Res 1598 - Salem Area Trans Agr
COUNCIL BILL NO. 2262
RESOLUTION NO. 1598
A RESOLUTION ENTERING INTO AN AGREEMENT WITH THE SALEM AREA TRANSIT
DISTRICT KNOWN AS THE "STG108 AGREEMENT" FOR FV 2000-2001 AND
AUTHORIZING THE MA VOR TO SIGN SUCH AGREEMENT.
WHEREAS, the City of Woodburn applied for State of Oregon Elderly and
Disabled Special Transportation Grant (STG) Funds for fiscal year 2000-2001 as
approved for under Oregon Statute, and
WHEREAS, the City of Woodburn has been awarded $31,937.00 in operational
assistance for the Dial-A-Ride program, and
WHEREAS, the Salem Area Transit District administrates the Elderly and
Disabled Special Transportation Grant Fund for Marion County. NOW THEREFORE,
THE CITY OF WOODBURN RESOLVES AS FOLLOWS:
Section 1. That the City of Woodburn enter into an agreement with the Salem
Area Transit District, which is affixed as Attachment II A II and by this reference
incorporated herein, to secure Elderly and Disabled Special Transportation Grant
Funds for Dial-A-Ride operating assistance.
Section 2. That the Mayor is authorized to execute and the City Administrator
to administer said agreement on behalf of the City.
Page 1 -
COUNCIL BILL NO. 2262
RESOLUTION NO. 1598
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Approved as to fOrm?J . "YO- ~
City Attorney
E QI/'200 0
Date
APPROVED: ~
Richard Jennings, ayor
Passed by the Council August 28. 2000
Submitted to the Mayor August 29, 2000
Approved by the Mayor August 29, 2000
Filed in the office of the Recorder Auqust 29, 2000
ATTEST:
Mary en nt, City Recorder
City of Woodburn, Oregon
Page 2-
COUNCIL BILL NO. 2262
RESOLUTION NO. 1598
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SPECIAL TRANSPORTATION GRANT
AGREEMENT-FORMULA FUNDS
FY 2000/2001
Agreement No.:
Contractor:
Period Covered:
STG108 City of Woodburn
CITY OF WOODBURN
July 1, 2000 through June 30, 2001
STG AGREEMENT (Formula) FY 2000/2001
STG 108 City of Woodburn
....r-
INDEX
FY 2000-2001 STG Agreement
1. SCOPE OF AGREEMENT. ......... ..... ..... ..... ..... ......... ................... ...... ........ ............ ..... ........ 1
2. TRANSPORTATION SERViCES.... ..... .................................. ..... ..... ..... ...... ..... ..... ..... ........ 1
3. PAYMENT ........... ............. ..... ..... .................... ......... ......... ..... ..... ..... ........... .......... ..... ......... 2
4. CONTRACTOR'S WARRANTIES ...... ..... ..... ..... ............. ..... .......... ........... .......... ..... ..... ..... 3
5. DISTRICT COVENANTS .... .......... .... ...... .......... .... ......... ..... ..... ..... ........... ..... ..... .......... ...... 4
6. EQUI P M ENT ...................................................................................................................... 4
7. FISCAL ACCOUNTABILITY & RECORDS MAINTENANCE ........................................... 5
8. PROG RAM INCOME ....... ..... ......... ...... .......... ......... ......... ..... ..... ..... ...... ............... .......... .... 6
9. AUDITS & EXAMINATIONS. ............................................................................................. 6
10. INSURANCE.. ................. .... ..... ..... ..... ..... ....................... ..... ...... .......... ..... .......... ..... ..... ...... 7
11. INDEMNIFICATION ........... .......... .......... ..... .................. ..... .......... ........... ..... ..... .......... ....... 8
12. INDEPENDENT CONTRACTOR STATUS........................................................................ 8
13. PERMITS & LiCENSES.... ..... ..... .... ...................................................... ..... ...... .............. .... 8
14. SAFETY .. ........ ......... ........ ..... ......... ............... .............. .......... ..... .......... ..... ...... ............... .... 9
15. ASSIGNMENT .......................... ......... ..... ................... ............... .... ........... ................ .... ...... 9
16. COMPLIANCE WITH LAWS ................................ ............................. ........... ..... ................ 9
17. TRANSIT EMPLOYEE PROTECTIVE AGREEMENTS .................................................... 9
18. ORS COMPLIANCE ......... ..... ......... ................................. ........................... .......... ..... ...... 11
19. TERMINATION .................................................................................................... ..... ........ 11
20 . WAiVER.......................................................................................... .................................. 12
21. NOTICE... ............... ......... .............. ................... ............................. ............ ......... ............... 12
22. DISPUTE RESOLUTION ... .............. ................................................. ........... .......... ........... 12
23. SEVERABI LITY ... ...................... ...... .............. ....................... ....................... .......... ..... ...... 12
24. PRIOR AG REEM ENTS ..... ............. ...... ......... .......... .............. ......... ........... ................. ....... 13
25. JURISDICTION ....... ....................... ........................ ..... ......... ..................... ................... ..... 13
26. GOVERNING LAW............. ..... ................... ............................................ ........... ..... ..... ..... 13
27 . ATTORNEY FEES ............. .................................................................................... ........... 13
28. EXHI BITS.. ................................. .............................. .................................... ............... ...... 13
29 . COUNTERPARTS .................................................. ................... ....................................... 13
STG Contract (Formula) FY 2000/2001
STG108 City of Woodburn
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Agreement #STG108
City of Woodburn
SPECIAL TRANSPORTATION GRANT AGREEMENT
THIS AGREEMENT is entered into this 1st day of July 2000, by and between SALEM
AREA MASS TRANSIT DISTRICT, a Municipal Corporation of the State of Oregon (hereinafter
referred to as "District"), and CITY OF WOODBURN (hereinafter referred to as "Contractor").
RECITALS:
A. The District is a municipal corporation whose existence and general authority is defined by
ORS 267.200.
B. The State of Oregon has established in the State Treasury a separate and distinct fund
entitled "Elderly and Disabled Special Transportation Grant" (hereinafter referred to as
STG).
C. The District and Contractor are desirous of entering into an agreement for the purpose of
financing and improving transportation programs and services for the elderly and disabled
residents of the District and any county in which all or a portion of the District is located.
D. The parties expressly understand and agree to limit the extent and nature of this
agreement to any funds ultimately to be distributed by STG, and, upon the failure of such
fund or the prior disbursal of any monies previously received as part of the parties'
participation in such fund, this agreement will automatically cease and have no further
force or effect. Now, therefore, IT IS HEREBY AGREED between the parties as follows:
1. SCOPE OF AGREEMENT.
1 .1. The Contractor will provide special transportation services in a manner such that
the District will at all times be in full compliance with ORS 391.800-391.830 and
with administrative rules OAR 732-05-000 through 732-10-045, as presently
existing or as hereafter amended, and in a manner which will not cause the Public
Transit Section to withhold payments or disapprove funding for Contractor's
services. The Contractor will comply with all laws and regulations goveming use of
Special Transportation Grants and will comply with all laws and regulations
applicable to transportation of passengers. The Contractor will comply with all
policies and guidelines adopted by the District relating to the Special
Transportation Grant Program. The District's obligations under this agreement are
contingent upon the continued availability and payment of funds from the State of
Oregon Elderly and Disabled Special Transportation Grant. Attached hereto and by
this reference incorporated herein are ORS 391.800-391.830 (Exhibit A) and
administrative rules OAR 732-05-000 through 732-10-045 (Exhibit B).
2. TRANSPORTATION SERVICES.
2.1. The Contractor agrees to provide the special transportation services described in
detail by the Statement of Work (Exhibit C). The Contractor agrees to undertake
whatever action is necessary to provide such services and to purchase all
necessary equipment required for such services.
2.2. Contractor agrees that no special transportation services will be provided under
this agreement that may require vehicles to go outside the boundaries of the State
of Oregon.
STG AGREEMENT (Formula) FY 2000/2001
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STG 108 City of Woodburn
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3. PAYMENT.
3.1. Limitation of Funds. The total funds available under this agreement shall not
exceed the sum of $31,937. Contractor assumes all responsibility for monitoring
the services rendered pursuant to this agreement so as to insure that the value of
Contractor's services shall not exceed the total dollars available for distribution as
is stated in the preceding sentence.
3.2. Nonappropriations Clause. District shall not be obligated to make any payments to
the Contractor under this agreement to the extent that District does not obtain
sufficient funding from the Public Transit Division under ORS 391.810, or to the
extent funds are not appropriated by District under the Local Budget Law (ORS
294.305-294.520,294.555, and 294.565), in which event District may, but shall not
be obligated to, terminate this contract or prorate available and appropriated funds
among all providers of transportation programs and services for the elderly and
disabled currently under agreement with District.
3.3. Payment Terms: The total sum of Special Transportation Grant revenues to be
distributed by the District to the Contractor shall not exceed the sum of $31,937,
which amount is authorized in the Contractors (Exhibit D):
3.3.1. Beginning on or before August 15, 2000, and continuing on or before the 15th day
of each following month, Contractor shall submit a completed monthly
Reimbursement Report for payment to the District's Senior Planner. Payment will
be made by the District's Contracting Officer on or before the last day of the
submission month. If the Reimbursement Report is received after the 15th day of
the month or is not complete, payment will not be processed until the following
month. The statement will also describe the extent and nature of transportation
services previously delivered by Contractor during the calendar month immediately
preceding the Contractor's submission of each monthly report (Monthly Report
Exhibit E).
3.3.2. Payments for capital purchases shall be made by reimbursement only, upon proof
of delivery of the capital purchases(s) and presentation to the District contracting
officer of a detailed receipt for the capital item(s).
3.3.3. For monthly operating costs, payments will be made as reimbursement, in "twelve
monthly payments". No single payment will be larger than one-twelfth of the total
STG grant amount (the "monthly limit"), unless the Contractor did not claim the
monthly limit in a previous month(s), in which case the Contractor may be
reimbursed for actual expenses up to the monthly limit plus the amount of funds
that were not claimed up to the monthly limit from the previous month(s).
3.3.4. In the event the Contractor has incurred a lump sum operating cost which exceeds
the monthly limit, the Contractor may request a larger reimbursement. Such a
request must be sent to the District's contracting officer in writing, and must identify
the nature of the cost(s), which cause the request to exceed the monthly limit. The
District's contracting officer may request any further information necessary to make
a determination on how much of the requested costs beyond the limit, if any,
should be reimbursed in any particular month.
3.3.5. If a request is granted, the STG funds that remain after such reimbursement shall
be divided by the number of months remaining, and the resultant figure will
comprise a new monthly limit for the remainder of the year.
3.3.6. Any funds provided pursuant to this agreement shall be used to reimburse
Contractor for transportation services and projects consistent with OAR 732-005-
STG AGREEMENT (Fonnula) FY 2000/2001
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STG 108 City of Woodburn
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0010 through 732-005-0016. Contractor will not be paid for unauthorized services,
claimed services or which have inadequate proof of actual delivery.
3.3.7. The District reserves the right to withhold payment of funds if any documentation or
reporting has not been previously complied with by Contractor. or if there exists. at
the time of a request for payment. any unresolved audit findings.
3.4. Prohibited Expenditures. Except as is expressly provided in this agreement, the
District is not responsible for providing operating capital required to commence or
continue the transportation services agreed to be performed by Contractor.
Contractor is entitled to reimbursements for all costs, both directly and indirectly
incurred in connection with providing the services as budgeted in the attached
Exhibit E but, except as is expressly provided in this agreement, Contractor shall
not be entitled to reimbursement of the following costs or expenses:
3.5. Costs resulting from violations of, or failure to comply with, federal, state and local
laws and regulations;
3.5.1. Depreciation of any equipment, machinery, tools, furniture or other property utilized
by Contractor not directly related to the provision of transportation related in the
performance of obligations imposed by this agreement; and
3.5.2. Payments or contributions directed to a candidate for political office or any fund
administered for the purpose of influencing legislative, administrative or other
governmental activity.
3.5.3. Contributions or donations of any other nature to individuals, organizations or
agencies.
3.5.4. Any costs or expenses determined by District to be unallowable pursuant to
standards for allowable costs adopted from time to time by the Oregon
Department of Transportation, Public Transit Section.
4. CONTRACTOR'S WARRANTIES.
4.1. Contractor hereby covenants, represents and warrants to District as follows:
4.1.1. Contractor has all requisite power and authority to own and operate the assets
required to fully perform and supply the transportation services described by the
attached Exhibit C.
4.1.2. Contractor will, to the maximum extent feasible, coordinate the provision of
services with other transportation providers in their area, and will utilize other
available transportation resources as practicable to minimize STG expenses.
4.1.3. Except as is otherwise expressly disclosed herein, Contractor has paid or will pay
full withholding, social security, unemployment insurance, and workers'
compensation taxes to the state and federal government as may be required as a
result of Contractor's ownership and operation of its business activities.
4.1.4. There are presently no judgments, claims, actions, liens or other proceedings
outstanding against or pending against the assets or Contractor in any court, or
otherwise.
4.1.5. If District is required to make direct payment to any of Contractor's creditors for any
liability not expressly assumed herein, District may make such payment and
demand reimbursement thereof from Contractor, or credit such payments against
the next succeeding payment due from District to Contractor. Should District
consider it necessary to pay any creditor of Contractor, District shall first give
Contractor notice in writing of the District's intention to do so, which notice shall
STG AGREEMENT (Formula) FY 200012001
3
STG 108 City of Woodburn
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identify the creditor and specify the amount to be paid. Contractor shall have ten
(10) days thereafter to satisfy the creditor's claim and fumish to District proof of
such satisfaction. If Contractor fails to satisfy the claim, District may make such
payment and Contractor shall reimburse District within ten (10) days after written
demand from District, provided, however, that Contractor may withhold payment of
a claim in connection with a good faith dispute over the obligation to pay, so long
as District's interests are not jeopardized. Proof of any payments made by
Contractor shall be furnished to District in the form of a receipt from the Creditor
involved or a canceled check.
4.1.6. Contractor assumes all liability for funds received pursuant to this agreement, and
shall further assume responsibility for repayment to the District of any expenditures
not expressly authorized by this agreement or the attached exhibits. Upon the
receipt of written notice from the District describing the extent and nature of any
non-authorized expenditures, Contractor agrees, within ten (10) days following the
receipt of such notice, to immediately refund any monies previously received for
non-authorized expenditures. When making repayment to the District, Contractor
agrees to use non-STG funds.
4.1.7. Except as otherwise expressly disclosed herein, Contractor has entered
into no subcontract relating to transportation services for the elderly or
disabled, and Contractor has, to the best of Contractor's knowledge,
complied with all laws, rules, and regulations relating to the performance of
services under this agreement.
5. DISTRICT COVENANTS.
5.1. District agrees to administer this agreement, and all other agreements entered into
as part of the District's participation in the STG program, in accordance with the
policies previously or hereafter specifically adopted by the District's Board of
Directors.
6. EQUIPMENT.
6.1. Contractor is responsible for the purchase, repair and replacement of all equipment
required for the performance of services under this agreement. No purchase of
operating equipment or fumiture will be reimbursed unless specifically authorized
in writing by the District, and unless such expenditure is further included and
expressly identified in the approved budget as evidenced by Exhibit D. In those
instances where the purchase of operating equipment has been ratified and
approved in the manner set forth in the preceding sentence, Contractor agrees as
follows:
6.2. All equipment purchased under this agreement must be utilized solely for the
purpose of ORS 391.800 through 391.830.
6.3. When said equipment is no longer needed or utilized by the Contractor for elderly
and disabled transportation, Contractor agrees to provide the District written
notification of the cessation of elderly and disabled transportation services within
five (5) days following the Contractor's termination of such transportation activities.
Contractor further agrees to refund to the Local Special Transportation Grant all
net proceeds received from the sale of such equipment, or an amount equal to the
fair market value of said equipment, not later than ninety (90) days following the
date of Contractor's cessation of elderly and disabled special transportation
services. If, at the time of purchase, funds other than STG program administered
STG AGREEMENT (Formula) FY 2000/2001
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STG 108 City of Woodburn
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funds were used in the purchase of said equipment, then Contractor shall only be
required to refund that portion of sale proceeds, or fair market value, which
represents STG participation in the purchase of Contractor's equipment.
6.4. During the life of equipment with an acquisition cost of $1,000 or more, or until
such equipment is disposed of, the Oregon Public Transit Section requires, and the
Contractor will provide, quarterly reports on such capital purchases.
6.5, Contractor agrees to comply with all reporting and audit obligations imposed by the
Oregon Public Transit Section.
7. FISCAL ACCOUNTABILITY & RECORDS MAINTENANCE.
7,1. Fiscal Accountability. Contractor agrees to prepare and maintain records
evidencing the performance of services under this agreement in accordance with
generally accepted accounting practices. A separate accounting for all receipts and
expenditure of STG funds will at all times be maintained. All expenditures must be
made under a previously-approved detailed budget. Any transfers between budget
categories (Personal Services, Materials & Services, or Capital Outlay) will require
prior approval by the Contracting Officer of the District. The budget will not extend
beyond June 30 of any District fiscal year, and any unobligated budget
appropriations will lapse at that time. All costs directly or indirectly related to this
agreement shall be supported by properly executed payrolls, time records,
invoices, contracts, vouchers or other official documentation evidencing in detail
the nature and propriety of all transactions or expenditures. Contractor agrees to
provide the District, as part of Contractor's monthly billing statement, or at such
other times as may be requested by District, monthly financial information detailing
the Contractor's receipt and use of monies received pursuant to this agreement.
On or before the 30th day following the termination of this agreement, Contractor
shall identify and report to the District the prior expenditure of program monies
during the agreement period. Upon the termination of the STG program,
Contractor further agrees to cooperate with all procedures implemented by the
District to identify and account for all monies received or disbursed, and to itemize
any outstanding liabilities, if any, which may exist upon the close of the program.
7.2. Records Maintenance. In addition to the information to be maintained by
Contractor for billing purposes, Contractor shall further maintain and preserve such
records and reports as may be required by the District to assure appropriate
performance under the provisions of this contract, and all records or documents
which are required of the District by any other govemmental authority. Where
appropriate, the District will provide the Contractor with all necessary forms to be
completed as part of Contractor's reporting obligations.
7.3. Access to Contractor's Records. At any time during normal business hours, all
records, including, all books of the Contractor's business, and its records, contracts
and files, including client, program and financial records pertaining to this
agreement, shall be available and accessible to the District, the Secretary of
State's Office of the State of Oregon, the Public Transit Section of the Oregon
Department of Transportation, or their duly authorized representatives, for the
purpose of audit or examination.
7.4. Records Retention. The Contractor shall retain all documents pertaining to this
agreement (fiscal, program and administrative) for a minimum period of three (3)
years following the termination of this agreement. If, during such three-year period,
litigation is commenced for the purpose of enforcing the obligations arising out of
STG AGREEMENT (Formula) FY 2000/2001
5
STG 108 City of Woodburn
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this agreement or the administration of the STG program, Contractor agrees to
retain all documents until the final completion of such litigation. Contractor further
agrees to retain all documents until the final completion of any audit or examination
of its activities. The documents to be retained by Contractor include, but are not
limited to, financial records, client records and all personnel records. Upon the
termination of this agreement, or in the event that Contractor ceases to be a
provider of STG services, Contractor agrees, upon its receipt of a written request,
to provide the District all documents, or copies of such documents, related to the
services provided by Contractor under this agreement.
8. PROGRAM INCOME.
8.1. Donations. The District encourages the Contractor to seek voluntary donations, or
to seek other payment from the recipients of transportation services to be applied
toward the costs of transportation services. Any funds received from or in behalf of
transportation service recipients are considered program income and shall be
utilized by Contractor to offset the cost of providing services pursuant to this
agreement. Contractor shall undertake whatever steps are necessary to insure the
protection of the privacy of each person with respect to his or her contribution.
While Contractor is encouraged to seek contributions to be applied toward the cost
of administering this transportation program, Contractor acknowledges and
warrants that no qualified individual will be denied transportation services merely
because the individual is unable or unwilling to make a voluntary donation.
Contractor agrees to report any receipt or expenditure of program income on a first
in, first out basis, and all expenditures received by Contractor as program income
will be deducted from the Contractor's monthly billing statement.
8.2. All Other Donations. All other donations received for specified purposes shall be
used by the Contractor for those specified purposes.
9. AUDITS & EXAMINATIONS.
9.1. Contractor agrees to authorize, and procure an annual, independent financial audit
or review to be performed by individuals licensed as certified public accountants by
the Oregon Board of Accountancy, and who are independent of the Contractor's
management. The following steps shall be taken as part of the annual audit or
examination of Contractor's activities:
9.1.1. The audit/review report should contain a statement of all receipts and
disbursements and such report shall further identify all relevant funding
sources, including program income, and identify all other documents,
books or records which support the final fiscal report.
9.1.2. The audit/review shall cover the Contractor's fiscal year and any other
period during which the Contractor provided services pursuant to the
terms of this agreement.
9.1.3. One (1) copy of the published audit/review report or Letter of
Assurance from the Contractor's auditor shall be submitted to the
District not later than one hundred eighty (180) days following the end
of Contractor's fiscal year.
9.1.4. Contractor assumes full responsibility for payment of all audit/review
costs and such costs are a reimbursable expense pursuant to this
agreement.
STG AGREEMENT (Formula) FY 2000/2001
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STG 108 City of Woodburn
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9.1.5. Contractors who are otherwise subject to the reporting and examination
requirements of ORS 297.405 through 297.740, "Municipal Audit Law,"
may incorporate the audit requirements imposed by this agreement into
a single audit report.
9.2. Correction of Errors or Deficiencies. Contractor assumes all responsibility for the
resolution and correction of any adverse audit/review comments. If, in the opinion
of the District, a revised, supplemental audit examination report is required to
demonstrate the Contractor's prior correction of audit findings, Contractor agrees
to undertake whatever effort or expense is required to provide the District with such
a supplemental report.
10. INSURANCE.
10.1. Prior to commencement of any work pursuant to this agreement, Contractor shall
procure and maintain in full force and effect during the performance of any services
hereunder:
10.1.1.
10.1.2.
10.1.3.
10.1.4.
10.1.5.
10.1.6.
10.1.7.
10.1.8.
10.1.9.
Bodily injury liability insurance with limits of $200,000 each person and
$500,000 each occurrence.
Property damage liability insurance with minimum limits of $100,000
each claimant.
A $500,000 combined single limit liability policy may be substituted for
10.1.1 and 10.1.2 so long as the policy covers both bodily injury and
property damage.
If not otherwise provided under the separate insurance policies for
bodily injury liability protection and property damage liability protection,
Contractor agrees to obtain comprehensive form general liability
insurance intended to provide Contractor and District insurance
coverage for the maximum limits of liability permitted by the Oregon
Tort Claims Act, ORS 30.260, et seq.
Assumed contractual liability insurance for obligations assumed by
Contractor under Paragraph 11 of this agreement.
The Contractor, its subcontractors, if any, and all employees working
under this agreement are subject employees under the Oregon
Workers' Compensation Law and shall comply with ORS 656.017,
which requires them to provide Workers' Compensation coverage for all
their subject workers.
All contracts of insurance, with the exception of Workers'
Compensation coverage, procured by Contractor shall include the
District as an additional named insured.
All policies must have a thirty (30) day notice of cancellation or non-
renewal, unless otherwise agreed to, in writing, by the Contracting
Officer.
Contractor shall provide the District with written documentation of
insurance coverages in the form of a Certificate of Insurance not later
than twenty-one (21) days following the effective date of this
agreement. Such certificate must also be provided as insurance
coverage is renewed during the course of the contract. Upon the
Contractor's failure to deliver such written documentation of insurance
STG AGREEMENT (Formula) FY 2000/2001
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STG 108 City of Woodburn
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coverage, District may suspend, pending receipt of such
documentation, further payments under this agreement.
10.1.10. In the event a public body contractor is wholly or partially self-insured, it
is agreed that Certificates of Self-Insurance or other satisfactory
evidence of the governmental body's self-insurance program shall be
accepted in lieu of the Certificate of Insurance required under the above
provisions.
10.1.11. Upon the expiration of any insurance coverage specified above, the
District, at its option, will be excused from any further obligation or duty
under this agreement.
11. INDEMNIFICATION.
11.1. Contractor shall defend (with legal counsel acceptable to the District), indemnify
and hold harmless the District, the Public Transit Section of the Oregon
Department of Transportation, and their officers, agents, employees, special
transportation advisory committee, and members against all claims, demands and
liability whatsoever, including but not limited to all loss, damage, costs, charges,
expenses and liability for injury to or death of any person, or damage to property
arising out of or in any way connected with the performance of the services, and
Contractor shall, upon the District's written request, defend (with legal counsel
acceptable to the District) any suit or action which alleges a claim covered by this
indemnity agreement. Contractor shall pay any costs that may be incurred by the
District in enforcing this indemnity provision, including a reasonable attorney's fee.
11.2. Notice of Claims. The Contractor shall immediately notify the District in writing of
any action, suit or proceeding filed against Contractor in any court or before any
regulatory or administrative body. Contractor shall also give prompt notice of any
claim made against the Contractor by any federal, state or local agency,
subcontractor, vendor, client, or other party which may result in litigation related in
any way to this agreement. Contractor shall also notify the District immediately of
its intent to file for protection under the Federal Bankruptcy Act, or to make any
filing under the Federal Bankruptcy Act.
12. INDEPENDENT CONTRACTOR STATUS.
12.1. The parties acknowledge that Contractor is an independent contractor and neither
Contractor nor Contractor's employees shall in any way be deemed employees of
the District. Contractor shall have complete charge of the performance of services,
with full direction and control of Contractor's employees and with responsibility for
their compensation, hiring and discharge. Contractor shall be liable for the acts and
omissions of Contractor's agents and employees. Contractor shall pay all payroll
taxes, workers compensation insurance, unemployment insurance and other
expenses connected with Contractor's employees.
13. PERMITS & LICENSES.
13.1. Contractor shall obtain at its own expense all necessary permits, licenses or other
public authority required in connection with the performance of services under this
agreement, and shall comply with all federal, state, county and municipal laws,
ordinances, rules and regulations pertaining to the performance of transportation
services.
STG AGREEMENT (Formula) FY 2000/2001
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STG 108 City of Woodburn
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14. SAFETY.
14.1. Contractor shall be responsible for the safety of all services performed pursuant to
this agreement, and shall maintain all necessary protection and precautions for
that purpose, shall comply with all laws and regulations affecting health and safety,
and shall immediately remedy any citation for violation of such laws and
regulations, and shall defend and hold the District harmless from any penalty, fine
or liability in connection therewith.
15. ASSIGNMENT.
15.1. Contractor shall not assign, whether voluntarily or involuntarily, or by operation of
law, this agreement, or any interest therein, or subcontract any portion of the
services without the prior written consent of the District. If this provision of the
agreement is violated, the District, in addition to all other rights the District may
then have, may terminate this agreement without advance notice, and in such
event Contractor shall have recovery only for services performed prior to
termination, waiving all other claims.
16. COMPLIANCE WITH LAWS.
1-6.1. Contractor shall not discriminate against any employee or applicant for
employment because of race, color, religion, sex, or national origin. Contractor
shall take affirmative action to insure that applicants are employed and that
employees are treated during employment, without regard to their race, color,
religion, sex, or national origin.
16.2. Contractor shall comply with all of the provisions of ORS 391.800 through 391.830
and regulations adopted from time to time thereunder and any other statutes,
rules, orders and policies relating to the Elderly and Disabled Special
Transportation Grant program.
16.3. This agreement is based upon and is subject to Oregon Revised Statutes, Oregon
Administrative Rules, and Federal Transit Administrative regulations as contained
in ORS 323.455, ORS 391.800 through 391.830 and FT A Circular 9040.1 D and
5010.1 B. From time to time these laws, rules and regulations may be amended.
The District reserves the right to amend this Agreement if it is affected. The District
will provide thirty days notice of impending changes and will prepare a
supplemental Agreement incorporating the changes to be executed by the parties
to this Agreement.
17. TRANSIT EMPLOYEE PROTECTIVE AGREEMENTS.
17.1. Applicability to Contracts. The Transit Employee Protective Provisions apply to
each contract for transit operations performed by employees of a Contractor
recognized by FT A to be a transit operator. (Because transit operations involve
many activities apart from directly driving or operating transit vehicles, FTA
determines which activities constitute transit "operations" for purposes of this
clause.)
17.2. Flow Down. These provisions are applicable to all contracts and subcontracts at
every tier.
17.3. Model Clause/Language. Since no mandatory language is specified, FTA had
developed the following language. Transit Employee Protective Provisions.
17.3.1. The Contractor agrees to the comply with applicable transit employee
protective requirements as follows:
STG AGREEMENT (Formula) FY 2000/2001
9
STG 108 City of Woodburn
..- 'T~
(a) General Transit Employee Protective Requirements - To the
extent that FT A determines that transit operations are involved,
the Contractor agrees to carry out the transit operations work on
the underlying contract in compliance with terms and conditions
determined by the U.S. Secretary of Labor to be fair and equitable
to protect the interests of employees employed under this contract
and to meet the employee protective requirements of 49 U.S.C. A
5333(b), and U.S. DOL guidelines at 29 C.F.R. Part 215, and any
amendments thereto. These terms and conditions are identified in
the letter of certification from the U.S. DOL to FTA applicable to
the FT A Recipient's project from which Federal assistance is
provided to support work on the underlying contract. The
Contractor agrees to carry out that work in compliance with the
conditions stated in that U.S. DOL letter. The requirements of this
subsection (1), however, do not apply to any contract financed
with Federal assistance provided by FTA either for projects for
elderly individuals and individuals with disabilities authorized by 49
U.S.C. 9 5310(a)(2), or for projects for nonurbanized areas
authorized by 49 U.S.C. 95311. Alternate provisions for those
projects are set forth in subsections (b) and (c) of this clause.
(b) Transit Employee Protective Requirements for Projects
Authorized by 49 U.S.C.
9 5310(a)(2) for Elderly Individuals and Individuals with Disabilities
If the contract involves transit operations financed in whole or in
part with Federal assistance authorized by 49 U.S.C. 95310(a)(2),
and if the U.S. Secretary of Transportation has determined or
determines in fife future that the employee protective
requirements of 49 U.S.C. 9 5333(b) are necessary or appropriate
for the state and the public body subrecipient for which work is
performed on the underlying contract, the Contractor agrees to
carry out the Project in compliance with the terms and conditions
determined by the U.S. Secretary of Labor to meet the
requirements of 49 U.S.C. 95333(b), U.S. DOL guidelines at 29
C.F.R. Part 215, and any amendments thereto. These terms and
conditions are identified in the U.S. DOL's letter of certification to
FT A, the date of which is set forth Grant Agreement or
Cooperative Agreement with the state. The Contractor agrees to
perform transit operations in connection with the underlying
contract in compliance with the conditions stated in that U.S. DOL
letter.
(c) Transit Employee Protective Requirements for Projects
Authorized by 49 U.S.C.
95311 in Nonurbanized Areas - If the contract involves transit
operations financed in whole or in part with Federal assistance
authorized by 49 U.S.C. 9 5311, the Contractor agrees to comply
with the terms and conditions of the Special Warranty for the
Nonurbanized Area Program agreed to by the U.S. Secretaries of
Transportation and Labor, dated May 31,1979, and the
procedures implemented by U.S. DOL or any revision thereto.
STG AGREEMENT (Formula) FY 2000/2001
10
STG 108 City of Woodburn
.._.~...._,.,.._ ,..,...,, ...__e... __.. ,...__..___.........,....,..__
17.3.2. The Contractor also agrees to include the any applicable requirements in
each subcontract involving transit operations financed in whole or in part
with Federal assistance provided by FT A.
18. ORS COMPLIANCE.
18.1. In performing its obligations under this Agreement, the Contractor agrees to
comply with all applicable state laws including, without limitation, ORS 279.310
to 279.445, each of which is incorporated herein by reference. In addition, the
Contractor agrees to comply with the FTA contract clauses attached hereto and
incorporated by reference herein. In the event of any conflict between the
provisions of this Agreement and the foregoing state statutes, the state statutes
shall control. In the event of any conflict between this Agreement and the FT A
contract clauses, the FT A contract clauses shall control. Not every requirement
of the foregoing state statutes or the FTA contract clauses will apply in each
instance to the performance of each party under this particular contract. The
nature of the obligations of a party under this Agreement will determine which
requirements of state law and FTA contract clauses will apply. Requirements
that do not apply will not be enforced.
19, TERMINATION.
19.1. This agreement shall be effective as of the date first written above and shall
continue until June 30, 2001; provided, however, that either party shall have the
right, at any time, to terminate or suspend further performance by providing the
other party thirty (30) days advance notice of its intention to do so. Upon
termination, any unexpended budget appropriations will lapse, and the funds will
be retained in the local STG program.
19.2. This agreement may be terminated at any time, with or without advance notice,
due to the non-availability of funds from STG. The District assumes no obligation to
provide the full amount budgeted in this agreement if STG program revenues are
less than previously anticipated.
19.3. The District by written notice of default (including breach of contract) to the
Contractor may terminate at any time the whole or any part of this agreement:
19.3.1. If the Contractor fails to provide services called for by this agreement within
the time specified herein or any extension thereof; or
19.3.2. If the Contractor fails to perform any of the other provisions of this
agreement, or so fails to pursue the services as to endanger performance
of this agreement in accordance with its terms, and after receipt of written
notice from the District, fails to correct such failures within ten (10) days or
such longer period as the District may authorize.
19.3.3. If any license or certificate required by law or regulation to be held by the
Contractor to provide the services required by this agreement is for any
reason denied, revoked, or not renewed.
19.4. The rights and remedies of the District provided in the above clause related to
defaults (including breach of contract) by the Contractor shall not be exclusive and
are in addition to any other rights and remedies provided by law or under this
agreement.
STG AGREEMENT (Formula) FY 2000/2001
11
STG 108 City of Woodburn
""'-"T'
20. WAIVER.
20.1 No waiver of any provision of this agreement shall be deemed, or shall constitute,
a waiver of any other provision, whether or not similar, or shall any waiver
constitute a continuing waiver. No waiver shall be binding unless executed in
writing by the party making the waiver.
21. NOTICE.
21.1. Any notice under this agreement shall be in writing and shall be effective when
actually delivered or when deposited in the mail, registered or certified, addressed
to the parties at the following addresses:
CONTRACTOR:
Randall Rohman
Public Works Program Manager
City of Woodburn
270 Montgomery St.
Woodburn, OR 97071
DISTRICT:
General Manager
Salem Area Transit
Del Webb Avenue NE
Salem, OR 97303-4165
or at such other addresses as either party may designate by written notice to the other.
22. DISPUTE RESOLUTION.
22.1. All disputes concerning the interpretation of this agreement, or the rights and
obligations arising from the parties' prior execution of this agreement, shall first be
referred for resolution to the individual designated by the District as the
"Contracting Officer." If, upon referral of a dispute to the Contracting Officer, a
mutually satisfactory solution cannot be achieved, the dispute shall then be
referred to mediation before the District's General Manager. If, following mediation,
a solution satisfactory to both parties has not been reached, the dispute shall then
be referred to the District's agreement review board (hereinafter "Board of
Directors"). The Board of Directors shall render a final decision regarding any
dispute between the parties. Pending a final decision by the Board of Directors,
Contractor shall proceed without delay with any performance prescribed by the
order of the Contracting Officer.
22.2. In connection with any proceeding conducted pursuant to this provision, the
Contractor and District shall be afforded an opportunity to be heard and to offer
evidence in support of their respective positions.
22.3. The dispute resolution procedure outlined above shall not affect any party's right to
terminate this agreement pursuant to paragraph 17, or to pursue any other
available legal remedy.
23. SEVERABILITY.
23.1. If in any judicial proceeding a court shall refuse to enforce any provision of this
agreement, any unenforceable provision shall be deemed eliminated from this
STG AGREEMENT (Formula) FY 2000/2001
12
STG 108 City of Woodburn
agreement for purposes of such proceeding only to the extent necessary to permit
the remainder of the agreement to be enforced in such proceeding.
24. PRIOR AGREEMENTS.
24.1. This agreement is the entire agreement between the parties pertaining to its
subject matter and supersedes all prior agreements, representations, and
understandings of the parties. No supplement, modification, or amendment of this
agreement shall be binding unless executed in writing by all parties.
25. JURISDICTION.
25.1. The jurisdiction of any suit or action instituted in connection with any controversy
arising out of this agreement shall be limited to the State of Oregon.
26. GOVERNING LAW.
26.1. This agreement shall be governed by and construed in accordance with the laws of
the State of Oregon.
27. ATTORNEY FEES.
27.1. In the event of suit or action to enforce the rights of either Contractor or District, the
court may allow a reasonable attorney's fee to the prevailing party of the suit or
action, or appeal therefrom.
28. EXHIBITS.
28.1. All exhibits referred to in this agreement are incorporated and made a part of this
agreement.
29. COUNTERPARTS.
29.1. This agreement may be executed in two (2) or more counterparts, each of which
shall be deemed an original, but all of which together shall constitute one and the
same instrument.
STG AGREEMENT (Formula) FY 2000/2001
13
STG 108 City of Woodburn
'Y'
IN WITNESS WHEREOF, the parties have executed this agreement in duplicate, effective
on the date first written above.
CONTRACTOR:
CITY OF WOODBURN
BY:~~
RiC~~:~tu~eenningS, Mayor
Name & Title
DISTRICT:
SALEM AREA MASS TRANSIT DISTRICT
By
Jeff Hamm, General Manager
LEGAL COUNSEL:
~~
Ben C. Fetherston, Jr., Attomey
By
ATTACHMENTS
EXHIBIT A - Oregon Revised Statutes 391.800 to 391.830
EXHIBIT B - Oregon Administrative Rules 732-05-000 to 732-10-045
EXHIBIT C - Statement of Work
EXHIBIT 0 - Program Budget
EXHIBIT E - Monthly Reimbursement Report
EXHIBIT F- FTA Contract Requirements
S :\8\Cyndi\committees\grants-funds-contracts\stg\2000\STG Provider Contract2.doc
STG AGREEMENT (Formula) FY 2000/2001
14
STG 108 City of Woodburn
.... T'
OREGON REVISED STATUTES
1999 EDITION
EXHIBIT A
ELDERLY AND DISABLED TRANSPORTATION
http://landru.leg.state.oLus/ors/391.html
391.800 Elderly and Disabled Special Transportation Fund. (1) There is
established in the State Treasury, separate and distinct from the General Fund,
the Elderly and Disabled Special Transportation Fund. All moneys in the Elderly
and Disabled Special Transportation Fund are appropriated continuously to the
Department of Transportation for payment of the department's administrative
costs of the program and payment to mass transit districts, transportation
districts and counties as provided in ORS 391.810.
(2) The Elderly and Disabled Special Transportation Fund shall consist of:
(a) Moneys transferred to the fund under ORS 323.455 (3);
(b) Other moneys appropriated to the fund by the Legislative Assembly; and
(c) Moneys obtained from interest earned on the investment of such moneys.
(3) Moneys in the Elderly and Disabled Special Transportation Fund, with the
approval of the State Treasurer, may be invested as provided by ORS 293.701
to 293.820, and the earnings from such investments shall be credited to the
Elderly and Disabled Special Transportation Fund. [1985 c.816 s.9; 1987 c.62
s.1; 1989 c.224 s.66]
391.810 Distribution of funds to districts and counties. (1) The Department
of Transportation shall distribute three-quarters of the moneys in the Elderly and
Disabled Special Transportation Fund, including the interest attributable thereto,
to mass transit districts organized under ORS 267.010 to 267.390, transportation
districts organized under ORS 267.510 to 267.650 and to those counties in
which no part of a mass transit district or transportation district is located as
follows:
(a) Each such district shall receive that share of the moneys as the population of
the counties in which the district is situated, determined under ORS 190.510 to
190.610 last preceding such apportionment, bears to the total population of the
state. However, if two or more districts are situated in a single county, distribution
of moneys under this subsection shall be determined as though only the mass
transit district is located in that county or, if there are two or more transportation
districts in the county, as though only the transportation district with the highest
population is located in that' county.
- -W-"
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http://landru.leg.state,or.us/ors/391.html
(b) Each county in which no part of a mass transit district or transportation district
is located shall receive that share of the moneys as its population, determined
under ORS 190.510 to 190.610 last preceding such apportionment, bears to the
total population of the state.
(2) After the requirements of subsection (1 )(a) and (b) of this section have been
met, the remainder of the moneys in the Elderly and Disabled Special
Transportation Fund shall be distributed to the districts and counties described in
subsection (1) of this section by the Department of Transportation as follows:
(a) Each such district or county that receives a share of the moneys in proportion
to population under subsection (1) of this section shall receive an amount, which
shall be fixed by the Oregon Transportation Commission by rule, but not in
excess of $2,000 annually, to be used to defray the administrative expenses of
the district or county in carrying out its functions under ORS 391.800 to 391.830.
(b) Each such district or county that receives a share of the moneys in proportion
to population under subsection (1) of this section shall receive for each fiscal
year a minimum amount, to be determined by the Oregon Transportation
Commission by rule, which minimum amount shall be distributed to providers of
transportation for use as specified under ORS 391.830 (4).
(c) Each such district or county shall receive any money distributed to it from the
discretionary grant account established under ORS 391.815.
(d) After the requirements of paragraphs (a) to (c) of this subsection have been
met, if any moneys remain in the Elderly and Disabled Special Transportation
Fund they shall be set aside and transferred to a discretionary grant account
established under ORS 391.815.
(3) The Department of Transportation shall not distribute moneys to a mass
transit district, transportation district or county under this section unless the
district or county has appointed an advisory committee under ORS 391.820.
(4) The Department of Transportation shall adopt rules necessary for the
administration of ORS 391.800 to 391.830.
(5) Each district or county described in subsection (1) of this section is
specifically authorized to enter into an agreement with another or other such
districts or counties under ORS 190.003 to 190.130 in order to facilitate the
performance of the functions authorized under ORS 391.830. [1985 c.816 s.1 0;
1989 c.224 s.67; 1989 c.866 s.8]
-yo
http://landru.leg.state.or.us/ors/391.html
391.815 Discretionary grant account; purpose; application for grant; grant
approval; distribution of moneys. (1) After the requirements of ORS 391.810
have been satisfied, the remainder of the moneys in the Elderly and Disabled
Special Transportation Fund shall be set aside and transferred to a discretionary
grant account, which account is established as an account in the Elderly and
Disabled Special Transportation Fund.
(2) The moneys in the discretionary grant account established under subsection
(1) of this section are continuously appropriated to the Department of
Transportation for the purpose of distribution for ultimate use for transportation
and services to the elderly and disabled as described under ORS 391.830 (4).
However, only such of the moneys that are specifically directed by the Oregon
Transportation Commission under subsection (4) of this section, to be distributed
to a district or county as described in ORS 391.810 (1), shall be distributed to
that district or county.
(3)(a) Any district or county described in ORS 391.810 (1) may make application
to the Department of Transportation for a distribution from the discretionary grant
account established under subsection (1) of this section. The application shall
describe the purposes for which the grant is to be used and the monetary
amount that is required to carry out those purposes.
(b) Upon receipt of an application, the Department of Transportation shall cause
the application to come to the attention of the Oregon Transportation
Commission, which shall, after consideration, approve or deny the application, in
whole or in part.
(c) The Oregon Transportation Commission shall approve only those grants
applied for under paragraph (a) of this subsection that are for use for the
purposes set forth in ORS 391.830 (4).
(4) Upon approval of an application, in whole or in part, the Oregon
Transportation Commission shall direct the Department of Transportation to
distribute the dollar amount approved to the applying district or county. [1989
c.866 s.1 0]
391.820 Advisory committees; membership; duties. (1) The governing body
of each mass transit district, transportation district and county that is eligible to
receive moneys from the Elderly and Disabled Special Transportation Fund
under ORS 391.810 shall appoint an advisory committee to advise and assist the
governing body in carrying out the purposes of ORS 391.800 to 391.830. The
number and terms of the members of an advisory committee appointed under
this section shall be determined by the appointing governing body.
..._....T~-..
http://Iandru.leg.state.or.us/ors/391.html
(2) To be qualified to serve on an advisory committee of a district or county, an
individual must reside within the boundaries of the district, the county within
which a district or part thereof is located or the county in which no part of a
district is located and must be:
(a) A person who is an elderly or disabled individual and uses transportation
services in the district or county;
(b) A person who is an elderly or disabled individual and lives in an area of the
district or county where there are no public transportation services;
(c) An individual engaged in providing transportation services to the elderly or
disabled in the district or county;
(d) A representative of elderly individuals; or
(e) A representative of disabled individuals.
(3) An advisory committee appointed under this section shall review the
distribution of moneys by the governing body of a district or county under ORS
391.830. The advisory committee may propose any changes to the policies or
practices of the governing body relating to the distribution that the advisory
committee considers necessary or desirable. [1985 c.816 s.11; 1987 c.532 s.1 ;
1989 c.224 s.68]
391.830 Use of funds to finance and improve transportation for elderly and
disabled. (1 )(a) Each mass transit district and transportation district that
receives moneys from the Department of Transportation under ORS 391.810 (1)
or (2)(b), after providing for costs of administration in an amount determined
under ORS 391.810 (2)(a), shall distribute those moneys to providers of
transportation for the purpose of financing and improving transportation
programs and services for the elderly and disabled residents of the district and
the county in which all or a portion of the district is located. The moneys received
under ORS 391.810 (1) and (2)(b) and distributed to providers of transportation
in areas within the counties in which the district is located but outside the
boundaries of the district shall be that share of all moneys received by the district
as the population of those counties residing outside the district, as determined by
the last federal decennial census, bears to the total population of the counties.
(b) Each county that receives moneys from the Department of Transportation
under ORS 391.810 (1) or (2)(b), after providing for costs of administration in an
amount determined under ORS 391.810 (2)(a) shall distribute those moneys to
providers of transportation for the purpose of financing and improving
transportation programs and services for the elderly and disabled residents of
the county.
T'
"I'~"" .._._-~ '.. ......
http://landru.leg.state.or.us/ors/391.html
(2) The governing body of a district or county, after consultation with the advisory
committee it appointed under ORS 391.820, shall determine the amount of
money to be distributed to a provider of transportation and the purposes for
which the money must be used. Moneys received under ORS 391.810 (2)(c)
shall be used for the purposes for which received as indicated in the directive
from the Oregon Transportation Commission as described under ORS 391.815.
(3) Any provider of transportation receiving funds prior to January 1, 1986, from
any governmental unit or agency for purposes related to the transportation
needs of the elderly or disabled is eligible to receive moneys from a district or
county under this section.
(4) Moneys distributed to providers of transportation under this section may be
used for the following purposes:
(a) Maintenance of existing transportation programs and services for the elderly
or disabled.
(b) Expansion of such programs and services.
(c) Creation of new programs and services.
(d) Planning for, and development of, access to transportation for elderly and
disabled individuals who are not currently served by transportation programs and
services.
(5) Except in the case of a uniform budget reduction or upon order or other
authorization of the Department of Transportation, the increase in moneys
received under ORS 391.810 under this section and ORS 323.030, 323.086 to
323.091,323.455,391.810 and 391.815 shall not be used to supplant moneys
currently appropriated by counties or districts for elderly and disabled
transportation projects.
(6) As used in this section, "provider of transportation" includes a city, county,
district or any other person or agency, whether public or private, that maintains,
operates or sponsors vehicles and facilities for the transportation of passengers
for profit or on a nonprofit or voluntary basis. [1985 c.816 s.12; 1989 c.224 s.69;
1989 c.866 s.11]
Note: ORS 323.086 to 323.091 were repealed by section 179, chapter 79,
Oregon Laws 1995. The text of ORS 391.830 was not amended by enactment of
the Legislative Assembly to reflect the repeal. Editorial adjustment of ORS
391.830 for the repeal of ORS 323.086 to 323.091 has not been made.
T'
OREGON ADMINISTRATIVE RULES
2000 COMPILATION
EXHIBIT B
http://arcweb.sos.stateor.ustrulest
Division 5: Special Transportation Fund For Elderly And Handicapped
732-005-0000 Purpose of Rule
732-005-0005 Statutory Authority and Procedure
732-005-0010 Definitions
732-005-0016 Purpose of the Special Transportation Fund
732-005-0021 Administration of Funds by the Public Transit Division
732-005-0027 Eligible Recipients of STF Moneys
732-005-0031 STF Local Advisory Committee Requirements
732-005-0036 Accounting Requirements of the STF Program
732-005-0041 Capital Purchase Requirements
732-005-0046 Audit Requirements
732-005-0051 Reporting Requirements
732-005-0056 Withholding of Funds from a Governing Body
Division 10: The Special Transportation Fund Formula Program
732-010-0005 Program Purpose
732-010-0010 Applications Procedures for the STF Formula Program
732-010-0015 Applications Procedures for the STF Formula Program
732-010-0020 Application Review
732-010-0025 Service Review
732-010-0030 Disbursement of Funds
732-010-0035 Distribution of STF Formula and Minimum Allocation Moneys by the
Governing Body
732-010-0040 Use of Funds
732-010-0045 Redistribution of Program Funds
Division 20: The STF Discretionary Program
732-020-0005 Purpose
732-020-0010 Application Procedures for the STF Discretionary Program
732-020-0015 Standards for Selection of the STF Discretionary Grant
732-020-0020 Application Review
732-020-0025 STF Discretionary Grant Evaluation Panel
732-020-0030 Award of Funds
732-020-0035 Use of Funds
732-020-0040 Discretionary Project Monitoring
732-020-0045 Redistribution of Funds
T'
.. .._-_._---_._.~..~._._------,------_._--_.... --........
Division 5: Special Transportation Fund For The Elderly And Disabled
732-005-0000
Purpose of Rule
These rules establish the procedures and requirements of the Public Transit Section for
the administration of the Special Transportation Fund (STF) for the Elderly and Disabled
including OAR 732-010 and 732-020.
Stat. Auth.: ORS 323, ORS 391 & Ch. 816, Oregon Laws 1985
Stats. Implemented: ORS 391.800 - ORS 391.830
Hist.: PTD 1-1986, f. & ef. 1-10-86; PTD 1-1987, f. & ef. 11-24-87; PTD 1-1989(Temp), f. &
cert. ef. 12-29-89; PTD 1-1990, f. & cert. ef. 5-31-90
732-o0S-000S
Statutory Authority and Procedure
Oregon Laws 1985, Chapter 816, Section 10(4) and Oregon Laws 1989 Chapter 866,
Sections 7, 8, and 11 require the Public Transit Section to adopt rules necessary for the
administration of the STF.
Stat. Auth.: ORS 323, ORS 391 & Ch. 866, Oregon Laws 1989
Stats. Implemented: ORS 391.800 - ORS 391.830
Hist.: PTD 1-1986, f. & ef. 1-10-86; PTD 1-1987, f. & ef. 11-24-87; PTD 1-1989(Temp), f. &
cert. ef. 12-29-89; PTD 1-1990. f. & cert. ef. 5-31-90
732-o0S-0010
Definitions
(1) "Administrative Allotment" - An amount, disbursed annually, for administrative
expenses of a governing body in carrying out functions described under ORS 391.800 to
391.830.
(2) "Advisory Committee" - A committee appointed by a governing body to review, advise,
and assist in the distribution of moneys from the Special Transportation Fund. Members
must be elderly or disabled users or transportation services, transportation providers,
representatives of persons who are elderly or disabled, or persons who are elderly or
disabled without access to public transportation services.
(3) "Capital Purchase" - Equipment or vehicles that have an acquisition cost of $1 ,000 or
more.
(4) "Disabled Person" - Any individual who, by reason of illness, injury, advanced age,
congenital malfunction, or other permanent or temporary incapacity or disability, may have
special requirements in using public transportation facilities and services effectively. This
includes any person who uses a wheelchair or has semiambulatory capabilities.
(5) "Discretionary Account" - A Special Transportation Fund account for distribution of the
remaining cigarette tax receipts set aside following distribution of the three-quarter per
capita formula allocation, minimum allocation and administrative allotment.
(6) "District" - As used in these rules, a mass transit district or a transportation district.
(7) "Elderly person" - Any individual 60 years of age or older.
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. -. .... -,' ~.......-..._-_........,.,.-#~,,,,.---._.,.,-,.,......~.~"._-,,..,_"^....4t., ,..._-~"... ...........""..*.,....,.,
(8) "Formula Allocation" - An amount of STF moneys made available to a governing body
on the basis of the governing body's share of resident population in proportion to the
population of the state as a whole.
(9) "Goveming Body" - The board of directors of any district or the goveming body of a
county receiving moneys from the STF.
(10) "List of Services" - A summary provided to the Public Transit Section by a district or
county listing the proposed number of rides, the type of service and budget for providers
receiving moneys from the Special Transportation Fund.
(11) "Mass Transit District" - A special district organized under ORS 267 .010 to 267.390.
(12) "Minimum allocation" - A minimum annual amount for which each district or county
shall be eligible. Each goveming body shall have no less than the minimum allocation
made available, irrespective of population, under the STF Formula Program.
(13) "Project" -- A service or capital purchase eligible for funding by the Formula Program
or the Discretionary Grant Program which falls within the purposes defined in OAR 732-
005-0000. A project may include, but is not limited to, planning and needs assessment,
training, research, demonstration, capital, and operating requests.
(14) "Provider" -- Any city, county, district, or any other person or agency, whether public
or private, that maintains, operates, or sponsors vehicles and facilities for the
transportation of passengers for profit or on a nonprofit or voluntary basis.
(15) "Public Transportation Services" - Any form of mass transportation by bus, rail or
other conveyance, either publicly or privately owned, which provides service to the general
public not including charter or sightseeing or exclusive school bus) on a regular and
continuing basis. Such transportation includes purposes such as health care, shopping,
education, employment, public services, personal business or recreation.
(16) "Representative of Disabled Persons" - An individual, designated by a goveming
body, who is familiar, knowledgeable or aware of the transportation needs of disabled
persons. For example, such an individual could be a member of an organization that
provides assistance to or representation of disabled individuals
(17) "Representative of Elderly Persons" - An individual, designated by a governing body,
who is familiar, knowledgeable or aware of the transportation needs of elderly persons. For
example, such an individual could be a member of an organization that provides
assistance to or representation of elderly individuals.
(18) "Special Transportation Fund for Elderly and Disabled (STF)" - Moneys generated by
a tax on cigarettes, or from other sources, appropriated to the Public Transit Section for
distribution to providers of transportation for the purpose of financing and improving
transportation programs and services for the elderly and disabled.
(19) "Section" - The Oregon Department of Transportation, Public Transit Section.
(20) "Transportation District" - A special district organized under ORS 267 .510 to
267.650.
(21) "User of Transportation Services" - An elderly or disabled person who makes use of
transportation programs and services for the elderly and disabled.
Stat. Auth.: ORS 323, ORS 391 & Ch. 816, Oregon Laws 1985
Stats. Implemented: ORS 391.800 - ORS 391.830
Hist.: PTD 1-1986, f. & ef. 1-10-86; PTD 1-1987, f. & ef. 11-24-87; PTD 1-1989(Temp), f. &
cert. ef. 12-29-89; PTD 1-1990 f. & cert. ef. 5-31-90
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732-00S-0016
Purpose of the Special Transportation Fund
Moneys distributed to providers of transportation under OAR 732-010 and 732-020 may
be used for the following purposes:
(1) Maintenance of existing transportation programs and services for the elderly and
disabled.
(2) Expansion of such programs and services.
(3) Creation of new programs and services.
(4) Planning for, and development of, access to transportation for elderly and disabled
individuals who are not currently served by transportation programs and services.
Stat. Auth.: ORS 323, ORS 391 & Ch. 816, Oregon Laws 1995
Stats. Implemented: ORS 391.810 - ORS 391.830
Hist.: PTD 1-1986, f. & ef. 1-10-86; PTD 1-1987, f. & ef. 11-24-87; PTD 1-1989(Temp), f. &
cert. et. 12-29-89; PTD 1-1990, t. & cert. ef. 5-31-90; Renumbered from 732-005-
0060(3)(a-d)
732-00S-0021
Administration of Funds by the Public Transit Section
(1) Public Transit Section shall conduct the necessary activities to manage the Special
Transportation Fund.
(2) After payment of the state administrative costs of the program, the Public Transit
Section shall make available moneys from the STF:
(a) Three-fourths of STF moneys shall be made available annually to goveming bodies on
the basis of population distribution. This will be known as the STF Formula Allocation; and
(b) Of the remaining one-fourth of STF moneys:
(A) An administrative allotment of $2,000 shall be made available annually to each
governing body;
(8) A minimum allocation shall be made available annually as a supplement to the moneys
made available based on population. This minimum allocation, when combined with
formula moneys, will equal at least $15,000; and
(C) Any remaining moneys shall be set aside to a Special Transportation Fund
discretionary account from which grants may be awarded by the Oregon Transportation
Commission. This is known as the STF Discretionary Program. The ultimate use of the
STF discretionary account shall be for transportation services for the elderly and disabled
as described under ORS 391.830.
Stat. Auth.: ORS 323, ORS 391 & Ch. 816, Oregon Laws 1985
Stats. Implemented: ORS 391.800 - ORS 391.830
Hist: PTD 1-1986, t. & ef. 1-10-86; PTD 1-1987, f. & et. 11-24-87; PTD 1-1989(Temp), f. &
cert. ef. 12-29-89; PTD 1-1990, f. & cert. ef. 5-31-90; Renumbered from 732-005-0015(1)
732-00S-0027
Eligible Recipients of STF Moneys
(1) STF moneys may be distributed to the following:
(a) To districts where they exist;
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(b) To counties where no districts exist; and
(c) If two or more districts are located in one county, the monies shall be distributed to the
mass transit district. If there is no mass transit district located in the county, then the
moneys shall be distributed to the transportation district with highest population.
(2) Districts and counties receiving STF moneys are known as governing bodies.
Stat. Auth.: ORS 323, ORS 391 & Ch. 816, OL 1985
Stats. Implemented: ORS 391.810
Hist.: PTO 1-1986, f. & ef. 1-10-86; PTO 1-1987, f. & ef. 11-24-87; PTO 1-1989(Temp), f. &
cert. ef. 12-29-89; PTO 1-1990, f. & cert. ef. 5-31-90; Renumbered from 732-005-
0015(1 )(a-c)
732-005-0031
STF Local Advisory Committee Requirements
(1) The governing body of each mass transit district, transportation district, or county that is
eligible to receive STF moneys shall appoint an advisory committee to advise and assist
the governing body.
(2) To be qualified to serve on the advisory committee an individual shall:
(a) Reside in the county; and
(b) Be an elderly or disabled user of transportation services in the district or county; or
(c) Be an individual who represents a service that is engaged in providing transportation
services to the elderly or disabled within the district or county. The provider representative
may reside outside the district or county;
(d) An elderly or disabled person who lives in an area of the district or county where there
are no public transportation services;
(e) A representative of elderly persons; or
(f) A representative of disabled persons.
(3) Members and employees of the governing body may not serve as voting members on
the advisory committee.
(4) The purpose of the advisory committee is to advise and assist the governing body in
carrying out the purposes of the STF:
(a) The advisory committee may consider specific providers, services and funding levels
for elderly and disabled transportation and submit recommendations to the governing
body;
(b) The advisory committee shall review the proposed distribution of formula moneys by
the governing body;
(c) The advisory committee shall review STF discretionary grant proposals and make
recommendations to the governing body;
(d) The advisory committee may propose any changes to the proposed STF distribution it
considers necessary;
(e) The advisory committee, in carrying out its functions, may review proposals, evaluate
needs, consider costs of service, evaluate service quality, review operating policies,
monitor performance, and receive operating reports.
(5) The advisory committee shall:
(a) Adhere to Oregon Public Meetings Laws at all meetings;
(b) Have at least three voting members;
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(c) Meet a sufficient number of times so as to advise the governing body in carrying out the
purposes of the STF.
(6) The number and terms of the members of the advisory committee shall be determined
by the governing body.
(7) The governing body shall notify the Section of advisory committee membership,
including changes in membership by filing a Roster of Advisory Committee Members with
its application for funds or by filing an amended Roster of Advisory Committee Members.
(8) The governing body shall make copies of advisory committee minutes and meeting
notices available to the Public Transit Section upon request.
Stat. Auth.: ORS 323, ORS 391, Ch. 816, Oregon Laws 1985 & Ch. 866, Oregon Laws
1989
Stats. Implemented: ORS 391.820
Hist.: PTD 1-1986, f. & ef. 1-10-86; PTD 1-1987, f. & ef. 11-24-87; PTD 1-1989(Temp), f. &
cert. ef. 12-29-89; PTD 1-1986, f. & ef. 1-10-86; PTD 1-1990, f. & cert. ef. 5-31-90;
Renumbered from 732-005-0065
732-005-0036
Accounting Requirements of the STF Program
(1) The governing body shall receive and disperse STF moneys from a separate
governmental fund.
(2) Inspection of Records and Services:
(a) STF recipients shall permit the Section, the Secretary of State of the State of Oregon,
or their authorized representatives, upon reasonable notice, to inspect all transportation
services provided by the STF, recipient, or any organization acting on the STF recipient's
behalf;
(b) STF recipients shall permit the Section, the Secretary of State of the State of Oregon,
or their authorized representatives, upon reasonable notice, access to all data and records
relating to the transportation system and its management, as well as the physical premises
and equipment of the system.
(3) Record Retention:
(a) The governing body shall maintain all financial records for at least three years after the
Section's final disbursement for the fiscal year;
(b) The governing body shall maintain all records relating to capital purchases for three
years after disposition of equipment.
Stat. Auth.: ORS 323, ORS 391, Ch. 816, Oregon Laws 1995 & Ch. 866, Oregon Laws
1989
Stats. Implemented: ORS 391.810
Hist.: PTD 1-1986, f. & ef. 1-10-86; PTD 1-1987, f. & ef. 11-24-87; PTD 1-1989(Temp), f. &
cert. ef. 12-29-89; PTD 1-1990, f. & cert. ef. 5-31-90; Renumbered from 732-005-0070
732-005-0041
Capital Purchase Requirements
(1) Capital equipment may be purchased with STF moneys. Equipment must be used for
the purpose of providing elderly and disabled transportation:
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(a) Any vehicles purchased in whole or in part with STF moneys shall be registered with
the Oregon Department of Transportation Driver and Motor Vehicle Services Branch in the
name of the governing body or in the name of the organization receiving the equipment;
(b) If the vehicle is registered in the name of the organization receiving the equipment, and
that organization is not the governing body, the governing body will be listed on the vehicle
title as security interest holder.
(2) When the equipment is no longer needed for elderly and disabled transportation, the
net proceeds from a sale or an amount equal to that value must be returned to the local
STF. If other funds were used in the purchase, then only the proportion representing STF
participation shall be returned to the STF.
(3) The governing body shall notify the Section of the sale of equipment purchased with
STF moneys and report the use of proceeds from such sale.
Stat. Auth.: ORS 323, ORS 391, Ch. 816, Oregon Laws 1985 & Ch. 866, Oregon Laws
1989
Stats. Implemented: ORS 391.810 - ORS 391.830
Hist.: PTD 1-1986, f. & ef. 1-10-86; PTD 1-1987, f. & ef. 11-24-87; PTD 1-1989(Temp), f. &
cert. ef. 12-29-89; PTD 1-1990, f. & cert. ef. 5-31-90; Renumbered from 732-005-0075
732-005-0046
Audit Requirements
(1) STF moneys shall be specifically addressed in the governing body's annual audit. If
requested by the Section, the district or county shall provide the Section with a copy of the
audit report.
(2) The Section may request additional information including, but not limited to, audits of
specific projects or services.
Stat. Auth.: ORS 323, ORS 391, Ch. 816, Oregon Laws 1985 & Ch. 866, Oregon Laws
1989
Stats. Implemented: ORS 391.810
Hist.: PTD 1-1986, f. & ef. 1-10-86; PTD 1-1987, f. & ef. 11-24-87; PTD 1-1989(Temp), f. &
cert. ef. 12-29-89; PTD 1-1990, f. & cert. ef. 5-31-90; Renumbered from 732-005-0080
732-005-0051
Reporting Requirements
(1) Purpose:
(a) To ensure that STF moneys are being used for the purpose of financing and improving
transportation programs for the elderly and disabled;
(b) To measure the effects of the program;
(c) To provide information to the legislature.
(2) Requirements:
(a) The district or county shall submit, or require its providers to submit, a quarterly report
to the Public Transit Section;
(b) For projects funded by the Formula Program, a report form, provided by the Section,
shall be completed for each provider on the list of services. The reports shall contain
information about the nature and scope of services provided;
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(c) The county or district may require additional reporting information from its providers;
(d) Reports shall be due within 45 days following the end of a quarter;
(e) For projects funded by the discretionary program, a report form will be provided by the
Section to be completed as required.
Stat. Auth.: ORS 323, ORS 391, Ch. 816, Oregon Laws 1995 & Ch. 866, Oregon Laws
1989
Stats. Implemented: ORS 391.810 thru ORS 391.830
Hist.: PTD 1-1986, f. & ef. 1-10-86; PTD 1-1987, f. & ef. 11-24-87; PTD 1-1989(Temp), f. &
cert. ef. 12-29-89; PTD 1-1990, f. & cert. ef. 5-31-90; Renumbered from 732-005-0085
732-005-0056
Withholding of Funds from a Governing Body
(1) The Section may withhold payment of STF moneys if:
(a) The funds are not being used in accordance with these rules;
(b) All required reporting has not been submitted; or
(c) There are any unresolved audit findings relating to the STF.
(2) If audit findings indicate STF moneys were used improperly, the governing body shall
repay the STF that portion used improperly.
Stat. Auth.: ORS 323, ORS 391, Ch. 816, Oregon Laws 1985 & Ch. 866, Oregon Laws
1989
Stats. Implemented: ORS 391.810 thru ORS 391.830
Hist.: PTD 1-1986, f. & ef. 1-10-86; PTD 1-1987, f. & ef. 11-24-87; PTD 1-1989(Temp), f. &
cert. ef. 12-29-89; PTD 1-1990, f. & cert. ef. 5-31-90; Renumbered from 732-005-0050
Division 10: The Special Transportation Fund Formula Program
732-010-0005
Program Purpose
The STF formula program is intended to provide a reliable and continuing source of
revenue in support of transportation services for the elderly and disabled.
(1) Revenues from the Special Transportation Fund are made available in an annual
allocation cycle.
(2) STF governing bodies may apply at any time during the annual cycle.
(3) Money is paid regularly to the governing body upon approval of application.
Stat. Auth.: ORS 323, ORS 391 & Ch. 816, Oregon Laws 1985
Stats. Implemented: ORS 391.810
Hist.: PTD 1-1990, f. & cert. ef. 5-31-90
732-010-0010
Formula Distribution
For those STF moneys distributed by formula:
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(1) Each county or district shall receive a portion of the STF monies based on the county's
share of the state population.
(2) The county population shall be determined by the most recent annual estimate of
population of cities and counties by the State Board of Higher Education (ORS 190.510 to
ORS 190.610).
(3) The Public Transit Section shall estimate distributions each January to be effective the
following July 1. If necessary, the estimate may be adjusted to reflect actual tax receipts.
(4) The Public Transit Section shall distribute STF monies regularly.
Stat. Auth.: ORS 323, ORS 391 & Ch. 816, Oregon Laws 1985
Stats. Implemented: ORS 391.810
Hist.: PTD 1-1986, f. & ef. 1-10-86; PTD 1-1987, f. & ef. 11-24-87; PTD 1-1989{Temp), f. &
cert. ef. 12-29-89; PTD 1-1990, f. & cert. ef. 5-31-90; Renumbered from 732-005-0015{2-
5)
732-010-0015
Applications Procedures for the STF Formula Program
For those moneys allocated by formula, administrative allotment and minimum allocations,
the governing body shall submit a complete application on forms supplied by the Public
Transit Section. The application shall include the following information:
(1) Roster of the Advisory Committee members. The roster shall include each member's
name, address and an indication of whether they are:
(a) Users of elderly and disabled transportation;
(b) Providers of elderly and disabled transportation;
(c) An elderly or disabled person who lives in an area of the district or county where there
are no public transportation services;
(d) A representative of elderly persons; or
(e) A representative of disabled persons.
(2) An assurance that the Advisory Committee has met and acted in accordance with
these rules and advised the governing body prior to the submission of the application.
(3) A list of services including the names and addresses of the providers, the type of
service to be provided, service area, and amount of funding anticipated.
(a) The governing body may amend the list at any time by filing an amended list with the
Section;
(b) The total cost estimate of all services listed and any contingency shall not exceed the
sum of the annual distribution estimate as supplied by the Section, prior year STF moneys
remaining available in the state account, and the STF moneys on hand in the local
governing body STF account.
(4) Planning and development projects shall also be listed and described in the list of
services. The description shall identify who would do the work, when it would begin and be
completed, and what purposes or products are to be achieved.
(5) Capital purchases shall also be described on the list of services.
(6) If an applicant is a district, a breakdown of the county population indicating the number
of individuals who live within the district, and the number who live in the county outside the
district, shall be provided to the Section. The proportion shall be based on the last federal
decennial census.
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(7) The district shall provide a description of the method used to substantiate the
population figures. The district shall provide a breakdown of expenditures both inside and
outside the district. The Section shall review and approve or disapprove the method and
the proposed expenditures.
(8) Other information pertaining to the proposed service and uses of funds as may be
requested by the Section.
(9) Signature of authorized official (chairman or general manager) of the goveming body.
(10) The governing body shall identify the source and amount of funds contributing to its
total program of providing transportation services to the elderly and disabled.
(11) The governing body shall identify funds held in contingency and describe a plan for
their use.
Stat. Auth.: ORS 323, ORS 391 & Ch. 816, Oregon Laws 1985
Stats. Implemented: ORS 391.810 thru ORS 391.830
Hist.: PTD 1-1986, f. & ef. 1-10-86; PTD 1-1987, f. & ef. 11-24-87; PTD 1-1989(Temp), f. &
cert. ef. 12-29-89; PTD 1-1990, f. & cert. ef. 5-31-90; Renumbered from 732-005-0020
732-010-0020
Application Review
(1) The Public Transit Section shall review applications to determine if program
requirements have been met. If not, the Section may ask for further information or
clarification or may disapprove the application and advise the governing body of the
grounds for disapproval.
(2) Grounds for disapproval may include, but are not limited to, the following:
(a) No advisory committee or improper membership;
(b) Advisory committee failure to meet and confer;
(c) Governing body failure to confer with the advisory committee;
(d) For formula applications by districts, disproportionate allocation inside and outside
district boundaries;
(e) The use of STF moneys to supplant the governing body's local appropriation currently
used to provide elderly and disabled transportation services;
(f) Failure to comply with required assurances; and
(g) Funds are not being used in accordance with OAR 732-005-0000 to 732-010-0045.
Stat. Auth.: ORS 323, ORS 391 & Ch. 816, Oregon Laws 1985
Stats. Implemented: ORS 391.810
Hist.: PTD 1-1986, f. & ef. 1-10-86; PTD 1-1987, f. & ef. 11-24-87; PTD 1-1989(Temp), f. &
cert. ef. 12-29-89; PTD 1-1990, f. & cert. ef. 5-31-90; Renumbered from 732-005-0030
732-010-0025
Service Review
(1) The Section shall review the proposed list of services in each application. The Section
shall consider material submitted in the application, information furnished by providers,
and other information it may receive as the basis for funding approval.
(2) Grounds for disapproval of funding for service shall include, but is not limited to, a
finding by the Section that:
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(a) A provider of service is in clear violation of state or local laws or regulations governing
passenger transportation;
(b) A provider of service is in clear violation of the laws or rules of this program or is
improperly using program funds;
(c) A provider of service is incapable of performing or has not performed the service in a
safe, prudent and timely manner.
(3) Reviews by the Section shall cover the provider and type of service to be provided.
(4) Disapproved services, planning, or capital projects can be improved and resubmitted
through an amended list of services.
(5) The governing body shall retain authority over costs and allocations within its
jurisdiction and may shift funds among approved providers as necessary for the desired
services:
(a) Adding new providers requires Section approval; and
(b) Changes in the distribution of funds among already approved providers does not
require Section approval.
Stat. Auth.: ORS 323, ORS 391 & Ch. 816, Oregon Laws 1985
Stats. Implemented: ORS 391.810 - ORS 391.830
Hist.: PTD 1-1986, f. & ef. 1-10-86; PTD 1-1987, f. & ef. 11-24-87; PTD 1-1989(Temp), f. &
cert. ef. 12-29-89; PTD 1-1990, f. & cert. ef. 5-31-90; Renumbered from 732-005-0035
732-010-0030
Disbursement of Funds
Upon approval of the application the Section shall disburse the funds.
Stat. Auth.: ORS 323, ORS 391 & Ch. 816, Oregon Laws 1985
Stats. Implemented: ORS 391.810
Hist.: PTD 1-1986, f. & ef. 1-10-86; PTD 1-1987, f. & ef. 11-24-87; PTD 1-1989(Temp), f. &
cert. ef. 12-29-89; PTD 1-1990, f. & cert. ef. 5-31-90; Renumbered from 732-005-0040
732-010-0035
Distribution of STF Formula and Minimum
Allocation Moneys by the Governing Body
(1) Distribution by districts:
(a) Each district that receives STF moneys shall distribute those moneys to providers of
transportation for the purpose of financing and improving transportation programs and
services for the elderly and disabled residents of the district and the county(s) in which all
or a portion of the district is located;
(b) The district is responsible for funding providers both within its boundaries and outside
them in the surrounding county(s);
(c) Services outside the district shall receive a proportionate amount of the STF based on
the population outside the district;
(d) The proportion shall be based on the last federal decennial census.
(2) Distribution by counties: Each county that receives STF moneys shall distribute those
moneys to providers of transportation for the purpose of financing and improving
transportation programs and services for the elderly and disabled residents of the county.
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(3) The governing body of a district or county shall:
(a) Consult with its advisory committee; determine the amount of money to be distributed
to a provider of transportation and the purposes for which the money must be used;
(b) Assure that the funds are to be used for purposes permitted in these regulations;
(c) Assure that providers included in the list of services continue to use the funds for the
purposes permitted in these regulations; and
(d) Distribute the funds on a regular basis to the providers included in the list of services
submitted to the Public Transit Section.
(4) STF moneys shall be received and disbursed from a separate governmental fund.
(5) If any interest is earned by the governing body from investments of STF moneys it shall
remain in the local STF account and shall be used for the local STF program.
(6) The governing body shall enter into written agreements with transportation providers.
Stat. Auth.: ORS 323, ORS 391 & Ch. 816, Oregon Laws 1985
Stats. Implemented: ORS 391.810
Hist: PTD 1-1986, f. & ef. 1-10-86; PTD 1-1987, f. & ef. 11-24-87; PTD 1-1989(Temp), f. &
cert. ef. 12-29-89; PTD 1-1990, f. & cert. ef. 5-31-90; Renumbered from 732-005-0045
732-010-0040
Use of Funds
The uses of the STF moneys may include such expenses as operating costs, capital
costs, and management costs directly associated with the provision of services incurred by
transportation providers.
(1) The STF moneys may be used as matching funds for other state and federal programs
that also provide transportation service to the elderly and disabled.
(2) The administrative allotment may be used for administrative expenses associated with
the distribution of STF moneys by the governing body up to $2,000 annually. Such
expenses include establishing and staffing of the advisory committee, distribution of STF
moneys, monitoring the use of STF moneys, and preparation of the application for funds.
Stat. Auth.: ORS 323, ORS 391 & Ch. 816, Oregon Laws 1985
Stats. Implemented: ORS 391.830
Hist.: PTD 1-1986, f. & ef. 1-10-86; PTD 1-1987, f. & ef. 11-24-87; PTD 1-1989(Temp), f. &
cert. ef. 12-29-89; PTD 1-1990, f. & cert. ef. 5-31-90; Renumbered from 732-005-0060(1-
2)
732-010-0045
Redistribution of Program Funds
For formula moneys, the Public Transit Section shall redistribute funds that have not been
requested after three years to participating governing bodies.
Stat. Auth.: ORS 323, ORS 391 & Ch. 816, Oregon Laws 1985
Stats.lmplemented: ORS 391.810
Hist.: PTD 1-1986, f. & ef. 1-10-86; PTD 1-1987, f. & ef. 11-24-87; PTD 1-1989(Temp), f. &
cart. ef. 12-29-89; PTD 1-1990, f. & cart. ef. 5-31-90; Renumbered from 732-005-0055
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Division 20: The Stf Discretionary Program
732-020-0005
Purpose
The discretionary program is intended to provide a flexible resource for addressing the
special transportation needs of the elderly and disabled:
(1) The discretionary program is a competitive award process.
(2) Discretionary projects are funded on merit of proposal in comparison with other
applicants.
(3) Discretionary program grants are time limited, non-continuing awards.
(4) Discretionary proposals must meet the standards for selection outlined in OAR 732-
020-0015 to be eligible for award.
(5) Discretionary grants are awarded on an annual cycle.
(6) STF discretionary grant requests for planning and capital projects may be awarded in
separate cycles in coordination with other Public Transit Section grant programs.
(7) A discretionary grant may be awarded for up to three years.
(8) Each governing body may submit applications for projects within its service area.
(9) The Oregon Transportation Commission may set aside discretionary funds for
accomplishing specific objectives that benefit transportation for elderly and disabled.
Stat. Auth.: ORS 183.616 & ORS 391.810
Stats. Implemented: ORS 391.815
Hist.: PTD 1-1990, f. & cert. ef. 5-31-90; PTD 1-1994, f. & cert. ef. 12-30-94
732-020-0010
Application Procedures for the STF Discretionary Program
(1) For those moneys distributed for discretionary grant projects the governing body shall
submit applications in a format established by the Section. The application shall include
but not be limited to:
(a) Assurance that the governing body and the advisory committee support the project;
(b) The goals or objectives to be achieved by the project;
(c) Documentation of the need for the project;
(d) A description of the expected results or outcome of the project;
(e) A description of the method to achieve the project;
(f) A budget plan for the project; and
(g) A time frame for the project.
(2) Applications that include vehicle requests shall include:
(a) A plan for vehicle acquisition and replacement; and
(b) Assurance of appropriate operating and maintenance procedures.
Stat. Auth.: ORS 323, ORS 391 & Ch. 816, Oregon Laws 1985
Stats. Implemented: ORS 391.815
Hist.: PTD 1-1990, f. & cert. ef. 5-31-90
732-020-0015
Standards for Selection of the STF Discretionary Grant
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Standards for selection of discretionary projects shall be established by the Oregon
Transportation Commission to include the following:
(1) Applications shall include a matching contribution from local resources as determined
by the Oregon Transportation Commission. Local resources may include STF formula
moneys or in-kind resources when determined by Public Transit Section to be appropriate
to the proposal.
(2) The application for anyone governing body shall be no greater than 50% of the annual
discretionary grant account.
(3) A discretionary proposal for raising operating levels shall not exceed one-third of the
current annual STF formula program allocation for the governing body.
(4) Applications must document coordination of area transportation resources.
(5) Proposed projects shall be consistent with Local Transportation System Plans, where
such plans exist.
Stat Auth.: ORS 184.616 & ORS 391.810
Stats. Implemented: ORS 391.815
Hist.: PTD 1-1990, f. & cert. ef. 5-31-90; PTD 1-1994, f. & cert. ef. 12-30-94
732-020-0020
Application Review
(1) The Public Transit Section will establish a process for discretionary application review
which shall include, but not be limited to:
(a) An initial screening by Public Transit Section of applications for compliance with
standards and assurances of appropriate management, accounting and procurement
practices;
(b) A review of applications to determine if program requirements as specified in OAR 732-
005-0015 have been met. If program requirements are not met, the Section may ask for
further information or clarification or may recommend disapproval of the application to the
Oregon Transportation Commission and advise the governing body of the grounds for
recommending disapproval;
(c) Grounds for the Section to disapprove an application may include, but are not limited
to, the following:
(A) No advisory committee, or improper membership;
(8) Governing body failure to confer with the advisory committee; and
(C) Funds are not being used in accordance with OAR 732-005-0000 to 732-020-0045.
(d) A review conducted by the appointed STF grant evaluation panel based upon
established criteria pursuant to OAR 732-020-0020(2);
(e) An opportunity for the applicant to comment and provide further information; and
(f) After consideration of the evaluation panel's review, the Section shall submit a final
recommendation for funding to the Oregon Transportation Commission.
(2) Criteria for review and selection of discretionary projects shall be established by the
Oregon Transportation Commission. Criteria used for review and selection shall include
but not be limited to assessment of:
(a) Demonstrated local support for the project;
(b) The need for the proposed project;
(c) The effectiveness of the proposed project;
'"""T,-q"."
(d) The efficiency of the proposed project;
(e) The appropriateness in scope or scale of the project;
(f) A satisfactory history of performance, if appropriate; and
(g) Consistency with state and local priorities and needs as identified in planning
documents.
(3) Projects eligible for discretionary grants include:
(a) Planning and needs assessment projects;
(b) Training, research and demonstration projects;
(c) Capital request projects; and
(d) Operating request projects.
Stat. Auth.: ORS 323, ORS 391 & Ch. 816, Oregon Laws 1985
Stats. Implemented: ORS 391.815
Hist.: PTO 1-1990, f. & cert. ef. 5-31-90
732-020-0025
STF Discretionary Grant Evaluation Panel
The Public Transit Section will establish statewide and/or regional grant evaluation panels
to review proposals and recommend project awards.
(1) The grant evaluation panel will be composed of members with extensive knowledge of
elderly and disabled transportation:
(a) Members of the panel may not benefit monetarily from any funding decision; and
(b) The Public Transit Section shall appoint individuals to serve on the grant evaluation
panel. The Section may solicit nominations from state agencies, organizations
representing senior and disabled citizens, the community, local transportation planners
and the transportation service industry.
(2) The grant evaluation panel shall:
(a) Review proposals, evaluate needs, consider costs of services, evaluate service quality,
and review operating policies and performance;
(b) Recommend applications for discretionary funding to the Section for approval;
(c) Adhere to the Oregon Public Meetings Law; and
(d) Review and recommend standards and criteria for discretionary grants to the Section.
Stat. Auth.: ORS 184.616 & ORS 391.810
Stats. Implemented: ORS 391.815
Hist.: PTO 1-1990, f. & cert. ef. 5-31-90; PTO 1-1994, f. & cert. ef. 12-30-94
732-020-0030
Award of Funds
Upon approval of the grant applications by the Oregon Transportation Commission, the
Public Transit Section will award funds:
(1) For planning, needs assessment, research, demonstration and operating projects:
(a) Payments will be made based on reported expenditures; and
(b) Final payment will be made upon receipt of final reports.
(2) For capital projects, payment may be made upon receipt of vendor invoice or billing.
_--Yh
(3) Other arrangement for payment is at the discretion of the manager of the Public Transit
Section.
Stat. Auth.: ORS 323, ORS 391 & Ch. 816, Oregon Laws 1985
Stats. Implemented: ORS 391.815
Hist.: PTD 1-1990, f. & cert. ef. 5-31-90
732-020-0035
Use of Funds
The uses of the STF moneys may include such expenses as operating costs, capital
costs, and management costs directly associated with activities conducted to complete the
project.
Stat. Auth.: ORS 323, ORS 391 & Ch. 816, Oregon Laws 1985
Stats. Implemented: ORS 391.815
Hist.: PTD 1-1990, f. & cert. ef. 5-31-90
732-020-0040
Discretionary Project Monitoring
(1) The Public Transit Section shall monitor each discretionary project on an ongoing basis
by:
(a) Review of project reports;
(b) An annual on-site visit to the governing body; and
(c) Review of other information as appropriate.
(2) Discretionary grants may be terminated or suspended by the Section before the date
indicated in the project time frame. Grounds for termination or suspension of a project shall
include, but are not limited to, a finding by the Section that:
(a) A project is in clear violation of state or local laws or regulations governing passenger
transportation;
(b) A project is in clear violation of the laws or rules of this program, or is improperly using
program funds; and
(c) A project is incapable of being performed, or has not been performed, in a safe,
prudent and timely manner.
Stat. Auth.: ORS 323, ORS 391 & Ch. 816, Oregon Laws 1985
Stats. Implemented: ORS 391.815
Hist.: PTO 1-1990, f. & cert. ef. 5-31-90
732-020-0045
Redistribution of Funds
For Discretionary Account moneys, the Public Transit Section will return funds awarded,
but not used, back to the Discretionary Account upon termination of a grant.
Stat. Auth.: ORS 323, ORS 391 & Ch. 816, Oregon Laws 1985
Stats. Implemented: ORS 391.815
Hist.: PTD 1-1990, f. & cert. ef. 5-31-90
9'
TlIfi
CONTRACT #: 108
AGENCY NAME: City of Woodburn
EXHIBIT C
Statement of Work
Background: Describe your organization. What is your agency's non-profit status,
mission statement, goals and objectives? Describe the clientele served by this project
and where do they live. How many people will be served by this project?
The City of Woodburn is a municipal corporation that operates the Woodburn
Transportation Services (WTS). Woodburn Transit operates fixed scheduled service,
a dial-a-ride service and operates a volunteer transportation service to provide senior
citizens and disabled residents non-emergency transportation. The transportation
program mission is to coordinate safe, reliable and efficient transportation service to
the City's 17,000 residents. The objective of the system is to provide trips for medical
needs, shopping, and social activities within the City of Woodburn. The Dial-A-Ride
program also coordinates and organizes Retired Senior Volunteer Program volunteers
to provide transportation to medical services within and outside of the City of
Woodburn.
Project Benefits: What are the measurements that will be used to demonstrate the
success of this project?
The primary transportation program benefit measures are revenue vehicle hours,
revenue vehicle miles and unlinked passenger trips.
Scope of Work: What is the problem to be solved, and how will your proposal solve
this problem? Describe the characteristics of your agency's transportation service.
Define the service area or corridor; days and hours of service; trip purposes; response
time or trip scheduling process. Describe the coordination activities that your agency
will pursue in the next year.
Woodburn Transit public fixed route bus service is available Monday through Friday
between 9:00 a.m. and 5:00 p.m. The Dial-A-Ride paratransit van operates the same
hours and days of service as the fixed route service. The Dial-A-Ride serves as the
ADA complementary service. Woodburn Transit also provides the City's residents
with a Volunteer Transportation Program. The volunteer driver program will
coordinate medical trips as required seven days per week.
Woodburn Transit will participate on the North Marion Sub-regional Working
Group to achieve coordination of it's services between the Silver Trolley, the Seniors
Plus, Woodburn Express and the Chemeketa Area Regional Transportation
Service's TriCity Connector and SalemlSilverton Shuttle routes.
Program Manager: List the person responsible people along with addresses and
telephone numbers where they can be reached.
Randy Rohman, 270 Montgomery St, Woodburn OR 97071, (503) 982-5245
Page 1 of 1
.". 'W"
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_ ..JNTRACT #: 108 EXHIBIT D
AGENCY NAME: City of Woodburn
PROGRAM REVENUES
PROPOSED FUNDED
INCOME SOURCES REVENUE REVENUE
Federally Generated Revenue
Section 3037 (Welfare to Work)
Section 5307
Section 5309
Section 531 0
Section 5311 41 ,000 164,199
OMAP (Federal Match 60%)
MH/DD (0053)
Vocational Rehabilitation
Adult & Family Services
Surface Transportation Program 121,136
State Generated Revenue
STF - Formula/Rural Marion 34,000
STF - Formula/Urban
STF - Formula/Linn County
STG Discretionary 40,378 72,315
OMAP (Federal Match 40%)
Locally Generated Revenue
Fare Revenue 21,800 21,800
In-Lieu or In-Kind
Local Taxes & Fees (include carryover/tranfer) 103,000 131 ,120
Interest Earnings 1,000 1,000
Service Contracts
Advertising Income
Volunteer Services 17 ,400 17,400
Cash Donations 3,200 3,200
Fund Raising
Foundation Grants
Sale of Capital
Other: Carryover & Transfer 28,120
TOTAL PROGRAM REVENUES $411,034 $411,034
....'T~
I'Ir
,\!TRACT #: 108 EXHIBIT D
AGENCY NAME: City of Woodburn
PROGRAM BUDGET
PROPOSED APPROVED
EXPENSE SUMMARY EXPENSES EXPENSES
ADMINISTRATIVE EXPENSES
Salary & Fringe Benefits:
Executive Director
Fiscal Officer
Administrative Assistant
Program Manager 14,381 14,381
Secretary/Clerical 14,583 14,583
Fringe Benefits 6,122 6,122
Rent/Lease/Overhead:
Rent
Office Supplies 1,300 1,300
Postage 250 250
Uti lities/ Janitorial/Mai nt.:
Telephone 1,600 1,600
Equipment Lease
Facility Maintenance
Marketing/Public Involvement:
Advertising 600 600
Printing 1,250 1,250
Mileage/Parking
Contract Services:
Facility Insurance Bond
Audit
Other:
Admin Drug/Alcohol Testing:
Drug Testing 1,300 1,300
Other Admin Expenses:
Professional Admin Services 15,149 15,149
Meetings/Conferences 400 400
Other: 200 200
Total Administrative Expenses $57,135 $57,135
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,\I TRACT #: 108 EXHIBIT D
AGENCY NAME: City of Woodburn
PROGRAM BUDGET
PROPOSED APPROVED
EXPENSE SUMMARY EXPENSES EXPENSES
OPERATING EXPENSES
Salary/Fringe Benefits:
Dispatch Coordinator 14,583 14,583
Paid Drivers 75,071 75,071
Volunteer Drivers 17,400 17,400
Maintenance Personnel 3,000 3,000
Fringe Benefits 15,268 15,268
Vehicle Maintenance:
Tires 3,000 3,000
Fuel/Oil 10,000 10,000
Spare Parts:
Parts and Supplies 4,600 4,600
Vehicle Insurance:
Vehicle Insurance 3,400 3,400
Service/Maint. Contract:
Non City Maintenance 6,150 6,150
Other Operating Expenses:
License/Fees
Volunteer CDL Reimbursement 16,500 16,500
Uniforms 600 600
Safety Training 550 550
Other:
Total Operating Expenses $170,122 $170,122
CAPITAL EXPENSES
Vehicle Lease
Vehicle Purchase 183,777 183,777
Other:
Total Capital Expenses $183,777 $183,777
TOTAL PROGRAM BUDGET $411,034 $411,034
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.lthly Report FY 2000/2001
Page 1
EXHIBIT E
CITY OF WOODBURN
Agreement Number:
108
Project Name:
Project Manager:
Mailing Address:
Woodburn Transportation Services
Randy Rohman
270 Montgomery St
Woodburn, OR 97071
(503) 982-5245
Telephone Number:
Section 1
Operating Statistics
Month that reporting period covers:
Days operated in reporting period:
Weekend Days:
Total:
Weekdays:
Vehicle service miles
this month?
Vehicle service
hours this month?
Vehicle revenue miles
this month?
Vehicle revenue
hours this month?
Volunteer Miles
this month?
Volunteer Hours
this month?
Disabled Clients:
General Public:
Senior Citizens:
Children1:
How many one-way trips did you provide the past month?
How many unduplicated clients did you provide service in the past month?
How many of the above trips were subcontracted?
How many trips did you turn down during the reporting period?
How many trips did you cancel during the reporting period?
How many "no-shows" did you record the past month?
1 General public passengers who are less than 19 years of age.
... "T+
v..".....
nthly Report FY 2000/2001
Page 2
Section 2 Administratvie Expenses
Approved
Expenses
ADMINISTRATIVE EXPENSES
Salary & Fringe Benefits:
Executive Director
Fiscal Officer
Administrative Assistant
Program Manager
Secretary/Clerical
Fringe Benefits
Rent/Lease/Overhead:
Rent
Office Supplies
Postage
Utilities/Janitorial/Maint. :
Telephone
Equipment Lease
Facility Maintenance
Marketing/Public Involvement:
Advertising
Printing
Mileage/Parking
Contract Services:
Facility Insurance Bond
Audit
Other:
Admin Drug/Alcohol Testing:
Drug Testing
Other Admin Expenses:
Professional Admin Services
Meetings/Conferences
Other:
Total Administrative Expenses
108 City of Woodburn
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o
o
14,381
14,583
6,122
o
1,300
250
1,600
o
o
600
1,250
o
1,300
15,149
400
200
$57,135
Current Month
Expenses
o
o
o
....".....'.'^'-.._.~ . ..,
EXHIBIT E
Year-to-Date
Expenses
.lthly Report FY 2000/2001
Page 3
Section 3 Operation Expenses
Approved
Expenses
Salary/Fringe Benefits:
Dispatch Coordinator
Paid Drivers
Volunteer Drivers
Maintenance Personnel
Fringe Benefits
Vehicle Maintenance:
Tires
Fuel/Oil
Spare Parts:
Parts and Supplies
Vehicle Insurance:
Vehicle Insurance
Service/Maint. Contract:
Non City Maintenance
Other Operating Expenses:
license/Fees
Volunteer CDL Reimbursement
Uniforms
Safety Training
Other:
Total Operating Expenses
Section 4 Capital Expenses
Vehicle Lease
Vehicle Purchase
Other:
Total Capital Expenses
Section 5
TOTAL PROGRAM BUDGET
108 City of Woodburn
T'
14,583
75,071
17,400
3,000
15,268
3,000
10,000
4,600
3,400
6,150
o
16,500
600
550
o
$170,122
o
183,777
o
$183,777
$411,034
Current Month
Expenses
"'''''-" 1lI"r
EXHIBIT E
Year-to-Date
Expenses
"nthly Report FY 2000/2001
Page 4
Section 6 Program Revenues
Approved
Revenue
Federally Generated Revenue
Section 3037 (Welfare to Work)
Section 5307
Section 5309
Section 5310
Section 5311
OMAP (Federal Match 60%)
MHIDD (0053)
Vocational Rehabilitation
Adult & Family Services
Surface Transportation Program
State Generated Revenue
STF - Formula/Rural Marion
STF - Formula/Urban
STF - Formula/Linn County
STG Discretionary
OMAP (Federal Match 40%)
Locally Generated Revenue
Fare Revenue
L~tm't~~~-~i~es (include
carryover/tranfer)
Interest Earnings
Service Contracts
Advertising Income
Volunteer Services
Cash Donations
Fund Raising
Foundation Grants
Sale of Capital
Other: Carryover & Transfer
TOTAL PROGRAM REVENUES
108 City of Woodburn
T'
o
o
o
o
164,199
o
o
o
o
o
o
o
o
72,315
o
21,800
o
131,120
1,000
o
o
17,400
3,200
o
o
o
o
$411,034
Current Month
Revenue
."_._"" ".-,..-.----- .T
EXHIBIT E
Year-to-Date
Revenue
Jnthly Report FY 2000/2001
Page 5
EXHIBIT E
Section 6 Program Reimbursement Request
CURRENT MONTH
YEAR-TO-DATE
1) Total Administrative Expenses (Section 2)
2) Total Operating Expenses (Section 3)
3) Total Capital Expenses (Section 4)
4) Gross Program Budget (Section 5)
5) Total Program Revenues (Section 6)
<
> <
>
6) Net Program Expenditures
7) STG Formula Reimbursement Request
8) OTN Reimburesment Request
9) Section 5311 Request
This program is eligible to receive "STG Formula" funds in an amount equal to or less than,
but not to exceed 7.77% of the Gross Program Expenditures or $2,661.42 per month,
which is 1 /12th of $31,937 for operating expenses for which is the total STG funding for
FY 2000/2001.
The above information is true and accurate to the best of my knowledge.
Signed:
Date:
108 City of Woodburn
'..TO'
1"--".".">'"
EXHIBIT F
Addendum to Contract
FT A Contract Requirements
I. In connection with the performance by Contractor of work or services within the
scope of this Agreement, Contractor agrees to comply with the following requirements, and
to include these requirements in all subcontracts I of every tier:
No Obligation by the Federal Government. - (1) The Recipient2 and Contractor3 acknowledge
and agree that, notwithstanding any concurrence by the Federal Government in or approval of the
The term "subcontract" under this addendwn is considered to refer to a person who agrees to
perform any part of the labor or material requirements of a contract for construction, alteration or repair. A
person who undertakes to perform a portion of a contract involving the furnishing of supplies or materials
will be considered a "subcontractor" under this section if the work in question involves the performance of
construction work and is to be performed: (1) directly on or near the construction site, or (2) by the
employer for the specific project on a customized basis. Thus, a supplier of materials which will become an
integral part of the construction is a "subcontractor" if the supplier fabricates or assembles the goods or
materials in question specifically for the construction project and the work involved may be said to be
construction activity. lfthe goods or materials in question are ordinarily sold to other customers from
regular inventory, the supplier is not a "subcontractor."
2 The term, "Recipient" shall mean the Salem Area Mass Transit District.
J The term, "Contractor" shall refer to a party under any agreement undertaking contractual
obligations to or for the benefit of one or more other parties which includes the Salem Area Mass Transit
District.
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solicitation or award of the underlying contract, absent the express written consent by the Federal
Government, the Federal Government is not a party to this contract and shall not be subject to any
obligations or liabilities to the Recipient, Contractor, or any other party (whether or not a party to
that contract) pertaining to any matter resulting from the underlying contract.
Program Fraud and False or Fraudulent Statements or Related Acts.
(I) The Contractor acknowledges that the provisions of the Program Fraud Civil Remedies Act of
1986, as amended, 31 U.S.c. 9 9 3801 et ~ . and U,S. DOT regulations, "Program Fraud Civil
Remedies," 49 C.F.R. Part 31, apply to its actions pertaining to this Project. Upon execution of
the underlying contract, the Contractor certifies or affirms the truthfulness and accuracy of any
statement it has made, it makes, it may make, or causes to be made, pertaining to the underlying
contract or the FT A assisted project for which this contract work is being performed. In addition
to other penalties that may be applicable, the Contractor further acknowledges that if it makes, or
causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification,
the Federal Government reserves the right to impose the penalties of the Program Fraud Civil
Remedies Act of 1986 on the Contractor to the extent the Federal Government deems appropriate,
(2) The Contractor also acknowledges that if it makes, or causes to be made, a false, fictitious, or
fraudulent claim, statement, submission, or certification to the Federal Government under a
contract connected with a project that is financed in whole or in part with Federal assistance
originally awarded by FTA under the authority of 49 U.S.c. 9 5307, the Government reserves the
right to impose the penalties of 18 U.S.c. 9 1001 and 49 U.S.c. 9 5307(n)(I) on the Contractor,
to the extent the Federal Government deems appropriate,
Incorporation of Federal Transit Administration (FTA) Terms - The provIsIOns of this
Addendum include, in part, certain Standard Terms and Conditions required by DOT, whether or
not expressly set forth in the preceding contract provisions. All contractual provisions required by
DOT, as set forth in FTA Circular 4220.10, dated April 15, 1996, are hereby incorporated by
reference. Anything to the contrary herein notwithstanding, all IT A mandated terms shall be
deemed to control in the event' of a conflict with other provisions contained in this Agreement.
The Contractor shall not perform any act, fail to perform any act, or refuse to comply with any
Recipient requests which would cause Recipient to be in violation of the FTA terms and
conditions.
Federal Cbanges - Contractor shall at all times comply with all applicable FT A regulations,
policies, procedures and directives, including without limitation those listed directly or by
reference in the Agreement (Form FTA MA (4) dated October 1, 1997) between Recipient and
ITA, as they may be amended or promulgated from time to time during the term of this contract.
Contractor's failure to so comply shall constitute a material breach of this contract.
Fly America - The Contractor agrees that, in connection with performing its obligations under
this contract, it will use air transportation provided by United States-Flag air carriers for air
transportation of persons or property, to the extent service by these carriers is available, as
required by the International Air Transportation Fair Competitive Practices Act of 1974, as
amended, 49 U.S.c. 40118, in accordance with U.S. GAO regulations in 4 CFR Part 52 and U.S.
GAO Guidelines for Implementation of the Fly America Act, B-138942 (1981).
Cargo Preference - Use of ~nited States-Flag Vessels - The Contractor agrees: a. to use
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,
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whenever shipping any equipment, material, or commodities pursuant to the underlying contract
to the extent such vessels are available at fair and reasonable rates for United States-Flag
commercial vessels; b. to furnish within 20 working days following the date of loading for
shipments originating within the United States or within 30 working days following the date of
leading for shipments 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 to the Division of National
Cargo, Office of Market Development, Maritime Administration, Washington, DC 20590 and to
Recipient (through the Contractor in the case ofa subcontractor's bill-of-Iading.)
Energy Conservation - The Contractor agrees to comply with 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.
Recovered Materials - The Contractor agrees to comply with all the requirements of Section
6002 of the Resource Conservation and Recovery Act (RCRA), as amended (42 U.S.C. 6962),
including but not limited to the regulatory provisions of 40 CFR Part 247, and Executive Order
12873, as they apply to the procurement of the items designated in Subpart B of 40 CFR Part 247.
Civil Rights - The following requirements apply:
(1) Nondiscrimination - In accordance with Title VI of the Civil Rights Act, as amended, 42
U.S,C. ~ 2000d, section 303 of the Age Discrimination Act of 1975, as amended, 42 U.S.c. ~
6102, section 202 of the Americans with Disabilities Act of 1990, 42 U.S.C. ~ 12132, and Federal
transit law at 49 U.S.C. ~ 5332, the Contractor agrees that it will not discriminate against any
employee or applicant for employment because of race, color, creed, national origin, sex, age, or
disability. In addition, the Contractor agrees to comply with applicable Federal implementing
regulations and other implementing requirements Ff A may issue.
(2) E<Lual Employment Opportunity - The following equal employment opportunity requirements
apply:
(a) Race, Color. Creed. National OrilPn. Sex - In accordance with Title VII of the Civil Rights
Act, as amended, 42 U.S.C. ~ 2000e, and Federal transit laws at 49 U.S.C. ~ 5332, the Contractor
agrees to comply with all applicable equal employment opportunity requirements of U.S.
Department of Labor (U.S. DOL)'regulations, "Office of Federal Contract Compliance Programs,
Equal Employment Opportunity, Department of Labor," 41 C.F.R. Parts 60 ~ ~ ., (which
implement Executive Order No. 11246, "Equal Employment Opportunity," as amended by
Executive Order No. 11375, "Amending Executive Order 11246 Relating to Equal Employment
Opportunity," 42 U.S.C. ~ 2000e note), and with any applicable Federal statutes, executive
orders, regulations, and Federal policies that may in the future affect construction activities
undertaken in the course of the Project. The Contractor agrees to take affirmative action to ensure
that applicants are employed, and that employees are treated during employment, without regard
to their race, color, creed, national origin, sex, or age. 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 payor other forms of compensation; and selection for
training, including apprenticeship. In addition, the Contractor agrees to comply with any
implementing requirements Ff A may issue.
(b) ~ - In accordance with section 4 of the Age Discrimination in Employment Act of 1967, as
amended, 29 D.S.C. ~ ~ 623 and Federal transit law at 49 D.S.C. ~ 5332, the Contractor agrees to
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refrain from discrimination against present and prospective employees for reason of age. In
addition, the Contractor agrees to comply with any implementing requirements FT A may issue.
(c) Disabilities - In accordance with section 102 of the Americans with Disabilities Act, as
amended, 42 U.s.c. ~ 12112, the Contractor agrees that it will comply with the requirements of
U.S. Equal Employment Opportunity Commission, "Regulations to Implement the Equal
Employment Provisions of the Americans with Disabilities Act," 29 C.F.R. Part 1630, pertaining
to employment of persons with disabilities. In addition, the Contractor agrees to comply with any
implementing requirements FT A may issue,
Disadvantaged Business Enterprise Provision
1. The Federal Fiscal Year goal has been set by Recipient in an attempt to match projected
procurements with available qualified disadvantaged businesses. Recipient goals for budgeted
service contracts, bus parts, and other material and supplies for Disadvantaged Business
Enterprises have been established by Recipient as set forth by the Department of Transportation
Regulations 49 C.F.R. Part 26.13 and is considered pertinent to any contract resulting from this
request for proposal.
If a specific DBE goal is assigned to this contract, it will be clearly stated and if the Contractor is
found to have failed to exert sufficient, reasonable, and good faith efforts to involve DBE's in the
work provided, Recipient may declare the Contractor noncompliant and in breach of contract.
(a) ~ - It is the policy of the Department of Transportation and Recipient that Disadvantaged
Business Enterprises, as defined in 49 CFR Part 26.13, shall have the maximum opportunity to
participate in the performance of Contract financed in whole or in part with federal funds under
this Agreement. Consequently, the DBE requirements of 49 CFR Part 26.13 apply to this
Contract.
The Contractor agrees to ensure that DBEs as defined in 49 CFR Part 26.13, have the maximum
opportunity to participate in the whole or in part with federal funds provided under this
Agreement. In this regard, the Contractor shall take all necessary and reasonable steps in
accordance with the regulations to ensure that DBEs have the maximum opportunity to compete
for and perform subcontracts. The Contractor shall not discriminate on the basis of race, color,
national origin, religion, sex, age or physical handicap in the award and performance of
subcontracts.
It is further the policy of Recipient to promote the development and increase the participation of
businesses owned and controlled by disadvantaged. DBE involvement in all phases of Recipient
procurement activities are encouraged.
(b) DBE obliiation - The Contractor and its subcontractors agree to ensure that disadvantaged
businesses have the maximum opportunity to participate in the performance of contracts and
subcontracts financed in whole or in part with federal funds provided under the Agreement. In
that regard, all Contractors and subcontractors shall take all necessary and reasonable steps in
accordance with 49 CFR Part 26, to ensure that minority business enterprises have the maximum
opportunity to compete for and perform contracts.
(c) The Contractor, subrecipient or subcontractor shall not discriminate on the basis of race, color,
national origin or sex in the performance of this contract. The contractor shall carry out
applicable requirements of 49 CFR Part 26 in the award and administration of DOT-assisted
contracts. Failure by the contractor to carry out this requirments is a material of this contract,
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which may result in the termination of this contract or such other remedy as the recipient deems
appropriate. Where the Contractor is found to have failed to exert sufficient reasonable and good
faith efforts to involve DBE's in the work provided, Recipient may declare the Contractor
noncompliant and in breach of contract
(d) The Contractor will keep records and documents for a reasonable time following performance
of this contract to indicate compliance with Recipient DBE program. These records and
documents will be made available at reasonable times and places for inspection by any authorized
representative of Recipient and will be submitted to Recipient upon request
(e) Recipient will provide affirmative assistance as may be reasonable and necessary to assist the
prime contractor in implementing their programs for DBE participation. The assistance may
include the following upon request:
(0 The contractor is required to make payments to subcontractors fourteen (14) days after the
contractor has received payment for satisfactorily completed subcontractor work from SAMID,
whether such payment is a progress or final payment If payment disputes arise between the
prime contractor and a subcontractor such dispute shall be resolved promptly through mediation
or arbitration in order to prevent injury to small business subcontractors. The prime contractor
shall specify in its subcontract what dispute resolution method will be used. In addition, prime
contractors will not be paid for subcontractors' work unless the prime contractor can show that a
prompt payment method for subcontractors is in place. Ifnecessary, SAMID may make payment
for subcontractors' work by different methods such as two-party checks, etc. Prime contractors
shall be required to provide copies of the subcontracts to SAMID showing inclusion of these
prOVISIons.
* Identification of qualified DBE
* Available listing of Minority Assistance Agencies
* Holding bid conferences to emphasize requirements
2. DBE Program Definitions, as used in the contract:
(a) Disadvantaged business "means a small business concern":
i. Which is at least 51 percent owned by one or more socially and economically disadvantaged
individuals, or, in the case of any publicly owned' business, at least 51 percent of the stock of
which is owned by one or more socially and economically disadvantaged individuals; and
ii. Whose management and daily business operations are controlled by one or more of the socially
and economically disadvantaged individuals who own it.
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iii. Which is at least 51 percent owned by one or more women individuals, or in the case of any
publicly owned business, at least 51 % of the stock of which is owned by one or more women
individuals; and
iv. Whose management and daily business operations are controlled by one or more women
individuals who own it.
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(b) "Small business concern" means a small business as defined by Section 3 of the Small
Business Act and Appendix B - (Section l06(c)) Determinations of Business Size.
(c) "Socially and economically disadvantaged individuals" means those individuals who are
citizens of the United States (or lawfully admitted permanent residents) and States (or lawfully
admitted permanent residents) and who are black Americans, Hispanic Americans, Native
Americans, Asian-Pacific Americans, Asian-Indian Americans, or women, and any other
minorities or individuals found to be disadvantaged by the Small Business Administration
pursuant to section 8(a) of the Small Business Act.
i. "Black Americans", which includes persons having origins in any of the Black racial groups of
Africa;
ii. "Hispanic Americans", which includes persons of Mexican, Puerto Rican, Cuba, Central or
South American, or other Spanish or Portuguese culture or origin, regardless of race;
iii. "Native Americans', which includes persons who are American Indians, Eskimos, Aleuts, or
Native Hawaiians;
iv. "Asian-Pacific Americans", which includes persons whose origins are from Japan, China,
Taiwan, Korea, Vietnam, Laos, Cambodia, the Philippines, Samoa, Guam, the U.S. Trust
Territories of Pacific, and the Northern Marianas;
v. "Asian-Indian Americans", which includes persons whose origins are from India, Pakistan, and
Bangladesh.
Patents, Data and Copyright -.
General. 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 the
Project, and that invention, improvement, or discovery is patentable under the laws of the United
States of America or any foreign country, the Recipient agrees to notify ITA immediately and
provide a detailed report.
Federal Ri~hts. Unless the Federal Government later makes a contrary determination in
writing, the rights and responsibilities of the Recipient, third party contractor, subrecipient and
the Federal Government pertaining to that invention, improvement, or discovery will be
determined in accordance with applicable Federal laws, regulations, including any waiver thereof.
Unless the Federal Government later makes a contrary determination in writing, the Recipient
agrees that, irrespective of its status or the status of any subrecipient or any third party contractor
at any tier (i.e., a large business, small business, state government or state instrumentality, local
government, nonprofit organization, institution of higher education, individual, etc.), the
Recipient agrees it will transmit to ITA those rights due the Federal Government in any invention
resulting from that third party contract described in U.S. Department of Commerce Regulations,
"Rights to Grants, Contracts and Cooperative Agreements." 37 C.F.R. Part 401.
Definition. The term "subject data" used in this section means records information,
whether or not copyrighted, that is delivered or specified to be delivered under the Grant
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Agreement or Cooperative Agreement. Examples include, but are not limited to: computer
software, standards, specifications, engineering drawings and associated lists, process sheets,
manuals, technical reports, catalog item identifications, and related information. The term
"subject data" does not include financial reports, cost analyses, and similar information used for
Project administration.
Federal Restrictions. The following restrictions apply to all data first produced in the
performance of the Grant Agreement or Cooperative Agreement: Except for its own use, the
Recipient may not publish or reproduce subject data in whole or in part, or in any manner or
form, nor may the Recipient authorize others to do so, without the written consent of the Federal
Government, until such time as the Federal Government may have either released or approved the
release of such data to the public,
Federal Rights in Data and Copyrights. In accordance with 49 C.F.R. S 18.34 and 49
C.F.R. SI9.36, the Federal Government reserves a royalty-free, non-exclusive and irrevocable
license to reproduce, publish, or otherwise use, and to authorize others to use, for Federal
Government purposes the "subject data" described in the following subsections of this
Agreement. As used in the previous sentence, "for Federal Government purposes," means use
only for the direct purposes of the Federal Government. Without the copyright owner's consent,
the Federal Government may not extend its Federal license to other parties.
Any subject data developed under the Grant Agreement or Cooperative
Agreement, or under a third party contract or subagreement financed by the Grant
Agreement or Cooperative Agreement, whether or not a copyright has been obtained; and
Any rights of copyright to which a Recipient, subrecipient, or a third party
contractor purchases ownership with Federal assistance.
Special Federal RiiPtts for Planning. Research. and Development Projects. FTA's
purpose in providing financial assistance for a planning, research, development, or a
demonstration Project, is to increase transportation knowledge, rather than limit the benefits of
the Project to participants in the Project. Therefore, unless IT A determines otherwise, the
Recipient of ITA fmancial assistance to support a planning, research, development, or a
demonstration Project agrees that, in addition to the rights in data and copyrights described in this
Agreement, FfA may make available to any ITA recipient, subrecipient, third party contractor,
or third party subcontractor, either FfA's license in the copyright to the subject data or a copy of
the subject data. If the Project, which is the subject of the Grant Agreement or Cooperative
Agreement, is not completed for any reason whatsoever, all data developed under that Project
shall become subject data as defined in this Agreement and shall be delivered as the Federal
Government may direct. This paragraph of this Agreement, however, does not apply to
adaptations of automatic data processing equipment or programs for the Recipient's use whose
costs are financed with Federal transportation funds for capital projects.
Hold Harmless. Unless prohibited by state law, upon request by the Federal Government,
the Recipient agrees to indemnify, save, and hold harmless the Federal Government and 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, use, or disposition of any data furnished under the Project.
The Recipient shall not be required to indemnify the Federal Government for any such liability
caused by the wrongful acts of employees or agents of the Federal Government.
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Restrictions on Access to Patent Ri~hts. Nothing contained in this section on rights in
data shall imply a license to the Federal Government under any patent or be construed as
affecting the scope of any license or other right otherwise granted to the Federal Government
under any patent.
Interest of Congress - No member of, or delegate to, the Congress of the United States shall be
admitted to any share or port ofthis Contract or to any benefit arising therefrom. 41 U.S,C. 22.
Prohibited Interest - No member, officer or employee of Recipient or of a local public body
during his or her tenure or one year thereafter shall have any interest, direct or indirect, in this
Contract or the proceeds thereof.
2. In connection with the performance by Contractor of work or services within the
scope of this Agreement, Contractor agrees to comply with the following requirements, and
to include these requirements in all subcontracts exceeding $100,000 in value of every tier.
Contractor further agrees to include the Contract Work Hours and Safety Standards Act
requirements in all subcontracts exceeding $2,500 in value (but not including subcontracts
for the purchase of supplies, materials or articles ordinarily available on the open market):
Contract Work Hours and Safety Standards Act
Pursuant to Section 102 (Overtime):
(1) 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 such workweek unless such laborer or mechanic
receives compensation at a rate not less than one and one-half times the basic rate of pay for all
hours worked in excess of forty hours in such workweek.
(2) Violation; liability for unpaid wages; liquidated damages - In the event of any violation of
the clause set forth in paragraph (1) of this section 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 for liquidated damages. Such liquidated damages
shall be computed with respect to each individual laborer or mechanic, including watchmen and
guards, employed in violation of the clause set forth in paragraph (l) of this section, 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 the
clause set forth in paragraph (1) of this section.
(3) Withholding for unpaid wages and liquidated damages - 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 in paragraph (2) of this section.
(4) Subcontracts - The Contractor or subcontractor shall insert in any subcontracts the clauses set
forth in this section and also a clause requiring the subcontractors to include these clauses in any
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lower tier subcontracts. The prime contractor shall be responsible for compliance by any
subcontractor or lower tier subcontractor with the clauses set forth in this section.
(Section 102 nonconstruction contracts should also have the following provision:)
(5) Payrolls and basic records - (i) 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 CFR 5.5(a)(1)(iv) that the wages of any laborer or
mechanic include the amount of any costs reasonably anticipated in providing benefits under a
plan or program described in section 1(b)(2)(B) of the Davis-Bacon Act, the Contractor shall
maintain records which show that the commitment to provide such benefits is enforceable, that
the plan or program is financially responsible, and that the plan or program has been
communicated in writing to the laborers or mechanics affected, and records which show the costs
anticipated or the actual cost incurred in providing such benefits. Contractors employing
apprentices or trainees under approved programs shall maintain written evidence of the
registration of apprenticeship programs and certification of trainee programs, the registration of
the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs.
Section 107 (OSHA):
Contract Work Hours and Safety Standards Act - The Contractor agrees to comply with
section 107 of the Contract Work Hours and Safety Standards Act, 40 U.S.c. section 333, and
applicable DOL regulations, "Safety and Health Regulations for Construction" 29 C.F.R. Part
1926. Among other things, the Contractor agrees that it will not require any laborer or mechanic
to work in unsanitary, hazardous, or dangerous surroundings or working conditions.
Clean Air - The Contractor agrees to comply with all applicable standards, orders or regulations
issued pursuant to the Clean Air-Act, as amended, 42 D.S.C. ~~ 7401 s1 g,q . The Contractor
agrees to report each violation to the Recipient and understands and agrees that the Recipient will,
in turn, report each violation as required to assure notification to Ff A and the appropriate EP A
Regional Office.
Clean Water - The Contractor agrees to comply with all applicable standards, orders or
regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C.
1251 et ~ . The Contractor agrees to report each violation to the Recipient and understands and
agrees that the Recipient will, in turn, report each violation as required to assure notification to
Ff A and the appropriate EP A Regional Office.
Certification Regarding Debarment. Suspension. and Other Responsibility Matters
1. By signing and submitting this Contract, the Contractor is providing the signed
certification set out below .
2. The certification in this clause is a material representation of fact upon which reliance was
placed when this transaction was entered into. If it is later determined that the Contractor
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knowingly rendered an erroneous certification, in addition to other remedies available to the
Federal Government, Recipient may pursue available remedies, including suspension and/or
debarment.
3. The Contractor shall provide immediate written notice to Recipient if at any time the
Contractor learns that its certification was erroneous when submitted or has become erroneous by
reason of changed circumstances.
4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered
transaction," "participant," "persons," "lower tier covered transaction," "principal," "proposal,"
and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions
and Coverage sections of rules implementing Executive Order 12549 [49 CFR Part 29].
Contractor may contact Recipient for assistance in obtaining a copy of those regulations,
5. The Contractor agrees by submitting this proposal or entering into this Contract that, should the
proposed covered transaction be entered into, it shall not knowingly enter into any lower tier
covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily
excluded from participation in this covered transaction, unless authorized in writing by Recipient.
6. The Contractor further agrees by submitting this proposal or entering into this Contract that it
will include the clauses 10 and 11, below, without modification, in all lower tier covered
transactions and in all solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective participant
in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily
excluded from the covered transaction, unless it knows that the certification is erroneous. A
participant may decide the method and frequency by which it determines the eligibility of its
principals. Each participant may, but is not required to, check the Nonprocurement List issued by
U.S, General Service Administration.
8. Nothing contained in the foregoing shall be construed to require establislunent of system of
records in order to render in good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that which is normally possessed by a
prudent person in the ordinary course of business dealings.
9. Except for transactions authorized under Paragraph 5 of these instructions, if a participant in a
covered transaction knowingly enters into a lower tier covered transaction with a person who is
suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in
addition to all remedies available to the Federal Government, Recipient may pursue available
remedies including suspension and/or debarment.
10. The prospective lower tier participant certifies, by submission of this bid or proposal, that
neither it nor its "principals" [as defined at 49 C.F.R. ~ 29.10S(p)] is presently debarred,
suspended, proposed for debarment, declared ineligible, or voluntarily excluded from
participation in this transaction by any Federal department or agency.
11. When the prospective lower tier participant is unable to certify to the statements in this
certification, such prospective participant shall attach an explanation to this proposal.
Byrd Anti-Lobbying Amendment, 31 U.S.C. 1352, as amended by the Lobbying Disclosure
Act of 1995, P.L. 104-65 [to be codified at 2 U.S.C. ~ 1601, et seq.]
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49 CFR PART 20--CERTIFICATION REGARDING LOBBYING
The undersigned Contractor certifies, to the best of his or her knowledge and belief, that:
(I) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee of an
agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member
of Congress in connection with the awarding of any Federal contract, the making of any Federal
grant, the making of any Federal loan, the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or modification of any Federal contract, grant,
loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any
person for making lobbying contacts to an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall
complete and submit Standard Form--LLL, "Disclosure Form to Report Lobbying," in accordance
with its instructions [as amended by "Government wide Guidance for New Restrictions on
Lobbying," 61 Fed. Reg. 1413 (1/19/96). Note: Language in paragraph (2) herein has been
modified in accordance with Section 10 of the Lobbying Disclosure Act of 1995 (P.L. 104-65, to
be codified at 2 U.S.c. 1601, et seq .)]
(3) The undersigned shall require that the language of this certification be included in the award
documents for all subawards at all tiers (including subcontracts, sub grants , and contracts under
grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose
accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by 31, U.S.C. ~ 1352 (as amended by the Lobbying
Disclosure Act of 1995). Any person who fails to file the required certification shall be subject to
a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
(Note: Pursuant to 31 D.S.C..~ 1352(c)(I)-(2)(A), any person who makes a prohibited
expenditure or fails to file or amend a required certification or disclosure form shall be subject to
a civil penalty of not less than $10,000 and not more than $100,000 for each such expenditure or
failure.]
The Contractor, , certifies or affirms the truthfulness and accuracy of each
statement of its certification and disclosure, if any. In addition, the Contractor understands and
agrees that the provisions of 31 D.S.C. A 3801, et seq., apply to this certification and disclosure,
if any.
Signature of Contractor's Authorized Official
Name and Title of Contractor's Authorized Official
Date
Buy America (construction and manufactured products)
The Contractor agrees to comply with 49 U.S.C. 53230) and 49 CFR Part 661, which provide that
Federal funds may not be obligated unless steel, iron, and manufactured products used in FTA-
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funded projects are produced in the United States, unless a waiver has been granted by FT A or
the product is subject to a general waiver. General waivers are listed in 49 CFR 661.7, and
include final assembly in the United States for 15 passenger vans and 15 passenger wagons
produced by Chrysler Corporation, microcomputer equipment, software, and small purchases
(currently less than $100,000) made with capital, operating, or planning funds. Separate
requirements for rolling stock are set out at 5323(j)(2)(C) and 49 CFR 661.11. Rolling stock not
subject to a general waiver must be manufactured in the United States and have a 60 percent
domestic content.
A bidder or offeror must submit to the FT A recipient the appropriate Buy America certification
(below) with all bids on FT A-funded contracts, except those subject to a general waiver. Bids or
offers that are not accompanied by a completed Buy America certification must be rejected as
nonresponsive. This requirement does not apply to lower tier subcontractors.
Certification requirement for procurement of steel, iron, or manufactured products.
Certificate of Compliance with 49 Us.e. 53230)(1)
The bidder or offeror hereby certifies that it will meet the requirements of 49 U.S.c. 5323(j)(1)
and the applicable regulations in 49 CFR Part 661.
Date
Signature
Company Name
Title
Certificate of Non-Compliance with 49 Us.e. 5323(j)(1)
The bidder or offeror hereby certifies that it cannot comply with the requirements of 49 U.S.c.
5323G)(1), but it may qualify ~or an exception pursuant to 49 U.S.c. 5323G)(2)(B) or (j)(2)(O)
and the regulations in 49 CFR 661.7.
Date
Signature
Company Name
Title
Seismic Safety - The Contractor agrees that any new building or addition to an existing building
will be designed and constructed in accordance with the standards for Seismic Safety required in
Department of Transportation Seismic Safety Regulations 49 CFR Part 41 and will certify to
compliance to the extent required by the regulation. The Contractor also agrees to ensure that all
work performed under this contract including work performed by a subcontractor is in
compliance with the standards required by the Seismic Safety Regulations and the certification of
compliance issued on the project.
Bid Bond Requirements (IFB for Construction Contracts)
(a) Bid Security
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A Bid Bond must be issued by a fully qualified surety company acceptable to Recipient and listed
as a company currently authorized under 31 CFR, Part 223 as possessing a Certificate of
Authority as described thereunder.
(b) Rights Reserved
In submitting this Bid, it is understood and agreed by bidder that the right is reserved by
Recipient to reject any and all bids, or part of any bid, and it is agreed that the Bid may not be
withdrawn for a period of ninety (90) days subsequent to the opening of bids, without the written
consent of Recipient.
It is also understood and agreed that if the undersigned bidder should withdraw any part or all of
his bid within ninety (90) days after the bid opening without the written consent of Recipient,
shall refuse or be unable to enter into this Contract, as provided above, or refuse or be unable to
furnish adequate and acceptable Performance Bonds and Labor and Material Payments Bonds, as
provided above, or refuse or be unable to furnish adequate and acceptable insurance, as provided
above, he shall forfeit his bid security to the extent of Recipient's damages occasioned by such
withdrawal, or refusal, or inability to enter into an agreement, or provide adequate security
therefor.
It is further understood and agreed that to the extent the defaulting bidder's Bid Bond, Certified
Check, Cashier's Check, Treasurer's Check, and/or Official Bank Check (excluding any income
generated thereby which has been retained by Recipient) shall prove inadequate to fully
recompense Recipient for the damages occasioned by default, then the undersigned bidder agrees
to indemnify Recipient and pay over to Recipient the difference between the bid security and
Recipient's total damages, so as to make Recipient whole.
The undersigned understands that any material alteration of any of the above or any of the
material contained on this form, other than that requested, will render the bid unresponsive.
Performance and Payment Bonding Requirements (Construction Contracts)
The Contractor shall be required to obtain performance and payment bonds as follows:
(a) Performance bonds
1. The penal amount of performance bonds shall be 100 percent of the original contract price,
unless the Recipient determines that a lesser amount would be adequate for the protection of the
Recipient.
2. The Recipient may require additional performance bond protection when a contract price is
increased. The increase in protection shall generally equal 100 percent of the increase in contract
price. The Recipient may secure additional protection by directing the Contractor to increase the
penal amount of the existing bond or to obtain an additional bond.
(b) Payment bonds
1. The penal amount of the payment bonds shall equal 100 percent of the contract price, unless
the Recipient determines that a lesser amount would be adequate for the protection of the
Recipient.
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2. The Recipient may require additional payment bond protection when a contract price is
increased. The increase in protection shall generally equal 100 percent of the increase in contract
price. The Recipient may secure additional protection by directing the Contractor to increase the
penal amount of the existing bond or to obtain an additional bond.
Performance and Payment Bonding Requirements (Non-Construction Contracts)
The Contractor may be required to obtain performance and payment bonds when necessary to
protect the Recipient's interest. If the Recipient requires such bonding after execution of the
Contract, then Recipient will pay the reasonable cost of the bond premium.
(a) The following situations may warrant a performance bond:
I. Recipient property or funds are to be provided to the Contractor for use in performing the
contract or as partial compensation (as in retention of salvaged material).
2. A contractor sells assets to or merges with another concern, and the Recipient, after
recognizing the latter concern as the successor in interest, desires assurance that it is financially
capable.
3. Substantial progress payments are made before delivery of end items starts.
4. Contracts are for dismantling, demolition, or removal of improvements.
(b) When it is determined that a performance bond is required, the Contractor shall be required to
obtain performance bonds as follows:
I. The penal amount of performance bonds shall be 100 percent of the original contract price,
unless the Recipient determines that a lesser amount would be adequate for the protection of the
Recipient.
2. The Recipient may require additional performance bond protection when a contract price is
increased. The increase in protection shall generally equal 100 percent of the increase in contract
price. The Recipient may secure additional protection by directing the Contractor to increase the
penal amount of the existing bond or to obtain an additional bond.
(c) A payment bond is required only when a performance bond is required, and if the use of
payment bond is in the Recipient's interest.
(d) When it is determined that a payment bond is required, the Contractor shall be required to
obtain payment bonds as follows:
I. The penal amount of payment bonds shall equal:
(i) Fifty percent of the contract price if the contract price is not more than $1 million;
(ii) Forty percent of the contract price if the contract price is more than $1 million but not more
than $5 million; or
(iii) Two and one half million if the contract price is increased.
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Advance Payment Bonding Requirements
The Contractor may be required to obtain an advance payment bond if the contract contains an
advance payment provision and a performance bond is not furnished. The Recipient shall
determine the amount of the advance payment bond necessary to protect the Recipient. If the
Recipient requires such bonding after execution of the Contract, then Recipient will pay the
reasonable cost of the bond premium.
Patent Infringement Bonding Requirements (Patent Indemnity)
The Contractor may be required to obtain a patent indemnity bond if a performance bond is not
furnished and the financial responsibility of the Contractor is unknown or doubtful. The Recipient
shall determine the amount of the patent indemnity to protect the Recipient. If the Recipient
requires such bonding after execution of the Contract, then Recipient will pay the reasonable cost
of the bond premium.
Warranty of the Work and Maintenance Bonds (Construction Contracts)
1. The Contractor warrants to Recipient, the Architect and/or Engineer that all materials and
equipment furnished under this Contract will be of highest quality and new unless otherwise
specified by Recipient, free from faults and defects and in conformance with the Contract
Documents. All work not so conforming to these standards shall be considered defective. If
required by the Recipient, the Contractor shall furnish satisfactory evidence as to the kind and
quality of materials and equipment.
2. The Work furnished must be of first quality and the workmanship must be the best obtainable
in the various trades. The Work must be of safe, substantial and durable construction in all
respects. The Contractor hereby guarantees the Work against defective materials or faulty
workmanship for a minimum period of one (1) year after Final Payment by Recipient and shall
replace or repair any defective materials or equipment or faulty workmanship during the period of
the guarantee at no cost to Recipient. As additional security for these guarantees, the Contractor
shall, prior to the release of Final Payment, furnish separate Maintenance (or Guarantee) Bonds in
form acceptable to Recipient written by the same corporate surety that provides the Performance
Bond and Labor and Material Payment Bond for this Contract. These bonds shall secure the
Contractor's obligation to replace or repair defective materials and faulty workmanship for a
minimum period of one (1) year after Final Payment and shall be written in an amount equal to
ONE HUNDRED PERCENT (100%) of the CONTRACT SUM, as adjusted (if at all).
Davis-Bacon Act
(l) Minimum wages - (i) All laborers and mechanics employed or working upon the site of the
work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the
construction or development of the project), will be paid unconditionally and not less often than
once a week, and without subsequent deduction or rebate on any account (except such payroll
deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland
Act (29 CFR part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalents
thereof) due at time of payment computed at rates not less than those contained in the wage
determination of the Secretary of Labor which is attached hereto and made a part hereof,
regardless of any contractual relationship which may be alleged to exist between the Contractor
and such laborers and mechanics.
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Contributions made or costs reasonably anticipated for bona fide fringe benefits under section
1 (b )(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to
such laborers or mechanics, subject to the provisions of paragraph (l )(iv) of this section; also,
regular contributions made or costs incurred for more than a weekly period (but not less often
than quarterly) under plans, funds, or programs which cover the particular weekly period, are
deemed to be constructively made or incurred during such weekly period. Such laborers and
mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination
for the classification of work actually performed, without regard to skill, except as provided in 29
CFR Part 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 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.
(ii) 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.
(iii) 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.
(iv)(A) 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:
(1) The work to be performed by-the classification requested is not performed by a classification
in the wage determination; and
(2) The classification is utilized in the area by the construction industry; and
(3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable
relationship to the wage rates contained in the wage determination.
(B) 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, Washington, DC 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.
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(C) In the event the Contractor, the 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 with 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.
(D) The wage rate (including fringe benefits where appropriate) determined pursuant to
paragraphs (1 )(iv) (B) or (C) of this section, 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.
(2) Withholding - 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 the
Contractor under this contract or any other Federal contract with the same prime Contractor, or
any other federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which
is held by the same prime contractor, so much of the accrued payments or advances as may be
considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers,
employed by the Contractor or any subcontractor the full amount of wages required by the
contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee,
or helper, employed or working on the site of the work (or under the United States Housing Act
of 1937 or under the Housing Act of 1949 in the construction or development of the project), all
or part of the wages required by the contract, the Recipient 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 - (i) 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 CFR 5.5(a)(1)(iv) that the wages of any laborer or
mechanic include the amount of any costs reasonably anticipated in providing benefits under a
plan or program described in section 1(b)(2)(B) of the Davis-Bacon Act, the Contractor shall
maintain records which show that the commitment to provide such benefits is enforceable, that
the plan or program is financially responsible, and that the plan or program has been
communicated in writing to the laborers or mechanics affected, and records which show the costs
anticipated or the actual cost incurred in providing such benefits. Contractors employing
apprentices or trainees under approved programs shall maintain written evidence of the
registration of apprenticeship programs and certification of trainee programs, the registration of
the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs.
(ii)(A) The Contractor shall submit weekly for each week in which any contract work is
performed a copy of all payrolls to the Recipient for transmission to the Federal Transit
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Administration. The payrolls submitted shall set out accurately and completely all of the
information required to be maintained under 29 CFR part 5. This information may be submitted
in any form desired. Optional Form WH-347 is available for this purpose and may be purchased
from the Superintendent of Documents (Federal Stock Number 029-005-00014-1), U.S.
Government Printing Office, Washington, DC 20402. The prime contractor is responsible for the
submission of copies of payrolls by all subcontractors.
(B) 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:
(1) That the payroll for the payroll period contains the information required to be maintained
under 29 CFR part 5 and that such information is correct and complete;
(2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on
the contract during the payroll period has been paid the full weekly wages earned, without rebate,
either directly or indirectly, and that no deductions have been made either directly or indirectly
from the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR
part 3;
(3) 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.
(C) The weekly submission of a properly executed certification set forth on the reverse side of
Optional Form WH-347 shall satisfy the requirement for submission of the "Statement of
Compliance" required by paragraph (3)(ii)(B) of this section.
(0) The falsification of any of the above certifications may subject the Contractor or
subcontractor to civil or criminal prosecution under section 1001 of title 18 and section 231 of
title 31 of the United States Code.
(iii) The Contractor or subcontractor shall make the records required under paragraph (3)(i) of
this section available for inspection, copying, or transcription by authorized representatives of the
Federal Transit Administration or.the Department of Labor, and shall permit such representatives
to interview employees during working hours on the job. If the Contractor or subcontractor fails
to submit the required records or to make them available, the Federal agency may, after written
notice to the Contractor, sponsor, applicant, or owner, take such action as may be necessary to
cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure
to submit the required records upon request or to make such records available may be grounds for
debarment action pursuant to 29 CFR 5.12.
(4) Apprentices and trainees - (i) 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 employment as an apprentice. The allowable ratio of apprentices to
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journeymen on the job site in any craft classification shall not be greater than the ratio permitted
to the Contractor as to the entire work force under the registered program. Any worker listed on a
payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above,
shall be paid not less than the applicable wage rate on the wage determination for the
classification of work actually performed. In addition, any apprentice performing work on the job
site in excess of the ratio permitted under the registered program shall be paid not less than the
applicable wage rate on the wage determination for the work actually performed. Where a
Contractor is performing construction on a project in a locality other than that in which its
program is registered, the ratios and wage rates (expressed in percentages of the journeyman's
hourly rate) specified in the contractor's or subcontractor's registered program shall be observed.
Every apprentice must be paid at not less than the rate specified in the registered program for the
apprentice's level of progress, expressed as a percentage of the journeymen 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 of the Wage and Hour
Division of the U.S. Department of Labor determines that a different practice prevails for the
applicable apprentice classification, fringes shall be paid in accordance with that determination.
In the event the Bureau of Apprenticeship and Training, or a State Apprenticeship Agency
recognized by the Bureau, withdraws approval of an apprenticeship program, the Contractor will
no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the
work performed until an acceptable program is approved.
(ii) Trainees - Except as provided in 29 CFR 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 journeymari 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.
(iii) 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 CFR part 30.
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(5) Compliance with Copeland Act requirements - The Contractor shall comply with the
requirements of 29 CFR part 3, which are incorporated by reference in this contract.
(6) Subcontracts - The Contractor or subcontractor shall insert in any subcontracts the clauses
contained in 29 CFR 5.5(a)(1) through (10) and such other clauses as the Federal Transit
Administration may by appropriate instructions require, and also a clause requiring the
subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall
be responsible for the compliance by any subcontractor or lower tier subcontractor with all the
contract clauses in 29 CFR 5.5.
(7) Contract termination: debarment - A breach of the contract clauses in 29 CFR 5.5 may be
grounds for termination of the contract, and for debarment as a contractor and a subcontractor as
provided in 29 CFR 5.12.
(8) Compliance with Davis-Bacon and Related Act requirements - All rulings and
interpretations of the Davis-Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are
herein incorporated by reference in this contract.
(9) 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
CFR parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the
Contractor (or any of its subcontractors) and the contracting agency, the U.S. Department of
Labor, or the employees or their representatives.
(10) Certification of eligibility - (i) By entering into this contract, the Contractor certifies that
neither it (nor he or she) nor any person or firm who has an interest in the contractor's firm is a
person or firm ineligible to be awarded Government contracts by virtue of section 3(a) of the
Davis-Bacon Act or 29 CFR 5.12(a)(1).
(ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a
Government contract by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).
(iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C.
1001.
Record Retention/Access to Records - The Contractor agrees that it will maintain all data,
documents, reports, records, contracts, and supporting materials relating to this Contract and the
performance of its obligations under this Contract. The Contractor agrees to maintain all books,
records, accounts and reports required under this contract for a period of not less than three years
after the date of termination or expiration of this contract, except in the event of litigation or
settlement of claims arising from the performance of this contract, in which case Contractor
agrees to maintain same until the Recipient, the FT A Administrator, the Comptroller General, or
any of their duly authorized representatives, have disposed of all such litigation, appeals, claims
or exceptions related thereto. Reference 49 CFR 18.39(i)(1l). Contractor agrees to provide the
Recipient, the FTA Administrator, the Comptroller General of the Unites States or any of their
authorized representatives access to any books, documents, papers and records of the Contractor
which are directly pertinent to this contract for the purposes of making audits, examinations,
excerpts and transcriptions. Contractor also agrees to provide the FT A Administrator or his
authorized representatives including any PMO Contractor access to Contractor's records and
construction sites pertaining to a major capital project, defined at 49 U.S.C. 5302(a)l, which is
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receiving federal financial assistance through the programs described at 49 U.S.c. 5307, 5309 or
5311. The Contractor agree to permit any of the foregoing parties to reproduce by any means
whatsoever or to copy excerpts and transcriptions as reasonably needed.
3. In connection with the performance by Contractor of work or services within the scope
of this Agreement, Contractor agrees to comply with the following requirements, and to
include these requirements in all subcontracts in excess of $10,000 (except those contracts
with nonprofit organizations and institutions of higher education):
Termination
a. Termination for Convenience (General Provision) The Recipient may terminate this
contract, in whole or in part, at any time by written notice to the Contractor when it is in the
government's best interest. The Contractor shall be paid its costs, including contract close-out
costs, and profit on work performed up to the time of termination. The Contractor shall promptly
submit its termination claim to Recipient to be paid the Contractor. If the Contractor has any
property in its possession belonging to the Recipient, the Contractor will account for the same,
and dispose of it in the manner the Recipient directs.
b. Termination for Default [Breach or Cause] (General Provision) If the Contractor does not
deliver supplies in accordance with the contract delivery schedule, or, if the contract is for
services, the Contractor fails to perform in the manner called for in the contract, or if the
Contractor fails to comply with any other provisions of the contract, the Recipient may terminate
this contract for default. Termination shall be effected by serving a notice of termination on the
Contractor setting forth the manner in which the Contractor is in default. The Contractor will only
be paid the contract price for supplies delivered and accepted, or services performed in
accordance with the manner of performance set forth in the contract.
If it is later determined by the Recipient that the Contractor had an excusable reason for not
performing, such as a strike, fire, or flood, events which are not the fault of or are beyond the
control of the Contractor, the Recipient, after setting up a new delivery of performance schedule,
may allow the Contractor to' continue work, or treat the termination as a termination for
convemence.
c. Opportunity to Cure (General Provision) The Recipient in its sole discretion may, in the
case of a termination for breach .or default, allow the Contractor 30 days in which to cure the
defect. In such case, the notice of termination will state the time period in which cure is permitted
and other appropriate conditions
If Contractor fails to remedy to Recipient's satisfaction the breach or default or any of the terms,
covenants, or conditions of this Contract within 30 days after receipt by Contractor or written
notice from Recipient setting forth the nature of said breach or default, Recipient shall have the
right to terminate the Contract without any further obligation to Contractor. Any such termination
for default shall not in any way operate to preclude Recipient from also pursuing all available
remedies against Contractor and its sureties for said breach or default.
d. Waiver of Remedies for any Breach In the event that Recipient elects to waive its remedies
for any breach by Contractor of any covenant, term or condition of this Contract, such waiver by
Recipient shall not limit Recipient's remedies for any succeeding breach of that or of any other
term, covenant, or condition of this Contract.
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e. Termination for Convenience (Professional Service Contracts) The Recipient, by written
notice, may terminate this contract, in whole or in part, when it is in the government's interest. If
this contract is terminated, the Recipient shall be liable only for payment under the payment
provisions of this contract for services rendered before the effective date of termination.
f. Termination for Default (Supplies and Service) If the Contractor fails to deliver supplies or
to perform the services within the time specified in this contract or any extension or if the
Contractor fails to comply with any other provisions of this contract, the Recipient may terminate
this contract for default. The Recipient shall terminate by delivering to the Contractor a Notice of
Termination specifying the nature of the default. The Contractor will only be paid the contract
price for supplies delivered and accepted, or services performed in accordance with the manner or
performance set forth in this contract.
If, after termination for failure to fulfill contract obligations, it is determined that the Contractor
was not in default, the rights and obligations of the parties shall be the same as if the termination
had been issued for the convenience of the Recipient.
g. Termination for Default (Transportation Services) If the Contractor fails to pick up the
commodities or to perform the services, including delivery services, within the time specified in
this contract or any extension or if the Contractor fails to comply with any other provisions of this
contract, the Recipient may terminate this contract for default. The Recipient shall terminate by
delivering to the Contractor a Notice of Termination specifying the nature of default. The
Contractor will only be paid the contract price for services performed in accordance with the
manner of performance set forth in this contract.
If this contract is terminated while the Contractor has possession of Recipient goods, the
Contractor shall, upon direction of the Recipient, protect and preserve the goods until surrendered
to the Recipient or its agent. The Contractor and Recipient shall agree on payment for the
preservation and protection of goods. Failure to agree on an amount will be resolved under the
Dispute clause.
If, after termination for failure to fulfill contract obligations, it is determined that the Contractor
was not in default, the rights and obligations of the parties shall be the same as if the termination
had been issued for the convenience of the Recipient.
h. Termination for Default (Construction) If the Contractor refuses or fails to prosecute the
work or any separable part, with the diligence that will insure its completion within the time
specified in this contract or any extension or fails to complete the work within this time, or if the
Contractor fails to comply with any other provisions of this contract, the Recipient may terminate
this contract for default. The Recipient shall terminate by delivering to the Contractor a Notice of
Termination specifying the nature of the default. In this event, the Recipient may take over the
work and compete it by contract or otherwise, and may take possession of and use any materials,
appliances, and plant on the work site necessary for completing the work. The Contractor and its
sureties shall be liable for any damage to the Recipient resulting from the Contractor's refusal or
failure to complete the work within specified time, whether or not the Contractor's right to
proceed with the work is terminated. This liability includes any increased costs incurred by the
Recipient in completing the work.
The Contractor's right to proceed shall not be terminated nor the Contractor charged with
damages under this clause if-
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I. the delay in completing the work arises from unforeseeable causes beyond the control and
without the fault or negligence of the Contractor. Examples of such causes include: acts of God,
acts of the Recipient, acts of another Contractor in the performance of a contract with the
Recipient, epidemics, quarantine restrictions, strikes, freight embargoes; and
2. the Contractor, within 4 days from the beginning of any delay, notifies the Recipient in writing
of the causes of delay. If in the judgment of the Recipient, the delay is excusable, the time for
completing the work shall be extended. The judgment of the Recipient shall be final and
conclusive on the parties.
If, after termination of the Contractor's right to proceed, it is determined that the Contractor was
not in default, or that the delay was excusable, the rights and obligations of the parties will be the
same as if the termination had been issued for the convenience of the Recipient.
i. Termination for Convenience or Default (Architect and Engineering) The Recipient may
terminate this contract in whole or in part, for the Recipient's convenience or because of the
failure of the Contractor to fulfill the contract obligations. The Recipient shall terminate by
delivering to the Contractor a Notice of Termination specifying the nature, extent, and effective
date of the termination. Upon receipt of the notice, the Contractor shall (1) immediately
discontinue all services affected (unless the notice directs otherwise), and (2) deliver to the
Contracting Officer all data, drawings, specifications, reports, estimates, summaries, and other
information and materials accumulated in performing this contract, whether completed or in
process.
If the termination is for the convenience of the Recipient, the Contracting Officer shall make an
equitable adjustment in the contract price but shall allow no anticipated profit on unperformed
ServIces.
If the termination is for failure of the Contractor to fulfill the contract obligations, the Recipient
may complete the work by contract or otherwise and the Contractor shall be liable for any
additional cost incurred by the Recipient.
If, after termination for failure to fulfill contract obligations, it is determined that the Contractor
was not in default, the rights and obligations of the parties shall be the same as if the termination
had been issued for the convenience of the Recipient.
j. Termination for Convenience or Default (Cost-Type Contracts) The Recipient may
terminate this contract, or any portion of it, by serving a notice or termination on the Contractor.
The notice shall state whether the termination is for convenience of the Recipient or for the
default of the Contractor. If the termination is for default, the notice shall state the manner in
which the Contractor has failed to perform the requirements of the contract. The Contractor shall
account for any property in its possession paid for from funds received from the Recipient, or
property supplied to the Contractor by the Recipient. If the termination is for default, the
Recipient may fix the fee, if the contract provides for a fee, to be paid the Contractor in
proportion to the value, if any, of work performed up to the time of termination. The Contractor
shall promptly submit its termination claim to the Recipient and the parties shall negotiate the
termination settlement to be paid the Contractor.
If the termination is for the convenience of the Recipient, the Contractor shall be paid its contract
close-out costs, and a fee, if the contract provided for payment of a fee, in proportion to the work
performed up to the time of termination.
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If, after serving a notice of termination for default, the Recipient determines that the Contractor
has an excusable reason for not performing, such as strike, fire, flood, events which are not the
fault of and are beyond the control of the Contractor, the Recipient, after setting up a new work
schedule, may allow the Contractor to continue work, or treat the termination as a termination for
convemence.
4. In connection with the performance by Contractor of work or services within the scope
of this Agreement, Contractor agrees to comply with the following provisions, which need
not be included in subcontracts:
Dispute Resolution
Disputes - Disputes ansmg in the performance of this Contract which are not resolved by
agreement of the parties shall be decided in writing by the authorized representative of
Recipient's Contract Officer. This decision shall be final and conclusive unless within ten (l0)
days from the date of receipt of its copy, the Contractor mails or otherwise furnishes a written
appeal to the General Manager. In connection with any such appeal, the Contractor shall be
afforded an opportunity to be heard and to offer evidence in support of its position. The decision
of the General Manager shall be binding upon the Contractor and the Contractor shall abide be
the decision. In the event that the decision of the General Manager is contrary to law or violates
the terms of the Contract, Contractor may pursue such remedy or relief as may be available for
breach of Contract.
Performance During Dispute - Unless otherwise directed by Recipient, Contractor shall
continue performance under this Contract while matters in dispute are being resolved.
Claims for Damages - Should either party to the Contract suffer injury or damage to person or
property because of any act or omission of the party or of any of his employees, agents or others
for whose acts he is legally liable, a claim for damages therefor shall be made in writing to such
other party within a reasonable time after the fIrst observance of such injury of damage.
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Remedies - Unless this contract provides otherwise, all claims, counterclaims, disputes and other
matters in question between the Recipient and the Contractor arising out of or relating to this
agreement or its breach will be decided by arbitration if the parties mutually agree, or in a court
of competent jurisdiction within the State in which the Recipient is located.
Rights and Remedies - The duties and obligations imposed by the Contract Documents and the
rights and remedies available thereunder shall be in addition to and not a limitation of any duties,
obligations, rights and remedies otherwise imposed or available by law. No action or failure to
act by the Recipient, Architect or Contractor shall constitute a waiver of any right or duty
afforded any of them under the Contract, nor shall any such action or failure to act constitute an
approval of or acquiescence in any breach thereunder, except as may be specifically agreed in
writing.
Indemnity - The Contractor shall, to the extent permitted by law:
Protect, indemnify and save the Recipient and its officers, employees and agents,
including consultants, harmless from and against any and all liabilities, damages, claims,
demands, liens, encumbrances, judgments, awards, losses, costs, expenses, and suits or actions or
proceedings, including reasonable expenses, costs and attorney fees incurred by the Recipient and
its officers, employees and agents, including consultants, in the defense, settlement or satisfaction
thereof, for any injury, death, loss or damage to persons or property of any kind whatsoever,
arising out of, or resulting from, the negligent acts, errors or omissions of the Contractor,
including negligent acts, errors or omissions of its officers, employees, servants, agents,
subcontractors and suppliers; and
Upon receipt of notice and if given authority, shall settle at its own expense or undertake
at its own expense the defense of any such suit, action or proceeding including appeals, against
the Recipient and its officers, employees and agents, including consultants, relating to such
injury, death, loss or damage. Each party shall promptly notify the other in writing of the notice
or assertion of any claim, demand, lien, encumbrance, judgment, award, suit, action or other
proceeding hereunder. The Contractor shall have sole charge and direction of the defense of such
suit, action or proceeding. The Recipient shall not make any admission which might be
materially prejudicial to the contractor unless the contractor has failed to take over the conduct of
any negotiations or defense within a reasonable time after receipt of the notice and authority
above provided. The Recipient shall at the request of the Contractor furnish to the Contractor all
reasonable assistance that may be necessary for the purpose of defending such suit, action or
proceeding, and shall be repaid all reasonable costs incurred in doing so. The Recipient shall
have the right to be represented therein by the advisory counsel of its own selection at its own
expense.
The obligations of the Contractor under the above paragraph shall not extend to circumstances
where the injury, or death, or damages is caused solely by the negligent acts, errors or omissions
of the Recipient, its officers, employees, agents or consultants, including negligence in (1) the
preparation of the Contract documents, or (2) the giving of directions or instructions with respect
to preparation ofthe Contract by written order. The obligations ofthe Contractor shall not extend
to circumstances where the injury, or death, or damages is caused, in whole or in part, by the
negligence of any third party operator, not including an assignee or subcontractor of the
Contractor, subject to the right of contributions as provided in the next sentence below. In case of
joint or concurrent negligence of the parties hereto giving rise to a claim or loss against either one
or both, each shall have full rights of contribution from the other.
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