HomeMy WebLinkAboutUSADOT Urban Mass Transportation UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
NOTIFICATION OF GRANT APPROVAL
SECTIONS 3, 8, 9, 9B, AND/OR 24 OF THE
URBAN MASS TRANSPORTATION ACT OF 1964, AS AMENDED,
49 U.S.C. §§ 1601 et seq. _
AND/OR
TITLE 23 , UNITED STATES CODE
Program No. WI-90-X088
GRANTEE: City of Oshkosh
DESIGNATED RECIPIENT: City of Oshkosh
MASS TRANSPORTATION: Oskhosh Transit System
ESTIMATED TOTAL NET PROJECT COST OF THE PROJECTS IN THIS PROGRAM:
$2,158,322 (Two Million, One Hundred Fifty Eighty Thousand, Three Hundred Twenty Two)
MAXIMUM FEDERAL SHARE: $1 ,188,638 (One Million, One Hundred Eighty Eight Thousanc
Six Hundred Thirty Eight)
FINANCIAL DATA: Section of Statute, - Year, Amount, Percentage, Use
Section 9, FY 85, $780,000, 80%, Capital
Section 9, FY 88, $408,638, up to 50%, Operating
DATE OF SECTION 13 (c) CERTIFICATION LETTER FROM THE
DEPARTMENT OF LABOR:
2
.....:'
PROGRAM DESCRIPTION: (See attached Program of Projects and/or
Project Activities and Applicable Data)
(Note especially Sections 6 through 9 of Part I which establish
special requirements for several categories of projects financed
under various statutory authorities. )
OBLIGATION DATE jo, (- 7F- I04A--MANAGER
Page 2
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
GRANT
SECTIONS 3 , 8, 9, 9B, AND/OR 24 OF THE
URBAN MASS TRANSPORTATION ACT OF 1964, AS AMENDED
49 U.S.C. §§ 1601 et seq.
AND/OR
TITLE 23, UNITED STATES CODE
PART I
THIS GRANT, effective on the date specified in the Notification
of Grant Approval, is entered into by and between the United
States of America ("Government") and the Grantee named in the
Notification of Grant Approval.
In consideration of the mutual covenants, promises, and
representations herein, the parties hereto agree as follows:
Sec. 1. Purpose of Grant - The purpose of this Grant is to
provide for the undertaking of an urban mass transportation
planning, acquisition, construction, improvement, and/or operating
program ("Program") as authorized under the Urban Mass
Transportation Act of 1964, as amended, (UMT Act) and/or
amendments to title 23 , U.S.C. (Highways) with Federal financial
assistance to the Grantee in the form of a grant ("Grant") , for
the purposes set forth in the Program Description in the
Notification of Grant Approval that are in accordance with the
statutes and any implementing regulations or guidelines; and to
state the terms and conditions upon which such assistance will be
provided and the manner in which the Projects in the Program will
be undertaken and the Program planning studies, facilities, or
equipment will be used.
Sec. 2 . The Program - The Grantee agrees to undertake and
complete the Program, and to provide for the use of the Program
facilities or 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 "Program Description" in the
Notification of Grant Approval describes the Program to be funded
under this Grant.
Form UMTA F 2018
9/87
Page 1
Sec. 3 . Federal Assistance - a. In order to assist the
Grantee in financing that portion of the total cost of the
Projects in the Program which the Department of Transportation
(DOT) has determined cannot reasonably be financed from revenues
of the public transportation system in which the Program
facilities or equipment are to be used ("Net Project Cost") , such
Net Project Cost total of the Projects financed in this Program
being estimated to be that amount stated in the Notification of
Grant Approval, the Government will make a Grant in an amount
equal to either (1) the maximum amount permitted by Federal law
and regulations, or (2) the amount designated as Maximum Federal
Share in the Notification of Grant Approval, or (3) the amount
designated as Maximum Percentage(s) of Federal Participation as
set forth in the Notification of Grant Approval, whichever is the
least. With respect to operating assistance projects financed
under Section 9 of the UMT Act, notwithstanding any provision to
the contrary in Section 105.c. of Part II, Form F 5J, Rev. 9/87,
entitled Urban Mass Transportation Agreement, the Federal
financial assistance provided under this Grant may be applied to
the Net Project Costs incurred for operations by the Grantee in
the Project Time Period for operations projects designated in the
list of Program of Projects attached to the Notification of Grant
Approval.
b. For purposes of this Grant, "Net Project Cost" must
be in conformance with the requirements of Office of Management
and Budget (OMB) Circular A-87, Revised, "Cost Principles
Applicable to Grants and Contracts with State and Local
Governments, " and with any guidelines or regulations issued by
the Government.
c. The obligation of the Government to make Federal Grant
payments shall not exceed the amount provided in the Program
Budget.
Sec. 4 . Local Share - The Grantee agrees that it will provide
from sources other than (a) Federal funds (except as may otherwise
be authorized by Federal statute) , (b) receipts from the use of
the Program facilities or equipment (except as may otherwise be
authorized by Federal statute) or (c) revenues of the public
transportation system in which such facilities or equipment are
used, funds in an amount sufficient, together with the Grant, to
assure payment of the actual Project Cost of each Project in the
Program. The Grantee further agrees that no refund or reduction
of the amount so provided below the level of Federal assistance
will be made at any time, unless there is at the same time a
refund to the Government of a proportional amount of the Grant.
The Grantee' s obligation to provide the Local Share is calculated
on a Project-by-Project basis for each Project in the Program.
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Sec. 5. Labor Protection - The Grantee agrees to undertake,
carry out, and complete the Program 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 Program and
meeting the requirements of section 13 (c) of the UMT 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. Special Condition Pertaining to Financing Section 3 ,
Section 8 or Section 9B Projects.
Payments to the Grantee under section 3 , section 8, or section
9B of the UMT Act shall be conditioned on the availability of
sufficient funds in the Mass Transit Account of the Highway Trust
Fund and an adequate liquidating cash appropriation enacted into
law.
Sec. 7. Special Requirement for Section 8 Projects.
Planning - The transportation plans and programs that are
developed as part of this Project shall be formulated on the basis
of transportation needs with the development of comprehensive
long-term financial plans, and due consideration of long-range
land use plans, developed objectives, and overall social,
economic, environmental, system performance, and energy
conservation goals and objectives, and with due consideration to
their probable effect on the future development of the urban areas
described in the Application. The planning process shall include
an analysis of alternative transportation system management and
investment strategies to make more efficient use of existing
transportation resources and to meet the needs for new
transportation facilities. The process shall consider all modes
of transportation and shall be continuing, cooperative, and
comprehensive to the degree appropriate based on the complexity of
the transportation problems. Furthermore, the plans and programs
that are developed as part of this Project shall encourage to the
maximum extent feasible the participation of private enterprise.
Where facilities and equipment are to be acquired which are
already being used in mass transportation service in the urban
area, the program must provide that they shall be so improved that
they will better serve the transportation needs of the area.
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Sec. 8. Special Requirements for Section 9 Projects.
a. Fares and Services - The Grantee agrees that it
will utilize its administrative process to solicit and consider
public comment prior to raising fares or implementing a major
reduction of service.
b. Audit Requirement - The Government may, at least
annually and more frequently in its discretion, either conduct or
require the Grantee to have independently conducted, reviews and
' audits as the Government may deem appropriate pursuant to the
provisions of section 9 (g) of the UMT Act and any regulations or
guidelines that may be issued by the Government.
c. Half-Fare Requirement - The Grantee agrees and
assures that the rates charged elderly and handicapped persons
during nonpeak hours for transportation utilizing or involving the
facilities and equipment financed pursuant to this Grant will not
exceed one-half of the rates generally applicable to other persons
at peak hours, whether the operation of such facilities and
equipment is by the Grantee or is by another entity under lease or
otherwise. The Grantee agrees and assures that it will give the
rate required herein to any person presenting a Medicare card duly
issued to that person pursuant to title II or title XVIII of the
Social Security Act.
d. Sole Source Procurement - The Recipient may,
without prior Government (UMTA) approval, procure an associated
capital item eligible under section 9 (j ) of the UMT Act by
contract directly with the original manufacturer or supplier of
the item to be replaced, provided that the Recipient first
certifies in writing to the Government that: (1) such
manufacturer or supplier is the only source of such item; and
(2) the price of such item is no higher than the price paid for
such item by like customers; notwithstanding the foregoing
provision, however, the Buy America requirements of the Surface
Transportation Assistance Act of 1982 , Pub. L. 97-424, § 165, as
amended by Pub. L. 100-17, § 337, and any implementing regulations
that may be issued are applicable to such procurements.
Sec. 9 . Special Condition Pertaining to Major Capital
Projects.
The Recipient shall implement a project management plan, as
approved by the Government, in accordance with the requirements
of section 23 of the UMT Act and any implementing regulations that
may be issued thereunder.
Page 4
Sec. 10. The Grant - This Grant consists of the Notification
of Grant Approval; this Part I, Form F 2018, 9/87, entitled Urban
Mass Transportation Administration Grant; and Part II, Form UMTA
F 5J, Rev. 9/87, entitled Urban Mass Transportation Agreement,
Terms and Conditions. Should the Grant award letter include
special conditions for Projects in this Program, that letter is
incorporated herein by reference and made part of this Grant.
Amendments to any of these documents shall require a formal
amendment to this Grant, except that reallocations of funds among
budget items or fiscal years, which reallocations do not increase
the total amount of the Federal Grant, may be made in accordance
with all UMTA circulars and regulations. Amendments of any type
that pertain to funding shall require the issuance of a new
Program Budget.
Sec. 11. Execution of Grant - This Grant may be
simultaneously executed in several counterparts, each of which
counterparts shall be deemed to be an original having identical
legal effect. When the Notification of Grant Approval is signed
by the Government, this Grant should be executed by the Grantee
within ninety (90) days after the Obligation Date. The Government
may withdraw its obligation hereunder if the Grant is not executed
within the above ninety-day period. The effective date of the
Grant shall be the Obligation Date. The effective date of any
Amendment shall be the Obligation Date for that Amendment.
The Grantee does hereby ratify and adopt all statements,
representations, warranties, covenants, and materials submitted by
it, and does hereby accept the Government' s award of financial
assistance and agrees to all of the terms and conditions of this
Grant.
Executed this 15TH day of APRIL , 19 88
/)
ATTEST: c t 14'_1 (7). A6//d6V/ BY: . a
Donna Serwas William D. Frueh
City Clerk, City of Oshkosh City Manager, City of Oshkosh
TITLE AND ORGANIZATION TITLE AND ORGANIZATION
Page 5
CERTIFICATION OF GRANTEE'S ATTORNEY
I, John Pence , 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 1/21/88 . 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 15TH day of APRIL , 19 88
IGNA
City Attorney, City of Oshkosh
TITLE AND ORGANIZATION
Page 6
APPROVED PROGRAM OF PROJECTS AND BUDGET
Urbanized Area: Oshkosh, WI
Designated Recipient: City of Oshkosh
Grantee: City of Oshkosh
Program Number: WI-90-X088
Apportionment for FY 1988: -0-
Carryover Funds: -0-
Transfer Funds: ( + or -) : $1, 188, 638
Total Funds Available: $1, 188, 638
Project Description Local Federal Total
I. CAPITAL PROJECTS:
A. 80/20 funding
(1) Transit Center $193, 000 $ 772 , 000 $ 965, 000
(2) Shop Equipment $ 2, 000 $ 8, 000 $ 10, 000
Subtotal Capital $195, 000 $ 780, 000 $ 975, 000
II. OPERATING ASSISTANCE
(up to 50% funding)
for period from 01/01/88
to 12/31/88 $774, 684 $ 408, 638 $1, 183, 322
TOTALS $969, 684 $1, 188, 638 $2 , 158, 322
III. CONTINGENCY PROJECTS: *
(1) Shelters $ 500 $ 2, 000 $ 2 ,500
*NOTE: Projects may be advanced from this contingency portion in
the event that projects on the final program of projects
and budget must be dropped. Only the projects in the
contingency can be advanced without prior UMTA approval.
SOURCES OF FEDERAL FINANCIAL ASSISTANCE
Description FFY APPN SEC LIM TA FPC AMOUNT
Sec 9 Capital 85 21 90 91 1 00 $ 780, 000
Sec 9 Operating 88 21 90 91 1 04 $ 408, 638
TOTAL FEDERAL FUNDING $1, 188, 638
SECTION 9
EXPENDITURE DETAIL
Urbanized Area: Oshkosh, Wisconsin
Designateed Recipient: City of Oshkosh, Wisconsin
Grantee: City of Oshkosh
Program Number: WI-90-X088
Budget Total
Project Activities Codes Cost
I. CAPITAL-
A. 80/20 funding:
a. Construct downtown transit center 11. 33 . 01 $965, 000
b. Two Computer Terminals - Shop 11. 42 . 07 $ 5, 000
c. Jet Cabinet Blaster 11.41. 06 $ 5, 000
Subtotal Capital $975, 000
FEDERAL SHARE $780, 000
LOCAL SHARE $195, 000
II. OPERATING ASSISTANCE
(Up to 50% funding) : 30. 09. 00 $1, 183, 322
for period from 01/01
to 12/31/88
FEDERAL SHARE $408, 638
LOCAL SHARE $744, 684
III. PLANNING
(80/20 funding) : Subtotal Planning $ -0-
TOTAL FEDERAL FUNDING (I, II, and III) $1, 188 , 638
IV. CONTINGENCY PROJECTS:
10. 09. 01 $ 2,500
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
WASHINGTON, D.C. 20590
111::!!
URBAN MASS TRANSPORTATION AGREEMENT
PART II
TERMS AND CONDITIONS
for Projects under section 3, 4 (i) , 6, 8, 9, 9B, 16(b) (2) , 18,
18 (h) , 20, and/or 24 of the Urban Mass Transportation Act of 1964,
as amended, 49 U.S.C. $f) 1601 et seq. ; and Mass Transportation
Projects under title 23, U.S.C. (Highways) .
Form UMTA F 5J
Rev. 9/87
TABLE OF CONTENTS
Section 101. Definitions 1
Section 102 . Accomplishment of the Project 2
a. General Requirements 2
b. Pursuant to Federal, State and Local Law3
c. Funds of the Recipient 3
d. Submission of Proceedings, Contracts, and
Other Documents 3
e. Changed Conditions Affecting Performance3
f. No Government Obligations to Third Parties3
Section 103 . The Project Budget 3
Section 104 . Accounting Records 3
a. Project Accounts 3
b. Funds Received or Made Available for the
Project 4
c. Allowable Costs 4
d. Documentation of Project Costs 5
e. Checks, Orders and Vouchers 5
f. Audit and Inspection 5
Section 105. Requisitions and Payments 6
a. Requests for Payments by the Recipient 6
b. Payment by the Government 6
c. Disallowed Costs 7
d. Prohibition Against Use of Federal Funds
For Lobbying 7
e. Letter of Credit 7
f. Interest 8
g. Deobligation of Funds 8
Section 106. Right of the Government to Terminate 8
Section 107 . Project Completion, Settlement and Close-Out 8
Section 108 . Use of Project Facilities or Equipment 9
Section 109 . Encumbrance of Project Property 10
Section 110. Restrictions, Prohibitions, Controls, and Labor
Provisions 11
a. Equal Employment Opportunity 11
b. Small, Minority and Women's Business
Enterprise 11
c. Title VI - Civil Rights Act of 1964 13
d. Competition in Procurement 13
e. Force Account 14
f. Settlement of Third Party Contract Disputes
or Breaches 14
g. Ethics 14
h. Interest of Members of or Delegates to
Congress 15
i
Section 111 . Construction Contracts 15
a. Nondiscrimination i5
b. Specifications 17
c. Notice 23
d. Accommodations for the Physically
Handicapped 25
e. Contract Security 25
f. Insurance During Contruction 25
g. Signs 25
h. Safety Standards 25
i. Liquidated Damages 25
Section 112 . Labor Provisions 25
a. Construction Contracts 25
b. Nonconstruction Contracts 33
c. State and Local Government Employees 33
Section 113 . Environmental, Resource, Energy Protection
and Conservation Requirements 34
a. Environmental Policy 34
b. Compliance with Environmental Standards34
c. Air Pollution 34
d. Use of Public Lands 34
e. Historic Preservation 34
f. Energy Conservation 35
g. Mitigation of Adverse Environmental
Effects 35
h. Use of Fly Ash in Cement and Concrete 35
Section 114 . Patent Rights 35
Section 115. Rights in Data 36
Section 116. Cargo Preference - Use of United States-Flag
Vessels 37
Section 117 . Buy America 38
Section 118 . Charter and School Bus Operations 38
a. Charter Bus 38
b. School Bus 39
Section 119 . Private Enterprise 39
Section 120. Bus Testing 39
Section 121. Preaward and Postdelivery Audit 39
Section 122 . Nondiscrimination on the Basis of Handicap 39
Section 123 . Relocation and Land Acquisition 39
Section 124 . Flood Hazards 40
Section 125. Suspension and Debarment 40
Section 126. Privacy 40
Section 127 . Hatch Act 41
Section 128 . False or Fraudulent Statements or Claims 42
Section 129 . Miscellaneous 42
a. Bonus or Commission 42
b. State and Territorial Law 42
c. Records 42
d. Severability 42
ii
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
AGREEMENT
PART II - TERMS AND CONDITIONS
Constituting part of the AGREEMENT providing for Federal
financial assistance under the provisions of the Urban Mass
Transportation Act of 1964, as amended, (UMT Act) and/or
title 23 , U. S . C. (Highways) .
Section 101. Definitions. As used in this Agreement:
a. Agreement means any Grant Agreement or Cooperative Agreement.
b. 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 the Government (UMTA) by or on behalf of
the Recipient, which has been accepted and approved by the
Government (UMTA) .
c. Approval, Authorization, Concurrence, Waiver means a conscious
written act by an authorized official of the Government granting
permission to the Recipient to perform or omit an action pursuant
to this Agreement, which action may not be performed or omitted
without such permission. An approval , authorization, concurrence,
or waiver permitting the performance or omission of a specific
action shall not constitute permission to perform or omit other
similar actions unless such broad permission is clearly stated.
Oral permission or interpretations shall have no legal force or
effect.
d. UMTA Directive includes the most recent circulars, notices
and orders which present information about the UMTA programs,
application processing procedures, and guidance for administering
approved projects; there are also Department of Transportation
(DOT) directives that may be applicable to the Project.
e. Government means the United States of America, or its
cognizant agency, the Department of Transportation (DOT) , or
its operating administration, the Urban Mass Transportation
Administration (UMTA) , used hereafter interchangeably.
f. Mass Transportation includes public transportation and
means transportation by bus, rail or other conveyance, either
publicly or privately owned, which provides general or special
transportation service (but not including school buses, charter
or sightseeing service) to the public on a regular and continuing
basis.
Page 1
g. Project means the task or set of tasks provided for in the
Project Budget which the Recipient undertakes to perform pursuant
to this Agreement with the Government. In the case of Federal
financial assistance under section 9 of the Urban Mass
Transportation Act of 1964 , as amended, "Project" includes
"Program" and "each Project within the Program" as may be
appropriate.
h. Project Budget means the most recently dated statement,
approved by the Government, of the estimated total cost of the
Project, the items to be deducted from such total in order to
calculate the estimated net project cost, the maximum amount of
Federal assistance for which the Recipient is currently eligible,
the specific items (including contingencies and relocation) for
which the total may be spent, and the estimated cost of each of
such items.
i. Recipient means any entity that receives Federal assistance
from UMTA for the accomplishment of the Project. The term
"Recipient" includes "Grantee" and any entity to which Federal
funds have been passed through for the accomplishment of the
Project.
j . Secretary means Secretary of the Department of Transportation
or his or her duly authorized designee.
k. UMTA means the Urban Mass Transportation Administration of the
U. S . Department of Transportation.
Section 102 . Accomplishment of the Project.
a. General Rquirements. The Recipient shall commence, carry on,
and complete the Project with all practicable dispatch, in a
sound, economical, and efficient manner, and in accordance with
the provisions hereof, the Application, and all applicable laws,
regulations, UMTA directives and published policies.
b. Pursuant to Federal, State, and Local Law. In performance of
its obligations pursuant to this Agreement, the Recipient and its
contractors agree to comply with all applicable provisions of
Federal , State, and local laws, regulations, and UMTA directives.
The terms of the most recent amendment to any Federal, State, or
local laws, regulations, UMTA directives, and amendments to the
grant or cooperative agreement that may be subsequently adopted,
are applicable to the Project to the maximum extent feasible,
unless UMTA provides otherwise in writing. To the extent
necessary to achieve compliance with these rquirements, the
Recipient shall include notice of such requirements in all third
party contracts, subgrants, and other sub-assistance agreements
financed with UMTA assistance. All limits or standards set forth
in this Agreement to be observed in the performance of the
Page 2
Project are minimum requirements. If there is a conflict between
Federal and State requirements, the Recipient shall inform the
Government in order that an appropriate resolution may be
arranged. The Recipient agrees further that no Federal funds may
be used for the payment of ordinary governmental or nonproject
operating expenses.
c. Funds of the 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 expenses.
d. Submission of Proceedings, Contracts and Other Documents. The
Recipient shall submit to the Government such data, reports,
records, contracts, and other documents relating to the Project as
the Government may, during the course of the project and for three
years thereafter, require. The Recipient shall retain intact, for
three years following Project close-out, all Project documents,
financial records, and supporting documents and make these records
available to the Government as the Government may require.
e. Changed Conditions Affecting Performance. The Recipient shall
immediately notify UMTA of any change in conditions or local law,
or of any other event, which may significantly affect its ability
to perform the Project in accordance with the provisions of this
Agreement.
f. No Government Obligations to Third Parties. The Government
shall not be subject to any obligations or liabilities by
contractors of the Recipient or their subcontractors or any other
person not a party to this Agreement in connection with the
performance of this Project without its express, written consent
and notwithstanding its concurrence in or approval of the award of
any contract or subcontract or the solicitation thereof.
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. The Project Budget may be revised,
from time to time, in accordance with Federal Guidelines.
Section 104 . Accounting Records.
a. Project Accounts. The Recipient shall establish and maintain
as a separate set of accounts, or within the framework of an
established accounting system, accounts for the Project in the
manner consistent with Office of Management and Budget (OMB)
Circular A-102 , as amended, or OMB Circular A-110, as amended, as
may be appropriate.
Page 3
b. Funds Received or Made Available for the Project. In
accordance with the provisions of OMB Circular A-102 , as amended,
or OMB Circular A-110, as amended, as may be appropriate, the
Recipient shall record in the Project Account, and deposit in a
bank or trust company which is a member of the Federal Deposit
Insurance Corporation (FDIC) , all Project payments received by it
from the Government pursuant to this Agreement and all other funds
provided for, accruing to, or otherwise received on account of the
Project, ("Project Funds") . Any balances exceeding the FDIC
coverage must be collaterally secured as provided in 12 U.S. C.
§ 265 and implementing regulations or in applicable Federal
procedures. A separate bank account may be required when draw
downs are made by letter of credit.
c. Allowable Costs. Expenditures made by the Recipient shall be
reimbursable as allowable costs to the extent that they meet all
of the requirements set forth below. They must:
(1) Be made in conformance with the Project Description and
the Project Budget and all other provisions of the Agreement;
(2) Be necessary in order to accomplish the Project;
(3) Be reasonable in amount for the goods or services
purchased;
(4) Be actual net costs to the Recipient (i.e. , the price
paid minus any refunds, rebates, or other items of value
received by the Recipient that have the effect of reducing the
cost actually incurred, excluding Program Income as defined in
OMB Circular A-102 or OMB Circular A-110) .
(5) Be incurred (and be for work performed) after the date
of this Agreement, unless specific authorization from the
Government (UMTA) to the contrary is received;
(6) Unless permitted otherwise by Federal statute or
regulation, be in conformance with the standards for allowability
of costs set forth in OMB Circular A-87, Revised, and with any
guidelines or regulations issued by UMTA; in the case of Projects
with educational institutions, the standards for allowability of
costs set forth in OMB Circular A-21, Revised, rather then the
standards of OMB Circular A-87, Revised, shall apply; and in the
case of nonprofit organizations, the standards for allowability of
costs set forth in OMB Circular A-122, Revised, rather than the
standards of OMB Circular A-87, Revised, shall apply.
(7) Be satisfactorily documented; and
(8) Be treated uniformly and consistently under accounting
principles and procedures approved and prescribed by the
Government for the Recipient; and those approved or prescribed by
the Recipient for its contractors.
Page 4
d. Documentation of Project Costs. All costs charged to
the Project, including any approved services contributed
by the Recipient or others shall be supported by properly
executed payrolls, time records, invoices, contracts,
or vouchers evidencing in detail the nature and
propriety of the charges. This provision does not apply
to income of the Recipient that is determined by the
Government to be private.
e. Checks, .Orders, and Vouchers. Any check or order drawn
by the Recipient with respect to any item that is or
will be chargeable against the Project Account will be
drawn only in accordance with a properly signed voucher
then on file in the office of the Recipient stating in proper
detail the purpose for which such check or order is drawn.
All checks, payrolls, invoices, contracts, vouchers, orders,
or other accounting documents pertaining in whole or in
part to the Project shall be clearly identified, readily
accessible, and, to the extent feasible, kept separate and
apart from all other such documents.
f. Audit and Inspection. The Recipient shall permit
the Secretary and the Comptroller General of the United
States, or any of their duly authorized representatives
to inspect all work, materials, payrolls, and other
data and records with regard to the Project, and to audit
the books, records, and accounts of the Recipient and its
contractors with regard to the Project. In the case of
contracts awarded under other than competitive bidding
procedures as defined by the Secretary, the Recipient
shall require those contractors to permit the Secretary
and the Comptroller General of the United States, or
any of their duly authorized representatives to inspect
all work, materials, payrolls, and other data and
records with regard to the Project, and to audit the
books, records, and accounts pertaining to such contracts
with regard to the Project. A Recipient that is a
State or local government or Indian tribal government
shall be responsible for meeting the audit requirements
of OMB Circular A-128 or any revision or supplement
thereto. Pursuant to Departmental criteria, the Government
(UMTA) may waive the OMB Circular A-128 audit requirement or
substitute a requirement for a grant audit performed in
accordance with the Comptroller General 's standards.
The Recipient is responsible for obtaining any audits
required by UMTA. To the extent that the charges for such
audits are necessary for the administration and management
of functions related to the Project, the costs of such
audits are allowable under this Project to the extent
authorized by OMB Circular A-87, Revised, OMB Circular A-21,
Revised, or OMB Circular A-122 , Revised, as may be
applicable.
Page 5
Section 105. Requisitions and Payments.
a. Requests for Payment by the Recipient. The Recipient may make
requests for payment of the Federal share of allowable costs, and
the Government (UMTA) will honor such requests in the manner set
forth in this Section. Payments made to the Recipient must comply
with 31 C.F.R. Part 205. In order to receive Federal assistance
payments, the Recipient must:
(1) Completely execute and submit to the Government (UMTA)
the information required by Standard Form 270;
(2) Submit to the Government (UMTA) an explanation of the
purposes for which costs have been incurred to date or are
reasonably expected to be incurred within the requisition period
(not more than 30 days after the date of submission) ;
(3) Demonstrate or certify that it has supplied local funds
adequate, when combined with the Federal payments, to cover all
costs to be incurred to the end of the requisition period;
(4) Have submitted to the Government (UMTA) all financial
and progress reports required to date under this Agreement; and
(5) Identify the source(s) of financial assistance provided
under this Project from which the payment is to be derived.
b. Payment by the Government. Upon receipt of the requisition
and the accompanying information in satisfactory form, the
Government will process the requisition if the Recipient is
complying with its obligations pursuant to the Agreement, has
satisfied the Government of its need for the Federal funds
requested during the requisition period, and is making adequate
progress towards the timely completion of the Project. If all of
these circumstances are found to exist, the Government may
reimburse apparent allowable costs incurred (or to be incurred
during the requisition period) by the Recipient up to the maximum
amount of Federal assistance payable through the fiscal year in
which the requisition is submitted as stated in the Project
Budget. However, reimbursement of any cost pursuant to this
section shall not constitute a final determination by the
Government of the allowability of such cost and shall not
constitute a waiver of any violation of the terms of this
Agreement committed by the Recipient. The Government will make a
final determination of allowability only after an audit of the
Project has been conducted. If the Government determines that the
Recipient is not eligible to receive any or all of the Federal
funds requested, the Government will notify the Recipient stating
the reasons therefor. Unless prohibited by law, the Government
may offset any Federal assistance funds to be made available under
this Project as may be necessary to satisfy any monetary claims
that the Government may have outstanding against the Recipient.
Page 6
c. Disallowed Costs. To determine the amount of Federal
assistance UMTA will provide, UMTA will exclude: (1) all Project
costs incurred by the Recipient prior to the date of either this
Agreement or the approved Project budget (whichever is earlier) ,
unless otherwise permitted by Federal law or regulations or unless
an authorized representative of the Government advises in writing
to the contrary; (2) any costs incurred by the Recipient which are
not provided for in the latest approved budget for the Project;
and (3) any costs attributable to goods or services received under
a contract or other arrangement which has not been concurred in or
approved in writing by the Government (UMTA) . Exceptions to the
above statement on disallowed costs are contained in UMTA
directives or in other written Federal guidance.
d. Prohibition Against Use of Federal Funds for Lobbying. The
Recipient or any subrecipient shall not use Federal assistance
funds for publicity or propaganda purposes designed to support or
defeat legislation pending before Congress.
e. Letter of Credit. Pursuant to 31 C.F.R. Part 205, the
Recipient agrees to the following letter of credit requirements:
(1) The Recipient shall initiate cash draw downs only when
actually needed for Project disbursements.
(2) The Recipient shall report its cash disbursements and
balances in a timely manner as required by the Government.
(3) The Recipient shall provide for effective control and
accountability for all Project funds consistent with Federal
requirements and procedures for use of the letter of credit.
(4) The Recipient shall impose on its subrecipients all
applicable requirements of Part II, subsections 105.e. (1) ,
105 .e. (2) , and 105.e. (3) .
(5) The amount authorized on a letter of credit may include
cash requirements for projects not yet obligated, and thus does
not always represent an amount legally obligated by the Government
(UMTA) . Therefore, the Recipient shall not draw down funds for a
project in an amount that would exceed the sum obligated by the
Government (UMTA) for that project. Thus the certifying statement
on SF 1193A, Letter of Credit, is not applicable if the amount
authorized on the letter of credit exceeds the amount obligated.
(6) If the Recipient fails to honor the requirements of Part
II, subsections 105.e. (1) , 105.e. (2) , 105. e. (3) , 105.e. (4) , or
105 .e. (5) , the Government may revoke the unobligated portion of
the letter of credit.
(7) Part II, subsections 105.a. , 105.b. , and 105.c. remain
effective to the extent that they do not conflict with the
provisions of Part II, subsection 105.e.
Page 7
f. Interest. The following requirements apply to the Recipient:
(1) Any interest earned on Federal funds by the Recipient
must be remitted to the Government, except as provided by the
Intergovernmental Cooperation Act of 1968 , 42 U.S .C. § 4213 .
(2) Upon notice by the Government to the Recipient of
specific amounts due the Government, the Recipient shall promptly
remit any excess payment of amounts or disallowed costs to the
Government (UMTA) . Interest may be assessed from the time of
notice and charged for any amounts due to the Government that are
not paid as set forth in the Treasury Fiscal Requirements Manual.
g. Deobligation of Funds. The Government reserves the right to
deobligate unspent Federal funds prior to project closeout.
Section 106. Right of the Government to Terminate.
Upon written notice to the Recipient, the Government may suspend
or terminate all or part of the financial assistance provided
herein if the Recipient is, or has been, in violation of the terms
of this Agreement, or if the Government determines that the
purposes of the Act would not be adequately served by continuation
of the Federal financial assistance for the Project. Any failure
to make progress or other violation of the Agreement which
significantly endangers substantial performance of the Project
within a reasonable time shall be deemed to be a breach of the
terms of this Agreement. Termination of any part of the financial
assistance will not invalidate obligations properly incurred by
the Recipient and concurred in by the Government (UMTA) prior to
the date of termination, to the extent those obligations are
noncancellable. The acceptance of a remittance by the Government
of any or all Project funds previously received by the Recipient
or the closing out of Federal financial participation in the
Project shall not constitute a waiver of any claim that the
Government may otherwise have arising out of this Agreement.
Section 107 . Project Completion, Settlement, and Close-Out.
Upon successful completion of the Project or upon termination by
the Government, the Recipient shall, within 90 days of the
completion date of the Project, submit a final Financial Status
Report (Standard Form 269) , a certification or summary of Project
expenses, and third party audit reports, when applicable. Any
Recipient covered by OMB Circular A-102 shall undertake the
necessary audits as required by OMB Circular A--128 . With respect
to any Recipient not covered by OMB Circular A-102 , upon receipt
of this information, the Government (UMTA) or any agency
designated by the Government (UMTA) will perform a final audit of
the Project to determine the allowability of costs incurred, and
will make settlement of the Federal assistance for the Project as
Page 8
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 the Government
(UMTA) such excess and interest as may be required by Part II,
subsections 105.e. and 105. f. Project close-out occurs when the
Government notifies the Recipient and forwards the final Federal
assistance payment or when an appropriate refund of Federal
assistance funds has been received from the Recipient and
acknowledged by the Government. Close-out shall not invalidate
any continuing obligations imposed on the Recipient by this
Agreement or contained in the final notification or acknowledgment
from the Government.
Section 108 . Use of Project Facilities or Equipment.
The following conditions are applicable to capital facilities or
equipment financed under this Agreement:
a. The Recipient agrees to observe the property management
standards as set forth in OMB Circular A-102 , Attachment N, or
OMB Circular A-110, Attachment N, as appropriate, as now or
hereafter amended, and any guidelines or regulations that the
Government may issue. Exceptions to the requirements of
Attachment N must be specifically approved by the Government. The
Government reserves the right to require the Recipient to transfer
title to any personal property financed with Federal assistance
funds made available under this Agreement in accordance with
Attachment N to OMB Circular A-102 or OMB Circular A-110, as may
be appropriate. The Government also reserves the right to direct
the disposition of real or personal property financed with Federal
assistance funds made available under this Agreement in accordance
with OMB Circular A-102 , Attachment N, or OMB Circular A-110,
Attachment N, as may be appropriate.
b. The Recipient agrees to maintain the project property in good
operating order, and in accordance with any guidelines,
directives, or regulations that UMTA may issue. If, during the
period, any Project facilities or equipment are not used in mass
transportation service, whether by planned withdrawal, misuse or
casualty loss, the Recipient shall immediately notify the
Government. Unless otherwise approved by the Government, the
Recipient shall remit to the Government a proportional amount of
the fair market value, if any, of the property, which value shall
be determined on the basis of the ratio of the Federal assistance
awarded by the Government to the actual cost of the Project. The
following guidelines shall be followed in determining the fair
market value. Unless otherwise approved in writing by UMTA, the
fair market value of both real and personal property will be the
value of the property at the time immediately before the reason
occurred that prompted the decision to withdraw the property from
transit use. For example, in the event of loss or damage to the
property by casualty or fire, the fair market value of the
Page 9
property will be calculated immediately before the loss or
damage, irrespective of the extent of insurance coverage.
In the case of real property, the fair market value shall be
determined by competent appraisal consistent with the standards of
49 C. F.R. § 25. 103 . In the case of personal property, fair market
value shall be based on straight line depreciation of the
property, based on the industry standard for useful life,
irrespective of the reason for withdrawal of the property from
transit use. The Government, however, reserves the right to
require another method of valuation to be used, if the Government
finds that special circumstances so require to assure the
protection of the Federal investment. In unusual circumstances
the Recipient may request another reasonable method of determining
fair market value, including but not limited to accelerated
depreciation, comparable sales, or established market values.
In determining whether to approve an alternate method, the
Government may consider any action taken, omission made or
unfortunate occurrence suffered by the Recipient with respect to
the preservation or conservation of the value of the facilities or
equipment that were either lost or destroyed in a casualty or fire
or otherwise withdrawn from service.
c. The Recipient further agrees that the Project facilities or
equipment shall be used for the provision of mass transportation
service within the area and in the manner described in the Project
Description. The Recipient shall keep satisfactory records with
regard to the use of the property and submit to the Government
upon request such information as is required in order to assure
compliance with this Section and shall immediately notify the
Government in all cases in which Project facilities or equipment
are used in a manner substantially different from that described
in the Project Description. The Recipient shall obtain Government
concurrence before undertaking any transfer of title, lease,
encumbrance, or alienation of property financed with Government
assistance. The Government reserves the right to require the
Recipient to restore project property or pay for damage to project
property as a result of abuse or misuse of such property with the
Recipient' s knowledge and consent.
Section 109 . Encumbrance of Project Property.
The Recipient shall not execute any lease, pledge, mortgage, lien,
or other contract (including a grant anticipation note or "Safe
Harbor Lease" under section 168 (g) (8) of the Internal Revenue Code
of 1954) touching or affecting the Federal interest in any Project
facilities or equipment, nor shall it obligate itself, in any
other manner, to any third party with respect to Project
facilities or equipment, unless such lease, pledge, mortgage,
lien, contract, or other obligation is expressly authorized in
writing by the Government; nor shall the Recipient, by any act or
omission of any kind, adversely affect the Federal interest or
impair its continuing control over the use of Project facilities
or equipment.
Page 10
Section 110. Restrictions, Prohibitions, Controls, and Labor
Provisions.
a. Equal Employment Opportunity - The following conditions are
applicable:
(1) In connection with Project implementation, the
Recipient shall not discriminate against any employee or applicant
for employment because of race, color, age, creed, sex, or
national origin. The Recipient shall take affirmative action to
ensure that applicants are employed, and that employees are
treated during employment, without regard to their race, color,
religion, sex, age, or national origin. Such action shall
include, but not be limited to, the following: employment,
upgrading, demotion or transfer, recruitment or recruitment
advertising, layoff or termination; rates of pay or other forms
of compensation; and selection for training, including
apprenticeship. The Recipient shall insert the foregoing
provision (modified only to show the particular contractual
relationship) in all of its contracts in connection with the
development or operation of the Project, except contracts for
standard commercial supplies or raw materials and construction
contracts subject to the provisions of Part II , Section lll.a. of
this Agreement, and shall require all such contractors to insert a
similar provision in all subcontracts, except subcontracts for
standard commercial supplies or raw materials.
(2) If, as a condition of assistance, the Recipient has
submitted, and the Government has approved, an equal employment
opportunity program that the Recipient agrees to carry out,
such program is incorporated into this Agreement by reference.
Such program shall be treated as a contractual obligation; and
failure to carry out the terms of that equal employment
opportunity program shall be treated as a violation of this
Agreement. Upon notification to the Recipient of its failure
to carry out the approved program, the Government will impose
such remedies as it may deem appropriate, which remedies may
include termination of the Agreement as provided in Section 106
of this Agreement or other measures that may affect the ability
of the Recipient to obtain future financial assistance under the
Urban Mass Transportation Act of 1964 , as amended, or title 23 ,
United States Code (Highways) .
b. Small, Minority and Women' s Business Enterprise. The
following provisions are applicable:
(1) The Recipient shall be responsible for meeting the
requirements regarding participation by minority business
enterprises (MBE) in Department of Transportation programs set
forth at 49 C. F.R. Part 23 , and shall comply with any regulations
that may be issued to implement Pub. L. 100-17 , § 106 (c) , April 2 ,
1987. Pursuant to the requirements of 49 C.F.R. § 23 . 43 , the
following clauses must be inserted in each third party contract:
Page 11
(a) POLICY. IT IS THE POLICY OF THE DEPARTMENT OF
TRANSPORTATION THAT MINORITY BUSINESS ENTERPRISES, AS DEFINED IN
49 C.F.R. PART 23, SHALL HAVE THE MAXIMUM OPPORTUNITY TO
PARTICIPATE IN THE PERFORMANCE OF CONTRACTS FINANCED IN WHOLE OR
IN PART WITH FEDERAL FUNDS UNDER THIS AGREEMENT. CONSEQUENTLY,
THE MBE REQUIREMENTS OF 49 C.F.R. PART 23 APPLY TO THIS
AGREEMENT.
(b) MBE OBLIGATION. THE RECIPIENT AND ITS CONTRACTORS
AGREE TO ENSURE THAT MINORITY BUSINESS ENTERPRISES AS DEFINED IN
49 C.F.R. PART 23 HAVE THE MAXIMUM OPPORTUNITY TO PARTICIPATE IN
THE PERFORMANCE OF CONTRACTS AND SUBCONTRACTS FINANCED IN WHOLE OR
IN PART WITH FEDERAL FUNDS PROVIDED UNDER THIS AGREEMENT. IN THIS
REGARD ALL RECIPIENTS AND CONTRACTORS SHALL TAKE ALL NECESSARY AND
REASONABLE STEPS IN ACCORDANCE WITH 49 C.F.R. PART 23 TO ENSURE
THAT MINORITY BUSINESS ENTERPRISES HAVE THE MAXIMUM OPPORTUNITY
TO COMPETE FOR AND PERFORM CONTRACTS. RECIPIENTS AND THEIR
CONTRACTORS SHALL NOT DISCRIMINATE ON THE BASIS OF RACE, COLOR,
NATIONAL ORIGIN OR SEX IN THE AWARD AND PERFORMANCE OF CONTRACTS
ASSISTED BY THE DEPARTMENT OF TRANSPORTATION.
(2) If as a condition of assistance the Recipient has
submitted and the Department has approved a minority business
enterprise affirmative action program which the Recipient agrees
to carry out, this program is incorporated into this financial
assistance Agreement by reference. This program shall be treated
as a legal obligation and failure to carryout its terms shall be
treated as a violation of this financial assistant 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 financial assistance
from the Department.
(3) The. Recipient shall advise each subrecipient,
contractor, and subcontractor that failure to carry out the
requirements set forth in 49 C.F.R. § 23 .43 (a) shall constitute
a breach of contract and, after the notification of the
Department, may result in termination of the Agreement or
contract by the Recipient or such remedy as the Recipient deems
appropriate.
(4) The Recipient shall take action concerning lessees as
follows:
(a) The Recipient shall not exclude MBE' s from
participation in business opportunities by entering into
long-term, exclusive agreements with non-MBE ' s for the
operation of major transportation-related activities for the
provision of goods and services to the facility or to the
public on the facility.
Page 12
(b) A Recipient that is required to submit affirmative
action programs under 49 C.F.R. § 23 . 41 (a) (2) or § 23 . 41 (a) (3) and
has business opportunities for lessees shall submit for approval
to the Department with its programs overall goals for the
participation as lessees of firms owned and controlled by women.
These goals shall be for a specified period of time and shall be
based on the factors listed in 49 C.F.R. § 23 . 45 (g) (5) . The
Recipient shall review these goals at least annually, and whenever
they expire. The review shall analyze projected versus actual MBE
participation during the period covered by the review and any
changes in factual circumstances affecting the selection of goals.
Following each review, the Recipient shall submit new overall
goals to the Department for approval . A Recipient that fails to
meet its goals for MBE lessees shall demonstrate to the Department
in writing that it made reasonable efforts to meet the goals.
(c) Except as provided in this section, the Recipient
is required to include lessees in affirmative action programs.
Lessees themselves are not subject to the requirements of this
Part, except for the requirement under 49 C.F.R. § 23 .7 that
lessees avoid discrimination against MBE ' s.
(5) The Recipient agrees to include the clauses in Part II,
subsections 110 .b. (1) (a) and 110.b. (1) (b) in all subsequent
agreements between the Recipient and any subrecipient and in all
subsequent contracts assisted by the Department between the
Recipient or subrecipients and any third party contractor.
c. Title VI Civil Rights Act of 1964 . The Recipient shall comply
and shall assure the compliance by contractors and subcontractors
under this Project with all the requirements of Title VI of the
Civil Rights Act of 1964 (49 U.S.C. § 2000d) , the regulations of
the Department of Transportation set forth at 49 C. F.R. Part 21,
and the Assurance by the Recipient pursuant thereto.
d. Competition in Procurement. The Recipient shall comply with
the Procurement Standards requirements set forth in OMB Circular
A-102, Attachment 0, as amended, or OMB Circular A-110, Attachment
0, as amended, as may be appropriate; and with any supplementary
directives or regulations including UMTA Circular 4220. 1A and any
revisions thereof, as may be appropriate. UMTA reserves the right
to review the Recipient 's technical specifications and
requirements, where such review is necessary for proper project
administration. The Recipient further agrees that notwithstanding
the requirements of Part II, Section 117 , no Federal funds shall
be used to support procurements utilizing exclusionary or
discriminatory specifications. The Recipient agrees that is will
comply with the requirements of Pub. L. 100-17, § 316, 49 U.S.C.
§ 1608 (b) (4) and any implementing Federal regulations, directives,
or instructions pertaining to the procurement of program
management, construction management, feasibility studies,
preliminary engineering, design, architectural, engineering,
surveying, mapping or related services.
Page 13
e. Force Account. The Government (UMTA) reserves the right to
determine the extent of its participation in force account costs.
f. Settlement of Third Party Contract Disputes or Breaches. The
Government has a vested interest in the settlement of disputes,
defaults, or breaches involving any federally-assisted third party
contracts. The Government retains the right to a proportionate
share, based on the percentage of the Federal share committed to
the Project, of any proceeds derived from any third party
recovery. Therefore the Recipient shall avail itself of all legal
rights available under any third party contract. The Recipient
shall notify the Government of any current or prospective
litigation or major disputed claim pertaining to any third party
contract. The Government reserves the right to concur in any
compromise or settlement of the Recipient ' s claim(s) involving any
third party contract, before making Federal assistance available
to support that settlement. If the third party contract contains
a liquidated damages provision, any liquidated damages recovered
shall be credited to the Project account involved unless the
Government permits otherwise.
g. Ethics. The Recipient shall maintain a written code or
standards of conduct that shall govern the performance of its
officers, employees, board members or agents engaged in the award
and administration of contracts supported by Federal funds. Such
code or standards shall provide that no employee, officer, board
member, or agent of the Recipient shall participate in the
selection, 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:
(1) the employee, officer, board member, or agent;
(2) any member of his or her immediate family;
(3) his or her partner; or
(4) an organization that employs, or is to employ, any of
the above.
The code or standards shall also provide that the Recipient' s
officers, employees, board members, or agents shall neither
solicit nor accept gratuities, favors or anything of monetary
value from contractors, potential contractors, or parties to the
subagreement. The Recipient may set minimum rules where the
financial interest is not substantial or the gift is an
unsolicited item of nominal intrinsic value. As permitted by
State or local law or regulations, such code or standards shall
provide for penalties, sanctions, or other disciplinary actions
for violations by the Recipient ' s officers, employees, board
members, or agents, or by contractors or their agents.
Page 14
h. Interest of Members of or Delegates to Congress. No member of
or delegate to the Congress of the United States shall be admitted
to any share or part of this Project or to any benefit therefrom.
Section 111. Construction Contracts. The following provisions
are applicable:
a. Nondiscrimination. Pursuant to 41 C.F.R. § 60-1. 4 (b) (1) and
§ 60-1. 4 (c)
(1) The Recipient hereby agrees that it will incorporate or
cause to be incorporated into any contract for construction work,
or modification thereof, as defined in the regulations of the
Secretary of Labor at 41 C.F.R. Chapter 60, that is paid for in
whole or in part with funds obtained from the Federal Government
or borrowed on the credit of the Federal Government pursuant to a
grant, contract, loan, insurance, or guarantee, or undertaken
pursuant to a Federal program involving the grant, contract, loan,
insurance, or guarantee, the following equal opportunity clause:
DURING THE PERFORMANCE OF THIS CONTRACT, THE CONTRACTOR AGREES AS
FOLLOWS :
(a) THE CONTRACTOR WILL NOT DISCRIMINATE AGAINST ANY
EMPLOYEE OR APPLICANT FOR EMPLOYMENT BECAUSE OF RACE, COLOR,
RELIGION, SEX, OR NATIONAL ORIGIN. THE CONTRACTOR WILL TAKE
AFFIRMATIVE ACTION TO ENSURE THAT APPLICANTS ARE EMPLOYED, AND
THAT EMPLOYEES ARE TREATED DURING EMPLOYMENT WITHOUT REGARD TO
THEIR RACE, COLOR, RELIGION, SEX, OR NATIONAL ORIGIN. SUCH ACTION
SHALL INCLUDE, BUT NOT BE LIMITED TO THE FOLLOWING: EMPLOYMENT,
UPGRADING, DEMOTION, OR TRANSFER; RECRUITMENT OR RECRUITMENT
ADVERTISING; LAYOFF OR TERMINATION; RATES OF PAY OR OTHER FORMS
OF COMPENSATION; AND SELECTION FOR TRAINING, INCLUDING
APPRENTICESHIP. THE CONTRACTOR AGREES TO POST IN CONSPICUOUS
PLACES, AVAILABLE TO EMPLOYEES AND APPLICANTS FOR EMPLOYMENT,
NOTICES TO BE PROVIDED SETTING FORTH THE PROVISIONS OF THIS
NONDISCRIMINATION CLAUSE.
(b) THE CONTRACTOR WILL, IN ALL SOLICITATIONS OR
ADVERTISEMENTS FOR EMPLOYEES PLACED BY OR ON BEHALF OF THE
CONTRACTOR, STATE THAT ALL QUALIFIED APPLICANTS WILL RECEIVE
CONSIDERATION FOR EMPLOYMENT WITHOUT REGARD TO RACE, COLOR,
RELIGION, SEX, OR NATIONAL ORIGIN.
(c) THE CONTRACTOR WILL SEND TO EACH LABOR UNION OR
REPRESENTATIVE OF WORKERS WITH WHICH IT HAS A COLLECTIVE
BARGAINING AGREEMENT OR OTHER CONTRACT OR UNDERSTANDING, A NOTICE
TO BE PROVIDED ADVISING THE SAID LABOR UNION OR WORKERS '
REPRESENTATIVES OF THE CONTRACTOR'S COMMITMENTS UNDER THIS SECTION
202 OF EXECUTIVE ORDER 11246 OF SEPTEMBER 24 , 1965, AND SHALL POST
COPIES OF THE NOTICE IN CONSPICUOUS PLACES AVAILABLE TO EMPLOYEES
AND APPLICANTS FOR EMPLOYMENT.
Page 15
(d) THE CONTRACTOR WILL COMPLY WITH ALL PROVISIONS OF
EXECUTIVE ORDER 11246 OF SEPTEMBER 24, 1965, AND OF THE RULES,
REGULATIONS, AND RELEVANT ORDERS OF THE SECRETARY OF LABOR.
(e) THE CONTRACTOR WILL FURNISH ALL INFORMATION AND
REPORTS REQUIRED BY EXECUTIVE ORDER 11246 OF SEPTEMBER 24 , 1965,
AND BY RULES, REGULATIONS, AND ORDERS OF THE SECRETARY OF LABOR,
OR PURSUANT THERETO, AND WILL PERMIT ACCESS TO ITS BOOKS, RECORDS,
AND ACCOUNTS BY UMTA AND BY THE SECRETARY OF LABOR FOR PURPOSES
OF INVESTIGATION TO ASCERTAIN COMPLIANCE WITH SUCH RULES,
REGULATIONS, AND ORDERS.
(f) IN THE EVENT OF THE CONTRACTOR'S NONCOMPLIANCE WITH
THE NONDISCRIMINATION CLAUSES OF THIS AGREEMENT OR WITH ANY OF
THE SAID RULES, REGULATIONS OR ORDERS, THIS AGREEMENT MAY BE
CANCELLED, TERMINATED, OR SUSPENDED IN WHOLE OR IN PART AND THE
CONTRACTOR MAY BE DECLARED INELIGIBLE FOR FURTHER GOVERNMENT
CONTRACTS OR FEDERALLY ASSISTED CONSTRUCTION CONTRACTS IN
ACCORDANCE WITH PROCEDURES AUTHORIZED IN EXECUTIVE ORDER 11246 OF
SEPTEMBER 24 , 1965, AS AMENDED, AND SUCH OTHER SANCTIONS MAY BE
IMPOSED AND REMEDIES INVOKED AS PROVIDED IN EXECUTIVE ORDER 11246
OF SEPTEMBER 24, 1965, OR BY RULE, REGULATION, OR ORDER OF THE
SECRETARY OF LABOR, OR AS OTHERWISE PROVIDED BY LAW.
(g) THE CONTRACTOR WILL INCLUDE A CITATION TO 41 C.F.R.
§ 60-1. 4 (b) (1) AND § 60-1.4 (c) AND THE PROVISIONS OF PARAGRAPHS
(a) THROUGH (g) IN EVERY SUBCONTRACT OR PURCHASE ORDER UNLESS
EXEMPTED BY RULES, REGULATIONS, OR ORDERS OF THE SECRETARY OF
LABOR ISSUED PURSUANT TO SECTION 204 OF EXECUTIVE ORDER 11246 OF
SEPTEMBER 24 , 1965, SO THAT SUCH PROVISIONS SHALL BE BINDING UPON
EACH SUBCONTRACTOR OR VENDOR. THE CONTRACTOR WILL TAKE SUCH
ACTION WITH RESPECT TO ANY SUBCONTRACT OR PURCHASE ORDER AS UMTA
MAY DIRECT AS A MEANS OF ENFORCING SUCH PROVISIONS, INCLUDING
SANCTIONS FOR NONCOMPLIANCE; PROVIDED, HOWEVER, THAT IN THE EVENT
A CONTRACTOR BECOMES INVOLVED IN, OR IS THREATENED WITH,
LITIGATION WITH A SUBCONTRACTOR OR VENDOR AS A RESULT OF SUCH
DIRECTION BY UMTA, THE CONTRACTOR MAY REQUEST THE UNITED STATES
TO ENTER INTO SUCH LITIGATION TO PROTECT THE INTERESTS OF THE
UNITED STATES.
(2) The Recipient shall assure that each nonexempt prime
contractor or subcontractor shall include the above paragraphs
(a) through (g) in each of its nonexempt contracts.
(3) The Recipient further agrees that it will be bound by
the above equal opportunity clause with respect to its own
employment practices when it participates in federally assisted
construction work; provided that if the Recipient so participating
is a State or local government, the above equal opportunity clause
is not applicable to any agency, instrumentality or subdivision of
such government which does not participate in work on or under the
Agreement.
Page 16
(4) The Recipient agrees that it will assist and cooperate
actively with UMTA and the Secretary of Labor in obtaining the
compliance of contractors and subcontractors with the equal
opportunity clause and the rules, regulations, and relevant orders
of the Secretary of Labor, that it will furnish UMTA and the
Secretary of Labor such information as they may require for the
supervision of such compliance, and that it will otherwise assist
UMTA in the discharge of the agency's primary responsibility for
securing compliance.
(5) The Recipient further agrees that it will refrain
from entering into any contract or contract modification subject
to Executive Order 11246 of September 24, 1965, as amended, with
any contractor debarred from, or who has not demonstrated
eligibility for Government contracts and federally assisted
construction contracts pursuant to the Executive Order; and will
carry out such sanctions and penalties for violation of the equal
opportunity clause as may be imposed upon contractors and
subcontractors by UMTA or the Secretary of Labor pursuant to
Part II, Subpart D of the Executive Order. In addition, the
Recipient agrees that if it fails or refuses to comply with these
undertakings, UMTA may take any or all of the following
actions: Cancel, terminate, or suspend in whole or in part
this Agreement; refrain from extending any further assistance
to the Recipient under the program with respect to which the
failure or refund occurred until satisfactory assurance of
future compliance has been received from such Recipient; and
refer the case to the Department of Justice for appropriate
legal proceedings.
b. Specifications. The Recipient hereby agrees that it
will incorporate or cause to be incorporated into its contracts
the specifications set forth below in all Federal or federally
assisted construction contracts, or modifications thereof, in
excess of $10, 000 to be performed in geographical areas
designated by the Director, Office of Federal Contract
Compliance Programs of the Department of Labor pursuant to the
the Regulations of the Secretary of Labor at 41 C.F.R. § 60-4 .3
and in construction subcontracts in excess of $10, 000 necessary
in whole or in part to the performance of nonconstruction
Federal contracts and subcontracts covered under Executive
Order 11246:
STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION
CONTRACT SPECIFICATIONS (EXECUTIVE ORDER 11246) :
(1) AS USED IN THESE SPECIFICATIONS:
(a) "COVERED AREA" MEANS THE GEOGRAPHICAL AREAS
DESCRIBED IN THE SOLICITATION FROM WHICH THIS CONTRACT
RESULTED;
Page 17
(b) "DIRECTOR" MEANS DIRECTOR, OFFICE OF FEDERAL
CONTRACT COMPLIANCE PROGRAMS, UNITED STATES DEPARTMENT OF LABOR,
OR ANY PERSON TO WHOM THE DIRECTOR DELEGATES AUTHORITY;
(c) "EMPLOYER IDENTIFICATION NUMBER" MEANS THE FEDERAL
SOCIAL SECURITY NUMBER USED ON THE EMPLOYER' S QUARTERLY FEDERAL
TAX RETURN, U. S. TREASURY DEPARTMENT FORM 941;
(d) "MINORITY" INCLUDES:
(i) BLACK (ALL PERSONS HAVING ORIGINS IN ANY OF
THE BLACK AFRICAN RACIAL GROUPS NOT OF HISPANIC ORIGIN) ;
(ii) HISPANIC (ALL PERSONS OF MEXICAN, PUERTO
RICAN, CUBAN, CENTRAL OR SOUTH AMERICAN OR OTHER SPANISH CULTURE
OR ORIGIN, REGARDLESS OF RACE) ;
(iii) ASIAN AND PACIFIC ISLANDER (ALL PERSONS
HAVING ORIGINS IN ANY OF THE ORIGINAL PEOPLES OF THE FAR EAST,
SOUTHEAST ASIA, THE INDIAN SUBCONTINENT, OR THE PACIFIC ISLANDS) ;
AND
(iv) AMERICAN INDIAN OR ALASKAN NATIVE (ALL
PERSONS HAVING ORIGINS IN ANY OF THE ORIGINAL PEOPLES OF NORTH
AMERICA AND MAINTAINING IDENTIFIABLE TRIBAL AFFILIATIONS THROUGH
MEMBERSHIP AND PARTICIPATION OR COMMUNITY IDENTIFICATION) .
(2) WHENEVER THE CONTRACTOR, OR ANY SUBCONTRACTOR AT
ANY TIER, SUBCONTRACTS A PORTION OF THE WORK INVOLVING ANY
CONSTRUCTION TRADE, IT SHALL PHYSICALLY INCLUDE IN EACH
SUBCONTRACT IN EXCESS OF $10, 000 THE PROVISIONS OF THESE
SPECIFICATIONS AND THE NOTICE WHICH CONTAINS THE APPLICABLE
GOALS FOR MINORITY AND FEMALE PARTICIPATION AND WHICH IS
SET FORTH IN THE SOLICITATIONS FROM WHICH THIS CONTRACT
RESULTED.
(3) IF THE CONTRACTOR IS PARTICIPATING (PURSUANT TO
41 C.F.R. § 60-4 . 5) IN A HOMETOWN PLAN APPROVED BY THE U. S.
DEPARTMENT OF LABOR IN THE COVERED AREA, EITHER INDIVIDUALLY
OR THROUGH AN ASSOCIATION, ITS AFFIRMATIVE ACTION OBLIGATIONS
FOR ALL WORK IN THE PLAN AREA (INCLUDING GOALS AND TIMETABLES)
SHALL BE IN ACCORDANCE WITH THAT PLAN FOR THOSE TRADES WHICH
HAVE UNIONS PARTICIPATING IN THE PLAN. CONTRACTORS MUST BE ABLE
TO DEMONSTRATE THEIR PARTICIPATION IN AND COMPLIANCE WITH THE
PROVISIONS OF ANY SUCH HOMETOWN PLAN. EACH CONTRACTOR OR
SUBCONTRACTOR PARTICIPATING IN AN APPROVED PLAN IS INDIVIDUALLY
REQUIRED TO COMPLY WITH ITS OBLIGATIONS UNDER THE EEO CLAUSE, AND
TO MAKE A GOOD FAITH EFFORT TO ACHIEVE EACH GOAL UNDER THE PLAN IN
EACH TRADE IN WHICH IT HAS EMPLOYEES. THE OVERALL GOOD FAITH
PERFORMANCE BY OTHER CONTRACTORS OR SUBCONTRACTORS TOWARD A GOAL
IN AN APPROVED PLAN DOES NOT EXCUSE ANY COVERED CONTRACTOR'S OR
SUBCONTRACTOR'S FAILURE TO MAKE GOOD FAITH EFFORTS TO ACHIEVE THE
PLAN GOALS AND TIMETABLES.
Page 18
(4) THE CONTRACTOR SHALL IMPLEMENT THE SPECIFIC AFFIRMATIVE
ACTION STANDARDS PROVIDED IN PARAGRAPHS (7) (a) THROUGH (p) OF
THESE SPECIFICATIONS . THE GOALS SET FORTH IN THE SOLICITATION
FROM WHICH THIS CONTRACT RESULTED ARE EXPRESSED AS PERCENTAGES OF
THE TOTAL HOURS OF EMPLOYMENT AND TRAINING OF MINORITY AND FEMALE
UTILIZATION THE CONTRACTOR SHOULD REASONABLY BE ABLE TO ACHIEVE IN
EACH CONSTRUCTION TRADE IN WHICH IT HAS EMPLOYEES IN THE COVERED
AREA. COVERED CONSTRUCTION CONTRACTORS. PERFORMING CONSTRUCTION
WORK IN GEOGRAPHICAL AREAS WHERE THEY DO NOT HAVE A FEDERAL OR
FEDERALLY ASSISTED CONSTRUCTION CONTRACT SHALL APPLY THE MINORITY
AND FEMALE GOALS ESTABLISHED FOR THE GEOGRAPHICAL AREA WHERE THE
WORK IS BEING PERFORMED. GOALS ARE PUBLISHED PERIODICALLY IN THE
FEDERAL REGISTER IN NOTICE FORM, AND SUCH NOTICES MAY BE OBTAINED
FROM ANY OFFICE OF FEDERAL CONTRACT COMPLIANCE PROGRAMS OFFICE OR
FROM FEDERAL PROCUREMENT CONTRACTING OFFICERS. THE CONTRACTOR IS
EXPECTED TO MAKE SUBSTANTIALLY UNIFORM PROGRESS TOWARD ITS GOAL IN
EACH CRAFT DURING THE PERIOD SPECIFIED.
(5) NEITHER THE PROVISIONS OF ANY COLLECTIVE BARGAINING
AGREEMENT, NOR THE FAILURE BY A UNION WITH WHOM THE CONTRACTOR
HAS A COLLECTIVE BARGAINING AGREEMENT, TO REFER EITHER MINORITIES
OR WOMEN SHALL EXCUSE THE CONTRACTOR'S OBLIGATIONS UNDER THESE
SPECIFICATIONS, EXECUTIVE ORDER 11246, OR THE REGULATIONS
PROMULGATED PURSUANT THERETO.
(6) IN ORDER FOR THE NONWORKING TRAINING HOURS OF
APPRENTICES AND TRAINEES TO BE COUNTED IN MEETING THE GOALS,
SUCH APPRENTICES AND TRAINEES MUST BE EMPLOYED BY THE CONTRACTOR
DURING THE TRAINING PERIOD, AND THE CONTRACTOR MUST HAVE MADE
A COMMITMENT TO EMPLOY THE APPRENTICES AND TRAINEES AT THE
COMPLETION OF THEIR TRAINING, SUBJECT TO THE AVAILABILITY
OF EMPLOYMENT OPPORTUNITIES . TRAINEES MUST BE TRAINED PURSUANT
TO TRAINING PROGRAMS APPROVED BY THE U. S. DEPARTMENT OF LABOR.
(7) THE CONTRACTOR SHALL TAKE SPECIFIC AFFIRMATIVE
ACTIONS TO ENSURE EQUAL EMPLOYMENT OPPORTUNITY. THE EVALUATION
OF THE CONTRACTOR' S COMPLIANCE WITH THESE SPECIFICATIONS SHALL
BE BASED UPON ITS EFFORT TO ACHIEVE MAXIMUM RESULTS FROM ITS
ACTIONS. THE CONTRACTOR SHALL DOCUMENT THESE EFFORTS FULLY, AND
SHALL IMPLEMENT AFFIRMATIVE ACTION STEPS AT LEAST AS EXTENSIVE
AS THE FOLLOWING:
(a) ENSURE AND MAINTAIN A WORKING ENVIRONMENT FREE
OF HARASSMENT, INTIMIDATION, AND COERCION AT ALL SITES, AND IN
ALL FACILITIES AT WHICH THE CONTRACTOR' S EMPLOYEES ARE ASSIGNED
TO WORK. THE CONTRACTOR, WHERE POSSIBLE, WILL ASSIGN TWO OR
MORE WOMEN TO EACH CONSTRUCTION PROJECT. THE CONTRACTOR SHALL
SPECIFICALLY ENSURE THAT ALL FOREMEN, SUPERINTENDENTS, AND OTHER
ON-SITE SUPERVISORY PERSONNEL ARE AWARE OF AND CARRY OUT THE
CONTRACTOR'S OBLIGATION TO MAINTAIN SUCH A WORKING ENVIRONMENT,
WITH SPECIFIC ATTENTION TO MINORITY OR FEMALE INDIVIDUALS WORKING
AT SUCH SITES OR IN SUCH FACILITIES.
Page 19
(b) ESTABLISH AND MAINTAIN A CURRENT LIST OF
MINORITY AND FEMALE RECRUITMENT SOURCES, PROVIDE WRITTEN
NOTIFICATION TO MINORITY AND FEMALE RECRUITMENT SOURCES AND
TO COMMUNITY ORGANIZATIONS WHEN THE CONTRACTOR OR ITS UNIONS
HAVE EMPLOYMENT OPPORTUNITIES AVAILABLE, AND MAINTAIN A RECORD
OF THE ORGANIZATIONS ' RESPONSES.
(c) MAINTAIN A CURRENT FILE OF THE NAMES, ADDRESSES
AND TELEPHONE NUMBERS OF EACH MINORITY AND FEMALE OFF-THE-STREET
APPLICANT AND MINORITY OR FEMALE REFERRAL FROM A UNION, A
RECRUITMENT SOURCE OR COMMUNITY ORGANIZATION AND OF WHAT ACTION
WAS TAKEN WITH RESPECT TO EACH SUCH INDIVIDUAL. IF SUCH
INDIVIDUAL WAS SENT TO THE UNION HIRING HALL FOR REFERRAL AND WAS
NOT REFERRED BACK TO THE CONTRACTOR BY THE UNION OR, IF REFERRED,
NOT EMPLOYED BY THE CONTRACTOR, THIS SHALL BE DOCUMENTED IN THE
FILE WITH THE REASON THEREFOR, ALONG WITH WHATEVER ADDITIONAL
ACTIONS THE CONTRACTOR MAY HAVE TAKEN.
(d) PROVIDE IMMEDIATE WRITTEN NOTIFICATION TO THE
DIRECTOR WHEN THE UNION OR UNIONS WITH WHICH THE CONTRACTOR HAS A
COLLECTIVE BARGAINING AGREEMENT HAS NOT REFERRED TO THE CONTRACTOR
A MINORITY PERSON OR WOMAN SENT BY THE CONTRACTOR, OR WHEN THE
CONTRACTOR HAS OTHER INFORMATION THAT THE UNION REFERRAL PROCESS
HAS IMPEDED THE CONTRACTOR'S EFFORTS TO MEET ITS OBLIGATIONS.
(e) DEVELOP ON-THE-JOB TRAINING OPPORTUNITIES AND/OR
PARTICIPATE IN TRAINING PROGRAMS FOR THE AREA WHICH EXPRESSLY
INCLUDE MINORITIES AND WOMEN, INCLUDING UPGRADING PROGRAMS AND
APPRENTICESHIP AND TRAINEE PROGRAMS RELEVANT TO THE CONTRACTOR'S
EMPLOYMENT NEEDS, ESPECIALLY THOSE PROGRAMS FUNDED OR APPROVED BY
THE DEPARTMENT OF LABOR. THE CONTRACTOR SHALL PROVIDE NOTICE OF
THESE PROGRAMS TO THE SOURCES COMPILED UNDER (7) (b) ABOVE.
(f) DISSEMINATE THE CONTRACTOR'S EEO POLICY BY
PROVIDING NOTICE OF THE POLICY TO UNIONS AND TRAINING PROGRAMS AND
REQUESTING THEIR COOPERATION IN ASSISTING THE CONTRACTOR IN
MEETING ITS EEO OBLIGATIONS ; BY INCLUDING IT IN ANY POLICY MANUAL
AND COLLECTIVE BARGAINING AGREEMENT; BY PUBLICIZING IT IN THE
COMPANY NEWSPAPER, ANNUAL REPORT, ETC. ; BY SPECIFIC REVIEW OF THE
POLICY WITH ALL MANAGEMENT PERSONNEL AND WITH ALL MINORITY AND
FEMALE EMPLOYEES AT LEAST ONCE A YEAR; AND BY POSTING THE COMPANY
EEO POLICY ON BULLETIN BOARDS ACCESSIBLE TO ALL EMPLOYEES AT EACH
LOCATION WHERE CONSTRUCTION WORK IS PERFORMED.
(g) REVIEW, AT LEAST ANNUALLY, THE COMPANY' S EEO POLICY
AND AFFIRMATIVE ACTION OBLIGATIONS UNDER THESE SPECIFICATIONS WITH
ALL EMPLOYEES HAVING RESPONSIBILITY FOR HIRING, ASSIGNMENT,
LAYOFF, TERMINATION OR OTHER EMPLOYMENT DECISIONS INCLUDING
SPECIFIC REVIEW OF THESE ITEMS WITH ON-SITE SUPERVISORY PERSONNEL
SUCH AS SUPERINTENDENTS, GENERAL FOREMAN, ETC. , PRIOR TO THE
INITIATION OF CONSTRUCTION WORK AT ANY JOB SITE. A WRITTEN RECORD
SHALL BE MADE AND MAINTAINED IDENTIFYING THE TIME AND PLACE OF
THESE MEETINGS, PERSONS ATTENDING, SUBJECT MATTER DISCUSSED, AND
DISPOSITION OF THE SUBJECT MATTER.
Page 20
(h) DISSEMINATE THE CONTRACTOR'S EEO POLICY EXTERNALLY
BY INCLUDING IT IN ANY ADVERTISING IN THE NEWS MEDIA, SPECIFICALLY
INCLUDING MINORITY AND FEMALE NEWS MEDIA, AND PROVIDING WRITTEN
NOTIFICATION TO AND DISCUSSING THE CONTRACTOR' S EEO POLICY WITH
OTHER CONTRACTORS AND SUBCONTRACTORS WITH WHOM THE CONTRACTOR DOES
OR ANTICIPATES DOING BUSINESS.
(i) DIRECT ITS RECRUITMENT EFFORTS, BOTH ORAL AND
WRITTEN, TO MINORITY, FEMALE AND COMMUNITY ORGANIZATIONS , TO
SCHOOLS WITH MINORITY AND FEMALE STUDENTS AND TO MINORITY AND
FEMALE RECRUITMENT AND TRAINING ORGANIZATIONS SERVING THE
CONTRACTOR'S RECRUITMENT AREA AND EMPLOYMENT NEEDS. NOT LATER
THAN ONE MONTH PRIOR TO THE DATE FOR THE ACCEPTANCE OF
APPLICATIONS FOR APPRENTICESHIP OR OTHER TRAINING BY ANY
RECRUITMENT SOURCE, THE CONTRACTOR SHALL SEND WRITTEN NOTIFICATION
TO ORGANIZATIONS SUCH AS THE ABOVE, DESCRIBING THE OPENINGS,
SCREENING PROCEDURES, AND TESTS TO BE USED IN THE SELECTION
PROCESS.
(j ) ENCOURAGE PRESENT MINORITY AND FEMALE EMPLOYEES TO
RECRUIT OTHER MINORITY PERSONS AND WOMEN AND, WHERE REASONABLE,
PROVIDE AFTER SCHOOL, SUMMER AND VACATION EMPLOYMENT TO MINORITY
AND FEMALE YOUTH BOTH ON THE SITE AND IN OTHER AREAS OF THE
CONTRACTOR' S WORKFORCE.
(k) VALIDATE ALL TESTS AND OTHER SELECTION REQUIREMENTS
WHERE THERE IS AN OBLIGATION TO DO SO UNDER 41 C.F.R. PART 60. 3 .
(1) CONDUCT, AT LEAST ANNUALLY, AN INVENTORY AND
EVALUATION AT LEAST OF ALL MINORITY AND FEMALE PERSONNEL FOR
PROMOTIONAL OPPORTUNITIES AND ENCOURAGE THESE EMPLOYEES TO SEEK
OR TO PREPARE FOR, THROUGH APPROPRIATE TRAINING, ETC. , SUCH
OPPORTUNITIES.
(m) ENSURE THAT SENIORITY PRACTICES, JOB
CLASSIFICATIONS, WORK ASSIGNMENTS AND OTHER PERSONNEL
PRACTICES DO NOT HAVE A DISCRIMINATORY EFFECT BY
CONTINUALLY MONITORING ALL PERSONNEL AND EMPLOYMENT RELATED
ACTIVITIES TO ENSURE THAT THE EEO POLICY AND THE
CONTRACTOR'S OBLIGATIONS UNDER THESE SPECIFICATIONS
ARE BEING CARRIED OUT.
(n) ENSURE THAT ALL FACILITIES AND COMPANY ACTIVITIES
ARE NONSEGREGATED EXCEPT THAT SEPARATE OR SINGLE USER TOILET AND
NECESSARY CHANGING FACILITIES SHALL BE PROVIDED TO ASSURE PRIVACY
BETWEEN SEXES.
(0) DOCUMENT AND MAINTAIN A RECORD OF ALL SOLICITATIONS
OF OFFERS FOR SUBCONTRACTS FROM MINORITY AND FEMALE CONSTRUCTION
CONTRACTORS AND SUPPLIERS, INCLUDING CIRCULATION OF SOLICITATIONS
TO MINORITY AND FEMALE CONTRACTOR ASSOCIATIONS AND OTHER BUSINESS
ASSOCIATIONS.
Page 21
(p) CONDUCT A REVIEW, AT LEAST ANNUALLY, OF ALL
SUPERVISORS ' ADHERENCE TO AND PERFORMANCE UNDER THE CONTRACTOR'S
EEO POLICIES AND AFFIRMATIVE ACTION OBLIGATIONS.
(8) CONTRACTORS ARE ENCOURAGED TO PARTICIPATE IN VOLUNTARY
ASSOCIATIONS WHICH ASSIST IN FULFILLING ONE OR MORE OF THEIR
AFFIRMATIVE ACTION OBLIGATIONS SET FORTH IN PARAGRAPHS (7) (a)
THROUGH (p) . THE EFFORTS OF A CONTRACTOR ASSOCIATION, JOINT
CONTRACTOR-UNION, CONTRACTOR COMMUNITY, OR OTHER SIMILAR GROUP OF
WHICH THE CONTRACTOR IS A MEMBER AND PARTICIPANT, MAY BE ASSERTED
AS FULFILLING ANY ONE OR MORE OF ITS OBLIGATIONS UNDER (7) (a)
THROUGH (p) OF THESE SPECIFICATIONS, PROVIDED THAT THE CONTRACTOR
ACTIVELY PARTICIPATES IN THE GROUP, MAKES EVERY EFFORT TO ASSURE
THAT THE GROUP HAS A POSITIVE IMPACT ON THE EMPLOYMENT OF
MINORITIES AND WOMEN IN THE INDUSTRY, ENSURES THAT THE CONCRETE
BENEFITS OF THE PROGRAM ARE REFLECTED IN THE CONTRACTOR'S MINORITY
AND FEMALE WORKFORCE PARTICIPATION, MAKES A GOOD FAITH EFFORT TO
MEET ITS INDIVIDUAL GOALS AMD TIMETABLES, AND CAN PROVIDE ACCESS
TO DOCUMENTATION WHICH DEMONSTRATES THE EFFECTIVENESS OF ACTIONS
TAKEN ON BEHALF OF THE CONTRACTOR. THE OBLIGATION TO COMPLY,
HOWEVER, IS THE CONTRACTOR'S AND FAILURE OF SUCH A GROUP TO
FULFILL AN OBLIGATION SHALL NOT BE A DEFENSE FOR THE CONTRACTOR'S
NONCOMPLIANCE.
(9) A SINGLE GOAL FOR MINORITIES AND A SEPARATE SINGLE GOAL
FOR WOMEN HAVE BEEN ESTABLISHED. THE CONTRACTOR, HOWEVER, IS
REQUIRED TO PROVIDE EQUAL EMPLOYMENT OPPORTUNITY AND TO TAKE
AFFIRMATIVE ACTION FOR ALL MINORITY GROUPS, BOTH MALE AND FEMALE,
AND ALL WOMEN, BOTH MINORITY AND NON-MINORITY. CONSEQUENTLY, THE
CONTRACTOR MAY BE IN VIOLATION OF THE EXECUTIVE ORDER IF A
PARTICULAR GROUP IS EMPLOYED IN A SUBSTANTIALLY DISPARATE MANNER
(FOR EXAMPLE, EVEN THOUGH THE CONTRACTOR HAS ACHIEVED ITS GOAL FOR
WOMEN GENERALLY, THE CONTRACTOR MAY BE IN VIOLATION OF THE
EXECUTIVE ORDER IF A SPECIFIC MINORITY GROUP OF WOMEN IS
UNDERUTILIZED) .
(10) THE CONTRACTOR SHALL NOT USE THE GOALS AND TIMETABLES
OR AFFIRMATIVE ACTION STANDARDS TO DISCRIMINATE AGAINST ANY PERSON
BECAUSE OF RACE, COLOR, RELIGION, SEX, OR NATIONAL ORIGIN.
(11) THE CONTRACTOR SHALL NOT ENTER INTO ANY SUBCONTRACT
WITH ANY PERSON OR FIRM DEBARRED FROM GOVERNMENT CONTRACTS
PURSUANT TO EXECUTIVE ORDER 11246.
(12) THE CONTRACTOR SHALL CARRY OUT SUCH SANCTIONS AND
PENALTIES FOR VIOLATION OF THESE SPECIFICATIONS AND OF THE
EQUAL OPPORTUNITY CLAUSE, INCLUDING SUSPENSION, TERMINATION
AND CANCELLATION OF EXISTING SUBCONTRACTS AS MAY BE IMPOSED OR
ORDERED PURSUANT TO EXECUTIVE ORDER 11246, AS AMENDED, AND ITS
IMPLEMENTING REGULATIONS, BY THE OFFICE OF FEDERAL CONTRACT
COMPLIANCE PROGRAMS. ANY CONTRACTOR WHO FAILS TO CARRY OUT
SUCH SANCTIONS AND PENALTIES SHALL BE IN VIOLATION OF THESE
SPECIFICATIONS AND EXECUTIVE ORDER 11246, AS AMENDED.
Page 22
(13) THE CONTRACTOR, IN FULFILLING ITS OBLIGATIONS UNDER
THESE SPECIFICATIONS, SHALL IMPLEMENT SPECIFIC AFFIRMATIVE ACTION
STEPS, AT LEAST AS EXTENSIVE AS THOSE STANDARDS PRESCRIBED IN
PARAGRAPH (7) OF THESE SPECIFICATIONS, SO AS TO ACHIEVE MAXIMUM
RESULTS FROM ITS EFFORTS TO ENSURE EQUAL EMPLOYMENT OPPORTUNITY.
IF THE CONTRACTOR FAILS TO COMPLY WITH THE REQUIREMENTS OF THE
EXECUTIVE ORDER, THE IMPLEMENTING REGULATIONS, OR THESE
SPECIFICATIONS, THE DIRECTOR SHALL PROCEED IN ACCORDANCE WITH
41 C.F.R. § 60-4 . 8 .
(14) THE CONTRACTOR SHALL DESIGNATE A RESPONSIBLE
OFFICIAL TO MONITOR ALL EMPLOYMENT RELATED ACTIVITY TO
ENSURE THAT THE COMPANY EEO POLICY IS BEING CARRIED OUT,
TO SUBMIT REPORTS RELATING TO THE PROVISIONS HEREOF AS
MAY BE REQUIRED BY THE GOVERNMENT AND TO KEEP RECORDS.
RECORDS SHALL AT LEAST INCLUDE FOR EACH EMPLOYEE THE NAME,
ADDRESS, TELEPHONE NUMBERS, CONSTRUCTION TRADE, UNION
AFFILIATION IF ANY, EMPLOYEE IDENTIFICATION NUMBER WHEN
ASSIGNED, SOCIAL SECURITY NUMBER, RACE, SEX, STATUS
(E.G. , MECHANIC, APPRENTICE, TRAINEE, HELPER, OR LABORER) ,
DATES OF CHANGES IN STATUS, HOURS WORKED PER WEEK IN THE
INDICATED TRADE, RATE OF PAY, AND LOCATIONS AT WHICH THE
WORK WAS PERFORMED. RECORDS SHALL BE MAINTAINED IN AN
EASILY UNDERSTANDABLE AND RETRIEVABLE FORM; HOWEVER, TO
THE DEGREE THAT EXISTING RECORDS SATISFY THIS REQUIREMENT,
CONTRACTORS SHALL NOT BE REQUIRED TO MAINTAIN SEPARATE
RECORDS.
(15) NOTHING HEREIN PROVIDED SHALL BE CONSTRUED AS A
LIMITATION UPON THE APPLICATION OF OTHER LAWS WHICH
ESTABLISH DIFFERENT STANDARDS OF COMPLIANCE OR UPON THE
APPLICATION OF REQUIREMENTS FOR THE HIRING OF LOCAL OR
OTHER AREA RESIDENTS (E.G. , THOSE UNDER THE PUBLIC WORKS
EMPLOYMENT ACT OF 1977 AND THE COMMUNITY DEVELOPMENT BLOCK
GRANT PROGRAM) .
c. Notice. The Recipient hereby agrees that it will ensure
that the notice set forth below shall be included in, and shall
be a part of, all solicitations for offers and bids on all
Federal and federally assisted construction contracts or
subcontracts in excess of $10, 000 to be performed in
geographical areas designated by the Director, Office of
Federal Contract Compliance Programs of the Department of
Labor at 41 C. F.R. § 60-4 . 2 :
NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE
EQUAL EMPLOYMENT OPPORTUNITY (EXECUTIVE ORDER 11246) :
(1) THE OFFEROR'S OR BIDDER'S ATTENTION IS CALLED
TO THE "EQUAL OPPORTUNITY CLAUSE" AND THE "STANDARD FEDERAL
EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION CONTRACT
SPECIFICATIONS" SET FORTH HEREIN.
Page 23
(2) (a) THE GOALS AND THE TIMETABLES FOR MINORITY AND FEMALE
PARTICIPATION, EXPRESSED IN PERCENTAGE TERMS FOR THE CONTRACTOR'S
AGGREGATE WORKFORCE IN EACH TRADE ON ALL CONSTRUCTION WORK IN THE
COVERED AREA, ARE AS FOLLOWS:
TIMETABLES GOALS FOR MINORITY GOALS FOR FEMALE
PARTICIPATION IN PARTICIPATION IN
EACH TRADE EACH TRADE
INSERT GOALS FOR INSERT GOALS FOR
EACH YEAR EACH YEAR
(b) THESE GOALS ARE APPLICABLE TO ALL THE CONTRACTOR'S
CONSTRUCTION WORK (WHETHER OR NOT IT IS FEDERAL OR FEDERALLY
ASSISTED) PERFORMED IN THE COVERED AREA. IF THE CONTRACTOR
PERFORMS CONSTRUCTION WORK IN A GEOGRAPHICAL AREA LOCATED OUTSIDE
OF THE COVERED AREA, IT SHALL APPLY THE GOALS ESTABLISHED FOR SUCH
GEOGRAPHICAL AREA WHERE THE WORK IS ACTUALLY PERFORMED. WITH
REGARD TO THIS SECOND AREA, THE CONTRACTOR ALSO IS SUBJECT TO THE
GOALS FOR BOTH ITS FEDERALLY INVOLVED AND NONFEDERALLY INVOLVED
CONSTRUCTION.
(c) THE CONTRACTOR'S COMPLIANCE WITH THE EXECUTIVE
ORDER AND THE REGULATIONS IN 41 C. F.R. PART 60-4 SHALL BE BASED ON
ITS IMPLEMENTATION OF THE EQUAL OPPORTUNITY CLAUSE, SPECIFIC
AFFIRMATIVE ACTION OBLIGATIONS REQUIRED BY THE SPECIFICATIONS SET
FORTH IN 41 C.F.R. § 60-4 . 3 (a) , AND ITS EFFORTS TO MEET THE GOALS .
THE HOURS OF MINORITY AND FEMALE EMPLOYMENT AND TRAINING MUST BE
SUBSTANTIALLY UNIFORM THROUGHOUT THE LENGTH OF THE CONTRACT, AND
IN EACH TRADE, AND THE CONTRACTOR SHALL MAKE A GOOD FAITH EFFORT
TO EMPLOY MINORITIES AND WOMEN EVENLY ON EACH OF ITS PROJECTS.
THE TRANSFER OF MINORITY OR FEMALE EMPLOYEES OR TRAINEES FROM
CONTRACTOR TO CONTRACTOR OR FROM PROJECT TO PROJECT FOR THE SOLE
PURPOSE OF MEETING THE CONTRACTOR'S GOALS SHALL BE A VIOLATION OF
THE CONTRACT, THE EXECUTIVE ORDER, AND THE REGULATIONS IN
41 C.F.R. PART 60-4 . COMPLIANCE WITH THE GOALS WILL BE MEASURED
AGAINST THE TOTAL WORK HOURS PERFORMED.
(3) THE CONTRACTOR SHALL PROVIDE WRITTEN NOTIFICATION TO THE
DIRECTOR OF THE OFFICE OF FEDERAL CONTRACT COMPLIANCE PROGRAMS
WITHIN 10 WORKING DAYS OF AWARD OF ANY CONSTRUCTION SUBCONTRACT IN
EXCESS OF $10, 000 AT ANY TIER FOR CONSTRUCTION WORK UNDER THE
CONTRACT RESULTING FROM THIS SOLICITATION. THE NOTIFICATION SHALL
LIST THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE SUBCONTRACTOR;
EMPLOYER IDENTIFICATION NUMBER OF THE SUBCONTRACTOR; ESTIMATED
DOLLAR AMOUNT OF THE SUBCONTRACT; ESTIMATED STARTING AND
COMPLETION DATES OF THE SUBCONTRACT; AND THE GEOGRAPHICAL AREA IN
WHICH THE SUBCONTRACT 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) .
PAGE 24
d. Accommodations for the Physically Handicapped. UMTA assisted
construction, designs, and alterations shall be undertaken in
accordance with and meet the requirements of the provisions of
General Services Administration (GSA) regulations set forth at
41 C.F.R. Subpart 101-19. 6, unless an exception is granted in
writing by UMTA or a waiver is granted in writing by GSA.
e. Contract Security. The Recipient shall follow the
requirements of OMB Circular A-102 , as amended, or OMB
Circular A-110, as amended, to the extent appropriate, and
Federal (UMTA) guidelines with regard to bid guarantees and
bonding requirements.
f. Insurance During Construction. The Recipient shall, at a
minimum, follow the insurance requirements normally required by
its State and local governments.
g. Signs. The Recipient shall cause to be erected at the site
of construction, and maintained during construction, signs
satisfactory to the Department of Transportation identifying the
Project and indicating that the Government is participating in
the development of the Project.
h. Safety Standards. Pursuant to section 107 of the Contract
Work Hours and Safety Standards Act and Department of Labor
regulations set forth at 29 C. F.R. § 1926, no laborer or mechanic
working on a construction contract shall be required to work in
surroundings or under working conditions that are unsanitary,
hazardous, or dangerous to his or her health and safety as
determined under construction and health standards promulgated
by the Secretary of Labor.
i. Liquidated Damages. The Recipient shall include in all
contracts for construction a clause providing for liquidated
damages, where appropriate. Liquidated damages clauses are
appropriate if the parties may reasonably expect to suffer damages
(increased costs on the project involved) from the late completion
of the construction and the extent or amount of such damages would
be difficult or impossible to determine. The assessment for
damages shall be at a specific rate per day for each day of
overrun in contract time; and the rate must be specified in the
third party contract. Any liquidated damages recovered shall be
credited to the Project account involved unless the Government
permits otherwise.
Section 112 . Labor Provisions.
a. Construction Contracts. Pursuant to regulations set forth at
29 C.F.R. Part 5, the following provisions shall be incorporated
in each construction contracts of $2 , 000 let by the Recipient in
carrying out the project.
Page 25
(1) MINIMUM WAGES.
(a) ALL LABORERS AND MECHANICS EMPLOYED OR WORKING UPON
THE SITE OF THE WORK (OR UNDER THE UNITED STATES HOUSING ACT
OF 1937 OR UNDER THE HOUSING ACT OF 1949 IN THE CONSTRUCTION OR
DEVELOPMENT OF THE PROJECT) , WILL BE PAID UNCONDITIONALLY AND NOT
LESS OFTEN THAN ONCE A WEEK, AND WITHOUT SUBSEQUENT DEDUCTION OR
REBATE ON ANY ACCOUNT (EXCEPT SUCH PAYROLL DEDUCTIONS AS ARE
PERMITTED BY REGULATIONS ISSUED BY THE SECRETARY OF LABOR UNDER
THE COPELAND ACT, 29 C. F.R. PART 3) , THE FULL AMOUNT OF WAGES AND
BONA FIDE FRINGE BENEFITS (OR CASH EQUIVALENTS THEREOF) DUE AT THE
TIME OF PAYMENT COMPUTED AT RATES NOT LESS THAN THOSE CONTAINED IN
THE WAGE DETERMINATION OF THE SECRETARY OF LABOR WHICH IS ATTACHED
HERETO AMD MADE A PART HEREOF, REGARDLESS OF ANY CONTRACTUAL
RELATIONSHIP WHICH MAY BE ALLEGED TO EXIST BETWEEN THE CONTRACTOR
AND SUCH LABORERS AND MECHANICS. CONTRIBUTIONS MADE OR COSTS
REASONABLY ANTICIPATED FOR BONA FIDE FRINGE BENEFITS UNDER SECTION
1 (b) (2) OF THE DAVIS-BACON ACT ON BEHALF OF LABORERS OR MECHANICS
ARE CONSIDERED WAGES PAID TO SUCH LABORERS OR MECHANICS, SUBJECT
TO THE PROVISIONS OF 29 C.F.R. § 5. 5 (a) (1) (iv) ; ALSO, REGULAR
CONTRIBUTIONS MADE OR COSTS INCURRED FOR MORE THAN A WEEKLY PERIOD
(BUT NOT LESS OFTEN THAN QUARTERLY) UNDER PLANS, FUNDS, OR
PROGRAMS WHICH COVER THE PARTICULAR WEEKLY PERIOD, ARE DEEMED TO
BE CONSTRUCTIVELY MADE OR INCURRED DURING SUCH WEEKLY PERIOD.
SUCH LABORERS AND MECHANICS SHALL BE PAID THE APPROPRIATE WAGE
RATE AND FRINGE BENEFITS ON THE WAGE DETERMINATION FOR THE
CLASSIFICATION OF WORK ACTUALLY PERFORMED, WITHOUT REGARD TO
SKILL, EXCEPT AS PROVIDED IN 29 C. F.R. § 5. 5 (a) (4) . LABORERS OR
MECHANICS PERFORMING WORK IN MORE THAN ONE CLASSIFICATION MAY BE
COMPENSATED AT THE RATE SPECIFIED FOR EACH CLASSIFICATION FOR THE
TIME ACTUALLY WORKED THEREIN: PROVIDED, THAT THE EMPLOYER'S
PAYROLL RECORDS ACCURATELY SET FORTH THE TIME SPENT IN EACH
CLASSIFICATION IN WHICH WORK IS PERFORMED. THE WAGE DETERMINATION
(INCLUDING ANY ADDITIONAL CLASSIFICATION AND WAGE RATES CONFORMED
UNDER OF 29 C. F.R. § 5. 5 (a) (1) (ii) AND THE DAVIS-BACON POSTER
(WH-1321) SHALL BE POSTED AT ALL TIMES BY THE CONTRACTOR AND ITS
SUBCONTRACTORS AT THE SITE OF THE WORK IN A PROMINENT AND
ACCESSIBLE PLACE WHERE IT CAN BE EASILY SEEN BY THE WORKERS.
(b) 1. THE CONTRACTING OFFICER SHALL REQUIRE THAT ANY
CLASS OF LABORERS OR MECHANICS WHICH IS NOT LISTED IN THE WAGE
DETERMINATION AND WHICH IS TO BE EMPLOYED UNDER THE CONTRACT SHALL
BE CLASSIFIED IN CONFORMANCE WITH THE WAGE DETERMINATION. THE
CONTRACTING OFFICER SHALL APPROVE AN ADDITIONAL CLASSIFICATION AND
WAGE RATE AND FRINGE BENEFITS THEREFOR ONLY WHEN THE FOLLOWING
CRITERIA HAVE BEEN MET:
a. THE WORK TO BE PERFORMED BY THE
CLASSIFICATION REQUESTED IS NOT PERFORMED BY A CLASSIFICATION IN
THE WAGE DETERMINATION; AND
b. THE CLASSIFICATION IS UTILIZED IN THE AREA
BY THE CONSTRUCTION INDUSTRY; AND
Page 26
c. THE PROPOSED WAGE RATE, INCLUDING ANY BONA
FIDE FRINGE BENEFITS, BEARS A REASONABLE RELATIONSHIP TO THE WAGE
RATES CONTAINED IN THE WAGE DETERMINATION.
2 . IF THE CONTRACTOR AND THE LABORERS AND
MECHANICS TO BE EMPLOYED IN THE CLASSIFICATION (IF KNOWN) , OR
THEIR REPRESENTATIVES, AND THE CONTRACTING OFFICER AGREE ON THE
CLASSIFICATION AND WAGE RATE (INCLUDING THE AMOUNT DESIGNATED FOR
FRINGE BENEFITS WHERE APPROPRIATE) , A REPORT OF THE ACTION TAKEN
SHALL BE SENT BY THE CONTRACTING OFFICER TO THE ADMINISTRATOR OF
THE WAGE AND HOUR DIVISION, EMPLOYMENT STANDARDS ADMINISTRATION,
U. S. DEPARTMENT OF LABOR, WASHINGTON, D.C. 20210. THE
ADMINISTRATOR, OR AN AUTHORIZED REPRESENTATIVE, WILL APPROVE,
MODIFY, OR DISAPPROVE EVERY ADDITIONAL CLASSIFICATION ACTION
WITHIN 30 DAYS OF RECEIPT AND SO ADVISE THE CONTRACTING OFFICER
OR WILL NOTIFY THE CONTRACTING OFFICER WITHIN THE 30-DAY PERIOD
THAT ADDITIONAL TIME IS NECESSARY.
3 . IN THE EVENT THE CONTRACTOR, LABORERS OR
MECHANICS TO BE EMPLOYED IN THE CLASSIFICATION OR THEIR
REPRESENTATIVES, AND THE CONTRACTING OFFICER DO NOT AGREE ON
THE PROPOSED CLASSIFICATION AND WAGE RATE (INCLUDING THE AMOUNT
DESIGNATED FOR FRINGE BENEFITS, WHERE APPROPRIATE) , THE
CONTRACTING OFFICER SHALL REFER THE QUESTIONS INCLUDING THE
VIEWS OF ALL INTERESTED PARTIES AND THE RECOMMENDATION OF THE
CONTRACTING OFFICER, TO THE ADMINISTRATOR FOR DETERMINATION.
THE ADMINISTRATOR, OR AN AUTHORIZED REPRESENTATIVE, WILL ISSUE
A DETERMINATION WITHIN 30 DAYS OF RECEIPT AND SO ADVISE THE
CONTRACTING OFFICER OR WILL NOTIFY THE CONTRACTING OFFICER WITHIN
THE 30-DAY PERIOD THAT ADDITIONAL TIME IS NECESSARY.
4 . THE WAGE RATE (INCLUDING FRINGE BENEFITS WHERE
APPROPRIATE) DETERMINED PURSUANT TO 29 C.F.R. § 5. 5 (a) (i) (1) (B)
OR § 5. 5 (a) (i) (1) (C) , SHALL BE PAID TO ALL WORKERS PERFORMING WORK
IN THE CLASSIFICATION UNDER THIS CONTRACT FROM THE FIRST DAY ON
WHICH WORK IS PERFORMED IN THE CLASSIFICATION.
(c) WHENEVER THE MINIMUM WAGE RATE PRESCRIBED IN THE
CONTRACT FOR A CLASS OF LABORERS OR MECHANICS INCLUDES A FRINGE
BENEFIT WHICH IS NOT EXPRESSED AS AN HOURLY RATE, THE CONTRACTOR
SHALL EITHER PAY THE BENEFIT AS STATED IN THE WAGE DETERMINATION
OR SHALL PAY ANOTHER BONA FIDE FRINGE BENEFIT OR AN HOURLY CASH
EQUIVALENT THEREOF.
(d) IF THE CONTRACTOR DOES NOT MAKE PAYMENTS TO A
TRUSTEE OR OTHER THIRD PERSON, THE CONTRACTOR MAY CONSIDER AS PART
OF THE WAGES OF ANY LABORER OR MECHANIC THE AMOUNT OF ANY COSTS
REASONABLY ANTICIPATED IN PROVIDING BONA FIDE FRINGE BENEFITS
UNDER A PLAN OR PROGRAM, PROVIDED, THAT 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.
Page 27
(2) WITHHOLDING. DOT SHALL UPON ITS OWN ACTION OR
UPON WRITTEN REQUEST OF AN AUTHORIZED REPRESENTATIVE OF THE
DEPARTMENT OF LABOR WITHHOLD OR CAUSE TO BE WITHHELD FROM THE
CONTRACTOR, UNDER THIS AGREEMENT OR ANY OTHER FEDERAL CONTRACT
WITH THE SAME RECIPIENT OR ANY OTHER FEDERALLY-ASSISTED CONTRACT
SUBJECT TO DAVIS-BACON PREVAILING WAGE REQUIREMENTS, WHICH IS
HELD BY THE SAME PRIME CONTRACTOR, SO MUCH OF THE ACCRUED PAYMENTS
OR ADVANCES AS MAY BE CONSIDERED NECESSARY TO PAY LABORERS AND
MECHANICS, INCLUDING APPRENTICES, TRAINEES, AND HELPERS, EMPLOYED
BY THE CONTRACTOR OR ANY SUBCONTRACTOR THE FULL AMOUNT OF WAGES
REQUIRED BY THE CONTRACT. IN THE EVENT OF FAILURE TO PAY ANY
LABORER OR MECHANIC, INCLUDING ANY APPRENTICE, TRAINEE, OR HELPER,
EMPLOYED OR WORKING ON THE SITE OF THE WORK (OR UNDER THE UNITED
STATES HOUSING ACT OF 1937 OR UNDER THE HOUSING ACT OF 1949 IN
THE CONSTRUCTION OR DEVELOPMENT OF THE PROJECT) , ALL OR PART OF
THE WAGES REQUIRED BY THE CONTRACT, UMTA MAY, AFTER WRITTEN NOTICE
TO THE CONTRACTOR, SPONSOR, APPLICANT, OR OWNER, TAKE SUCH ACTION
AS MAY BE NECESSARY TO CAUSE THE SUSPENSION OF ANY FURTHER
PAYMENT, ADVANCE, OR GUARANTEE OF FUNDS UNTIL SUCH VIOLATIONS
HAVE CEASED.
(3) PAYROLLS AND BASIC RECORDS.
(a) PAYROLLS AND BASIC RECORDS RELATING ,THERETO SHALL
BE MAINTAINED BY THE CONTRACTOR DURING THE COURSE OF THE WORK
AND PRESERVED FOR A PERIOD OF THREE YEARS THEREAFTER FOR ALL
LABORERS AND MECHANICS WORKING AT THE SITE OF THE WORK (OR UNDER
THE UNITED STATES HOUSING ACT OF 1937, OR UNDER THE HOUSING ACT
OF 1949, IN THE CONSTRUCTION OR DEVELOPMENT OF THE PROJECT) .
SUCH RECORDS SHALL CONTAIN THE NAME, ADDRESS, AND SOCIAL SECURITY
NUMBER OF EACH SUCH WORKER, HIS OR HER CORRECT CLASSIFICATION,
HOURLY RATES OF WAGES PAID (INCLUDING RATES OF CONTRIBUTIONS
OR COSTS ANTICIPATED FOR BONA FIDE FRINGE BENEFITS OR CASH
EQUIVALENTS THEREOF OF THE TYPES DESCRIBED IN SECTION 1 (b) (2) (B)
OF THE DAVIS BACON ACT) , DAILY AND WEEKLY NUMBER OF HOURS WORKED,
DEDUCTIONS MADE AND ACTUAL WAGES PAID. WHENEVER THE SECRETARY
OF LABOR HAS FOUND UNDER 29 C.F.R. § 5. 5 (a) (1) (iv) THAT THE
WAGES OF ANY LABORER OR MECHANIC INCLUDE THE AMOUNT OF ANY COSTS
REASONABLY ANTICIPATED IN PROVIDING BENEFITS UNDER A PLAN OR
PROGRAM DESCRIBED IN SECTION 1(b) (2) (B) OF THE DAVIS-BACON ACT,
THE CONTRACTOR SHALL MAINTAIN RECORDS WHICH SHOW THAT THE
COMMITMENT TO PROVIDE SUCH BENEFITS IS ENFORCEABLE, THAT THE
PLAN OR PROGRAM IS FINANCIALLY RESPONSIBLE, AND THAT THE PLAN
OR PROGRAM HAS BEEN COMMUNICATED IN WRITING TO THE LABORERS OR
MECHANICS AFFECTED, AND RECORDS WHICH SHOW THE COSTS ANTICIPATED
OR THE ACTUAL COSTS INCURRED IN PROVIDING SUCH BENEFITS.
CONTRACTORS EMPLOYING APPRENTICES OR TRAINEES UNDER APPROVED
PROGRAMS SHALL MAINTAIN WRITTEN EVIDENCE OF THE REGISTRATION
OF APPRENTICESHIP PROGRAMS AND CERTIFICATION OF TRAINEE
PROGRAMS, THE REGISTRATION OF THE APPRENTICES AND TRAINEES,
AND THE RATIOS AND WAGE RATES PRESCRIBED IN THE APPLICABLE
PROGRAMS.
Page 28
(b) 1. THE CONTRACTOR SHALL SUBMIT WEEKLY FOR EACH
WEEK IN WHICH ANY CONTRACT WORK IS PERFORMED A COPY OF ALL
PAYROLLS TO UMTA IF UMTA IS A PARTY TO THE CONTRACT; BUT IF UMTA
IS NOT SUCH A PARTY, THE CONTRACTOR WILL SUBMIT THE PAYROLLS TO
THE APPLICANT, SPONSOR, OR OWNER, AS THE CASE MAY BE, FOR
TRANSMISSION TO UMTA. THE PAYROLLS SUBMITTED SHALL SET OUT
ACCURATELY AND COMPLETELY ALL OF THE INFORMATION REQUIRED TO BE
MAINTAINED UNDER 29 C.F.R. § 5. 5 (a) (3) (i) . THIS INFORMATION MAY
BE SUBMITTED IN ANY FORM DESIRED. OPTIONAL FORM WH-347 IS
AVAILABLE FOR THIS PURPOSE AND MAY BE PURCHASED FROM THE
SUPERINTENDENT OF DOCUMENTS (FEDERAL STOCK NO. 029-005-00014-1) ,
U. S . GOVERNMENT PRINTING OFFICE, WASHINGTON, D.C. 20402 . THE
PRIME CONTRACTOR IS RESPONSIBLE FOR THE SUBMISSION OF COPIES OF
PAYROLLS BY ALL SUBCONTRACTORS.
2 . EACH PAYROLL SUBMITTED SHALL BE ACCOMPANIED
BY A "STATEMENT OF COMPLIANCE, " SIGNED BY THE CONTRACTOR OR
SUBCONTRACTOR OR HIS OR HER AGENT WHO PAYS OR SUPERVISES THE
PAYMENT OF THE PERSONS EMPLOYED UNDER THE CONTRACT AND SHALL
CERTIFY THE FOLLOWING:
a. THAT THE PAYROLL FOR THE PAYROLL
PERIOD CONTAINS THE INFORMATION REQUIRED TO BE MAINTAINED
UNDER 29 C.F.R. § 5. 5. (a) (3) (i) AND THAT SUCH INFORMATION
IS CORRECT AND COMPLETE;
b. THAT EACH LABORER OR MECHANIC (INCLUDING
EACH HELPER, APPRENTICE, AND TRAINEE) EMPLOYED ON THE CONTRACT
DURING THE PAYROLL PERIOD HAS BEEN PAID THE FULL WEEKLY WAGES
EARNED, WITHOUT REBATE, EITHER DIRECTLY OR INDIRECTLY, AND THAT NO
DEDUCTIONS HAVE BEEN MADE EITHER DIRECTLY OR INDIRECTLY FROM THE
FULL WAGES EARNED, OTHER THAN PERMISSIBLE DEDUCTIONS AS SET FORTH
AT 29 C.F.R. PART 3 ;
c. THAT EACH LABORER OR MECHANIC HAS BEEN PAID
NOT LESS THAN THE APPLICABLE WAGE RATES AND FRINGE BENEFITS OR
CASH EQUIVALENTS FOR THE CLASSIFICATION OF WORK PERFORMED, AS
SPECIFIED IN THE APPLICABLE WAGE DETERMINATION INCORPORATED INTO
THE CONTRACT.
3 . THE WEEKLY SUBMISSION OF A PROPERLY
EXECUTED CERTIFICATION SET FORTH ON THE REVERSE SIDE OF
OPTIONAL FORM WH-347 SHALL SATISFY THE REQUIREMENT FOR
SUBMISSION OF THE "STATEMENT OF COMPLIANCE" REQUIRED BY
29 C.F.R. § 5. 5 (a) (3) (ii) (B) .
4 . THE FALSIFICATION OF ANY OF THE ABOVE
CERTIFICATIONS MAY SUBJECT THE CONTRACTOR OR SUBCONTRACTOR TO
CIVIL OR CRIMINAL PROSECUTION UNDER 18 U.S.C. § 1001 AND
31 U.S.C. § 231.
(c) THE CONTRACTOR OR SUBCONTRACTOR SHALL MAKE THE
RECORDS REQUIRED UNDER 29 C. F.R. § 5. 5 (a) (3) (ii) AVAILABLE
FOR INSPECTION, COPYING, OR TRANSCRIPTION BY AUTHORIZED
Page 29
REPRESENTATIVES OF UMTA OR THE DEPARTMENT OF LABOR, AND SHALL
PERMIT SUCH REPRESENTATIVES TO INTERVIEW EMPLOYEES DURING WORKING
HOURS ON THE JOB. IF THE CONTRACTOR OR SUBCONTRACTOR FAILS TO
SUBMIT THE REQUIRED RECORDS OR MAKE THEM AVAILABLE, UMTA MAY,
AFTER WRITTEN NOTICE TO THE CONTRACTOR, SPONSOR, APPLICANT,
OR OWNER, TAKE SUCH ACTION AS MAY BE NECESSARY TO CAUSE THE
SUSPENSION OF ANY FURTHER PAYMENT, ADVANCE, OR GUARANTEE OF FUNDS.
FURTHERMORE, FAILURE TO SUBMIT THE REQUIRED RECORDS UPON REQUEST
OR MAKE SUCH RECORDS AVAILABLE MAY BE GROUNDS FOR DEBARMENT ACTION
PURSUANT TO 29 C.F.R. § 5. 12 .
(4) APPRENTICES AND TRAINEES.
(a) APPRENTICES. APPRENTICES WILL BE PERMITTED TO WORK
AT LESS THAN THE PREDETERMINED RATE FOR THE WORK THEY PERFORMED
WHEN THEY ARE EMPLOYED PURSUANT TO AND INDIVIDUALLY REGISTERED IN
A BONA FIDE APPRENTICESHIP PROGRAM REGISTERED WITH THE U. S.
DEPARTMENT OF LABOR, EMPLOYMENT AND TRAINING ADMINISTRATION,
BUREAU OF APPRENTICESHIP AND TRAINING, OR WITH A STATE
APPRENTICESHIP AGENCY RECOGNIZED BY THE BUREAU, OR IF A PERSON IS
EMPLOYED IN HIS OR HER FIRST 90 DAYS OF PROBATIONARY EMPLOYMENT AS
AN APPRENTICE IN SUCH AN APPRENTICESHIP PROGRAM, WHO IS NOT
INDIVIDUALLY REGISTERED IN THE PROGRAM, BUT WHO HAS BEEN CERTIFIED
BY THE BUREAU OF APPRENTICESHIP AND TRAINING OR A STATE
APPRENTICESHIP AGENCY (WHERE APPROPRIATE) TO BE ELIGIBLE FOR
PROBATIONARY EMPLOYMEMT AS AN APPRENTICE. THE ALLOWABLE RATIO
OF APPRENTICES TO JOURNEYMEN ON THE JOB SITE IN ANY CRAFT
CLASSIFICATION SHALL NOT BE GREATER THAN THE RATIO PERMITTED TO
THE CONTRACTOR AS TO THE ENTIRE WORK FORCE UNDER THE REGISTERED
PROGRAM. ANY WORKER LISTED ON A PAYROLL AT AN APPRENTICE WAGE
RATE, WHO IS NOT REGISTERED OR OTHERWISE EMPLOYED AS STATED ABOVE,
SHALL BE PAID NOT LESS THAN THE APPLICABLE WAGE ON THE WAGE
DETERMINATION FOR THE CLASSIFICATION OF WORK ACTUALLY PERFORMED.
IN ADDITION, ANY APPRENTICE PERFORMING WORK ON THE JOB SITE IN
EXCESS OF THE RATIO PERMITTED UNDER THE REGISTERED PROGRAM SHALL
BE PAID NOT LESS THAN THE APPLICABLE WAGE RATE ON THE WAGE
DETERMINATION FOR THE WORK ACTUALLY PERFORMED. WHERE A CONTRACTOR
IS PERFORMING CONSTRUCTION ON A PROJECT IN A LOCALITY OTHER THAN
THAT IN WHICH ITS PROGRAM IS REGISTERED, THE RATIOS AND WAGE RATES
(EXPRESSED IN PERCENTAGES OF THE JOURNEYMAN'S HOURLY RATE)
SPECIFIED IN THE CONTRACTOR'S OR SUBCONTRACTOR'S REGISTERED
PROGRAM SHALL BE OBSERVED. EVERY APPRENTICE MUST BE PAID AT NOT
LESS THAN THE RATE SPECIFIED IN THE REGISTERED PROGRAM FOR THE
APPRENTICE 'S LEVEL OF PROGRESS, EXPRESSED AS A PERCENTAGE OF THE
JOURNEYMAN HOURLY RATE SPECIFIED IN THE APPLICABLE WAGE
DETERMINATION. APPRENTICES SHALL BE PAID FRINGE BENEFITS IN
ACCORDANCE WITH THE PROVISIONS OF THE APPRENTICESHIP PROGRAM.
IF THE APPRENTICESHIP PROGRAM DOES NOT SPECIFY FRINGE BENEFITS,
APPRENTICES MUST BE PAID THE FULL AMOUNT OF FRINGE BENEFITS LISTED
ON THE WAGE DETERMINATION FOR THE APPLICABLE CLASSIFICATION. IF
THE ADMINISTRATOR DETERMINES THAT A DIFFERENT PRACTICE PREVAILS
FOR THE APPLICABLE APPRENTICE CLASSIFICATION, FRINGE BENEFITS
SHALL BE PAID IN ACCORDANCE WITH THAT DETERMINATION. IN THE
EVENT THE BUREAU OF APPRENTICESHIP AND TRAINING, OR A STATE
Page 30
APPRENTICESHIP AGENCY RECOGNIZED BY THE BUREAU, WITHDRAWS APPROVAL
OF AN APPRENTICESHIP PROGRAM, THE CONTRACTOR WILL NO LONGER BE
PERMITTED TO UTILIZE APPRENTICES AT LESS THAN THE APPLICABLE
PREDETERMINED RATE FOR THE WORK PERFORMED UNTIL AN ACCEPTABLE
PROGRAM IS APPROVED.
(b) TRAINEES. EXCEPT AS PROVIDED IN 29 C.F.R. § 5 . 16,
TRAINEES WILL NOT BE PERMITTED TO WORK AT LESS THAN THE
PREDETERMINED RATE FOR THE WORK PERFORMED UNLESS THEY ARE EMPLOYED
PURSUANT TO AND INDIVIDUALLY REGISTERED IN A PROGRAM WHICH HAS
RECEIVED PRIOR APPROVAL, EVIDENCED BY FORMAL CERTIFICATION BY THE
U. S. DEPARTMENT OF LABOR, EMPLOYMENT AND TRAINING ADMINISTRATION.
THE RATIO OF TRAINEES TO JOURNEYMEN ON THE JOB SITE SHALL NOT BE
GREATER THAN PERMITTED UNDER THE PLAN APPROVED BY THE EMPLOYMENT
AND TRAINING ADMINISTRATION. EVERY TRAINEE MUST BE PAID AT NOT
LESS THAN THE RATE SPECIFIED IN THE APPROVED PROGRAM FOR THE
TRAINEE' S LEVEL OF PROGRESS, EXPRESSED AS A PERCENTAGE OF
THE JOURNEYMAN HOURLY RATE SPECIFIED IN THE APPLICABLE WAGE
DETERMINATION. TRAINEES SHALL BE PAID FRINGE BENEFITS IN
ACCORDANCE WITH THE PROVISIONS OF THE TRAINEE PROGRAM. IF THE
TRAINEE PROGRAM DOES NOT MENTION FRINGE BENEFITS , TRAINEES SHALL
BE PAID THE FULL AMOUNT OF FRINGE BENEFITS LISTED ON THE WAGE
DETERMINATION UNLESS THE ADMINISTRATOR OF THE WAGE AND HOUR
DIVISION DETERMINES THAT THERE IS AN APPRENTICESHIP PROGRAM
ASSOCIATED WITH THE CORRESPONDING JOURNEYMAN WAGE RATE ON THE WAGE
DETERMINATION, WHICH PROVIDES FOR LESS THAN FULL FRINGE BENEFITS
FOR APPRENTICES. ANY EMPLOYEE LISTED ON THE PAYROLL AT A TRAINEE
RATE WHO IS NOT REGISTERED AND PARTICIPATING IN A TRAINING PLAN
APPROVED BY THE EMPLOYMENT AND TRAINING ADMINISTRATION SHALL BE
PAID NOT LESS THAN THE APPLICABLE WAGE RATE ON THE WAGE
DETERMINATION FOR THE CLASSIFICATION OF WORK ACTUALLY PERFORMED.
IN ADDITION, ANY TRAINEE PERFORMING WORK ON THE JOB SITE IN EXCESS
OF THE RATIO PERMITTED UNDER THE REGISTERED PROGRAM SHALL BE PAID
NOT LESS THAN THE APPLICABLE WAGE RATE ON THE WAGE DETERMINATION
FOR THE WORK ACTUALLY PERFORMED. IN THE EVENT THE EMPLOYMENT AND
TRAINING ADMINISTRATION WITHDRAWS APPROVAL OF A TRAINING PROGRAM,
THE CONTRACTOR WILL NO LONGER BE PERMITTED TO UTILIZE TRAINEES AT
LESS THAN THE APPLICABLE PREDETERMINED RATE FOR THE WORK PERFORMED
UNTIL AN ACCEPTABLE PROGRAM IS APPROVED.
(c) EQUAL EMPLOYMENT OPPORTUNITY. THE UTILIZATION OF
APPRENTICES, TRAINEES, AND JOURNEYMEN UNDER THIS PART SHALL BE IN
CONFORMITY WITH THE EQUAL EMPLOYMENT OPPORTUNITY REQUIREMENTS OF
EXECUTIVE ORDER 11246, AS AMENDED, AND 29 C.F.R. PART 30 .
(5) COMPLIANCE WITH COPELAND ACT REQUIREMENTS. THE
CONTRACTOR SHALL COMPLY WITH THE REQUIREMENTS OF 29 C.F.R. PART 3 ,
WHICH ARE INCORPORATED HEREIN BY REFERENCE.
(6) CONTRACT TERMINATION: DEBARMENT. A BREACH OF THE
CONTRACT CLAUSES IN 29 C.F.R. § 5 . 5. MAY BE GROUNDS FOR
TERMINATION OF THE CONTRACT, AND FOR DEBARMENT AS A CONTRACTOR AND
A SUBCONTRACTOR AS PROVIDED IN 29 C.F.R. § 5. 12 .
Page 31
(7) COMPLIANCE WITH DAVIS-BACON AND RELATED ACT
REQUIREMENTS. ALL RULINGS AND INTERPRETATIONS OF THE DAVIS-BACON
AND RELATED ACTS CONTAINED IN 29 C.F.R. PARTS 1, 3 , AND 5 ARE
INCORPORATED HEREIN BY REFERENCE.
(8) DISPUTES CONCERNING LABOR STANDARDS. DISPUTES ARISING
OUT OF THE LABOR STANDARDS PROVISIONS OF THIS CONTRACT SHALL NOT
BE SUBJECT TO THE GENERAL DISPUTES CLAUSE OF THIS CONTRACT. SUCH
DISPUTES SHALL BE RESOLVED IN ACCORDANCE WITH THE PROCEDURES OF
THE DEPARTMENT OF LABOR SET FORTH IN 29 C.F.R. PARTS 5, 6, AND 7 .
DISPUTES WITHIN THE MEANING OF THIS CLAUSE INCLUDE DISPUTES
BETWEEN THE CONTRACTOR (OR ANY OF ITS SUBCONTRACTORS) AND THE
CONTRACTING AGENCY, THE U. S. DEPARTMENT OF LABOR, OR THE
EMPLOYEES OR THEIR REPRESENTATIVES.
(9) (a) CERTIFICATION OF ELIGIBILITY. BY ENTERING INTO A
THIRD PARTY CONTRACT FINANCED UNDER THIS PROJECT, THE CONTRACTOR
CERTIFIES THAT NEITHER IT (NOR HE OR SHE) NOR ANY PERSON OR FIRM
THAT HAS AN INTEREST IN THE CONTRACTOR'S FIRM IS A PERSON OR FIRM
INELIGIBLE TO BE AWARDED GOVERNMENT CONTRACTS BY VIRTUE OF SECTION
3 (a) OF THE DAVIS-BACON ACT OR 29 C.F.R. § 5. 12 (a) (1) .
(b) NO PART OF THIS CONTRACT SHALL BE SUBCONTRACTED
TO ANY PERSON OR FIRM INELIGIBLE FOR AWARD OF A GOVERNMENT
CONTRACT BY VIRTUE OF SECTION 3 (a) OF THE DAVIS-BACON ACT OR
29 C. F.R. § 5. 12 (a) (1) .
(c) THE PENALTY FOR MAKING FALSE STATEMENTS IS
PRESCRIBED IN THE U. S. CRIMINAL CODE, 18 U. S. C. § 1001.
(10) OVERTIME REQUIREMENTS. NO CONTRACTOR OR SUBCONTRACTOR
CONTRACTING FOR ANY PART OF THE CONTRACT WORK WHICH MAY REQUIRE OR
INVOLVE THE EMPLOYMENT OF LABORERS OR MECHANICS SHALL REQUIRE OR
PERMIT ANY SUCH LABORER OR MECHANIC IN ANY WORKWEEK IN WHICH HE OR
SHE IS EMPLOYED ON SUCH WORK TO WORK IN EXCESS OF FORTY HOURS IN
THE WORKWEEK UNLESS SUCH LABORER OR MECHANIC RECEIVES COMPENSATION
AT A RATE NOT LESS THAN ONE AND ONE-HALF TIMES THE BASIC RATE OF
PAY FOR ALL HOURS WORKED IN EXCESS OF FORTY HOURS IN SUCH
WORKWEEK.
(11) VIOLATION; LIABILITY FOR UNPAID WAGES ; LIQUIDATED
DAMAGES . IN THE EVENT OF ANY VIOLATION OF THE REQUIREMENTS OF
29 C.F.R. § 5. 5 (b) (1) , THE CONTRACTOR AND ANY SUBCONTRACTOR
RESPONSIBLE THEREFOR SHALL BE LIABLE FOR THE UNPAID WAGES. IN
ADDITION, SUCH CONTRACTOR AND SUBCONTRACTOR SHALL BE LIABLE TO
THE UNITED STATES (IN THE CASE OF WORK DONE UNDER CONTRACT FOR
THE DISTRICT OF COLUMBIA OR A TERRITORY, TO SUCH DISTRICT OR TO
SUCH TERRITORY) FOR LIQUIDATED DAMAGES. SUCH LIQUIDATED DAMAGES
SHALL BE COMPUTED WITH RESPECT TO EACH INDIVIDUAL LABORER OR
MECHANIC, INCLUDING WATCHMEN AND GUARDS, EMPLOYED IN VIOLATION OF
29 C. F.R. § 5. 5 (b) (1) IN THE SUM OF $10 FOR EACH CALENDAR DAY ON
WHICH SUCH INDIVIDUAL WAS REQUIRED OR PERMITTED TO WORK IN EXCESS
OF THE STANDARD WORKWEEK OF FORTY HOURS WITHOUT PAYMENT OF THE
OVERTIME WAGES REQUIRED BY 29 C. F.R. § 5. 5 (b) (1) .
Page 32
(12) WITHHOLDING FOR UNPAID WAGES AND LIQUIDATED DAMAGES.
UMTA OR THE RECIPIENT SHALL UPON ITS OWN ACTION OR UPON WRITTEN
REQUEST OF AN AUTHORIZED REPRESENTATIVE OF THE DEPARTMENT OF
LABOR WITHHOLD OR CAUSE TO BE WITHHELD, FROM ANY MONEYS PAYABLE ON
ACCOUNT OF WORK PERFORMED BY THE CONTRACTOR OR SUBCONTRACTOR UNDER
ANY SUCH CONTRACT OR ANY OTHER FEDERAL CONTRACT WITH THE SAME
PRIME CONTRACTOR, OR ANY OTHER FEDERALLY-ASSISTED CONTRACT SUBJECT
TO THE CONTRACT WORK HOURS AND SAFETY STANDARDS ACT, WHICH IS HELD
BY THE SAME PRIME CONTRACTOR, SUCH SUMS AS MAY BE DETERMINED TO
BE NECESSARY TO SATISFY ANY LIABILITIES OF SUCH CONTRACTOR OR
SUBCONTRACTOR FOR UNPAID WAGES AND LIQUIDATED DAMAGES AS PROVIDED
IN THE CLAUSE SET FORTH AT 29 C.F.R. § 5.5 (b) (2) .
(13) SUBCONTRACTS. THE CONTRACTOR OR SUBCONTRACTOR SHALL
INSERT IN ANY SUBCONTRACTS THE CLAUSES SET FORTH IN SUBPARAGRAPHS
(1) THROUGH (12) OF THIS PARAGRAPH AND ALSO A CLAUSE REQUIRING THE
SUBCONTRACTORS TO INCLUDE THESE CLAUSES IN ANY LOWER TIER
SUBCONTRACTS. THE PRIME CONTRACTOR SHALL BE RESPONSIBLE FOR
COMPLIANCE BY ANY SUBCONTRACTOR OR LOWER TIER SUBCONTRACTOR WITH
THE CLAUSES SET FORTH ON SUBPARAGRAPHS (1) THROUGH (12) OF THIS
PARAGRAPH.
b. Nonconstruction Contracts. Pursuant to the regulations at
29 C.F.R. Part 5, the following provisions shall be incorporated
in all non-construction contracts of $2 , 500 let by the Recipient
in carrying out the project:
NONCONSTRUCTION CONTRACTS. THE REQUIREMENTS OF THE CLAUSES
CONTAINED IN 29 C.F.R. § 5. 5 (b) OR PARAGRAPHS (10) THROUGH (13)
OF SECTION 112 .a. OF PART II TERMS AND CONDITIONS OF THE URBAN
MASS TRANSPORTATION AGREEMENT, ARE APPLICABLE IN ANY CONTRACT
SUBJECT ONLY TO THE CONTRACT WORK HOURS AND SAFETY STANDARDS ACT
AND NOT TO ANY OF THE OTHER STATUTES CITED IN 29 C.F.R. § 5. 1.
THE CONTRACTOR OR SUBCONTRACTOR SHALL MAINTAIN PAYROLLS AND BASIC
PAYROLL RECORDS DURING THE COURSE OF THE WORK AND SHALL PRESERVE
THEM FOR A PERIOD OF THREE YEARS FROM THE COMPLETION OF THE
CONTRACT FOR ALL LABORERS AND MECHANICS, INCLUDING GUARDS AND
WATCHMEN, WORKING ON THE CONTRACT. SUCH RECORDS SHALL CONTAIN THE
NAME AND ADDRESS OF EACH SUCH EMPLOYEE, SOCIAL SECURITY NUMBER,
CORRECT CLASSIFICATIONS, HOURLY RATES OF WAGES PAID, DAILY AND
WEEKLY NUMBER OF HOURS WORKED, DEDUCTIONS MADE, AND ACTUAL WAGES
PAID. THE RECORDS TO BE MAINTAINED UNDER THIS PARAGRAPH SHALL BE
MADE AVAILABLE BY THE CONTRACTOR OR SUBCONTRACTOR FOR INSPECTION,
COPYING, OR TRANSCRIPTION BY AUTHORIZED REPRESENTATIVES OF UMTA,
DOT, OR THE DEPARTMENT OF LABOR, AND THE CONTRACTOR OR
SUBCONTRACTOR WILL PERMIT SUCH REPRESENTATIVES TO INTERVIEW
EMPLOYEES DURING WORKING HOURS ON THE JOB.
c. State and Local Government Employees. The provisions of the
Fair Labor Standards Act, as amended by Pub. L. 99-150, Nov. 13 ,
1985, or as may be amended further, are applicable to State and
local government employees that participate in the UMTA assisted
project with the Recipient.
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Section 113 . Environmental, Resource, Energy Protection and
Conservation Requirements.
a. Environmental Policy. The National Environmental Policy Act
of 1969, as amended, 42 U.S.C. §§ 4321 et seq. ; Section 14 of
the Urban Mass Transportation Act of 1964, as amended, 49 U.S.C.
§§ 1601 et seq. ; the Council on Environmental Quality regulations
set forth at 40 C. F.R. Part 1500; and the FHWA/UMTA regulation,
"Environmental Impact and Related Procedures, " set forth at
23 C.F.R. Part 771 are applicable to UMTA assisted projects of the
Recipient.
b. Compliance with Environmental Standards. The Recipient
shall comply with the provisions of the Clean Air Act, as amended,
42 U.S.C. §§ 1857 et seq. ; the Federal Water Pollution Control
Act, as amended, 33 U. S.C. §§ 1251 et seq. ; and implementing
regulations, in the facilities that are involved in the project
for which Federal assistance is given. The Recipient shall ensure
that the facilities under ownership, lease or supervision, whether
directly or under contract, that will be utilized in the
accomplishment of the project are not listed on the Environmental
Protection Agency (EPA) List of Violating Facilities. Contracts,
subcontracts, and subgrants of amounts in excess of $100, 000 shall
contain a provision which requires compliance with all applicable
standards, orders, or requirements issued pursuant to Federal
statute or regulation. The recipient and any third party
contractor thereof shall be responsible for reporting any
violations to UMTA and to the EPA Assistant Administrator for
Enforcement. In addition, the Recipient shall notify UMTA of the
receipt of any communication from the Director of the EPA
Office of Federal Activities indicating that a facility to be
utilized in the Project is under consideration for listing by EPA.
c. Air Pollution. No facilities or equipment shall be acquired,
constructed, or improved as a part of the project unless the
Recipient obtains satisfactory assurances that they are (or will
be) designed and equipped to limit air pollution as provided in
accordance with the appropriate UMTA directives and in accordance
with all other applicable standards.
d. Use of Public Lands. No publicly owned land from a park,
recreation area, or wildlife or 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 may be
used for the Project unless certain specific findings are made by
the Department of Transportation.
e. Historic Preservation. The Recipient shall assist the
Government (UMTA) in its compliance with Section 106 of the
National Historic Preservation Act involving historic and
archaeological preservation by:
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(1) Consulting the State Historic Preservation Officer
on the conduct of investigations, in accordance with 36 C.F.R.
Part 800, to identify properties and resources listed in or
eligible for inclusion in the National Register of Historic
Places that may be affected by the activity, and notifying the
Government (UMTA) of the existence of any such properties; and
(2) Complying with all requirements established by the
Government to avoid or mitigate adverse effects upon such
properties.
f. 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, 42 U. S .C. §§ 6321 et seq.
g. Mitigation of Adverse Environmental Effects. Should the
proposed project cause adverse environmental effects, the
Recipient shall take all reasonable steps to minimize such effects
pursuant to 49 U.S. C. § 1610, other applicable statutes, and the
procedures set forth in 23 C. F.R. Part 771. The Recipient shall
undertake all environmental mitigation measures that may be
identified in applicable environmental documents such as
environmental assessments, environmental impact statements,
memoranda of agreements, Section 4 (f) statements, and with any
conditions imposed by the Government as part of a finding of no
significant impact or a record of decision; all such mitigation
measures are incorporated in and made part of this Agreement by
reference. Such mitigation measures may not be modified or
withdrawn without the express written approval of the Government.
h. Use of Fly Ash in Cement and Concrete. The Recipient shall
make all appropriate efforts to foster the use of fly ash, in
carrying out the project, substantially in compliance with EPA
Guidelines set forth at 40 C.F.R. Part 249 . Should the Recipient
make a determination that the use of fly ash is inappropriate in a
particular procurement of cement or concrete, the Recipient shall
provide UMTA a written justification to support that descision.
Section 114 . Patent Rights.
a. If any invention, improvement, or discovery of the Recipient
or any of its third party contractors is conceived or first
actually reduced to practice in the course of or under this
Project, which invention, improvement, or discovery may be
patentable under the laws of the United States of America or any
foreign country, the Recipient shall immediately notify the
Government (UMTA) and provide a detailed report. The rights and
responsibilities of the Recipient, third party contractors and the
Government with respect to such invention, improvement, or
discovery will be determined in accordance with applicable Federal
laws, regulations, policies, and any waiver thereof.
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•
b. The provisions of Part II, subsection 114 .a. of this Agreement
shall be included in all third party contracts of the Recipient
under this Project.
Section 115. Rights in Data.
a. The term "subject data" as used herein means recorded
information, whether or not copyrighted, that is delivered or
specified to be delivered under this Agreement. The term includes
graphic or pictorial delineations in media such as drawings or
photographs; text in specifications or related performance or
design-type documents; machine forms such as punched cards,
magnetic tape, or computer memory printouts; and information
retained in computer memory. Examples include, but are not
limited to: engineering drawings and associated lists,
specifications, standards, process sheets, manuals, technical
reports, catalog item identifications, and related information.
The term does not include financial reports, costs analyses, and
similar information incidental to contract administration.
b. All "subject data" first produced in the performance of this
Agreement shall be the sole property of the Government. The
Recipient agrees not to assert any rights at common law or equity
and agrees not to establish any claim to statutory copyright in
such data. Except for its own internal use, the Recipient shall
neither publish nor reproduce such data in whole or in part, or in
any manner or form, nor authorize others to do so, without the
written consent of the Government until such time as the
Government may have released such data to the public; this
restriction, however, does not apply to Agreements with academic
institutions.
c. The Recipient agrees to grant and does hereby grant to the
Government and to its officers, agents, and employees acting
within the scope of their official duties, a royalty-free,
nonexclusive, irrevocable license throughout the world:
(1) To publish, translate, reproduce, deliver, perform, use,
and dispose of, in any manner, any and all data not first produced
or composed in the performance of this Agreement but which is
incorporated in the work furnished under this Agreement; and
(2) To authorize others so to do.
d. The Recipient shall indemnify, save and hold harmless the
Government, its officers, agents, and employees acting within the
scope of their official duties against any liability, including
costs and expenses, resulting from any willful or intentional
violation by the Recipient of proprietary rights, copyrights, or
right of privacy, arising out of the publication, translation,
reproduction, delivery, performance, use, or disposition of any
data furnished under this Agreement.
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e. Nothing contained in this clause shall imply a license to the
Government under any patent or be construed as affecting the scope
of any license or other right otherwise granted to the Government
under any patent.
f. Part II, subsections 115.c. and 115.d. of this Agreement are
not applicable to material furnished to the Recipient by the
Government and incorporated in the work . furnished under the
contract; provided that such incorporated material is identified
by the Recipient at the time of delivery of such work.
g. In the event that the Project, which is the subject of this
Agreement, is not completed, for any reason whatsoever, all data
generated under that Project shall become subject data as defined
in Part II, subsection 115.a. of this Agreement and shall be
delivered as the Government may direct.
h. The provisions of Part II, subsections 115. a. through 115.g.
of this Agreement shall be included in all third party contracts
of the Recipient under this Project.
Section 116. Cargo Preference-Use of United States-Flag Vessels.
a. 46 U.S.C. § 1241 provides in pertinent part as follows:
(b) (1) Whenever the United States shall procure, contract
for, or otherwise obtain for its own account, or shall furnish to
or for the account of any foreign nation without provision for
reimbursement, any equipment, materials, or commodities, within or
without the United States, or shall advance funds or credits or
guarantee the convertibility of foreign currencies in connection
with the furnishing of such equipment, materials, or commodities,
the appropriate agency or agencies shall take such steps as may be
necessary and practicable to assure that at least 50 per centum of
the gross tonnage of such equipment, materials, or commodities
(computed separately for dry bulk carriers, dry cargo liners, and
tankers) , which may be transported on privately owned United
States-flag commercial vessels, to the extent such vessels are
available at fair and reasonable rates for United States-flag
commercial vessels, in such manner as will insure a fair and
reasonable participation of United States-flag commercial vessels
in such cargoes by geographic areas'
(2) Every department or agency having responsibility under
this subsection shall administer its programs with respect to this
subsection under regulations issued by the Secretary of
Transportation.
b. Pursuant to regulations published at 46 C.F.R. Part 381, the
Recipient agrees to insert the following clauses in all contracts
let by the Recipient under which equipment, materials or
commodities may be transported by ocean vessel in carrying out the
Project:
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THE CONTRACTOR AGREES --
(1) TO UTILIZE PRIVATELY OWNED UNITED STATES-FLAG COMMERCIAL
VESSELS TO SHIP AT LEAST 50 PERCENT OF THE GROSS TONNAGE (COMPUTED
SEPARATELY FOR DRY BULK CARRIERS, DRY CARGO LINERS, AND TANKERS)
INVOLVED, WHENEVER SHIPPING ANY EQUIPMENT, MATERIALS, OR
COMMODITIES PURSUANT TO THIS SECTION, TO THE EXTENT SUCH VESSELS
ARE AVAILABLE AT FAIR AND REASONABLE RATES FOR UNITED STATES-FLAG
COMMERCIAL VESSELS.
(2) TO FURNISH WITHIN 30 DAYS FOLLOWING THE DATE OF LOADING
FOR SHIPMENTS ORIGINATING WITHIN THE UNITED STATES, OR WITHIN 30
WORKING DAYS FOLLOWING THE DATE OF LOADING FOR SHIPMENT
ORIGINATING OUTSIDE THE UNITED STATES, A LEGIBLE COPY OF A RATED,
"ON-BOARD" COMMERCIAL OCEAN BILL-OF-LADING IN ENGLISH FOR EACH
SHIPMENT OF CARGO DESCRIBED IN PARAGRAPH (1) ABOVE TO THE
RECIPIENT (THROUGH THE PRIME CONTRACTOR IN THE CASE OF
SUBCONTRACTOR BILLS-OF-LADING) AND TO THE DIVISION OF NATIONAL
CARGO, OFFICE OF MARKET DEVELOPMENT, MARITIME ADMINISTRATION,
400 SEVENTH STREET, S.W. , WASHINGTON, D. C. 20590, MARKED WITH
APPROPRIATE IDENTIFICATION OF THE PROJECT.
(3) TO INSERT THE SUBSTANCE OF THE PROVISIONS OF THIS CLAUSE
IN ALL SUBCONTRACTS ISSUED PURSUANT TO THIS CONTRACT.
Section 117 . Buy America.
Each third party contract utilizing UMTA funds obligated after
January 6, 1983 , must comply with section 165 of the Surface
Transportation Assistance Act of 1982 , Pub. L. 97-424 , 49 U.S.C.
§ 1601 note (the Buy America provision) , and UMTA regulations set
forth at 49 C.F.R. Part 661 and any guidance issued by UMTA to
implement this statutory provision. Each third party contract
resulting from a solicitation issued on or after April 2 , 1987,
shall conform to the requirements of the Surface Transportation
and Uniform Relocation Assistance Act of 1987, Pub. L. 100-17,
§ 337 , Apr. 2, 1987, and any implementing regulations issued
thereunder.
Section 118. Charter and School Bus Operations.
a. Charter Bus. The Recipient, or any operator of mass
transportation, acting on its behalf, shall not engage in charter
bus operations outside the urban area within which it provides
regularly scheduled mass transportation service, except as
provided under section 3 (f) of the UMT Act, 49 U.S.C. 1602 (f) ,
and applicable regulations "Charter Service, " set forth at
C.F.R. Part 604 and any amendments thereto that may be issued.
Any charter service agreement entered into under these regulations
is incorporated into this Agreement by reference.
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b. School Bus. The Recipient, or any operator of mass
transportation acting on its behalf, shall not engage in school
bus operations exclusively for the transportation of students or
school personnel in competition with private school bus operators,
except as provided under section 3 (g) of the UMT Act, 49 U.S.C.
§ 1602 (g) and applicable regulations "School Bus Operations, " set
forth at 49 C.F.R. Part 605 and any amendments thereto that may
be issued. Any school bus agreement entered into under these
regulations is incorporated into this Agreement by reference.
Section 119. Private Enterprise.
The private enterprise provisions of sections 3 (e) , 8 (c) , and 9 (f)
of the UMT Act and implementing guidance set forth in UMTA
Circular 7005. 1, December 5, 1986, "Documentation of Private
Enterprise Participation Required for Sections 3 and 9 Programs, "
and any further revisions thereto, and any other DOT or UMTA
guidance that may be issued are applicable to projects financed
under sections 3 and 9 of the Urban Mass Transportation Act of
1964 , as amended, and sections 103 (e) (4) and 142 of title 23 ,
United States Code.
•
Section 120. Bus Testing.
The Recipient shall comply with the bus testing requirements as
set forth in section 12 (h) of the UMT Act, 49 U.S.C. § 1608 (h) ,
and any implementing regulations issued thereunder.
•
Section 121. Preaward and Postdelivery Audit.
The Recipient shall comply with any regulations that may be issued
to implement section 12 (j) of the UMT Act, 49 U.S.C. § 1608 (j ) .
Section 122 . Nondiscrimination on the Basis of Handicap.
The Recipient shall insure that all fixed facility construction
or alteration and all new equipment included in the Project comply
with applicable regulations, "Nondiscrimination on the Basis of
Handicap in Programs and Activities, Receiving or Benefitting from
Federal Financial Assistance, " set forth at 49 C.F.R. Part 27 , and
any amendments thereto that may be issued.
Section 123 . Relocation and Land Acquisition.
Department of Transportation regulations, "Uniform Relocation
and Real Property Acquisition for Federal and Federally Assisted
Programs, " set forth at 49 C.F.R. Part 25, are applicable
to UMTA assisted contracts of the Recipient. Any regulations
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promulgated pursuant to Pub. L. 100-17, title IV, Apr. 2, 1987,
shall be applied to the Project as prescribed in such regulations.
Section 124 . Flood Hazards.
The Recipient shall comply with the flood insurance purchase
requirements with respect to construction or acquisition purposes,
of section 102 (a) of the Flood Disaster Protection Act of 1973 ,
42 U.S.C. § 4012 (a) .
Section 125. Suspension and Debarment.
The terms of the Department of Transportation regulations,
"Suspension and Debarment of Participants in DOT Financial
Assistance Programs, " set forth at 49 C.F.R. Part 29, are
applicable to any UMTA assisted contracts of the Recipient.
Section 126. Privacy.
Should the Recipient, its third party contractors or its employees
administer any system of records on behalf of the Federal
Government, the following terms and conditions are applicable:
a. The Recipient agrees:
(1) To comply with the Privacy Act of 1974, 5 U.S.C. § 552a
(the Act) and regulations thereunder, when performance under the
contract involves the design, development, or operation of any
system of records on individuals to be operated by the Recipient,
its contractors or employees to accomplish a Government function;
(2) To notify the Government when the Recipient anticipates
operating a system of records on behalf of the Government in order
to accomplish the requirements of this Agreement, if such system
contains information about individuals, which information will be
retrieved by the individual 's name or other identifier assigned to
the individual. A system of records subject to the Act may not be
employed in the performance of this Agreement until the necessary
approval and publication requirements applicable to the system
have been carried out. The Recipient agrees to correct, maintain,
disseminate, and use such records in accordance with the
requirements of the Act, and to comply with all applicable
requirements of the Act;
(3) To include the Privacy Act Notification contained in this
Agreement in every third party contract solicitation and in every
third party contract when the performance of work under that
proposed third party contract may involve the design, development,
or operation of a system of records on individuals to be operated
under the contract to accomplish a Government function; and
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(4) To include this clause, including this paragraph, in all
third party contracts under which work for this Agreement is
performed or which is awarded pursuant to this Agreement or which
may involve the design, development, or operation of such a system
of records on behalf of the Government.
b. For purposes of the Privacy Act, when the Agreement involves
the operation of a system of records on individuals to accomplish
a Government function, the Recipient, third party contractors and
any of their. employees are considered to be an employee of the
Government with respect to the Government function. The
requirements of the Act, including the civil and criminal
penalties for violations of the Act, are applicable except that
the criminal penalties shall not apply with regard to contracts
effective prior to September 27 , 1975. In addition, failure to
comply with the provisions of the Act or of this clause will make
this Agreement subject to termination.
c. The terms used in this clause have the following meanings:
(1) "Operation of a system of records" means performance of
any of the activities associated with maintaining the system of
records on behalf of the Government including the collection, use
and dissemination of records.
(2) "Record" means any item, collection, or grouping of
information about an individual that is maintained by the
Recipient on behalf of the Government, including, but not limited
to, his education, financial transactions, medical history, and
criminal or employment history and that contains his name, or the
identifying number, symbol, or other identifying particular
assigned to the individual , such as a finger or voice print or a
photograph.
(3) "System of records" on individuals means a group
of any records under the control of the Recipient on behalf
of the Government from which information is retrieved by the
name of the individual or by some identifying number,
symbol or other identifying particular assigned to the
individual .
Section 127 . Hatch Act.
The provisions of 5 U.S.C. §§ 1501-1508 (the "Hatch Act") , and
implementing regulations set forth in 5 C.F.R. Part 151 are
applicable to State and local agencies and their officers and
employees to the extent covered by the statute and regulations.
The "Hatch Act" restricts the political activity of an individual
principally employed by a State or local executive agency in
connection with a program financed in whole or in part by Federal
loans, grants, or cooperative agreement.
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Sections 128 . False or Fraudulent Statements or Claims.
The Recipient acknowledges that should it make a false,
fictitious, or fraudulent claim, statement, submission, or
certification to the Government in connection with this Project,
the Government reserves the right to pursue the procedures and
impose on the Recipient the penalties of 18 U.S.C. § 1001,
31 U.S.C. §§ 231 and 3801 et seq. , and/or 49 U.S.C. § 1607 (h) ,
as may be deemed by the Government to be appropriate.
Section 129 . Miscellaneous.
a. Bonus or Commission. The Recipient warrants that it has not
paid, and also agrees not to pay, any bonus or commission for the
purpose of obtaining approval of its application for the financial
assistance hereunder.
b. State or Territorial Law. Anything in the Agreement to the
contrary notwithstanding, nothing in the Agreement shall require
the Recipient to observe or enforce compliance with any provision
thereof, perform any other act, or do any other thing in
contravention of any applicable State or territorial law;
provided, that if any of the provisions of the Agreement violate
any applicable State or territorial law, or if compliance with the
provisions of the Agreement would require the Recipient to violate
any applicable State territorial law, the Recipient will at once
notify the Government (UMTA) in writing in order that appropriate
changes and modifications may be made by the Government and the
Recipient to the end that the Recipient may proceed as soon as
possible with the Project.
c. Records. The Recipient, and any mass transportation operator
for which it applies will, for each local fiscal year ending on or
after July 1, 1978, conform to the reporting system and the
uniform system of accounts and records to the extent required by
section 15 of the Urban Mass Transportation Act of 1964, as
amended, 49 U.S.C. § 1611, effective for each local fiscal year
ending on or after July 1, 1978, and applicable regulations
"Uniform System of Accounts and Records and Reporting System, "
set forth at 49 C.F.R. Part 630.
d. Severability. If any provision of this Agreement is held
invalid, the remainder of this Agreement shall not be affected
thereby if such remainder would then continue to conform to the
terms and requirements of applicable law.
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