made a part of this Notification.
DATE RDGI NAL ADMINISTRATOR
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
prior Grant and if the Government's share was limited to
6 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
t the same time a refund to the Government of a proportional
Wount 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
fire, the damages paid by the insurance carrier or payable
m the self-insured reserve account shall be considered
air 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. § 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
a
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,
rms and Conditions. Should the grant award letter include
ecial 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 .
resentations, 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 44 day of , 19�.
ATTEST: BY: -
TITLE AND --
ORGANIZATION --TITLE AND ORG IZATI-Off
Page 4
Certificate of Grantee' s Attorney
® I, /,yVbF-L N. �RiJ�eF��tDr 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 has previously been submitted to UMTA. The
execution of this Grant and the proceedings taken by the
' Grantee are in all respects due and proper and in, accordance
with applicable State and local law. I further certify
that, in my opinion, said Grant constitutes a legal and
binding obligation of the Grantee in accordance with the
terms thereof and certify that to the best of my knowledge
there is no legislation or litigation pending or threatened
which might affect the performance of the Project in accordance
with the terms of this Grant.
Dated this :Zt)l' day of 19 G2-
SIGNATURE
TITLE AND ORGANIZA I
•
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}�1MUTED SUM�O�F* AM MICA
YFGM MASS - tUilLAii0N A{A'=.7Titl4TIC
WASHnOMN, D.C. 20590
OF TR4*�4s
• 4
`off ,�T
OSTATES OF
UFOI MASS TRAN.SPOT?WICN AGREEMENT
PART II
TERMS AND CCNDITICNS
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 urns
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
h btents of 1977, 42 U.S.C. S 7505.
SE
'- `:/20/80
TABLE OF CCN22M
Section 101. Definitions...... ............................ ..... :.. .1
® Section 102. Accomplishment of the Project.......... ......... ... ... .2
(a) General Requirements. ..... ............... ........2
(b) Pursuant to Federal, State and Local Law........ .2
(c) Funds of the Recipient... ....... .... .... .. ... ....2
(d) Suhmi.ssion of Proceedings, Contracts, and Other
Documents. . .......... ..... ........... ..... ... ...3
(e) Changed Conditions Affecting Performance. ..... . ..3
(f) No Government Obligations to Third Parties.......3
(g) Land Acquisition Policy. ............ ...... .......3
Section 103. The Project Budget. ............. .............. ........3
Section 104. Accounting Records....................... ... . .........3
(a) Project Accounts. .... ..... ... ... .... .. ... ........3
(b) Funds Received or Made Available for the
Project......... .... .......... ..... .... .. .......3
(c) Allowable Costs... ............. ....... .. ....... ..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 Women's Business
Enterprise.................... ....... ... . .......8
(c) Title VI - Civil Rights Act of 1964.............. 10
(d) Competitive Bidding.............................. 10
(e) Ethics. ..... .... . ................................ 10
(f) Interest of Menbers of or Delegates to
Congress........:................ ............... 11
Section 110. Construction Contracts................................ 11
(a) Nondiscrimination..... ..................... ...... 11
(b) Specifications........ .... ..... .................. 14
i ) i a tron . . .... . . . . . ........ 22 d Provisi
ons. . .. . . ..... . . .
(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 Account....... ............................. 30
(m) Safety Standards............... .................. 30
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Section 111. Envi=mn mtal, Pmwurce and P nwW Protection and
ccrug/er�vat{ion/�R pe�gaiLrenen..t�s1....�...... .�..}""...�.................30
(a) Ompliance with En�iromental stwx1 rds. ...... ...30
(b) Air Pollution................. ...................31
(c) Use of Public Lan ds..............................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. Charter and School Bus Operations.. ...................37
(a) Charter Bus........... .................. ...... ...37
(b) School Bus............ ......... ..................37
Section 117. Compliance with Elderly and Handicapped
Regulations................................... .......37
Section 118. Flood Hazards. ............................... .........37
Section 119. Privacy.................... ...........................38
Section 120. Miscellaneous.. .................... ...................39
(a) Bonus or Camiission.......... .. ..... ........ ......39
(b) State and Territorial Law..... ...... .. .. .........39
(c) Records........................ ..... .... ....... ..40
(d) Severability.................... ..... ... ...... ...40
ii
DI IWIM T Cr TAA[SPCRr=C N
AGNMHENr ..
S PART 11 -- ZT.M AMID WIDMONS
Constituting part of the AGFjM2i= 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 UMM by or an behalf of the Recipient, which has been accepted
and approved by MM. .
"Approval, Authorization, Concurrence, Waiver" means a conscious,
written act by an authorized official of the Government granting
permission to the Recipient to perform or omit an act pursuant to
this Agreement which could not be performed or anitted without such
permission. An approval, authorization, concurrence, or waiver
S permitting the performance or omission of a specific act shall not
constitute perndssicn to perform or snit similar acts unless such
broad permission is clearly stated. Oral permission or interpreta-
tions shall have no legal force or effect.
"External Operating Manual" means the most recent UNIA manual of
that title, which presents information about the UMTA programs,
application processing procedures, and guidance for administering
approved projects; There are also UMTA and DOT directives applicable
to the Project.
"Government" means the United States of America, or its cognizant
Agency, the Department of Transportation (DOT) or its Agency, the
Urban Mass Transportation Administration MCA) 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.
t
"Project" mom the task or met of tasks provided for in the Project
budget which the Recipient urslertakes to perform pursuant to the
Agreement with UWA.
"Project Budget" means the most recently dated statement, approved by S
[MM, 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
from [M A. for the ao=gplishment of the Project. The term "Recipient"
includes any entity to which federal funds have been passed through
for the acoomplishment of the Project.
"Secretary" means Secretary of the Department of Transportation or
his duly authorized designee.
Section 102. Accomplishment of the Project.
. .
(a) General tiegLLa ements. The Recipient shall camence, carry on, and
complete the Project with all practicable dispatch, in a sound,
economical, and efficient manner, and in accordance with the
provisions hereof, the Application, and all applicable laws and
regulations.
(b) Pursuant to Federal, State, and Local Law. In performance of its
0511gations pursuant to this Agreement, the Recipient and its con- t
tractors shall comply with all applicable provisions of Federal,
State, and local law. All limits or standards set forth in this
Agreement to be observed in the performance of the Project are
minimum requirements, and shall not affect the application of more
restrictive State or local standards for the performance of the
Project; provided, however, in its procurement actions pursuant
to the Project, the Recipient shall not give any preference to or
discriminate against goods and services produced or manufactured in
any country, State, or other geographical area except as provided
in Section 115 below. The Recipient agrees further that notwithstanding
the requirements in Section 115, no Federal funds shall be used to
support procurements utilizing exclusionary or discriminatory
specifications, nor shall federal funds be used for the payment of,
ordinary governmental or nonproject operating expenses.
(c) Funds of the Recipient. The Recipient shall initiate and prosecute •
to completion 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 Dowarnts„ go
W p ent ttoo 'TWIN aoaatyaanc MM Gat&jnprcirts, rsooacds,
contracts and other da. =nts relating to the Psoiact as the t
may require. The Aecipisnt stall retain intact, far three years
following Project close-oust, all Project dxwmts, financial
records, and supporting documents.
(e) RM2ed conditions Affecting Performw ce. The Recipient shall iamadi-
e no i=y URW—cot ate'--'---°r
Y Y y orange an conditions or local law, or of
any other event, which my significantly affect its ability to
Perform the Project in accordance with the provisions of this
Agreement.
(f) No Govern ent Cbl�2aticns to Third Parties. The Government shrill
not be, sject to any obligations or-11MMities by contractors
of the Recipient or their subcontractors or any other person not
a party to this Aareement in connection with the verfonn=e 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) Iand Acquisition Policy. Any acquisition of land for use in connection
wi Project Host 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.
Suction 104. Aq ousting`
(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 and Budget (am) Circular A-102, as amended,
or A-110, as may be appropriate.
(b) Funds Received or Mode Available for the Project. In accordance with
provisions of ar A-102, as , or A-110, as may be
appropriate, the Recipient shall record in the Project Acco=unt, and
deposit in a bank or trust company which is a number 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 LMrA prooadures. A separate bank account
may be required when drawdoans are made by letter of credit.
3
(c) Allowable Costs. E)pInditurss made by the Recipient shall be reim-
SER a as owable costs to the eQctent they meet all of the
requirements set forth below. Ow must:
(1) be made in oonfo=wnce with the Project Description and
the Project Budget and all other provisions of this Agreement;
(2) be necessary in order to acomVlish the Project;
(3) be reasonable in ==nt for the goods or services purchased;
(4) be actual net costs to the Recipient (i.e., the prioe 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 fran TEA to the
contrary is received;
(6) be in conformance with the stands for allowability of
costs set forth in Federal Management Circular (FMC) 74-4 and
with any guidelines or regulations issued by UM; in the case of
Projects with educational institutions, the standards for allowability
of cost set forth in Office of Management and Budget (CMB) Circular
A-21 Revised, rather than the standards of ENC 74-4, shall apply;
(7) be satisfactorily documented; and
(8) be treated uniformly and consistently under accounting
principles and procedures approved or prescribed by ffiMTA 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,
includir:g 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
pient
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 vouches then on file in the office of the
Recipient stating in proper detail the pupose. 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 doc mints.
4
M Recipient t
its oontractcss to petit, the Secretary a theCOTtrollar Gonerai
of the United States, or any of their duly authorized respresentatives
to inspect all work, materials, payrolls, and other data and records
with regard to the Project, and to audit the books, records, and
® accounts of the Recipient and its contractors with regard to the Project.
Recipients that are State or local ga rn ants or Indian tribal govern-
ments shall be responsible for malting the audit requirements of OM
Circular A-102, Attachment P, or any revision or supplement thereto. The
Recipient is responsible for auditing third party contracts and agreements.
UMTA 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 &xxx ttant which shall include
as a minimum 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
yam•
Section 105. Requisitions and Payments.
(a) Requests for Payment by the Recipient. The Recipient may make
® requester payment of e federal share of allowable costs, and
UMTA will honor such requests in the manner set forth in this
section. Payments made to Recipients must comply with 31 C.F.R.
Part 205. Recipients shall follow the procedures set forth in UMM
Circular 9050.1. In order to receive federal assistance payments, the
Recipient must:
(1) completely execute and submit to UMTA the information
required by Standard Form 270;
(2) submit to UMTA an explanation of the purposes for which
costs have been incurred to date or are reasonably eccpected to be
incurred within the requisition period (not more than 30 days after
the date of submission) t
(3) deronstrate or certify that it has supplied local finds
adequate, when combined with the federal payments, to cover all
costs to be incurred to the and of the requisition period;
(4) have sub=mitted to UMrA all financial and progress reports
required to date under this Agrewent; and
• (5) identify the source(s) of financial assistance provided
under this Project from which the payment is to be derived.
(b) Paymentnt the goverment. Upon receipt of the requisition and the
acoatgaany�g udovmation in satisfactory form, the Govexwent will
process the requisition i,i the Recipient is complying with its
obligations pursuant to the Agreement, has satisfied UbKM of its
need for the federal funds requested during the requisition period,
and is making adequate progress towards the timely completion of
the Project. i.f all of these c are found to exist,
5
/ I
I
the Goven ant will reimburse apparont allowable costs incurred (or
to be incurred during the requisition period) by the Recipient up
to the maximum &Tarot of the federal assistance payable through the •
fiscal year in which the requisition is submitted as stated in the
Project RAget. HoWever, rebdurseg ent of any cost pursuant to
this section shall not constitute a final determination by the
Governrent of the allowability of such cost and shall not constitute
a waiver of any violation of the terms of this Agreement oarmlitted
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 UMTA determines that the Recipient is not currently
eligible to receive any or all of the federal funds requested, it
shall prcmptly.notify the Recipient stating the reasons for such
determination.
(d) Disallowed Costs. In determining the amount of the federal assistance, UWA
will exclude a -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 UMrA advises in writing to the contrary; any
costs incurred by the Recipient which are not provided for in the
latest approved budget for the Project; and any costs attributable
to goods or servioeE received under a contract or other arrangement
which has not been concurred in or approved in writing by UMTA.
Exceptions to the above statement on disallowed costs are contained
in the External Operating Manual or in written guidance from UMTA.
(d) Letter of Credit. 1%,=l.d a letter of credit be issued to the
Recap ant, the ollowing terms an 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 meruner as required by the Government.
(3) the Recipient shall provide for effective control and
accountability for all Project funds in aeoordanoe with require-
awts and procedures issued by the Government for use of the letter
Of credit.
(4) the Recipient shall inpose on its subrecipients all the
requirsments of Section 105(d) (1) (2) and (3) above as applicable.
(5) should the Recipient fail to adhere to the of
Section 105(d) (1) (2) (3) and (4) above, the Gover mwt may xwMw
the unobligated portion of the letter of credit.
6
(6) Section 105(a) , (b) , and (c) above remain effective to the
extent that they do not conflict with the provisions of section 105(d) .
(e) Interest on Late Payments. Upon notice by UM to the Recipient of
specific aamounts awe 19 Govelmment, the Recipient shall promptly
remit any excess payment of amounts or disallowed costs to UMTA.
Interest may be assessed from the time of notice and charged for any
amounts due to the Government that are not paid as set forth in the
Treasury Fiscal Raquirements Manual.
Section 106. Right of Government to Terminate. Upon written notice to
the Recipient, the Government reserves the right to suspend or terminate
all or part of the financial assistance provided herein if the Recipient
is, or has been, in violation of the terms of this Agreement or if UMTA
determines that the purposes of the Act would not be adequately served
by continuation of federal financial assistance for the Project. Any
failure to make progress or other violation of the Agreement which
significantly endangers substantial performance of the Project within
a reasonable time shall be deemed to be a violation of the terms of
this Agreement. Termination of any part of the financial assistance
will not invalidate obligations properly incurred by the Recipient and
concurred in by UMTA prior to the date of termination, to the extent
they are noncancellable. The acceptance of a remittance by the Government
of any or all Project Funds previously received by the Recipient or
the closing out of federal financial participation in the Project shall
not constitute a waiver of any claim which the Government may otherwise
have arising out of this Agreement.
Section 107. Project Cmpletion, 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. Lin
receipt of this information, UMTA 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 UMTA has made payments to the Recipient in excess of
the total amount of such federal assistance, the Recipient shall promptly
remit to UMTA such excess and interest as may be required by section
105 (e) . Project closevout 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 acknowledged by UMTA.
Close-out shall not invalidate any continuing obligations imposed on the
Recipient by this Agreement or contained in the final notification or
acknowledgement from txM.
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 109. Restrictions, Prohibitions, Controls, and Labor Provisions.
(a) Egual t]tgloryeent Opportunity. In oarmectian with the carrying out
of the Project, the Recipient shall not discriminate against any
enployee or applicant for employment because of race, color, age,
creed, sex, or national origin. The recipient shall take affirmative
action to ensure that applicants are employed, and that employees
are treated during employment, without regard to their race, color,
religion, sex, age,or national origin. Such action shall include,
but not be limited to, the following: employment, upgrading, derotion
or transfer, recruitment or recruitment advertising, layoff or
termination; rates of pay or other forms of compensation; and
selection for training, including apprenticeship. Tine recipient
shall insert the foregoing provision (modified only to show the
particular contractual relationship) in all of its contracts
in connection with the development or operation of the Project, except
contracts for standard commercial supplies or raw materials and
construction contracts subject to the provisions of Section 110 (a)
of this Agreeient, and shall require all such contractors to insert
a similar provision in all subcontracts, except subcontracts for
standard oarmierical supplies or raw materials.
If, as a condition of assistance, the recipient has submitted,and the
Government has approved, an equal eirployment 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
dual employment opportunity program shall be treated as a violation
k , this Agreement. Upon notification to the Recipient of its failure
to carry out the approved program, the Government will impose such
remedies as it may deem appropriate, which remedies may include
termination of the Agreement as provided in Section 106 of this
Agreement or other measures that rely affect the ability of the
Recipient to obtain future financial assistance under the Urban
Mass Transportation Act of 1964, as amended, or the Federal Aid
Highway Act of 1973, as amended.
(b) Minority and Women's Business En rise. The Recipient shall be
responsible tar meeting the applicable regulations regarding
participation by minority business enterprise (MBE) in Department
of Transportation program set forth at 49 C.F.R. Part 23, 45 F.R.
21172 et seq. , March 31, 1980, or any revision or supplement thereto.
Pursuant to the requirements of section 23.43 of those regulations:
(1) PoZiey. It is the poZicy of the Department of Transportation
that minority business enterprises, as defined in 49 C.F.R. Part 23,
ehaZZ have the maximum opportunity to participate in the performance
of contracts financed in whole or in part with federaZ funds under
this agreement. ConsequentZy, the ABE requirements of 49 C.F.R.
Part 23 apply to this agreement.
8
(2) MBE Obligation. The Reotipie t and its oontraotore agree to
ensure that minority business enterprises as defined in 40 C.F.R. Part
23 have the maximum opportunity to partioipate in the perforrranos of
oontraote and auboontraots financed in whole or in part with federal
funds provided under this Agreement. In this regard all Recipients and
contractors shall take aZZ necessary and reasonable steps in accordance
with 49 C.F.R. Part 23 to ensure that minority business enterprises have
the maximum opportunity to oompete for and perfomt oontraots. 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 programs 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 cleans appropriate.
(5) Recipients shall take, action concerning lessees as follows:
(A) Recipients shall not exclude ME's from participation in
business opportunities by entering into long-term, e=lusive agreements
with non-QE's for operation of major transportation-related activities
for the provision of goods and services to the facility or to the public
on the facility.
(8) Recipients required to submit affirmative action programs
under section 23.41(a) (2) or (a) (3) that have business opportunities for
lessees shall submit to the Department for approval with their programs
overall goals for the participation as lessees of firms owned and controlled
by minorities and firms owned and controlled by women. These goals
shall be for a specified period of time and shall be based on the factors
listed in section 23.45(g) (5) . Recipients shall review these goals at
least annually, and whenever the gala expire. The review shall analyze
eprojected versus actual FIDE participation during the period covered by
the review and any changes in factual c s affecting the selection
9
of goals. Following each review, the Recipient shall subrdt new overall
goals to the Department for approval. Recipients that fail to mast
their goals for W lessees shall demonstrate to the Department in
writing that they made reasonable efforts to most 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.
i
(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 DORLassisted contracts
between the Recipient or subreciplents and any third party contractor.
(c) Title VI Civil Rights Act of 1964. The Recipient will amply and
will assure the compliance by contractors and subcontractors under
this Project with all the requirements imposed by Title VI of the
Civil Rights Act of 1964 (49 U.S.C. S 2000d) , the Regulations of
DOT issued thereunder, 49 C.F.R. Part 21 and the Assurance by the
Recipient pursuant thereto.
(d) Competition in Procurement. The Recipient shall amply with the
Procurement S r is set forth in Attachment 0 of CMB
Circular A-102, as amended, or A-110, as may be appropriate; and
with any supplementary guidelines or regulations as may be pramllgated
by the Government.
(e) `hics. The Recipient shall maintain a written code or standards
orcorJuct which shall govern the performance of its officiers,
employees or agents engaged in the award and administration of
contracts supported by Federal funds. Such code shall provide that
no employee, officer or agent of the Recipient shall participate in
the selection, or in the award or administration of a contract
supported by federal funds if a conflict of interest, real or
apparent, would be involved. Such a conflict would arise when any
of the parties set forth below has a financial or other interest in
the firm selected for award:
I
10
i
1. the NW10yee, officer coy Went;
Z. any mober of his k= diats familyt
e3. his or her partn0r; ar
4. an organization which sgAcys, or is about to saploY P any
of the above.
The code shall also provide that the Recipient's officers, agaoyses or
agents shall neither solicit nor accept gratuities, favors or anything
of =netary value #icm con so potential oon s, ar parties
to subegreenr+nt.�+.
The Recipient may set minimtm rules where the financial interest
is not substantial or the gift is an unsolicited item of nominal
intrinsic value.
Zb 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, eemployess, or agents, or by contractors
or their agents.
(f) Interest of Members of or Delegates to 9_ ss. No member of or
® delegate to Congress or the united to s iMll 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 ro M Incorporated into any contract for construction work,
or modification thereof, as defined in the 'Regulati,ans 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 Wmnmwnt
or borrowed on the credit of the Federal 0enst pursuant to a
grant, contract, loam, insurance, or guarantee, or undertaken
pursuant to any federal program involving such grant, contract,
loan, 'insurance, or guarantee, the following equal opportunity
c].auee
11
r
During the performance of this oontraot, the oontraotor agues
as follows:
(1) The contractor will not discriminate against any
employee or applicant for employment because of race, color,
religion, sex, or national origin. The contractor will take
affirmative action to ensure that applicants are employed,
and that employees are treated during employment without
regard to their race, color, religion, sex, or national origin.
Such action shall include, but not be limited to the following:
Employment, upgrading, demotion, or transfer; recruitment or
recruitment advertising; layoff or termination; rates of pay
.or other forms of compensation; and selection for training,
:Including arprenticeship. The contractor agrees to post in
conspicuous places, available to empZoyees and appZieanta for
employment, notices to be provided setting forth the provisions
of this nondiscrimination clause.
(2) The contractor wiZZ, in all solicitations or advertise-
•wnts for employees placed by or on behalf of the contractor,
state that all qualified applicants will receive consideration
.0or 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 pZaoee available to
employees and applicants for employment.
(4) The contractor will comply with all provisions of
Exeeutive .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 • 4rnish all information and reports
required by Executive Order 11246 of September 24, 1965, as
amended, and by rules, regulations, and orders of the Secretary
of Labor, or pursuant thereto, and will permit access to his
books, records, and accounts by the administering agency and
the Secretary of Labor for purposes of investigation to
ascertain compliance with such rules, regulations, and orders.
(6) In the event of the contractor's noncompliance with
the non-discrimination clauses of this Agreement or with any
of the said rules, regulations or orders, this Agreement may be
12
oancelled, terminated, or suspended in whote or in part and
-the, oontraotor may be declared ineligible for fkrther
Covernnwnt oontraots or federally assisted construction
oontracte in accordance with procedures authorised in
• Executive Order 11246 of September 24, 1865, as amended,
and such other sanctions may be imposed and remedies invoked
as provided in Executive Order 112#6 of September 240 1965,
as amended, or by rule, regulation, or order of the Secretary
of Labor, or as otherwise provided by Zaw:
(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 unZess 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 provisione ehaZZ be binding upon each subcontractor
or vendor. The contractor will take such action with respect
to any subcontractor purchase order as the administering
agency may direct as a means of enforcing ouch 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 a&ninistering 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 om employment practices
when it participates in federally assisted construction work; Provided
That if the Recipient so participating is a State or local 9ov t amt,
the above equal opportunity ciaum is not applicable to any agency,
instrumentality or subdivision of such goverrvant which sloes not
participate in work an 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 oanplianoe 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 information as they may
require for the supervision of such cwplianoe, and that it will
otherwise assist the administering agency in the discfiarge of the
agency's primary responsibility for scarring ponpliance.
7e Recipient further agrees that it will refrain from
entering into any contract or contract modification subject to
Executive Orcder 11246 of September 24, 1965, as mended, with any
13
OQ1traCttir debarred frm, or %ft has not docnatratad GlivibilitV
for Goven ent contracts ad fedarally ami" construction contracts
pursuant to the Decutive Ozdar wd will carry out such sanotions
and penalties for violatian of the equial tunity clause as
may be imposed upon contractors and subcontractors by the afninistering
agency or the Secretary of Lateen pursuant to Part II, Subpart D of
the Decutive Order. In addition, the Mcipient agrses that if it
fails or refuses to oonply 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 pr+oo®edings.
(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 OPFORTUNITY CONSTRUCTION
CONTRACT SPECIFICATIONS (Executive Order 11246):
1. As used in these specifications:
a. "Covered area" means the geographicaZ area
described in the solicitation from which this
contract resulted;
b. "Director" means Director, Office of FederaZ
Contract CompZiance Programs, United States
Department of Labor, or any person to whom the
Direotor delegates authority;
ce "Employer identifieation number" means the
Federat Social Security number used on the E*pZoyer's
Quarterly FederaZ Tax Return, U.S. Treasury Depart-
ment Form 941.
•
14
d. %*Writy" inotudee:
(i) Black (alt
• persons having origins i any
of the Black African r�aoiat groups not o f
Hispanic origin);
(ii1 Hispanic (aZZ persons of Mexican, Puerto
Rican, man, Central or South American or
other Spanish Culture or origin, regardless
of race);
(iii) Asian and Pacific Islander (alt 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).
E. Whenever the contractor, or any subcontractor at any
tier, subcontracts a portion of the work involving any oon-
® struction trade, it shaZZ physioaZZy include in each subcontract
in excess of $Z0,000 the provisions, of these specifications and
the Notice which contains the applicable goals for minority and
female participation and which is set forth in the soZicitations
from which this contract resulted.
J. If the contractor is participating (pursuant to 41
C.F.R. 60-4.5) in the covered area either individually or
through an association, its affirmative action obligations on
all work in the Plan area (including goals and timetables)
shaZZ 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 oompZiance with
the provisions of any such Hometown Plan. Each contractor or
subcontractor partioippaating in an approvsd PZan is individually
required to comply with its obligations under the EEO clause,
and to make a good faith effort to achieve each goat under
the Plan in each trade in which it has employees. The overall
good faith perfor+nanas by other contractors or subcontractors
ta,ar+d a goal in an approved Ptan does not excuse any covered
contraotor's or suboncontraator's failure to take good faith
efforts to achieve the Plan goals and timetables.
is
I
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 utilisation the contractor should reasonably be
able to achieve in each construction trade in which it has
employees in the ooverd. area. The contractor is expected to
make' substantiaZZy uniform progress toward its goal in each
craft during the period specified.
S. Neither the provisions of any collective bargaining
agreement, nor the failure by a union with whom the contractor
has a collective bargaining agreement, to refer either
minorities or women shalt 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 shalt take specific affirmative actions
to ensure equal employment opportunity. The evaluation of
the contractor's compliance with these specifications shalt
be based upon its effort to achieve maximum results from its
actions. The contractor shall document these efforts fully.
and shall .implemrent affirmative action steps at Zsast as
extensive as the following:
a. Ehsure and maintain a working environment free
of harassment, intimidation, and coercion at all sites,
and in all facilities at whieh.'the contractor's employees
are assigned to work. The contractor, where possible,
still assign two or more women to each construction project.
The contractor shall specifically ensure that all foremen,
superintendents, and other on=sit a 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. aetabtish and maintain a ourrent list of minority
OW femaZe recruitment sources, provide written notifioation
to minority and female recruitment eouroes and to
oommunity organixations When the oontmotor or its unions
have employment opportunities available, and maintain
a record of the organisations ' responses.
o. Maintain a current file of the names, addressee
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 organisation
and of What action was taken with respect to each such
individual. If such individuaZ 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 shalt be documented in the file
with the„r�eaggn therefor, along with whatever additional
actions the contractor may have taken. w
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 needis especially those programs
f4nded or approved by the Department of Labor. The
contractor shalt provide notice of these programs to the
sources coMi Zed 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 ooZZeotive
bargaining agreement; by pubZioiaing it in the company
newspaper, annual report, etc.; by specific review of
the policy with aZZ management personnel and With aZZ
minority and female employees at least once a year;
and by posting the company EEO poZioy on butZetin bonds
• accessible to aZt employsee at each location where
00"truction work is performed.
17
1
i
p. Review, at toast annually, the oagwy's ATO
Policy and affirmative aotion obligations under these
speoifioations with all employees having any reeponsi-
Wity for hiring, assigniwnt, layoff, termination or
other employment decisions including specific review
of these items with onsite supervisory personnel such
as Superintendents, General Foreman, etc., prior to the
initiation of construction work at any job site. A
written record shalt be made and maintained identifying
the time and place of these meetings pereone attending,
subject matter discussed, and disposition of the subject
matter.
h. Disseminate the contractor's EEO poZiey esternatty
by including it in any advertising in the news media,
speoifioaZZy 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 organisations,
to schools with minority and female students and to
minority and famaZe recruitment and training organisation
serving the contractor's recruitment area and employment
needs. Not later than one month prior to the date for
the acceptance of appZicatione 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 sohooZ, summer and vacation
employment to minority and female youth both on the site
and in other areas of contractor's workforce.
k. Validate all tests and-other selection require-
ments where there is an obligation to do so under 41
C. F.R. Part 60-3.
Z. Conduct, at least annually, an inventory and
evaluation at least of all minority and female personnel
for promotional opportunities and encourage these
employees to seek or to prepare for, through appropriate
training, etc., such opportunities.
J 18
M. Owure that seniority praotiose, job otassifi-
oations, work assignments and other persormet praotioss,
do not have a discriminatory effect by oontinuatly
monitoring all personnel and vVZoyment related activities
• to ensure that the EEO policy and the ooritraotor's
obligations under these specification* are being carried
out.
n. ,hsure that all facilities said company activities
are nonsegregated except that separate or single-user
toilet and necessary changing facilities shaZZ be provided
to assure privacy between the sexes.
o. Document and maintain a record of all soZicita-
tions of offers for subcontracts from minority and female
construction contractors and suppliers, including circulation
of egZieitations to minority and female contractor asebeia-
tione and other business associations.
p. Conduct a review, at Zeaet annually, of all
supervisore' adherence to and performance under the
contractor's EEO poZiciee and affirmative action obZi-
gations.
8. Contractors are encouraged to participate in voluntary
associations which assist in fulfilling one or more of their
affirmative action obligations (7a through p). The efforts
of a contractor association, joint oontraotor-union, contractor-
community, or other similar group of which the contractor is
a member and participant, may be asserted as fulfilling any
one of more of its obligations under 7a through p of these
Specifications provided that the contraotor actively participates
in the group, makes every effort to assure that the group has
a positve impact on the employment of minorities and women
in the industry, ensures that the ooncrets benefits of the
program are reflected in the contractor's minority and female
workforce participation, makes a good faith effort to Reset its
individual goals and timetables, and oan provide access to
documentation which demonstrates the effectiveness of actions
taken on behalf of the contractor. The obligation to comply,
however, is the contractor's and failure of such a group to
fulfill an obligation shaZZ not be a defense for the contraotor's
noncompliance.
P. A single goat for minorities and a separate single
goal for women have been established. The oontraotor, however,
is required to provide squat employment opportunity and to
take affirmative action for all minority groups, both mate
19
and-famte, and att women, both x9nority and non-minority.
Consequentty, the oontractor may be in violation of the
Seoutive Order if a partioutar group is wVloyed in a
substantially disparate manner (for smote, even though
the contractor has achieved its goals for women gsneratly,
the contractor may be in violation of the Executive Order
if a speoifio 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 shalt not enter into any subcontract
with any person or firm debarred from Government contracts
pursuant to Executive Order 12246.
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 CompZianoe 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 fuZfutZing its obligations under
t.*wee specifications, shall implement specific affirmative
action steps, at least as extensive as those standards
prescribed in paragraph 7 of these specifications, so as to
achieve maximum results from its efforts to ensure equal
employment opportunity. rf the contractor fails to comply
with the requirements of the Executive Order, the implementing
regulations, or these specifications, the Director shalt
proceed in accordance with 41 C.F.R. 60-4.8.
14. The contractor shalt designate a responsible official
to monitor all smptoyment related aotivity to ensure that the
oompany 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. Recorde shall at Zeast` include
for each employee the name, address, telephone numbers,
construction trade, union affiliation if any, smployse
identifioation number when assigned, sooiat security number
race, sex, status (e.g., mechanio,apprentios, trainee, helper,
20
or taborer), dates of changes in status, flours worked
Per week in the indicated trade, rate of pay, and toeations
at which the work was performed. Records shaZZ be maintained
in an easily understandable and retrievable form; however,
® to the degree that existing records satisfy this requirement,
contractors shaZZ not be required to maintain separate records.
15. Nothing herein provided shalt be construed as a
limitation upon the application of other laws which establish
different standards of compliance or upon the application
of requirements for the hiring of local or other area residents
(e.g., those under the Public Works EmpZoyment Act of 2977
and the Community AeveZopment Block Grant Program.)
(c) Notice. Facipient hereby agrees that it will ensure that the
nZUce set forth below shall be included in, and shall be a part
of, all solicitions for offers and bids on all federal and federally
assisted construction contracts or subcontracts in•excess of $10,000
to be performed in geographical areas designated by the Director,
Office of Federal Contract Ccupliaroe Programs of the t
of. Labor at 41 C.F.R. Ssr:tion .60-4.6:
NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL
EMPLOYMENT OPPORTUNITY (Executive Order 21246):
2. The Offeror's or Bidder's attention is oatZed to
the "Equal Opportunity Clause" and the "Standard Federal
Equal ftpZoyment Opportunity Construction Contract Speoifi-
cati.ons" set forth herein.
2. The goals and timetables for minority and femaZe
participation, expressed in percentage terms for the
contractor's aggregate workforae in each trade on all
construction work in the covered area, are as foZZows:
Tirnetable Goals for Goals for female
minority participation participation in
for each trade each trade
Insert goals for Insert goaZe for,
each year. each year.
• These goaZe are applicable to aZZ the contractor's con-
struotion work (whether or not it is federaZ or federally
assisted) performed in the covered area.
r
21
The oontraotorIs compliance with the swoutive Order and the
regulations in 41 C.F.R. Part 80-4 #halt be based on its impte-
mentation of the Rquat Opportunity Clause, speoifio affix wtive
action obligations required by the specifioations set forth in
41 C.F.R. 60-4.3(a), and its efforts to meet the goals established
for the geographioaZ area where the contract resulting from this
solicitation is to be performed. The hour# of minority and female
employment and training must be substantially uniform throughout
the length of the contract, and in eneh 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
empZoyees or trainees from contractor to contractor or from project
to project for the sole purpose of meeting the contractor's goals
shaZZ 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.
J. The contractor shalt provide written notification
to the Director of the Office of Federal Contract Compliance
Programs within ZO working days of award of any construction
subcontract in excess $10,000 at any tier for construction
work under the contract rjauZting from this solicitation.
The notification shaZZ list the name, address and telephone
number of the subcontractor; employer identification number;
estimated dollar amount of the subcontract; estimated starting
and completion dates of the subcontract; and the geographical
area in which the contract is to be performed.
4. As used in this Notice, and in the contract resulting
from this solicitation, the "covered area" is (insert
description of the geographical areas where the contract
is to be performed giving the State, county and city, if any).
(8) LGboProvisions. pursuant to m9ulatians Get forth at 29
C.F.R. o awing provisions shall be in000tpaocated in all
oonGtrnction contracts of $2,000 let by the the Project. Asc
out ipient in carrying
(1) 1Ninim 4M wages. (i) All mechanics mud laborers
employed or woe tng upon the site of the work, Will be paid
unconditionally and not Zese 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 o f Labor under the Cope
• land Act (28 C.F.R.
F.R. Part 3)), the JkZZ amounts due at •
time of payment a mputed at sage rates not less than
22
a "
those contained in the wage determination decision
Of the Secretary of Labor appliaabte to the Projeot,
regardless of any contractual relationship which may
® be aZZeged to esist between the contractor and such
laborers and mechanics; and the wage determination
decision shall be posted by the contractor at the site
of the work in a prominent place where it can be
easily seen by the workers. For the purpose of this
clause, contributions made or costs reasonably antici-
pated under section Z(e)(2) of the Davis-Raoon Act on
behalf of laborers or mechanics are considered wages
paid to such laborers or mechanics, subject to the
provisions of 29 C.F.R. S.S (a)(Z1(iv). Also for the
purpose of this clause, regular contributions made or
costs incurred for more than a weekly period under plans,
f imds,. or progra!ps, .but covering the particular weekZy-
period, are deemed to be constructively made or incurred
during such weekly period.
(ii) The contracting officer shall require that any
class of laborers or mechanics, including apprentices
and trainees, which is not listed in the wage determination
and which is to be employed under the contract, shall be
e classified or reclassified conformably 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 classification or reolassifi-
eation of a particular class of laborers and mechanics,
including apprentices and trainees, to be used, the question
accompanied by the reoanme►tdation of the contracting officer,
shaZZ be referred to the Secretary of Labor for final
determination.
(iii) The contracting officer shaZZ require, whenever
the minimum wage rate prescribed In the contract for a
class of Zaborere or mechanics includes a fringe benefit
which is not expressed as an hourly wage rats and the
contractor is obZigated to pay a cash equivaZent of such
a fringe benefit, an hourly cash equivalent thereof to
be established. rn the event the interested parties
oannot .agree upon a cash equivaZent of the ,fringe benefit,
the question, aaamgx nied by the recommendation of the
contracting officer, shall be referred to the Secretary
of Labor for determination.
23
(iv) If the contractor doss 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 srpressZy 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 rom 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 Zaborer 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 jUrther payment, advance,
or guarantee of fends until such violations have ceased.
(3) Pa roll and Basic Records. (i) Payrolls and basic
records re atzng thereto will be maintained during the course
of the work and preserved for a period of three years thereafter
for alZ. laborers and mechanics working at the site of the work.
Such records will contain the now and address of each such
employee, his correct classification, rates of pay (including
rates of contributions or costa anticipated of the types
described in section 2(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 (a1(2) (vi) that the wages of any laborers or
mechanics include the amount of any costa reasonabZy.anticipated
in providing benefits under a plan or program described in
section 2(b) (2)(2) of the Davis-Bacon Act, the contractor
shalt maintain records which show that the conmitrnent to
provide such benefits is enforaeaKe, 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 costa
anticipated or the actual cost incurred in providing such
benefits.
24
r
V
(ii) The wntraotor Witt submit aeekty a aopy of att
payrotZe to the Reoipient for transmittal to DOT. The oopy
4 shall be a000mpanied by a statement signed by the emptoyer
or his agent indicating that the payrotts are correct and
ompZste, that the stage rates contained therein are not
Zees than those determined by the Secretary of Labor and
that the olaeeifioations set forth for each Zaborer or
mechanic conform to the work to be performed. A submission
of the "weekZy Statement of Compliance" which is required under
this contract and the Copeland regulations of the Secretary
of Labor (29 C.F.R., Part 3) and the filing with the initial
payroll or any subsequent payroZZ of a copy of anH findings
by the Secretary of Labor under 29 C.F.R. 5.5 (a)(1)(iv)
shaZZ satisfy this requirement. The prime contractor shaZZ
be responsible for the submission of copies of payrolls of
aZZ subcontractors. The contractor will make the records
required under the labor standards clauses of the contract
available for inspection by authorized representatives of
DOT and' the Department of Labor, and ariZZ permit such
repreeentativee to interview empZoyeee during working hours
on the.job.
Contractors employing apprentices or trainees under approved
programs shaZZ include a notation on the first weekly certified
payrolls submitted to the contracting agencies that their employ-
meet is pursuant to ari approved program and shaZZ identify the
program.
(4) 'APPrentioea and Trainees.
(A) Apprentices. Apprentices will be permitted to work
at Zess than the predetermined rate for the work they perform
when they are employed and individuaZZy re istered in a bona
fide apprenticeship program registered with the U.S. Depart-
ment of Labor, F3npZoyment and Training Administration,
Bureau of Apprenticeship and Training, or with 'a State
Apprenticeship Agency recognised by the Bureau, or if a person
is employed in hie first 90 days of probationary employment
as an apprentice in such an apprenticeship program, who is
not individually registered in the program, but who has been
oertified by the Bureau of Apprenticeship and Training or
a State Apprenticeship Agency (Where appropriate) to be
eligible for probationary employment as an apprentice. The
allowable ratio of apprentices to journeyman in any craft
eZaseification shaZZ not be greater than the ratio permitted
to the contractor as to his entire work force under the
registered program. Any employee Zieted on a payroll at
25
an apprentice Wage rate, who is not a trainee as defined in
subdivision (8) of this subparagraph or its not registered or
otherwise employed as stated above, shalt 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 welt as the appropriate ratios and wage
rates (expressed in percentages of the journeyman hourly
rates) for the area of construction prior to using any
apprentices on the contract work. The wage rate paid
apprentices shall not be less than the appropriate percentage
of the journeyman's rate contained in the applicable wage
determination.
(B) Trainees. Except as provided in 29 C.F.R. 5. 15, trainees
will not be-permitted to work at lose than the predetermined
rate for the work performed unZese they are employed pursuant
to or individually registered in a program which has received
prior approvaZ, evidenced by formal certification, by the U.S.
Department of Labor, DnpZoyment 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 hie level of progress. Any
employee listed on the payroll at a trainee rate who is not
registered and participating in a training plan approved by
the Bureau of Apprenticeship and Training shalt be paid not
less than the wage rate determined by the Secretary of Labor
for the classification of work he actuaZ•ly performed. The
contractor or subcontractor will be required to jUrnish 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 Apprentiosship and
Training withdraws approval of a training program, the
contractor will no Longer be permitted to utilise trainees
at Zoos than the applicable predetermined rate for the work
performed until an acceptable program is approved.
(C) Equal EmpZomment Opportunitu. The utilisation of .
apprentices, trainees and journeymen under this part shalt
be in conformity with the equal employment opportunity
requirements of Executive Order 11296, as amended, and
29 C.F.R. Part 30.
26
(5) C liaaae with CMtand &Btatiau► (29 C.F.R. Part 3).
The oontractor shall comply with :the,Copeland,Regulations
(29 C.F.R. Part 3) of the Secretary of Labor which are herein
incorporated by reference.
(6) Contract Termination; Debarment.
A breach of clauses (1) through (S) may be grounds
for termination of the contract, and for debarment as provided
in 29 C.F.R. 5.6.
(7) overtime Requircmente.
No contractor or subcontractor contracting for any part
of tW oontract work which may require or involve the employ-
ment of laborers or mechanics shall require or permit any
taborer or mechanic in any workweek in which he is empZoyed
on such work to work in excess of eight hours in any oaZendar
day or in excess of forty hours in ouch workweek unZess such
taborer or mechanic receives compensation at'a rate not Zoos
than one and one-half times his basic rate of pay for all
hours worked in ercese of eight hours in any oaZendar day or
in excess of forty hours in such workweek, as the case may be.
(8) Violation; Liability for Unpaid Wages; Liquidated Damages.
In the event of any violation of the clause set forth in
subparagraph (7), the contractor and any subcontractor
responsible therefor shalt be* Ziabte to any affected employee
for his upaid wages. In addition, such .00ntractor and sub-
contractor ahaZZ be liable to the United States (in the case
of work done under contract for the District of Cotunbia.or a
territory, to such District or to ouch territory.), for.
liquidated doWes. Such liquidated damages #hall be computed
with respect to each individual taborer or mechanic PwZoyee
in violation of the olauss set forth in subparagraph (7), in
the sum of $10 for each calendar day on which such employee
is required or permitted to work in excess of eight hours or
in erceaa of the standard workweek of forty hours without
payment of the overtime wages required by the clause set forth
in subparagraph (7).
e (9) kithhoZdiw for Liguidated 'Damages.
DOT may withhold or cause to be withheld, r4�an any moneys
payable on account of work performed by the contractor or
subcontractor, such suns as nay adninistrativeZy be dsterminsd
27
I
y
to be necessary to satieA any liabilities of such oontraotor
or subcontractor for liquidated damagos as provided in the
clause oat forth in subparagraph (8).
(1 D) Final Labor Summary.
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 Certi icate.
Upon completion of the contract, the contractor &halt
submit to the Recipient with the voucher for final, payment
for any work performed under the contract a certificate
concerning wages and eZaaaificatiors 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
appZicabZs to the wage rate ;acid.
Signature and title
.(12) Notice to the Recipient of Labor Disputes.
Whenever the contractor has knowledge that any aotuaZ
or potantiaZ labor dispute' ie delaying or threatens to delay
the timely perfow4noe of this contract, the contractor shalt
immediately give notice thereof, including all relevant in-
formation with respect thereto, to the Recipient.
(13) Disputes Clause.
(i) All disputes ooneerning the payment of prevailing
wage rates or classification shall be promptly reported to
28
'V
the Recipient for its referral to DOT for decision or, at the
option of DDT, DOT referral to the Secretary of Labor. The
decision of DOT or the Seoretary of Labor as the ease may bs,
*hall 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
Davie-Bacon Act, 40 U.S.C. $ 276a, or Section 13 of
the Urban Mass Transportation Act, 49 U.S.C. S Z60d, shalt
be sent to UMTA for referral to the Secretary of Labor for
ruZing or interpretation, and such ruling or interpretation
shall be finaZ.
(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 Zabor. 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 sat forth in subsections (1) through (15) of this
• section so that aZZ of the provisions of this section will be
inserted in aZZ construction subcontracts of any tier, and such
other clauses as the Government may by appropriate instructions
require.
(e) (flan .Wes in Construction Contracts. Any changes in a construction
contract tte3 to DOT for prior approval unless the
gross a mmt of the changes is $100,000 or less, the contract was
originally awarded on a competitive basis, and the change does
not change the scope of work or exceed the contract period.
Construction contracts shall include a provision specifiying that
the above r®qu.ir rent will be met.
(f) Contract Security. The Bencipient shall follow the req drements
of CYO ci . ar A-102, as amended, or A-110, as mny be appropriate,
and um1h guidelines with regard to bid guarantees and bonding requirements.
(g) Insurance During Contnuction. The Recipient shall follow the
uranoe requirements F ttanoti My required by their State and
local governments.
(h) Sites_ The Recipient shall cause to be erected at the site of
construction, and maintained during constructimo signs
29
satisfactory to DOT identifying the Project and indicating that the
Government is participating in the devel.opmant of the Project.
(i) Liquidated DaMs Provision. The Recipient WAll include in all contracts
for construct n, a clause satisfactory to DOT providing for liquidated
damages, if (1) DOT may reasonably expect to oil-ter ctaemages (indrGaand
costs on the grant project involved) fran the late oampletion of the
construction and (2) the extent or amount of such damages would be
difficult or Bimreible to assess. The assessment for damages shall be
at a specified rate per day for ceada day of overrun in contract time
deducted from payments otherwise due the contractor. This rate, which
must be satisfactory to DOT, mwst. !.e specified in the contract.
(j) Pravision::, of Construction Contract. The terms and conditions of each
ootpetttive y bi canstructi.o:i 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, v.-, 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 Ac=unt. If vests 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. 5 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 promulgated by the Secretary of Labor.
Section 111. Environmental, Resource, and Enez
M Protection and Conservation
ts.
(a) SE plianee with Environmental Standards. The Recipient shall
comply provi ions s of EM Z"'�` Air Act, as amended (42
U.S.C. S 1857 at seq.) ; the Federal Water Pollution Control Act, as
amended (33 U.S.C. S 1251 at 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, loam or supemisicn, whether directly
or under oontract, that shall be utilized in the acconplid vAnt of
the Project are not listed on the EPA's List of Violating Facilities.
Contracts, suboontracta, and subgrants of awLmts in excess of
$100,000 shall contain a provision which requires ompliance 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) , ftecutive Order No. 11738,
and Envirann=tal 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 umn and to
30
the EPA Assistant Administrator for Enforfmirant. In addition, the
Recipient shall notify tWA of the r+eoeipt of any eommwnication
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 barroved 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 a waterfowl refuge of national, State, or local significance
as determined by the Federal, State or local officials having jurisdiction
thereof, or any land from an historic site of national, State, or local
significance as so determined by such officials may be used for the
Project without the prior concurrence of DOT.
(d) Historic Preservation. The Recipient shall assist LEA in its oompli.ance
ME Section 106 BMTe National Historic Preservation Act of 1966, as
amerx7ed (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)
oonsulting 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 UMTA of the existence of any such properties, and by (b)
complying with all requirements established by UKM to avoid or'mitigate
adverse effects upon such properties.
(e) 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, in vetient, or discovery (whether or not patentable)
is conceived or for the first time actually reduced to practice, by the
Recipient or its euployees, in the course of, in connection with, or under
the terms of this Agreement, the Recipient shall mrsdiately 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 s'nal.l be filed,
and to determine the disposition of all rights in such invention, improve-
moot, or discovery, including title to and rights under any patent appli-
cation or patent that may issue thereon. The determination of the
Secretary an all these matters shall be accepted as final, and the Recipient
,agrees that it will, and warrants that all of its employees who may be
the inventors will, execute all docunents and do all things necessary
or proper to the effectuation of such determisiation.
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(b) Except as otherwise authorized in writing by the Secretary or
his authorized representative, the Recipient shall obtain patent
aqreamnts to effectuate the provisions of this clause from all
persons who perform any part of the work under this Agreement,
oocept such clerical and manual labor personnel as wilt have no
access to technical data.
(c) kept as otherwise authorized in writing by the Secretary or
his authorized representative, the Recipient will insert in each
th,ird-party contract having design, test, experimental, develop--
mental, or research work as one of its purposes, provisions
making this clause applicable to the third-party contractor and
its employees.
(d) (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 Goverrnwant aoquires title.
The license shall extend to the third-party contractor's domestic
subsidiaries and affiliates, if any, within the corporate structure
of which the third-party contractor is a part and shall include the
right to grant sublicenses of the same 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 IMrA except when transfered to the successor of
that part of the third-party contractor's business to %hick the
invention pertains.
(2) The third-party contractor's nonexclusive domestic license
retained pursuant to paragraph (d) (1) of this clause may be revoked
cur modified by imm to the extent necessary to achieve expeditious
practical application of the Subject Invention under 41 C.F.R.
101-4.103-3 pursuant to an application for exclusive license submitted
in accordance with 41 C.F.R. 101-4.104-3. This license shall not
be revoked in that field of use and/or the geographical areas in
which the third-party contractor has brought the invention to the
point of practical application and continues to make the benefits
of the invention reasonably accessible to the public. The third-
party contractor's norw=lusive license in any foreign country
reserved pursuant to paragraph (d) (1) of this clause may be revoked
or modified at the discretion of EMM 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, EWA shall furr4sh the third-party S
contractor a written notice of its intention to modify or revoke the
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license, and the tlu rd-warty awtractor shall be al?.owed 34 days
(or such langar period as may be authorized by 1MTA for good cause
8h04n in writing by the third-party contractor) after the notice to
show cause third-party tractor shall have the right appeal
with prooedurgg pacyscribsd by IM,any decision concerning the
modification or revocation of his lioense.
(e) in the event M inventions, improvements,or discormries (whether
or not patentable) are conceived, or for the first tf;ne 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 tarms 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 .Agreadent • the following
statement shall be included within the first pawagraph of the
specification of any such patent application or patent:
'Bne invention described herein was made in the course
Of, or under, a Project with the Department of Trans-
portation,
® (g) In the event the Facipient 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 assi.grnent of such rights to the
Government.
(h) The Secrstary 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 support data of the Recipient which the Secretary or
his authorized representative shall reasonably dean directly
pertinent to the discovery or identification of inventions
falling within the criteria set out*in paragraph (a), or to
omipliance by the Aacipient with the requirements of this clause.
The Sparetary or his authorized repr a sentative aha;1, durirnt
the period specified above, have the further right to require the
Recipient to examine any books, records. documents, and other
• data of the third-pxrty contractor which the W lipient
shall reaswably deem directly pertu-ont to the discovery or
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ideotificaticn of inventions falling within the criteria met
out in paragraph (a) or to ocmpliannoe 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 reoozded information,
whether or not oopyrighted, than 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
doctiwents; machine fozms such as punched cards, magnetic tape,
or computer memory printouts; and information retained in computer
memory. Exw Ales include, but are not limited to, engineering
drawings and associated lists, specifications, standards, process
sheets, manuals, technical reports, catalog item identifications,
and related information. The term does not include financial
reports, cost analyses, and similar infonaaation incidental to
contract administration.
(b) All "subject data" first produced in the performance of this Agree-
ment shall be the sole property of the G marrra nt. The Aacipient
agrees not to assert any rights at common law or equity and not
to establish any claim to statutory copyright in such data. Except
for its own internal use, the Recipient shall not publish or
reproduce such data in whole or in part, or in any manner or form,
nr::. authorize others to do so, without the written consent of the
Government until such time as the Government may have released
such data to the public; this restriction, however, does not
apply to Agreements with Academic Institutions.
(c) The Recipient agrees to grant and does hereby grant to the M ern-
ment and to its officers, agents, and employees acting within the
scope of their official duties, a royalty-free, rxr=wlusive,
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 poc+ad wed or ocnposd in
the perfor mnce of this Agreement but which is Incorporated in
the work furnished wrier this Agreement; and (2) to authorize
others so to do.
(d) The Recipient shall indemnify and save and hold harmless the Gavarn-
ment, its officers, agents, and employees acting within the scope
of their official duties against any liability, including mete
and expenses, resulting from any willful or intarnticnal violation
by the Recipient of propristary rights, copyrights, or rights of
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hxivacy, arising out of the VAblication, translation, odhictiont
delivery Psr'f�asnoe, use, cc dispositian of any data this nV&WM5"N"IW9
(a) t�othiny contained in this clause shall bwly a license to the the
scope of any license oorr other right otherwise granted two the
Govermwt sunder any patent.
(f) In the event that the Project, which is the subject of this Agrmment,
is under that Project shallybeoams subject data an defined inathe
Rights in Data clause in this Agreement and shall be delivered as
the Government may direct. This clause shall be included in all
third-party contracts under the Project.
(9) Paragraphs (c) and (d) above are not applicable to material furnished
to the Aeeipient by the Onvernment and in the work
furnished under the contracts provided that such fnoorporated material
is identified by the Ascipient 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 ao=mt, or shall furnish to
or for the account of any foreign nation without provision for
reimbursement, any equipment, materials, or oaneriodities, within
or without the Uhitsd States, or shall advance funds or credits
or guarantee the convertibility of foreign currencies in awauaction
with the of such equipment, materials, or aamnditiss,
the apppropriate agency or agencies shall take such steps as may
be necessary and practicable to assure that at least 50 per center
of the gross tonnage of such equipment, materials, or oamntodities
(conputed separately for dry hulk carriers, dry cargo liners, and
tankers), %Mch may be transpos'ted an privately owned United States-
flag oeenorcial vessels, to the extent such vessels are available
at fair and reasonable rates for United States-flag ===W
vessels, in much manner as will insure a fair and reasonable partici-
pation of United States-flay ooamarcial vessels in such cargoes
by 9 r-'la areas: ... .
(2) Every department or agency having responsibility under
this aubsectiau shall ackainuistsrr its peso yow with respect to
this subeectian under reyulatiorus issued by the Secretary of
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(b) Pursuant to regulations published by the Secretary of Corm cave at
46 C.F.R. Part 381, the Recipient agrees to insert the folluAng
clauses in all contracts let by the Recipient under which equipment,
materials or con, ities may be transported by ocean vessel in
carrying out the Project:
The contractor agrees --
(Z) To utilize privately owned United States-flag commercial
vessels to ship at least 50 percent of the gross tonnage (computed
separately for dry bulk carriers, dry cargo liners, and tankers)
involved, whenever shipping any equipment, materials, or commodities
pursuant to this section, to the extent such vessels are available
at fair and reasonable rates for United States-flag commercial
vessels.
(2) To furnish within 30 days following the date of loading
for shipments originating within the United States, or within 30
working days following the date of loading for shipment originating
outside the United States, a legible copy of a rated, "on-board"
commercial ocean bill-of-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. Buhr America.
Pursuant to Section 401 of the Surface Transportation Assistance
Act of 1978 P.L. 95-599, Nbv. 6, 1978, and regulations published
thereunder, the Aacipiant agrees that if the total cost of this
Project or dny amenil ent thereto exceeds $500,000,and if funds therefor
are obligated by the Government after Nova*w 6, 1978s, the Ascipie nt
ahall require with respect to any third party oontract
that emeeds $500,000 that qtly such unmenufaatured 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, prodneed, or manufactured,
as the case may be, in the United States, will be used in such Project,
unless a waiver of these provisions is••grwntted.
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1
Upon written request to the Secretary, the Pacipient may regmxt
a waiver of the abowe provisicns. Such w+tiv+ar may be granted if
the Secretary deteredmes:
(1) their application would be inommistant with the public
interest=
(2) in the case of acquisition of rolling stock, their appli-
cation would result in unreasonable cost (attar 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 pacipient, or any operator of mass transportation.,
acting on its behalf, shall not engage in charter bus operations
® outside the urban arse within which it provides regularly scheduled
1� 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 Fn its behalf, shall not engage in school bus operations,
exclusively for the transporation of 'students or school personnel,
in ccnpetition with private school bus operators, except as
Provided under Section 3(g) of the Urban Mass Transportation Act
of 1964, as aamwxW, '49 U.S.C. S 1602(q) and regulations Published
thereunder.
Section 117. Coupliannoe with Elderly and Handicapped Regulations.
The Recipient shall inaure' that all fixed facility constructicn 'or
alteration and all new equipment included in the Project casply with
applicable regulations regarding Transportation for Elderly and Hanoi-
capped Person, set forth at 49 C.F.R. Part 27.
Section 119. Flood Hazards.
The Pecipient shall =Vly with the flood bmwknm purchase require-
ments with respect to ar acquisition purposes, of
Section 102(a) of the Flood Disaster Psnteotian Act of 1973,
42 U.S.C. S 4012(a).
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section 119. Prime:
Should the Recipient, its edx d party contractors or its ammplayess •
administer any system of records on behalf of the Federal Qauunamt,
the following tam and conditions are applicable.
(a) The Recipient mjrees:
(1) to amply with the Privacy Act of 1974, 5 U.S.C. $ 552a
(the Act) and the rules and regulations issued pursuant to the Act vAAn
performance under the contract involves the design, development,
or operation of any system of records an individuals to be
operated by the Recipient, its contractors or employees to
acoanmplish a Goverment function;
(2) to notify the Government when the Recipient anticipates
operating a "tan 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 neowsary approval and publication requirements applicable
r to the system have been carried out. The Recipient agrees to
correct, maintain, disseminate, and use such records in
aavordanoe with the requirements of the Act, and to comply
with all applicable requirements of the Act;
(3) to include the Privacy Act Notification contained
in this Agreement in every third party contract solicitation
and in every third party contract when the performance of
work under the proposed third party contract may involve the
design, development, or operation of a system of records an
individuals that is to be operated order the contract to
acoocmplish a Goverment 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 Goverment.
(b)Fbr purposes of the Privacy Act, when the Agreement involves
the operation of a system of records an individuals to
aco mrmplish a Govezzma function, the .Recipient, third party •
contractor and any of their emmployeea is considered to be an
employee of the Government with respect to the Government
function and the requirements of the Act, including the
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civil and criminal penalties for violation of the Act, are
applicable exospt that the criminal penalties shall not apply
with regdt�d 'to oantrActs effective prior to &Wteabar 27, 1975.
in addition, failure' to comply with the provisions of the Act
® 'br of this clause will m o this Agreement subject to termi-
nation.
(c) 2* terns used in this clause have the following meanings:
(1) "Operation of a system of records" means perfoacmanoe
of any of the activities a vox-.iated with maintaining the system
of records on behalf of the Govarnment including the collection,
use and dis:samindtion of records.
(2) "Record" means any item, collection, or grasping of
information about an individual that is maintained by the
Recipient on behalf of the Govarw m<nt, including, but not
limited to, his education, financial transactions, medical
history, and criminal or mployimment 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 Goverrmment 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. Time Recipient warrants that it has not
paid, and also agrees not to pay, any bonus or owrdssion 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
oontrasy notwithstanding, nothing in the Agreement shall
require the Recipient to observes or enforce oanplianoe with
any provision thereof, perform any other act or do any other
L . thing in contravmmtion of any applicable State or territorial
law; provided, That if any of the provisions of the Agreement
vioiaany applicable State or territorial law, or if compliance
,. with the provisioM of the Agresmnt would require the Recipient
to. violate any applicable State or territorial law, the
Rscipient will at once notify DOT in writing in order that
als"Opriate changes and modifications may be m ads by DOT and the
Recipient to the snd that the Recipient say proceed as soon
as possible with the Project.
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(c) Mouds. "W 1looip.Lant, and arw mess tIan apesator
94W WUdh it awl in will, for each lwai liaoal YOW a wov
an or after July 10 1978, conform to the srpwdM systm and
the nnifarm systm of ac=mts and to the aebant
=Wissd by motion 15 of the Urban Ness Tra JIM
of 1968, as ananded, 49 U.S.C. f 1611, affective for each
local fiscal you a%Wv an or after July 1, 1978, and UNM
spulations.
(d) 8averabilit . If any provision of this Agresunt is held invalid,
the reraLnder of this Agresuent dall not be affected if such rumitder would continue to oonfm to the to
and 1wity W of gpglicabl+a law.
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