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Res 1406 - Agrmt "Small City" COUNCIL BILL NO. 1785 RESOLUTION NO. H06 A RESOLUTION ENTERING INTO AN AGREEMENT WITH THE STATE OF OREGON, DEPARTMENT OF TRANSPORTATION KNOWN AS THE "SMALL CITY OPERATING AGREEMENT" FOR FISCAL YEAR 1996-97 AND AUTHORIZING THE MAYOR AND THE CITY RECORDER TO SIGN SUCH AGREEMENT. WHEREAS, the State of Oregon acting through the Oregon Transportation Commission is authorized to enter into agreements and disburse funds for the purpose of supporting public transportation pursuant to ORS 184.670 to 184.733, and WHEREAS, the City of Woodburn has applied for operating assistance funds for Fiscal Year 1996-97 under Title 49, United States Code, Section 5311 of the Federal Transit Laws, and WHEREAS, the State of Oregon, Department of Transportation, has been designated to evaluate and select recipients of assistance and to coordinate grant application, and WHEREAS, the State of Oregon Department of Transportation, has approved the city application for $16,700 from such funds, NOW THEREFORE; THE CITY OF WOODBURN RESOLVES AS FOLLOWS: Section 1. That the City of Woodburn enter into an agreement with the State of Oregon acting by and through its Department of Transportation to secure Federal funds through Title 49, United States Code, Section 5311 of the Federal Transit Laws, for operating assistance during fiscal year 1996-97. Said agreement is attached hereto and by this reference incorporated herein. Section 2. That the Mayor and City Recorder of the City of Woodburn be authorized to sign said agreement on behalf of the City. APprovedastofor~~ ~ -:$-- ~o~ 11- City Attorney Date Page 1 - COUNCIL BILL NO. U~5 RESOLUTION NO. 6 .'" ~-''''''''--Y--'"------'---'---"-"'''''-- --...-...,---,," Passed by the Council Submitted to the Mayor Approved by the Mayor March 24, 1997 March 25, 1997 March 25, 1997 March 25, 1997 Filed in the Office of the Recorder ATTEST: Page 2 - COUNCIL BILL NO. 1785 RESOLUTION NO. 1406 ~' ,.. '''T' '>0' -.... .. I 1996-97 SMALL CITY OPERATING AGREEMENT CITY OF WOODBURN THIS AGREEMENT is made and entered into by and between the State of Oregon, acting by and through its Department of Transportation, Public Transit Section, hereinafter referred to as "State" and City of Woodburn hereinafter referred to as "Recipient". Purpose Recipient, having submitted an application which describes the budget and the activities to be conducted, enters into this Agreement with State to secure financial assistance to complete the Operation project as put forth in the Project Description and Budget as shown in Exhibit A. Effective Date and Duration This contract shall become effective on July 1, 1996 (or on the date at which every party has signed this Agreement) and shall expire, unless otherwise terminated or extended on June 30, 1997. The time period stipulated between the beginning date and the end date shall hereinafter be known as the Term of Agreement. Consideration State agrees to pay Recipient a sum not to exceed $16,700 hereinafter to be known as the Agreement Amount, for accomplishment of work and allowable expenses. Compliance State and Recipient agree to comply with applicable obligations, requirements, and provisions as stipulated in Exhibit A and Exhibit 8. Attachments As Marked, Attached Hereto And By This Reference Made A Part Hereof. ~Exhibit A-Project Description and Budget o Special Transportation Discretionary Fund o Section 531 0 ~ Section 5311 ~Exhibit B-Recitals and Obligations, 0Exhibit C-Section 5333 Warranty ~Exhibit D-Disadvantaged Business Enterprise Statement DExhibit E-FY 1996-97 Certifications, and Assurances, for Federal Transit Administration Assistance Programs and Signature Page DExhibit F-FT A Master Agreement [gIExhibit G-Auditor's Information The terms of this Agreement shall not be waived, altered, modified, supplemented, or amended, in any manner whatsoever, except by written instrument signed by the parties. PAGE 1 OF2 , '-,~...-' .... This Agreement is approved by the Manager of the Transportation Development Branch under authority granted from the Oregon Transportation Commission. This authority is set forth in the current Oregon Transportation Commission Delegation Order No.2, which was adopted by the Oregon Transportation Commission on April 12, 1995 and which became effective on May, 1995 Woodburn 270 Montgomery St. Woodburn Oregon 97071 Oregon Department of Transportation Public Transit Section 555 13th St. NE, Salem Oregon 97310 } a/ / ",' >/v ,,/ ~;/:>> / ,'" )-;....--___ V~'7( d _ .~ ..At>i.0 !' Name . ~l )/~~/l Namn ' Title Mayor Date 3/25/97 Tit1erD73 /l;h~ Datti- ;;:' ,? ) f(7,<M ~ RECIPIENT's Legal Counsel Date 3/25/97 ) /11 CM-1 T~,,"~:~-r Name ' Title City Recorder Date 3/25/97 Name Title Date FOR OFFICE USE ONLY Recipient's contact for this Agreement is: State's contact for this Agreement is: Name Telephone Name John PAGE 2 OF 2 ...' .~-.--. ""---'- ,....,--..-.--...- .."'-.-..---..- .... Exhibit A PART I FY 1996-97 CITY OF WOODBURN SMALL CITY OPERATING ASSISTANCE AGREEMENT PROJECT DESCRIPTION I. This a Title 49 Section 5311 Operating Assistance Agreement to sustain the public transportation related activities provided by Recipient. II. Recipient shall submit to State reports in a format as supplied by State. State reserves the right to request such additional information as may be necessary to comply with federal or state reporting requirements. Request for final payment shall include a detailed statement of revenues and expenditures for the project, including documentation of local match contributions. III. Costs incurred in carrying out the project, subject to the grant limitations as shown below, are eligible for reimbursement based on reports submitted by Recipient. The State will reimburse up to eighty (80) percent of Recipient's administration expenses, and up to fifty (50) percent of the net operating deficit of Recipient's project. IV. In the event that the actual cost of the approved project differs from the estimated cost of the project, State and Recipient shall abide by the following: A. Actual Project Cost is Less Than Estimated Project Cost 1. The State will reimburse up to eighty (80) percent of Recipient's administration expenses, and up to fifty (50) percent of the net operating deficit of Recipient's project up to the limit of the grant as set out in the Agreement Amount regardless of project's actual cost. B. Actual Project Cost is More Than Estimated Project Cost 1. Recipients may elect to: a. contribute local money and continue the project. State shall contribute no more than the amount specified as the Agreement Amount; or, b. discontinue the project. V. Recipient shall operate equipment under this Agreement to meet the transportation needs of the clientele identified in Recipient's Application for Assistance. However, the equipment may be made available for use by others A-I .""'.... a__'_, ..---w-. ... .'... ..... as space is available, provided this use does not interfere with use by identified clientele. VI. Recipient shall maintain, in amounts and form satisfactory to State, such insurance or self insurance as will be adequate to protect Recipient, vehicle drivers and assistants, vehicle occupants, and project equipment throughout the period of use. Recipient shall bear the cost of said insurance. At a minimum, this shall include comprehensive and collision insurance adequate to repair or replace project property and equipment in the event it is damaged or destroyed, liability insurance of $10,000 for property damage, $25,000 for bodily injury per person, $50,000 bodily injury per occasion, uninsured motorist protection, and personal injury protection insurance as required by ORS Chapter 806. Recipient shall be responsible for all deductibles or self-insured retentions. Recipient shall include the Oregon Department of Transportation, Public Transit Section, as Additional Insured on the above insurance policies. VII. Recipient shall operate project facilities and/or equipment in a high level of cleanliness, safety, and mechanical soundness. VIII. All drivers of equipment shall have a valid Oregon driver's license and shall have passed a defensive driving course or bus driver's training course. Drivers of equipment designed to carry sixteen (16) or more passengers, including the driver, shall have a valid Commercial Driver's License (CDL). IX. When applicable, State shall provide Recipient with guidelines to assist with the project, as requested by Recipient, including the applicable state and federal rules, regulations, and laws. X. Recipient, in accepting this Agreement, certifys that neither Recipient nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from participating in this Agreement by any state or federal agency or department. XI. Recipient receiving $100,000 or more in Federal funds shall comply with Title 31 U.S.C. Section 1352, which prohibits the use of Federal funds for lobbying any official or employee of any Federal agency, or member or employee of Congress. In addition, even though Recipient uses no Federal funds for lobbying, Recipient shall disclose any lobbying of any official or employee of any Federal agency, or member or employee of Congress in connection with Federal assistance, and to comply with USDOT regulations, "New Restrictions on Lobbying," Title 49 C.F.R. Part 20. A-2 ...' "". '''T''''' .", "".. .. ," Exhibit A PART II FY 1996-97 CITY OF WOODBURN SMALL CITY OPERATION ASSISTANCE AGREEMENT OPERATING GOALS AND BUDGET I. The performance objectives. listed below are repeated from the Recipients application. These objectives are advisory and will not be used as a basis for payment for this Agreement. Operating Goals Service Hours: 5,932 Service Mileage: 87,200 Rides: 45,500 II. The figures listed below reveal the allocation of this grant. Operating Budget Administrative Allocation $ 9,700 Operation Allocation 7,000 Total Allocation $16,700 A-3 .... _, ,.................-.".._..~.._.. ~""'.._._.. '" .....,. .<_ "'",.. ...._.._M__""'"""' ............~_._..~~._~....._...",...."h ~ Exhibit B PART I RECITALS I. The State of Oregon acting through the Oregon Transportation Commission is authorized to enter into agreements and disburse funds for the purpose of supporting public transportation pursuant to ORS 184.670 to 184.733. II. The Governor of the State of Oregon in accordance with a request by the Federal Transit Administration ("FTA") has designated State to evaluate and select projects and to coordinate the grant application. III. State certifies that sufficient funds are available in the State's current budget to finance costs of the contract, provided, however, that continuation of this contract, or any extension, after the end of the fiscal period (June 31, 1997) in which it is written, is contingent upon a new appropriation for the succeeding fiscal period for the purpose of this contract. IV. Title 49 U.S.C. Section 5310 provides capital assistance funding to private, non- profit organizations that meet the special needs of persons who are elderly and disabled where mass transportation services are unavailable, insufficient or inappropriate. V. Title 49 U.S.C. Section 5311 provides for assistance funding in non urbanized areas. VI. Special Transportation Discretionary Fund provides assistance funding to governing bodies that meet the transportation needs of individuals who are elderly and persons with disabilities pursuant to ORS 323.455 and ORS 391.800 through 391.830. VII. This Agreement is based upon and is subject to Oregon Revised Statutes, Oregon Administrative Rules, and when applicable, regulations issued by FTA pursuant to the specific funding source(s) of this Agreement. These laws and regulations are contained in ORS 323.455, ORS 391.800 through 391.830 and FTA Circular 9070.1C. From time to time, these laws, rules and regulations may be amended. State reserves the right to amend this Agreement if it is affected. State will provide thirty (30) days notice of impending changes and will prepare a supplemental agreement incorporating the changes to be executed by the parties to this Agreement. VIII. Information concerning the financial assistance and financial assistance source used to finance this grant is shown in Exhibit G. B-1 --.-...........' ,.._.__.,..~,. "._..,."..._..,....".__....... ,,_,.__..,..,'".._.";_.-",~~_,_.'--__.,..o__ ~ ......c..."'--.----ro-----'--,...--- PART II RECIPIENT OBLIGATIONS I. Recipient shall conduct activities which substantially conform to the description contained in Exhibit A, Project Description and Budget. Recipient shall notify State in writing of changes in these activities. II. Recipient shall request, receive, and disburse funds authorized under this Agreement to conduct and/or complete the project activities approved by the State and the Oregon Transportation Commission as described in Exhibit A, Project Description and Budget. III. Recipient shall permit State, the Secretary of State of Oregon, the Comptroller General of the United States, the Secretary of the United States Department of Transportation, or their authorized representatives, upon reasonable notice, to inspect all vehicles, real property, facilities, equipment purchased by Recipient as part of the project, and/or the transportation' services rendered by Recipient, and/or any subcontractor acting on Recipient's behalf as applicable. Recipient shall permit the above named persons to audit the books, records, and accounts of Recipient relating to the project. IV. Recipient shall maintain all required records for at least three (3) years after State's final payment, final disposition of grant-financed property or equipment, and all other pending matters have been resolved, whichever comes later. V. Recipient shall submit proposed third party agreements relating to provision or operation of transit service to State for review. State shall cQncur, or otherwise respond to Recipient, in writing within thirty (30) working days. VI. Recipient's purchasing documents and contracts financed by this Agreement must contain provision, clauses or conditions relating to the material below. A. Contracts for more than $25,000 should contain provision for administrative, contractual, or legal remedies in instances where contractors violate or breach contract terms. These provisions should provide for such sanctions and penalties as may be appropriate. 8. Contracts for more than $10,000, should contain provision for termination for cause and for convenience by the Recipient including the manner by which it will be effected and the basis for settlement. C. Every public contract (purchases of supplies and equipment, public works contracts, and contracts for personal services) must contain a clause or condition that relates to the material below. B-2 .....~..~ ~-'-y-~-' "..~..- -..." '......~" ,., .. 1. All employers working under the contract are subject employers that will comply with ORS 656.017 this prescribes the means by which employers must "maintain assurance" that their subject workers will receive compensation for compensable injuries under the Workers' Compensation Law. 2. Notice of requirements and regulations pertaining to reporting. 3. Access by the State, Recipient, FT A, the Comptroller General of the United States, or any of their duly authorized representatives to any books, documents, papers, and records of the contractor which are directly pertinent to that specific contract for the purpose of making audit, examination, excerpts, and transcriptions. 4. Retention of all required records for three (3) years after Recipient makes the final payment and all other pending matters are closed. VII. The Recipient specifically agrees that the provisions of ORS 279.312, 279.314, 279.316,279.320 and 279.733 shall govern the performance of this Agreement and any subcontracts entered into under this Agreement. VIII. Recipient shall defend, save and hold harmless the State of Oregon, including the Oregon Transportation Commission, the Department of Transportation, and their members, officers, agents, and employees from all claims, suits, or actions of whatsoever nature resulting from or arising out of the activities of Recipient or its subcontractors, agents or employees under this contract. Recipient shall not be required to indemnify the State for any such liability arising out of the negligent acts or omissions of the State of Oregon, its employees, or representatives. This provision is subject to the limitations, if applicable, set forth in Article XI, Section 10 of the Oregon Constitution and in the Oregon Tort Claims Act, ORS 30.260 to 30.300. IX. Recipient shall make purchases of any equipment, materials, or services pursuant to this Agreement under procedures consistent with Administrative Rules (OAR Chapter 125) for the Oregon Department of Administrative Services and Oregon State Law; and shall complete all purchases of project property or equipment prior to the ending date of this Agreement. X. Recipient shall comply with Title VI of the Civil Rights Act of 1964 (78 Stat 252; 42 USC 2000d) and the regulations of the United States Department of Transportation (49 CFR 21, Subtitle A), issued pursuant thereto. Recipient shall exclude no person on the grounds of race, religion, color, sex, age, national origin, or disability from the benefits of aid received under this Agreement. 8-3 "_~"_' '~'--"'W""""-' .....+._....--.__.........._h..,.,...._.... ,"'~."_,_._,,..~'..._...,.."...'..,;,...".__,'^'''<.,,~,,'~'''~.'_'.,..f._.,~~_._".---.~_~_~, T XI. Recipient shall Comply with FTA regulations in Title 49 C.F.R. 27.9, "Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving or Benefiting from Federal Financial Assistance" which implements the Rehabilitation Act of 1973, as amended, and the Americans with Disabilities Act of 1990, and 49 CFR part 37 and 38. XII. Recipient shall provide transportation services to persons who are elderly and disabled that can be used effectively. Recipient will exclude no person on the basis of a disability from the benefits of aid received under this Agreement, as required in Title 49 C.F.R. Part 27. XIII. Recipient, all subcontractors if an~, and all employers working under this Agreement are subject employers under the Oregon Worker's Compensation Law and shall comply with ORS 656.017, which requires employers to provide worker's compensation coverage for all subject workers. XIV. Recipient shall Comply with FTA "Drug-Free Workplace Requirements", Title 49 C.F.R. 29.630. XV. Recipient will manage and account for funds and property received under this Agreement in accordance with the provisions of Office of Management and Budget Circular A-102, "Uniform Administrative Requirement for Grants-in-Aid to State and Local Governments", Office of Management and Budget Circular A - 87, "Cost Principles for State and Local Governments", and 49 CFR Part 18. XVI. Recipient's officers, employees, or agents shall neither solicit nor accept gratuities, favors, or anything of monetary value from contractors, potential contractors, or parties to subagreements. No member or delegate to the Congress of the United States or State of Oregon employee shall be admitted to any share or part of this Agreement or any benefit arising therefrom. XVII. Recipient will correct any condition which State or FTA believes "creates a serious hazard of death or injury" in accordance with Section 22 of the Federal Transit Act of 1964, as amended. XVIII. This Agreement shall be executed by those officials authorized to execute this agreement on the recipient's behalf. In the event Recipient's governing body delegates signature of the agreement, Recipient shall attach to this Agreement a copy of the motion or resolution which authorizes said officials to execute this Agreement, and shall also certify its authenticity. 8-4 ---y--~"""-~~ .. .., ~ XIX. Audit Requirements. A. Audit. Recipient shall, at Recipient's own expense, submit to the audit agency assigned by the State of Oregon, Executive Department, Accounting Division an annual audit covering the monies expended under this Agreement and shall submit or cause to be submitted, the annual audit of any subcontractor of Recipient responsible for the financial management of funds received under this Agreement. Said audit(s) shall meet the standards for audit set out in ORB Circular A-128, Audits of State and Local Governments or OMB Circular A-133, Audits of Institutions of Higher Education and Nonprofit Organizations. B. Pre-Grant-Award. Recipient shall permit State to conduct at State's own expense a pre-grant-award audit of Recipient's financial and management systems. Such pre-grant-award audit will ensure that Recipient's financial management procedures -comply with the state and federal requirements applicable to this Agreement. Funds available under this Agreement cannot be requested by Recipient until such time as the pre-grant-award audit has been completed. 8-5 ''',_,'''' '~"__'__..~"__"" ..'''_.._..,',. ,_4_'"__''''''_''''''' . PART III STATE'S OBUGA TIONS I. State shall reimburse eligible costs incurred in carrying out the project subject to the grant limitation set out in Exhibit A. Such reimbursement shall not exceed the Agreement Amount. Reimbursement to Recipient shall be made on the basis of a report which shall 'be compiled and submitted to State in the format supplied by State. Said reimbursement may be subject to the satisfactory completion of an audit of this grant. Project funds beyond those required to match this grant shall be considered to be non-participating funds for the purpose of federal-aid matching requirements. II. State reserves the right to withhold payment of funds if all required reporting has not been submitted, or if there are any unresolved audit findings. III. State reserves the right to reallocate any portion of the Agreement Amount which, based upon State's estimates, will not be used during the Term Of Agreement. 8-6 "",.- "-T "....~...",...;..;.._'....,.,_..._"_..."_..,~__".'_"""~.,.,___"'-~~~............w._.._.. . -------,.-- Part IV GENERAL OBLIGATIONS I, State and Recipient agree to comply with any additional provisions, clauses or conditions as shown in Exhibit A. II. This Agreement may be revised or amended by a supplemental written agreement between the parties and executed with the same formalities as this Agreement. III. Termination. A. The State may terminate the project and cancel the agreement in whole or in part whenever: 1. The requisite st~te and/or federal funding becomes unavailable through failure of appropriation or otherwise; or, 2. The requisite local funding to continue this project becomes unavailable to Recipient; or, 3. Federal or State Laws, rules, regulations or guidelines are modified, changed, or interpreted in such a way that the financial assistance or purchase of equipment provided for in the Agreement is no longer allowable or is no longer eligible for funding proposed by this Agreement; or, 4. Both parties agree that continuation of the Project would not produce results commensurate with the further expenditure of funds. B. The State may, by written notice to Recipient, terminate the Project and cancel the agreement for any of the following reasons: 1. Recipient takes any action pertaining to this Agreement without the approval of State and which under the provisions of this Agreement would have required the approval of State; Of, 2. The commencement, prosecution, or timely completion of the Project by Recipient is, for any reason, rendered improbable, impossible, or illegal; or, 8-7 .-" -,-- ...' ---y- 3. Federal or State laws, rules, regulations or guidelines are modified, changed, or interpreted in such a way that the financial assistance provided for in this Agreement is no longer allowable or is no longer eligible for funding proposed by this Agreement; or, 4. Recipient is in default under any provision of this Agreement. 8-8 "'" Exhibit C SPECIAL SECTION 5333 WARRANTY The following language shall be made part of the contract of assistance with the State or other public body charged with allocation and administration of funds provided under 49 U.S.C., Section 5311: A. General Application The Oregon Department of Transportation (State) agrees that, in the absence of waiver by the Department of Labor, the terms and conditions of this warranty, as set forth below, shall apply for the protection of the transportation related employees of any employer providing transportation services assisted by the Project ("Recipient"), and the transportation related employees of any other.. surface public transportation providers in the transportation service area of the project. The State shall provide to the Department of Labor and maintain at all times during the Project an accurate, up-to-date listing of all existing transportation providers which are eligible Recipients of transportation assistance funded by the Project in the transportation service area of the Project, and any labor organizations representing the employees of such providers. Certification by the State to the Department of Labor that the designated Recipients have indicated in writing acceptance of the terms and conditions of the warranty arrangement will be sufficient to permit the flow of Section 5311 funding in the absence of a finding of non-compliance by the Department of Labor. B, Standard Terms and Conditions (1) The Project shall be carried out in such a manner and upon such terms and conditions as will not adversely affect employees of the Recipient and of any other surface public transportation provider in the transportation service area of the Project. It shall be an obligation of the Recipient and any other legally responsible party designated by the State to assure that any and all transportation services assisted by the Project are contracted for and operated in such manner that they do not impair the rights and interests of affected employees, The term "Project." as used herein, shall not be limited to the particular facility, service, or operation assisted by Federal funds, but shall include any changes, whether organizational, operational, technological, or otherwise, which are a result of the assistance provided. The phrase "as a result of the Project" shall when used in this arrangement, include events related to the Project occurring in anticipation of, during, and subsequent to the Project and any program of efficiencies or economies related thereto; provided, however, that volume rises and falls of business, or changes in volume and character of C-1 "'"',~ '--y-"" ", "_"._ ,H"___ ,.~"_." ._, ...", ...,"-_........._-''''---~ (2) (a) (2) (b) employment brought about by causes other than the Project (including any economies or efficiencies unrelated to the Project) are not within the purview of this arrangement. An employee covered by this arrangement, who is not dismissed, displaced or otherwise worsened in this position with regard to his employment as a result of the Project, but who is dismissed, displaced otherwise worsened solely because of the total or partial termination of the Project, discontinuance of Project services, or exhaustion of Project funding shall not be deemed eligible for a dismissal or displacement allowance within the meaning of paragraphs (6) and (7) of the Model agreement or applicable provisions of substitute comparable arrangements. Where employees of a Recipient are represented for collective bargaining purposes, all Project services provided by that Recipient shall be provided under and in accordance with any collective bargaining agreement applicable to such employees which is then in effect. The RECIPIENT or legally responsible party shall provide to all affected employees sixty (60) days' notice of intended actions which may result in displacement or dismissals or rearrangements of the working forces. In the case of employees represented by a union, such notice shall be provided by certified mail through their representatives, The notice shall contain a full and adequate statement of the proposed changes, and an estimate of the number of employees affected by the intended changes. and number and classifications of any jobs in the Recipient's employment available to be filled by such affected employees. (2) (c) The procedures of this subparagraph shall apply to cases where notices involve employees represented by a union for collective bargaining purposes. At the request of either the Recipient or the representatives of such employees negotiations for the purposes of reaching agreement with respect to the application of the terms and conditions of this arrangement shall commence immediately. If no agreement is reached within twenty (20) days from the commencement of negotiations, any party to the dispute may submit the matter to dispute settlement procedures in accordance with paragraph (4) of this warranty. The foregoing procedures shall be complied with and carried out prior to the institution of the intended action. (3) For the purpose of providing the statutorily required protections including those specifically mandated by 49 U.S.C, Section 53111, the State will assure, as a Such protective arrangements shall include, without being limited to. such provisions as may be necessary for (1) the preservation of rights, privileges, and benefits (including continuation of pension rights and C-2 ..... - -"'-i'~--~"--_."-~' condition of the release of funds, that the Recipient agrees to be bound by the terms and conditions of the National (Model) Section 5333 Agreement executed July 23, 1975, identified below2, provided that other comparable arrangements may be substituted therefor, if approved by the Secretary of Labor and certified for inclusion in these conditions. (4) Any dispute or controversy arising regarding the application, interpretation, or enforcement of any of the provisions of this arrangement which cannot be settled by and ,between the parties to any final and binding disputes settlement procedure acceptable to the parties, or in the event they cannot agree upon such procedure, to the Department of Labor or an impartial third party designated by the Department of Labor for final and binding determination. The compensation and expenses of the impartial third party, and any other jointly incurred expenses, shall be borne equally by the parties to the proceeding and all other- expenses shall be paid by the party incurring them. In the event of any dispute as to whether or not a particular employee was affected by the Project, it shall be his obligation to identify the Project and specify the pertinent facts of the Project relied upon. It shall then be the burden of either the Recipient of these conditions to prove that factors other than the Project affected the employees. The claiming employee shall prevail if it is established that the Project had an effect upon the employee even if other factors may also have affected the employee. (5) The Recipient or other lega.lly responsible party designated by the State will be financially responsible for the application of these conditions and will make the necessary arrangements so that any employee covered by these arrangements, or the union representative of such employee, may file claim of violation of these arrangements with the Recipient within sixty (60) days of the date he is terminated or laid off as a result of the Project, or within eighteen (18) months of the date his position with respect to his employment is otherwise worsened as a result of the Project. In the latter case, if the events giving rise to the claim have occurred over an extended period, the 18-month limitation shall be measured from the last such event. No benefits shall be payable for any period prior to six (6) months from the date of the filing of any claim. (6) Nothing in this arrangement shall be construed as depriving any employee of any rights or benefits which such employee may have under existing employment or benefits) under existing collective bargaining agreements or otherwise; (2) the continuation of collective bargaining rights; (3) the protection of individual employees against a worsening of their positions with respect to their employment; (4) assurances of employment to employees of acquired mass transportation systems and priority of reemployment of employees terminated or laid off; and (5) paid training and retraining programs, Such arrangements shall include provisions protecting individual employees against a worsening of their positions with respect to their employment which shall in no event provide benefits less than those established pursuant to Section 5(2)(1) of the Act of February 4, 1887 (24 State. 379). as amended. 2 For purposes of this warranty arrangement, paragraphs (1); (2); (5); (15); (22); (23); (24); (26); (27); (28); and (29) of the Model Section 5333 Agreement, executed July 23, 1975 are to be omitted. C-3 ..." 'O<_"'"T' ,. ~ collective bargaining agreements, nor shall this arrangement be deemed a waiver of any rights of any union or of any represented employee derived from any other agreement or provision of federal, state or local law. (7) In the event any employee covered by these arrangements is terminated or laid off as a result of the Project, he shall be granted priority of employment or reemployment to fill any vacant position within the control of the Recipient for which he is, or by training or retraining within a reasonable period, can become qualified. In the event training or retraining is required by such employment or reemployment, the Recipient or other legally responsible party designated by the State shall provide or provide for such training or retraining at no cost to the employee. (8) The Recipient will post, in a prominent and accessible place, a notice stating that- the Recipient has received federal assistance under the Federal Transit Act and has agreed to comply with the provisions of 49 U.S.C. Section 5311. This notice shall also specify the terms and conditions set forth herein for the protection of employees. The recipient shall maintain and keep on file all relevant books and records in sufficient detail as to provide the basic information necessary to the proper application, administration, and enforcement of these arrangements and to the proper determination of any claims arising thereunder. (9) Any labor organization which is the collective bargaining representative of employees covered by these arrangements, may become a party to these arrangements by serving written notice of its desire to do so upon the Recipient and the Department of Labor. In the event of any disagreement that such labor organization represents covered employees. or is otherwise eligible to become a party to these arrangements, as applied to the Project, the dispute as to whether such organization shall participate shall be determined by the Secretary of Labor. (10) In the event the Project is approved for assistance under the Act, the foregoing terms and conditions shall be made part of the contract of assistance between the federal government and the State or recipient of federal funds; provjded, however, that this arrangement shall not merge into the contract of assistance, but shall be independently binding and enforceable by and upon the parties thereto, and by any covered employee or his representative, in accordance with its terms, nor shall any other employee protective agreement merge into this arrangement, but each shall be independently binding and enforceable by and upon the parties thereto. in accordance with its terms. c, Waiver As a part of the grant approval process, either the Recipient or other legally responsible party designated by the State may in writing seek from the Secretary of Labor a waiver of the statutorily required protections. The Secretary will waive these protections in cases, where at the time of the requested waiver, the Secretary determines that there are no employees of the Recipient or any other surface public transportation providers in the transportation service area who C-4 ,.'-"'_...............'~ .... could be potentially affected by the project. A 30-day notice of proposed waiver will be given by the Department of Labor and in the absence of timely objection, the waiver will become final at the end of the 30-day notice period. In the event of timely objection, the Department of Labor will review the matter and determine whether a waiver shall be granted. In the absence of waiver, these protections shall apply to the Project. C-5 .<.~ '_,....,................-~_.....,.. ,~.,_..~____.._~""'_.~_ ,_, _",,,. ~_"""..~,'."., ...~'_,. ","."~"." M......_'''''''."..........._~M._.,~.'"".......".~.....__,........' Exhibit D DISADVANTAGED BUSINESS ENTERPRISES (DBE) POLICY STATEMENT I. It is ODors intent to establish and implement a program to encourage the utilization of disadvantaged businesses enterprises (DSE's) by the Public Transit Section by creating for such businesses the maximum possible opportunity to compete for and participate in federally-funded public transit-related contracting activities. A. Through the DBE Program, the Public Transit Section: 1. Expresses its strong commitment to provide maximum opportunity to disadvantaged businesses in contracting; 2. Informs all employees, government agencies and the general public of its intent to implement this policy statement; and, 3. Assures conformity with applicable federal regulations as they exist or may be amended, II. It is the policy of the Public Transit Section to provide equal opportunity to all persons to access and participate in the projects, programs and services of the Public Transit Section. The Public Transit Section, its contractors, and subcontractors will not discriminate against any person or firm on the basis of race, color, national origin, sex, sexual orientation, age, religion, physical handicap, political affiliation or marital status. III. The policies, .practices and procedures established by the DBE Program shall apply to all parts of the Public Transit Section and project areas except as expressly provided in the DSE Program. IV. The objectives of the DSE Program shall be: A. To assure that provisions of the DSE Program are adhered to by all Public Transit Section employees, contractors, and USDOT subrecipients and contractors; and, B. To initiate and maintain efforts to increase DBE Program participation by disadvantaged businesses. V. The Public Transit Section accepts and agrees to the statements of 49 CFR 23.43(a)(1) and (2). These statements will be included in all USDOT agreements with USDOT subrecipients and in all USDOT-assisted contracts between the Public Transit Section or USDOT subrecipients and any contractor. 0-1 ................_.""-....".,,,,--,- I ~...,-.--., VI. Contractors, subcontractors and subrecipients of the Public Transit Section accepting contracts or grants under the DBE Program which are USDOT- assisted shall be advised that failure to carry out the requirements set forth in 49 CFR 23.42(a) shall constitute a breach of contract and, after notification by the Public Transit Section, may result in termination of the agreement or contract by the Public Transit Section or such remedy as the Public Transit Section deems appropriate. VII. A Disadvantaged Business Liaison Officer, appointed by the Manager of the Public Transit Section, administers the DBE program. In addition to the responsibilities of the Liaison Officer, all program managers shall have the responsibility to assure implementation of the DBE Program. VIII. Directory A. A directory of DBEs as certified by ODOT shall be maintained by the Liaison Officer to facilitate identifying such businesses with capabilities relevant to general contracting requirements and particular solicitations. B. The directory shall be available to contract bidders and proposes in their efforts to meet DBE Program requirements. IX, DBE-Owned Banks A. The Public Transit Section will seek to identify DBE-owned banks and make the greatest feasible use of their services. 8, In add,ition, the Public Transit Section will encourage prime contractors, subcontractors and consultants to utilize such services by sending them brochures and service information on certified DBE Banks. X, Affirmative Action and Equal Opportunity Procedures A. The Public Transit Section shall use affirmative action techniques to facilitate DBE and participation in contracting activities. These techniques include: 1. Arranging solicitations, time for presentation of bids, quantities specifications and delivery schedules so as to facilitate the participation of DBEs; 2. Referring DBEs in need of management assistance to established agencies that provide direct management assistance to such businesses; . D-2 ...'........_.__M.__._'>__"W~,'""'..__~_,_'__._ , 3. Carrying out information and communications programs on contracting procedures and specific contracting opportunities in a timely manner, with such programs being bilingual where appropriate; 4. Distribution of copies of the DSE Program to organizations and individuals concerned with DSE Programs; 5. Periodic reviews with program managers to insure that they are aware of the DBE Program goals and desired activities on their parts to facilitate reaching the goals; 6. Public Transit Sections efforts toward and success in meeting DBE goals for section contracts shall be factors considered during annual performance evaluations of the program managers; 7. Monitor and insure that Disadvantaged planning centers and likely DBE contractors are receiving requests for bids, proposals and quotes; 8. Study the feasibility of certain USDOT-assisted contracts and procurements being set aside for DSE participation; 9. Distribution of lists to potential DSE contractors of the types of goods and services which the Public Transit Section regularly purchases; 10. Specifying purchases by generic title rather than specific brand name whenever feasible; and, 11. Establish an interdepartmental; contract management committee: a) Which will meet regularly to monitor and discuss, among other issues, potential DBE participation in contracts. b) In an effort to become more knowledgeable regarding DBE resources. the committee shall also invite potential DSE contractors to attend selected meetings. c) Requiring that at least one DSE vendor gr contractor be contacted for all contract awards which are not exempt form the Public Transit Sections contract selection procedures and which are: 0-3 "., '."- --,- ,._'-y-.,----;-'---'--~._._..""~.._--- - (1) for more than $500 but not more than $15,001 for personal services contracts, and (2) for more than $2,500 but not more than $10,001 for personal services contracts d) The Liaison officer may waive this requirement if he/she determines that there are no DBEs on the certification list capable of providing the service or item. 8. For contracts over the dollar amounts indicated in this section, all known DBEs in the business of providing the service(s) or item(s) required shall be mailed bid or proposal information. C. The Public Transit Section Manager, or his/her designee, may establish and implement additional affirmative action techniques which are designed to facilitate participation of DBEs in the Public Transit Section's contracting activities. XI, Certification of Disadvantaged Business Eligibility A. To participate in the DBE Program as a DBE; contractors, subcontractors or joint ventures must have been certified by an authorized certifying agency as described in Subsection B. of this section. B. The Public Transit Section will not perform certification or recertification of businesses or consider challenges to socially and economically disadvantaged status. C, The Public Transit Section will rely upon the certification and recertification processes established by the Office of Minority, Women, and Emerging Small Business (OMWESB) and will utilize OMWESB's list in determining whether a prospective contractor or subcontractor is certified as a DBE. D. A prospective contractor or subcontractor must be certified as a DBE by OMWESB and appear on OMWESB's certification list, prior to the pertinent bid opening or proposal submission date to be considered by the Public Transit Section to be an eligible DSE and be counted toward meeting goals. E. Prospective contractors or subcontractors which have been denied certification may appeal such denial to OMWESB pursuant to applicable law. Such appeal shall not cause a delay in any contract award by the Public Transit Section. 0-4 T I "-.--...- ........~'''''"--" -,--,......,-,--~'"._._,,-.- ... "-.-...... F. Decertification procedures for USDOT-assisted contractor or potential contractors will comply with the requirements of Appendix G, "Section by Section Analysis" of the July 21, 1983, Federal Register, Vol. 45, No. 130, p. 45287, and will be administered by the agency which granted certification. G. Challenges to certification or to any presumption of social or economic disadvantage with regard to the USDOT -assisted portion of the DBE Program, as provided for in 49 CFR 23.69, shall conform to and be processed under the procedures prescribed by OMWESB. That. challenge procedure provides that: 1. Any third party may challenge the socially and economically disadvantaged status of any individual (except an individual who has a current 8(a) certification from the Small Business Administration) presumed to be socially and economically disadvantaged if that individual is an owner of a firm certified by or seeking certification from the certifying agency as a disadvantaged business. The challenge shall be made in writing to the recipient. 2. With its letter, the challenging party shall include all information available to it relevant to a determination of whether the challenged party is in fact socially and economically disadvantaged. 3. The recipient shall determine, on the basis of the information provided by the challenging party, whether there is reason to believe that the challenged party, whether there is reason to _ believe that the challenged party is in fact not socially and economically disadvantaged. 4. If the recipient determines that there is not reason to believe that the challenged party is not socially and economically disadvantaged, the recipient shall so inform the challenging party in writing, This terminates the proceeding. 5. If the recipient determines that there is reason to believe that the challenged party is not socially and economically disadvantaged, the recipient shall begin a proceeding as provided in paragraphs 8, 4, 5, and 6 of this section, 6. The recipient shall notify the challenged party in writing that his or her status as a socially and economically disadvantaged individual has been challenged. The notice shall identify the challenging party and summarize the grounds for the challenge. The notice 0-5 ---t--**'-....---'.-- -' shall also require the challenged party to provide to-the recipient, within a reasonable time, information sufficient to permit the recipient to evaluate his or her status as a socially and economically disadvantaged individual. 7. The recipient shall evaluate the information available to it and make a proposed determinati.on of the social and economic disadvantage of the challenged party. The recipient shall notify both parties of this proposed determination in writing, setting forth the reasons for its proposal. The recipient shall provide an opportunity to the parties for an informal hearing, at which they can respond to this proposed determination in writing and in person. 8. Following the informal hearing, the recipient shall make a final determination. The recipient shall inform the parties in writing of the final determination, setting forth the reasons for its decision. 9. During the pendency of a challenge under this section, the presumption that the challenged party is a socially and economically disadvantaged individual shall remain in effect. XII. Annual Disadvantaged Business Goals: A. The Public Transit Section shall, each June, establish annual DSE goals for the ensuing fiscal year, Such annual goals shall be established separately for construction contracts, labor and materials contracts, personal services contracts, procurement contracts and USDOT-assisted contracts regardless of type. S, Annual goals will be established taking into consideration the following factors: 1. Projection of the number and types of contracts to be awarded by the Public Transit Section; 2. Projection of the number, expertise and types of DBEs likely to be available to compete for the contracts; 3. Past results of the Public Transit Section's efforts under the DBE Program; and, 4. Existing goals of other local USDOT recipients and their experience in meeting these goals. D-6 -- ,_.. .., ~..._.,~-_._.,,-- '--.. 5. Annual goals for USDOT-assisted contracts must be- approved by the United States Department of Transportation. C, The Public Transit Section will publish notice that the USDOT-assisted contract goals are available for inspection when they are submitted to USDOT or other federal agencies. They will be available for 30 days following publication of notice. Public comment will be accepted for 45 days following publication of the notice, XIII. Contract Goals A. The annual goals established for construction contracts shall apply as individual goals for construction contracts over $50,000. B. The Liaison Officer may set a contract goal for any contract other than construction contracts over $25,000. 1. The setting of such contract goal shall be made in writing prior to the solicitation of bids for such contract. 2. Contract goals for contracts other than construction contracts over $50,000 shall be at the discretion of the Liaison Officer and shall not be tied, necessarily, to the annual goal for such contract type. C. Even though no DBE goals are established at the time that bid/proposal documents are drafted. the Liaison Officer may direct the inclusion of a clause in any RFP or bid documents for any contract described in this section which requires that the prime contractor, prior to entering into any subcon~racts, make good faith efforts, as defined in Section XIII, to achieve DBE participation in the same goal amount as the current annual goal for that contract type. D. Contract goals may be complied with pursuant to Section X/II or XVI. The extent to which DBE participation will be counted toward contract goals is governed by the latter section, XIV, Contract Award Criteria A. To be eligible for award of contracts containing a DBE goal, prime contractors must either meet or exceed the specific goal for DSE participation, or prove that they have made good faith ef(Qrts to meet the goal prior to the time bids are opened or proposals are due. B. Bidders/Proposers are required to utilize the most current list of DBEs certified by Office of minority, Women and Emerging Small Business 0-7 I ---....------~._._~-~ (OMWESB) in all of the bidders/proposers good faith efforts solicitations. The address where certified lists may be obtained shall be incluaed in all applicable bid/proposal documents. C. All invitations to bid or request for proposals on contracts for which goals have been established shall require all bidders/proposers to submit with their bids and proposals a statement indicating that they will comply with the contract goal or that they have made good faith efforts as defined in Section XIII to do so. D. To document the intent to met the goals, all bidders and proposers shall complete and endorse a disadvantaged Business Program Compliance form and include said form with bid or proposal documents. The form shall be provided by the Public Transit Section with bid/proposal; solicitations. E. Agreements between a bidder/proposer and a DBE in the DBE promises not to provide subcontracting quotations to other bidders/proposers are prohibited. F. Apparent low bidders/proposers shall, by the close of the next working day following bid opening (or proposal submission date when no public opening is had), submit to the Public Transit Section detailed DBE Utilization forms listing names of DBEs who will be utilized and the nature and dollar amount of their participation. This form will be binding upon the bidder/proposer, G. Within five working days of bid opening or proposal submission date, such bidders!proposers shall submit to the Public Transit Section signed Letters of Agreement between the bidder/proposer and DBE subcontractors and suppliers to be utilized. A sample Letter of Agreement will be provided by the Public Transit Section, The DBE Utilization forms shall be provided by the Public Transit Section with bid/proposal documents. H. An apparent low bidder/proposer who states in its bid/proposal that the DBE goals were not met but that good faith efforts were performed shall submit written evidence of such good efforts within two working days of bid opening or proposal submission. The Public Transit System reserves the right to determine the sufficiency of such efforts. I. Except as provided in paragraph G of this section, apparent low bidders or apparent successful proposers who state in their bids/proposals that they will meet the goals or will show good faith efforts to meet the goals, but who fail to comply with paragraph D or E of this section, shall have their 0-8 -~-"-,, T" ...._-""".-._-~'~---'._,.,~"...,._,,--, ^..~"",.....,,, bids or proposals rejected and shall forfeit any required bid security or bid bond. J. In that event the next lowest bidder or, for personal services contracts, the firm which scores the second highest shall, within two days of notice of such ineligibility of the low bidder, submit evidence of goal compliance or .good faith effort as provided above. K. This process shall be repeated until a bidder or proposer is determined to meet the provisions of this section or until the Public Transit Section determines that the remaining bids are not acceptable because of amount of bid or otherwise. L. The Liaison officer, at his/her discretion, may waive minor irregularities in a bidder's or proposer's compliance with the requirements of this section provided, however, that the bid or proposal substantially complies with public bidding requirements as required by applicable law. ' XV, Determination of Good Faith Efforts A. Bidders or Proposers on USDOT-assisted contracts to which DBE goals apply must, to be eligible for contract award, comply with the applicable contract goal or show that good faith efforts have been made to comply with the goal. Good faith efforts should include at least the following standards established in the amendment to 49 CFR 23.45(h), Appendix A, dated Monday. April 27, 1981. A showing of good faith efforts must include written evidence of at least the following: 1 . ~ttendance at any pre-solicitation or pre-bid meetings that were scheduled to the Public Transit Section to inform disadvantaged business enterprises of contracting and subcontracting or material supply opportunities available on the project; 2, Advertisement In trade association, general circulation, disadvantaged and trade-oriented, if any and through a disadvantaged-owned newspaper or disadvantaged owned trade publication concerning the subcontracting or material supply opportunities at least 10 days before bids or proposals are due; 3. Written notification to a reasonable number but no less than five DBE firms that their interest in the contract is solicited. Such efforts should include the segmenting of work to be subcontracted to the extent consistent with the size and capability of DBE firms in order to provide reasonable subcontracting opportunities. Each bidder should send solicitation letters inviting quotes or proposals from 0-9 "....-."'.,~_._-"-' .. ,....,...-..,,,. DSE firms, segmenting portions of the work and specifically describing, as accurately as possible, the portions of the work for which the quotes or proposals are solicited from DBE firms and encouraging inquiries for further details. Letters that are general and do not describe specifically the portions of the work for which quotes or proposals are desired are discouraged, as such letters generally do not bring responses. It is expected that'such letters will be sent in a timely manner so as to allow DBE sufficient opportunity to develop quotes or proposals for the work described; 4. Evidence of follow-up to initial solicitations of interest, including the following: a) The names, addresses, telephone numbers of all DBE contacted; b) A description of the information provided to DBE firms regarding the plans and specifications for portions of the work to be performed, and, c) A statement of the reasons for non-utilization of DBE firms, if needed to meet the goal; 5. Negotiation in good faith with DBE firms. The bidder shall not, without justifiable reason, reject as unsatisfactory bids prepared by any DSE firms; 6. Where applicable. the bidder must provide advice and assistance ,to interested DSE firms in obtaining bonding, lines of credit or insurance required by the Public Transit Section or the bidder; 7. Overall, the bidder's efforts to obtain DBE participation must be reasonably expected to produce a level of participation sufficient to meet the Public Transit Section's goals; and, 8. The bidder must use the services of minority community organizations. minority contractor groups, local, state, and federal minority business assistance offices and other. organizations identified by the Executive Department's Advocate for minority and Women and Emerging Small Business that provide assistance in the recruitment and placement of DBEs. 0-10 .. . -- XVI. Replacement of DBE Contractors A. Prime contractors shall not replace a DBE subcontractor with another subcontractor, either before contract award or during contract performance, without the Public Transit Section's approval. Prime contractors who replace a DBE subcontractor shall replace such a DBE subcontractor with another certified DBE subcontractor or make good faith efforts as described in the preceding section to do so. XVII. Reports & Records A. The Public Transit Section shall develop and maintain a record keeping system to identify and assess DBE contract awards, prime contractor's progress in achieving goals and affirmative action efforts. Specifically, the following records will be maintained: 1. Awards to DBEs by number, percentage and dollar amount; 2. A description of the types of contracts awarded; and, , 3. The extent to which goals were exceeded or not met and reason therefor. B, All DBE records will be separately maintained. Required DBE information will be provided to federal agencies and administrators on request. C. The Liaison Officer shall prepare reports, at least semiannually, on DBE participation to include the following: - 1, The number of contracts awarded; 2. Categories of contracts awarded; 3. Dollar value of contracts awarded; 4, Percentage of the dollar value of all contracts awarded to DBE firms in the reporting period; and, 5. The extent to which goals have been met or exceeded. XVIII. Counting Disadvantaged Business Participation Toward Meeting Goals: A. DBE participation shall be counted toward meeting the goals on each contract as follows: 0-11 . . '.'- -,._-~......"_..."..--...,,-,,-----" . ~---- '......- .,..".._._....,-~'" . " . 1. Subject to the limitations indicated in paragraphs- 2 through 8 below, the total dollar value of a prime contract or subcontract to be performed by DBEs is counted toward the applicable goal for contract award purposes as well as annual goal compliance purposes; 2. The total dollar value of a contract to a disadvantaged business owned and controlled by both disadvantaged males and non- disadvantaged females is counted toward the goals for disadvantaged businesses and women, respectively, in proportion to the percentage of ownership and control of each group in the. business; . 3. The total dollar value of a contract with a disadvantaged business owned and controlled by disadvantaged women is counted toward either the disadvantaged business goal or the goal for women, but not to both. The Public Transit Section shall choose the goal to which the contract value is applied; 4. The Public Transit Section shall count toward its goals a portion of the total dollar value of a contract with an eligible joint venture equal to the percentage of the ownership and control of the disadvantaged business partner in the joint venture; 5. The Public Transit Section shall count toward its goals only the expenditures to DSEs that perform a commercially useful function in the work of a contract. A DBE is considered to perform a commercially useful function when it is responsible for execution of ,a distinct element of the work of a contract and carrying out its responsibilities by actually performing, managing and supervising the work involved. To determine whether a DBE is performing a commercially useful function, the Public Transit Section shall evaluate the amount of work subcontracted, industry practices and other relevant factors; 6. Consistent with normal industry practices, a DBE may enter into subcontracts. If a DBE contractor subcontracts a significantly greater portion of the work than would be expected on the basis of normal industry practices, the DBE shall be presumed not to be performing a commercially useful function. The DSE may present evidence to the Public Transit Section to rebut this presumption. The Public Transit Section's decision on the rebuttal of this presumption is subject to review by USDOT for USDOT-assisted contracts; 0-12 7. A DBE which provides both labor and materials ma{ count toward its disadvantaged business goals expenditures for materials and supplies obtained from other than DSE suppliers and manufacturers, provided that the DBE contractor assumes the actual and contractual responsibilities for the provision of the materials and supplies; 8. The Public Transit Section shall count its entire expenditure to a DSE manufacturer (i.e. a supplier that produces goods from raw materials or substantially alters them before resale;) 9. The Public Transit Section shall count toward the goals 60 percent of its expenditures to DBE suppliers that are not manufacturers, provided that the DBE supplier performs a commercially useful function in the supply process; and, 10, When USDOT funds are passed-through by the Public Transit Section to other agencies, any contracts made with those funds and any DSE participation in those contracts shall only be counted toward the Public Transit Section's goals. 11, Likewise, any USDOT funds passed-through to the Public Transit Section from other agencies and then' used for contracting shall count only toward that agency's goals. 12. Project managers responsible for administration of pass-through agreements shall include the following language in those agreements: - a) Policy. It is the policy of the Department of Transportation that disadvantaged business enterprises as defined in 49 CFR Part 23 shall have the maximum opportunity to participate in the performance of contracts financed in whole or in part with federal funds under this agreement. Consequently, the DSE requirements of 49 CFR Part 23 apply to this agreement. b) DBE Obligation. The recipient or its contractor agrees to ensure that disadvantaged business enterprises as defined in 49 CFR Part 23 have the maximum opportunity to participate in the performance of contracts and subcontracts financed in whole or in part with federal funds provided under this agreement. In this regard, all recipients or contractors shall take all necessary and reasonable steps in accordance with 49 CFR Part 23 to ensure that 0-13 1~~~_M...._.",~,~_..~,...'t"'".""""""_"'___C..M""'_"""'''''''''_,_.~____ -................ disadvantaged business enterprises have the maximum opportunity to compete for and perform contracts, c) SUBRECIPIENTs and their contractors shall not discriminate on the basis of race, color, national origin or sex in the award and performance of USDOT-assisted contracts. B. DBE participation shall be counted toward meeting annual goals as follows: 1. Except as otherwise provided below, the total dollar value of any contract which is to be performed by a DBE is counted toward meeting annual goals. 2. The provisions of paragraphs A2 through A8 of this section, pertaining to contract goals, shall apply equally to annual goals. XIX. Compliance and Enforcement A. The Public Transit Section shall reserve the right, at all times during the period of any contract, to monitor compliance with the terms of this program and the contract and with any representation made by a contractor prior to contract award pertaining to DBE participation in the contract. B. The Liaison Officer may require, at any stage of contract completion, documented proof from the contractor of actual DBE participation. 0-14 ....-.. ,-..-.-,-.---- ... l "-'''' ~1' 1 -.__ Exhibit G FY 1996-97 CITY OF WOODBURN SMALL CITY OPERATING ASSISTANCE AGREEMENT FINANCIAL INFORMATION The information below will assist auditors prepare a report in compliance with the requirements of Office of Budget and Management (OMB) Circular A-128 and OMB Circular A-133 This grant is financed by one or more of the funding sources as indicated below: Federal Program Title Federal Funds available through: Title 49 CFR Section 5311 Federal Catalogue Number: 20.509 Federal Grant Number: DOR-18-0013= $16,700 Total Federal Funding= $16,700 Federal Funding Agency U.S. Department of Transportation Federal Transit Administration Region X Suite 3142 Federal Building 915 Second Avenue Seattle, Washington 98174 State Program Title: State funds available through ORS 323.455 and ORS 391.800 through ORS 390.830. State Grant Number: Total State Funding * State Funding Agency: Oregon Department of Transportation Transportation Branch Public Transit Section Mill Creek Office Park 555 13th Street NE Salem Oregon 97310 *Auditors may cite these totals in their audits from these sources. ........---'_.._,'_..-...-.~- I ,... 1 G-1