Res 1030 - Agmt Cap Assist Grnt
COUNCIL BILL NO. 1266
RESOLUTION NO. 1030
A RESOLUTION ENTERING INTO AN AGREEMENT WITH THE STATE OF OREGON,
DEPARTMENT OF TRANSPORTATION KNOWN AS THE "CAPITAL ASSISTANCE GRANT
AGREEMENT" AND AUTHORIZING THE MAYOR, CITY ADMINISTRATOR, AND
DEPUTY RECORDER TO SIGN SUCH AGREEMENT.
WHEREAS, the City of Woodburn has applied for capital
assistance funds under Section 18 of the Urban Mass Transportation
Act of 1964 (UMTA), in the amount of $27,900 to assist in the
purchase of a modified paratransit van for the Dial-A-Ride program,
and
WHEREAS, the Oregon Transportation Commission has approved our
application for 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 through its Public Transit
Division to secure funds through Section 18 of the Urban Mass
Transportation Act of 1964 (UMTA), for capital assistance to
purchase a modified paratransit van. Said agreement is attached
hereto and by this reference incorporated herein.
SECTION 2. That the Mayor, City Administrator, and Deputy
Recorder of the city of Woodburn be authorized to date and sign
said agreement on be~ ~e Jt~ (2 _ ] _ i 0
Approved as to form: .
City Attorney ~ Date
Approved: iZrJ _~
red Kyser, or
Passed by the Council December 10, 1990
Submitted to the Mayor December 12, 1990
December 12, 1990
Approved by the Mayor
Filed in the office of the Recorder December 12. 1990
Attest:
ant, Deputy Recorder
oodburn
COUNCIL BILL NO. 1266
RESOLUTION NO. 1030
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1990 - 1991
CAPITAL ASSISTANCE GRANT AGREEMENT
PARTI ES
I. State of Oregon, by and through its Department of Transportation, Public
Transit Division ("Division").
2. City of Woodburn ("Grant Recipient").
REC IT ALS
I. The Oregon Transportation Commission acting through Division is authorized
to enter into contracts and disburse funds for the purpose of supportin9
public transportation pursuant to ORS 184.670 -.733.
2. Section 18 of the Urban Mass Transportation Act of 1964, as amended,
provi des for capital ass i stance fundi ng in non urbani zed areas.
Information concerning the federal financial assistance used to finance
this 9rant is attached in Exhibit F of this agreement.
3. The Governor of the State of Oregon in accordance with a request by the
Urban Mass Transportation Administration ("UMTA") has designated Division
to evaluate and select projects and to coordinate the grant application.
4. The State of Oregon obtained certain funds known as Stripper Well funds
pursuant to the Final Settlement Agreement In Re: The Department of Enerqv
Stripper Well Exemption Litiqation. MDL No. 378, United States District
Court for the District of Kansas.
5. The 1989 Legislative Assembly authorized Division to provide Stripper Well
funds to public transportation systems for the purpose of matching federal
appropriations for capital improvement projects pursuant to Chapter 142,
Oregon Laws 1989.
6. Grant Recipient has requested assistance with the purchase and improvement
of equipment and facilities to provide public transportation service.
AGREEMENTS
I. Division and Grant Recipient a9ree to be bound by the terms and conditions
of the General Provisions which are attached and are by reference
incorporated herein.
2. This Agreement shall become effective upon approval and signature by the
Administrator of the Public Transit Division and those officials
authorized to sign on behalf of Grant Recipient.
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1990 - 1991
CAPITAL ASSISTANCE GRANT AGREEMENT
This Agreement was approved by the Oregon Transportation Commission on June 19,
1990, at which time the Administrator of the Public Transit Division was
authori zed and directed to sign for and on behalf of the Commi ss i on. Sa id
authority is set forth in the Minute Book of the Oregon Transportation
Commission.
Signed this If
day of
Y1 b iJ.twJ,,~ , 1990
Approved As To Legal Sufficiency
State of Oregon By and Through
of Transportation,
Division
,U~
Administrator
Public Transit ivision
City of Woodburn
:~:r
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T,tle: rity l\ilmini>;trCltor
/1 ~ F., -Z;:~O-.. -j-
Title: ne>pll+-Y Rpr'()ri1!::.r
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1990 - 1991
CAPITAL ASSISTANCE GRANT AGREEMENT
GENERAL PROVISIONS
PART I
DIVISION'S OBLIGATIONS
Section 1. Puroose. This Agreement is to provide financial assistance in the
purchase and improvement of public transportation equipment and facilities.
Section 2. Grant Limitations.
a. Division shall provide up to ninety percent of the approved
project cost from federal funds available under Section 18 of
the Urban Mass Transportation Act of 1964, as amended, and
Stripper Well funds, not to exceed $ 27.900
b. In the event that the actual cost of the project differs from
the estimated cost of the project, Division and Grant
Recipient shall abide by the following:
(1) Actual Proiect Cost is Less Than Estimated Proiect Cost
Grant Recipient and Division shall sign a project
completion statement releasing Division from further
financial obl igation for the project. A sample "Project
Compl et i on Statement" is conta i ned in Attachment C
attached to this Agreement.
(2) Actual Proiect Cost is More Than Estimated Proiect Cost
Grant Recipient may elect to:
(a) discontinue the project. Grant Recipient and
Division shall sign a project completion statement
releasing Division from further financial
obligation for the project; or,
(b) contribute local money and continue the project.
Grant Rec i pi ent' s contri but i on of 1 oca 1 money
shall be used to compute the shares of federal,
state and local participation in the project.
Grant Recipient and Division shall sign a project
completion statement when the project is complete.
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1990 - 1991
CAPITAL ASSISTANCE GRANT AGREEMENT
Section 3. Purchases bv Division. Division may, at its discretion and Grant
Recipient's election, purchase equipment on Grant Recipient's behalf. Division
shall consult with Grant Recipient concerning equipment specifications.
Division shall award bids for the project with the consent of Grant Recipient.
a. In the event that actual project cost exceeds estimated
project cost, Division shall bill Grant Recipient for the
difference.
b. Division and Grant Recipient shall sign a project
completion statement at the conclusion of the project.
Sect i on 4. Reimbursement for Grant Reci oi ent Exoenses. Di vi s i on shall
reimburse Grant Recipient for Grant Recipient's expenses incurred pursuant to
the project subject to the grant 1 imitation set out in Section 2, above.
Division's payments to Grant Recipient shall be made on the basis of a request
which shall be compiled and submitted to Division. A sample request is shown
in Attachment D which is attached to this Agreement.
Section 5. Withholdino of Pavment. Division reserves the right to withhold
payment of funds if all required reporting has not been submitted, or if there
are any unresolved audit findings.
Section 6. Monitorino of Proiect. Division shall review and approve all
project specifications and bid documents prior to their advertisement and/or
use. Division shall approve, or otherwise respond in writin9 to Grant
Recipient, within (15) working days.
GENERAL PROVISIONS
PART II
GRANT RECIPIENT'S OBLIGATIONS
Sect i on 1. Scooe of Pro iect. Grant Reci pi ent shall use the grant funds
provided under this Agreement to complete the project which the Division and the
Oregon Transportation Commission approved. The project is described in
Attachment A which is incorporated into this Agreement.
Section 2. Use of Proiect Funds. Grant Recipient shall request, receive, and
disburse funds authorized under this Agreement. Grant Recipient may elect to
dele9ate purchases of equipment (vehicles, mobile radio systems and wheelchair
lifts) to Division.
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1990 - 1991
CAPITAL ASSISTANCE GRANT AGREEMENT
Sect i on 3. Submi ss i on of Reauests for Reimbursement. When Grant Reci pi ent
undertakes a project, Grant Recipient shall submit to Division reports which
request reimbursement. A sample request is shown in Attachment D of this
Agreement.
Section 4. Purchases. Grant Recipient shall make purchases of any equipment,
materials, or services pursuant to this Agreement under procedures consistent
with those outlined in Office of Management and Budget (OMB) Circular A-102 and
the Department of Transportation regulations issued pursuant to it (49 CFR Part
18), UMTA Circular 4220.1A, "Third Party Contracting Guidelines," Oregon
Department of General Services Administrative Rules (Oregon Administrative
Rul es, Chapter 125), and Oregon State Law, except that "small purchase
procedures" may be used for purchases up to $25,000.
Section 5. Use of Project Propertv and Eauipment.
a. Grant Recipient shall use the real property, facil ity, and/or
equipment purchased under this Agreement for the provision of
transportation services which are open and available to the general
publ ic. When said real property, facil ities, or equipment is
withdrawn from transportation service, Grant Recipient shall
immediately notify Division and return possession to Division.
b. Grant Recipient shall keep and maintain records with regard to the
project property and equipment which meet the standards of OMS
Circular A-102 and 49 CFR Part 18.31 ("Real Property) and 49 CFR
18.32 ("Equipment").
c. Grant Recipient shall maintain, in amounts and form satisfactory to
Division, such insurance or self-insurance as will be adequate to
protect Grant Recipient, vehicle drivers, vehicle occupants, and
project real property, faci 1 it i es, or equi pment throughout the
period of use. Grant Recipient shall bear the cost of said
insurance.
d. Grant Recipient shall maintain project facilities and/or equipment
in a high level of cleanliness, safety, and mechanical soundness.
Division and UMTA shall have the right to conduct periodic
inspections for the purpose of confirming proper maintenance.
e. Grant Recipient agrees that all drivers of equipment shall have a
va 1; d Oregon dri ver' s 1 i cense and shall have passed a defens i ve
driver's course or bus driver's training course.
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1990 - 1991
CAPITAL ASSISTANCE GRANT AGREEMENT
Section 6. Disoosition of Proiect Prooertv and Eouioment.
a. Grant Recipient shall meet the requirements of OMB Circular A-102
and 49 CFR Parts 18.31 ("~eal Property"), 18.32 ("Equipment"), and
18.33 ("Supplies") when Grant Recipient transfers, sells, or
otherwise disposes of project real property, facilities, or
equi pment.
(1) Grant Recipient shall notify Division of its intent to dispose
of project property and/or equipment.
(2) Grant Recipient shall follow Division's instructions regarding
disposition which may include:
(a) Transfer of property to Division or another of Division's
grant reci pi ents wi th compensat i on for Grant Reci pient' s
interest in the property; or,
(b) Transfer to a recipient of other UMTA grants with
compensation for Grant Recipient's interest; or,
(c) Transfer of title to Grant Recipient with no further
obligation to Division or the federal government, provided
that the fair market value of equipment at the time of
disposition is less than $5,000.
(d) Sale to the public with Division and Grant Recipient
dividing the proceeds of the sale according to their
respective interest in the purchase cost, provided that the
proceeds exceed $5,000.
(3) Grant Recipient's interest in project property and equipment
is defined to be a share of the fair market value of said property
and equipment in direct proportion to Grant Recipient's contribution
toward its purchase cost.
b. Grant Recipient shall maintain and account for the federal and/or
state interest in project property and equipment. In the event that
a disposition of property or equipment results in a payment to Grant
Recipient, Grant Recipient shall remit an amount in proportion to
the federal and state interest to Division.
Section 7. Liens on Prooertv and Eouioment.
a. Division has an on-going financial interest in any real property,
persona 1 property, or equi pment purchased under thi s Agreement.
Di vi s i on's interest is in proport i on to the federal and state
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1990 - 1991
CAPITAL ASSISTANCE GRANT AGREEMENT
participation in the project.
b. Division and Grant Recipient shall meet the requirements of OMS
Circular A-102 and 49 CFR Parts 18.31 and 18.32. In particular,
(1) Division shall perfect a security interest in any vehicles or
equipment with a unit purchase cost of $5,000 or more; and,
(2) Title in real property is to be held in such a manner as to
meet the requirements of Circular A-102, 49 CFR Part 31 ("Real
Property") and UMTA Circular 9040.IB. The methods used may include
mortgage, trust deed, deed in escrow, or other methods determined
necessary by Division and UMTA. Grant Recipient shall sign any
documents necessary to accomplish the purpose of this section.
Section 8. Audit Reauirements. Grant Recipient shall submit to Division its
annual audit covering the monies expended under this Agreement. Said audit(s)
shall meet the standards for audit set out in OMB Circular A-I28, Audits of
State and Local Governments.
Section 9. Access to Records. Grant Recipient shall permit Division, the
Secretary of State of the 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 Grant Recipient as
part of the project, and the transportation services rendered by Grant
Reci pi ent, or any subcontractor act i ng on Grant Reci pi ent' s behalf. Grant
Recipient shall permit the above named persons to audit the books, records, and
accounts of Grant Recipient relating to the project. Further, Grant Recipient
agrees to ma i nta in all requi red records for at 1 east three years after
Di vi s i on's fi nal payment, fi na 1 di spos it i on of grant- fi nanced property or
equipment, and all other pending matters have been resolved.
Section 10. Contracts and Other Third Partv Aareements.
a. Grant Recipient shall submit proposed third party agreements
relating to provision or operation of transit service to Division
for review. Division shall concur, or otherwise respond in writing
to Grant Recipient, within fifteen (15) working days.
b. Third party agreements shall contain conditions as required by 49
CFR Part 18.36 (i) . A bri ef descri pt i on of each provi sian is
contained in Attachment E of this Agreement.
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1990 - 1991
CAPITAL ASSISTANCE GRANT AGREEMENT
Section 11. Hold Harmless. Grant Recipient shall save and hold harmless the
State of Oregon, including the Oregon Transportation Commission, the Department
of Transportation, the Public Transit Division, and their members, officers,
agents, and employees from all claims, suits, or actions of whatever nature
arising out of the performance of this contract including claims made under
Section 13(c) of the Urban Mass Transportation Act of 1964, as amended, except
for claims arising out of the negl igent acts or omissions of the State of
Oregon, its employees, or representative:.
This provision is subject to the limitations set forth in Article XI, Section
10 of the Oregon Constitution and in the Oregon Tort Claims Act, ORS 30.260 to
30.300.
Section 12. Comoliance with Laws. Requlations. Ordinances. Grant Recipient
shall comply with all federal, state and local laws, regulations, and ordinances
applicable to this Agreement. In particular, the Grant Recipient agrees to
comply with the following specific regulations:
a. Non-discrimination. Grant Recipient will 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 to this Act. Grant Recipient will exclude no person on
the grounds of race, religion, color, sex, age, or national origin from
the benefits of aid received under this Agreement.
b. Disadvantaqed Business Enterorise. Grant Recipient will provide for full
and fair utilization of socially and/or economically disadvantaged
business enterprises (DBEs). Grant Recipient will use its best efforts
to ensure that DBEs shall have an equal opportunity to compete for
contract and subcontract work under this agreement.
In the para9raphs below, "recipient" refers to Grant Recipient.
In accordance with 49 CFR 23, all bidders and all contractors shall agree
to abide by and take all necessary and reasonable steps to comply with the
following statement:
DISADVANTAGED BUSINESS ENTERPRISE (DBE)
POLICY STATEMENT
DBE POLICY. It is the policy of the Oregon Department of Transportation
(DOT) that socially and/or economically disadvantaged business enterprises
as defined in 49 CFR 23 (DBEs) 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 requirements
of 49 CFR 23 apply to this agreement.
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1990 - 1991
CAPITAL ASSISTANCE GRANT AGREEMENT
DBE OBLIGATION. Recipients, contractors, and bidders agree to ensure that
DBEs have the maximum opportunity to participate in the performance of
contracts and subcontracts financed in whole or in part with funds
provided under this agreement. In this regard, recipients, contractors,
and bidders shall take all necessary and reasonable steps in accordance
with 49 eFR 23 to ensure that DBEs have the maximum opportunity to compete
for and perform contracts.
Recipients, contractors, and bidders shall not discriminate on the basis
of race, color, national origin, or sex in the award and performance of
DOT-assisted contracts.
The DBE Pol icy Statement shall be i ncl uded in all subcontracts entered
into under this contract. Bidders and contractors include proposers and
consultants; bids include proposals.
c. Eaual Emolovment Oooortunitv. Grant Recipient, and any subcontractor
acting on its behalf, will comply with Executive Order 11246, entitled
"Equal Employment Opportunity", as amended by Executive Order 11375 and
supplemented by Department of Labor regulations (41 CFR Part 60). Grant
Recipient will not discriminate against any employee or applicant for
employment because of race, color, religion, sex, age, or national origin.
Grant Recipient will take affirmative action to ensure that applicants are
employed, and that employees are treated during employment, without regard
to their race, color, religion, sex, age or national origin.
d. Charter Bus Ooeration. The Recipient and all subrecipients of funds under
this Agreement through the Recipient will comply with UMTA's charter
service regulations (49 CFR 604). In particular,
(1) Recipient may provide charter bus service that uses equipment
or facil ities provided under the Urban Mass Transportation Act
of 1964, as amended, only when one of the following conditions
apply:
(a) There is no private charter service operator will ing and
able to provide the charter service.
(b) Rec i pi ent contracts with a pri vate charter servi ce
operator to provide charter equipment or service to the
private charter operator.
(c) Reci pi ent has been granted an except i on by the UMTA
Administrator under 49 CFR 604.9.
(2) The expenses incurred for charter service are not eligible for
reimbursement under this A9reement.
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1990 - 1991
CAPITAL ASSISTANCE GRANT AGREEMENT
e. School Bus Ooeration. Recipient, or any operator of public transportation
servi ce act i ng on its behalf, wi 11 not engage i n school bus ope rat ions
(exclusive transportation of students and school personnel) in competition
with private school bus operators as part of this project. The expenses
attributable to exclusive transportation of students and school personnel
are not eligible for reimbursement under this Agreement (49 CFR 60S).
f. Transoortation of Elderlv and Handicaooed Persons. Grant Recipient will
provide transportation service to elderly and handicapped persons which
they can use effectively. Grant Recipient will exclude no person on the
basis of a handicap from the benefits of aid received under this grant (49
CFR Part 27).
g. Labor Protection. Grant Recipient will comply with the regulations issued
by the U.S. Department of Transportation and Department of Labor pursuant
to Section l3(c) of the Urban Mass Transportation Act of 1964, as amended.
Grant Recipient will comply with the Special 13(c) Warranty, Attachment
B of this Agreement which is by this reference incorporated into the
Agreement.
Grant Recipient will ensure that the condition of Grant Recipient's emplo-
yees, or of employees of other transportation providers in its area, is
not made worse as a result of aid received under this Agreement (29 CFR
215) .
h. Record Keeoino and Manaoement of Funds. Grant 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-I02,
"Uniform Administrative Requirement for Grants-in-Aid to State and Local
Governments" and 49 CFR Part 18.
i. Elioibilitv of Exoense. Grant Recipient will prepare its requisitions of
the funds available under this A9reement in accordance with the provisions
of the Offi ce of Budget and Management Ci rcul ar A-8?, "Cost Pri nci p 1 es for
State and Local Governments".
j. Prohi bi ted Interest. Grant Reci pi ent' s offi cers, employees, or agents
sha 11 neither soli cit not accept gratu i ties, favors, or anythi ng of
monetary value from contractors, potent i a 1 contractors, or part i es 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.
k. Debarment.
(1) Recipient, in accepting this Agreement, certifies that neither the
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1990 - 1991
CAPITAL ASSISTANCE GRANT AGREEMENT
Recipient nor its principals is presently debarred, suspended, proposed
for debarment, declared ineligible, or voluntarily excluded from
participating in this transaction by any state or Federal agency or
department.
(2) Recipient shall obtain certification from any contractor or
subrecipient receiving more than $25,000 under this Agreement that neither
the contractor nor its pri nc i pa 1 s is present 1 y debarred, suspended,
proposed for debarment, declared ineligible, or voluntarily excluded from
participating in this transaction by any state or Federal agency or
department.
1. Workers Comoensation. The Recipient, its subcontractors, if any, and all
employers working under this Agreement are subject employers under the
Oregon Workers' Compensation Law and shall comply with ORS 656.017, which
requi res them to provide workers f compensation coverage for all thei r
subject workers.
GENERAL PROVISIONS
PART III
GENERAL CONDITIONS
Section 1. Suoolemental Aoreements. This Agreement may be revised or amended
by a supplemental written agreement between the parties and executed with the
same formalities as this Agreement.
Section 2. Termination.
a. For Convenience: The Division may terminate the Project and cancel this
Agreement in whole or in part whenever:
(1) The requi site state and/or federal fundi ng becomes unava il abl e
through failure of appropriation or otherwise; or
(2) The requisite local funding to continue this project becomes
unavailable to Grant Recipient; or,
(3) Both parties agree that continuation of the Project would not
produce results commensurate with the further expenditure of funds.
b. With Cause: The Division may, by written notice to Grant Recipient,
terminate the Project and cancel this Agreement for any of the following
reasons:
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1990 - 1991
CAPITAL ASSISTANCE GRANT AGREEMENT.
(1 )
Grant Recipient takes any action pertaining to this Agreement
without the approval of Division and which under the provisions of
this Agreement would have required the approval of Division; or,
The commencement, prosecution, or timely completion of the Project
by Grant Recipient is, for any reason, rendered improbable,
impossible, or illegal; or,
(3) Grant Recipient is in default under any provision of this Agreement.
(2)
Section 3. Grant Recioient's Authorization. This Agreement shall be executed
by those officials authorized to execute this Agreement on the Grant Recipient's
behalf. In the event Grant Recipient's governing body delegates signature of
the agreement, Grant 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.
Sect i on 4. ReQul at ions. Thi s Agreement is based upon and is subject to the
regulations issued by UMTA pursuant to Section 18 of the Urban Mass
Transportation Act of 1964, as amended. These regulations are contained in UMTA
Circular 9040.18. UMTA may, from time to time, amend these regulations.
Division reserves the right to amend this Agreement if it is affected. Division
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.
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ATTACHMENT A
Program of Projects
for
City of Woodburn
Total
Cost
Sma 11 City
Capita 1 Program
(90%)
Purchase one IS-passenger
lift-equipped paratransit bus
with mobile radio
$ 31,000
$ 27,900
Local Matching
Funds
(10% match)
$ 3,100
NOTE: Each project is independent of the others. Completion
of one project under budget does not release funds which
can be used for the others 1 i sted in thi s program of
projects.
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ATTACHMENT B
Special Section 13(c) Warranty
for Application to the Small Urban
and Rural Program
A. General ADDlication
The Oregon Department of Transportation, Public Transit Division ("Public
Body") 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 ("Grant
Reci pi ent"), and the transportat i on related employees of any other surface
public transportation providers in the transportation service area of the
project.
The Public Body shall provide to the Department of labor and maintain at
all times duri ng the Project an accurate, up-to-date 1 i st i ng of all
existing transportation providers which are eligible Recipients of
transportat ion assi stance funded by the Project in the transportat i on
service area of the Project, and any labor organizations representing the
employees of such providers.
Certification by the Publ ic Body to the Department of labor that the
designated Grant Recipients have indicated in writing acceptance of the
terms and conditions of the warranty arrangement will be sufficient to
permit the flow of Section 18 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 carri ed out in such a manner and upon such
terms and conditions as will not adversely affect employees of the
Grant Recipient and of any other surface publ ic transportation
provi der in the transportat i on servi ce area of the Project. It
shall be an obligation of the Grant Recipient and any other legally
responsible party designated by the Public Body 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 phase
"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
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Attachment B
Special Section 13(c) Warranty
vo 1 ume ri ses and fa 11 s of busi ness, or changes in volume and
character of employment brought about by causes other than the
Project (including any economies or efficiencies unrelated to the
Project) are not within the p~rview of this arrangement.
An employee covered by this arrangement, who is not dismissed, dis-
placed 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.
(2) (a) Where employees of a Grant Recipient are represented for
collective bargaining purposes, all Project services provided
by that Grant Recipient shall be provided under and in
accordance wi th any co 11 ect i ve barga in i ng agreement app 1 i cab 1 e
to such employees which is then in effect.
(2) (b) The Grant 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 Grant 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
Grant Reci pi ent or the representatives of such employees
negot i at ions for the purposes of reachi ng agreement wi th
respect to the app 1 i cat i on of the terms and condit ions of th i s
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
B-2
I T
- ..~.,..._-"".- -"._.._~.._~,',~-~..._"'".----~-,-..-._",-_."
(4)
Attachment B
Special Section 13(c) Warranty
intended action.
(3)
For the purpose of providing the statutory required protectioqs
including those specifically mandated by Section 13(c) of the Act,
The Public Body will assure as a condition of the release of funds
that the Grant Recipient agrees to be bound by the terms and
conditions of the National (Modeli Section l3(c) Agreement executed
July 23, 1975, identified below, provided that other comparable
arrangements may be substituted therefor, if approved by the
Secretary of Labor and certified for inclusion in these conditions.
Any dispute or controversy arising regarding the application, inter-
pretation, 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
compensat i on and expenses of the impart i a 1 thi rd party, and any
other joi ntly incurred expenses, shall be borne equally by the
parties to the proceeding and all other expenses shall be paid by
the party incurring them.
1
In the event of any di spute as to whether or not a part i cul ar
Such protective arrangements shall include, without bein9 limited
to, such provisions as may be necessary for (1) the preservation of
ri9hts, privileges, and benefits (including continuation of pension
rights and benefits) under existin9 collective bargaining agreements
or otherwise; (2) the continuation of collective bar9aining 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 trainin9 and retraining pr09rams. 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 establ ished
pursuant to Section 5(2)(f) of the Act of February 4, 1887 (24 Stat.
379), as amended.
2For purposes of this warranty arrangement, paragraphs (1); (2); (5); (15);
(22); (23); (24); (26); (27); (28); and (29) of the Model Section 13(c)
Agreement, executed July 23, 1975 are to be omitted.
.,
I
B-3
1
,.,....""'._~..,--'..--'---"
(7)
(8)
1 ,.
Attachment B
Special Section 13(c) Warranty
employee was affected by the Project, it shall be his obligation to
identify the Project and specify the pertinent facts of the Project
rel ied upon. It shall then be the burden of either the Grant
Recipient of these conditions to prove that factors other than the
Project affected the employees. The claiming employee shall prevail
if it is establ i shed that the Project had an effect upon the
employee even if other factors may also have affected the employee.
(5)
The Grant Recipient or other legally responsible party designated
by the Public Body 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
vi 01 at i on of these arrangements with the Grant Reci pient withi n
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)
Nothi ng in thi s arrangement shall be construed as depri vi ng any
employee of any rights or benefits which such employee may have
under existing employment or collective bar9aining ,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.
In the event any employee covered by these arrangements is
termi nated or 1 aid off as a result of the Project, he shall be
9ranted priority of employment or reemployment to fill any vacant
position within the control of the Grant Recipient for which he is,
or by training or retraining within a reasonable period, can become
qualified. In the event trainin9 or retraining is required by such
emp 1 oyment or reemployment, the Grant Reci pi ent or other 1 ega lly
responsible party designated by the Public Body shall provide or
provide for such training or retraining at no cost to the employee.
The Grant Recipient will post, in a prominent and accessible place,
a notice stating that the Grant Recipient has received federal
assistance under the Urban Mass Transportation Act and has agreed
to comply with the provisions of Section 13(c) of the Act. This
B-4
_+..,..._......._.._.,. _."~.._u_....._c."_"'.._____.__._"~~___.____...._..._..,,
Attachment B
Special Section 13(c) Warranty
notice shall also specify the terms and conditions set forth herein
for the protection of employees. The Grant 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 represen-
tative of employees covered by these arrangements, may become a part
to these arrangements by serving written notice of its desire to do
so upon the Grant 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 Public
Body or Grant Recipient of federal funds; provided, 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 a9reement merge into this arrangement, but each shall be
independently bindin9 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 Grant Recipient or
other legally responsible party designated by the Public Body may in
writ i ng seek from the Secretary of labor a wai ver of the statutory
requi red protect ions. The Secretary wi 11 waive these protect ions in
cases, where at the time of the requested waiver, the Secretary determines
that there are no employees of the Grant Recipient or any other surface
public transportation providers in the transportation service area who
could be potentially affected by the project. A 3D-day notice of proposed
wa i ver wi 11 be gi ven by the Department of labor and in the absence of
timely objection, the waiver will become final at the end of the 3D-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.
B-5
, ~
ATTACHMENT C
Sample
Project Completion Statement
The
No. _,
(qrant recioientl
(oroject descriotionl
certifies that it has completed Project
Billings for all expenses incurred by (qrant recioientl have been
submitted to the Public Transit Division. (qrant recioientl releases the
Public Transit Division from further financial obligation for Project No. __
under the capital assistance agreement of (aqreement date I .
(qrant recioient will use the equipment and/or facilities provided
by Project No. for transportation service to the general public for its
useful 1 i fe.
The Public Transit Division certifies that the (qrant recioientl has
complied with the provisions of its grant and has completed the project listed
above.
For
(qrant recioientl:
For the Public Transit Division
(titlel
Authorized Representative
Denny Moore,
Administrator
C-1
"
ATTACHMENT 0
Sample Reimbursement Request
OREGON DEPARTMENT OF TRANSPORTATION
PUBLIC TRANSIT DIVISION
REQUEST FOR REIMBURSEMENT
Period Covered By This Request:
Final Payment_____YES_____NO Request No.
RECIPIENT ORGANIZATION
Name:
Address:
City and ZIP Code:
COMPUTATION OF REIMBURSEMENT REQUESTED
I I I I
I I I I
TOTAL
PROGRAMS/ACTIVITIES
-.-------------------------------------------------------------------.------------------------------------------------
8. Outlays Previously Reported
-.----.-------------------------------.-----------------------------...----.--------------------------------.-----.---
b. Outlays This Report Period
----.-.--------------------.-----------------...--------------.---------------------------------------------____woO_A.
c. Total Outlays To Date (8 + b)
-.-.---------.-----..---..---.---------...-------------------------.---------------------..----..--..--..--.----.---.-
d. Payments Previously Requested
**********************************************************************************************************************
e. Payment Now Requested (c - d)
**********************************************************************************************************************
f. Grant Total
--...--..-...-.-.-.--...---..-.--.---.---..-..---...----.-....-.........--..-.---..----.-...--..-...---.-----.-.--.---
g. Unobligated Balance (f - c)
-.--.--.---.-......--.--..---.-...-..--.---..--..--.--.--....-..-.--.-..--.-..-..---.---------.--.---.-----....--...-.
CERTIFICATION
I certify that to the best of my knowledge
and belief the data above are correct and
that all outlays were made in accordance
with the grant conditions or other agree-
ment and that payment is due and has not
been previously requested.
Program Manager
This Space For Public Transit Division Use
Expenditure distribution:
00180007-
$
S"8991
$
0 710 (d ties)
0 720 (districts)
0 730 (counties)
07'31-90
ADD roved for Payment
Date
Section 18/ Stripper Well Funds
0-1
,
~
ATTACHMENT E
PROVISIONS TO BE INCLUDED IN CONTRACTS
Grant Recipient's purchasing documents and contracts financed by this
Agreement must contain clauses or conditions relating to the material
below. This requirement made in 49 CFR Part 18.36(i), Contract Provisions.
1. 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.
This provision applies to all contracts for more than $25,000.
2. Termination for cause and for convenience by the Grant Recipient
including the manner by which it will be effected and the basis for
settlement.
This provision applies to all contracts for more than $10,000.
3. Compliance with Executive Order 11246 of September 24, 1965 entitled
"Equal Employment Opportunity," as amended by Executive Order 11375
of October 13, 1967 and as supplemented in Department of labor
regulations (41 CFR Part 60).
This provision applies to all construction contracts over $10,000.
4. Compliance with the Copeland "Anti-Kickback" Act (18 USC 874) as
supplemented in Department of labor regulations (29 CFR Part 3).
This applies to all construction and repair contracts.
5. Compliance with the Davis-Bacon Act (40 USC 276a) as supplemented by
Department of labor regulations (29 CFR Part 5).
This applies to construction contracts in excess of $2,000 when
awarded in connection with a federal grant.
6. Compliance with Sections 103 and 107 of the Contract Work Hours and
Safety Standards Act (40 USC 327-330) as supplemented by Department
of labor regulations (29 CFR Part 5).
This applies to construction contracts in excess of $2,000 and all
other contracts in excess of $2,500.
E-l
'1 ....
ATTACHMENT E
PROVISIONS TO BE INCLUDED IN CONTRACTS
7. Notice of requirements and regulations pertaining to reporting.
8. Notice of requirements and regulation pertaining to patent rights
with respect to any discovery or invention which arises or is
developed in the course of or under such contract.
9. Requirements and regulations pertaining to copyrights and rights in
data.
10. Access by the Division, Grant Recipient, UMTA, 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.
11. Retention of all required records for three years after Grant
Recipients make final payments and all other pending matters are
closed.
12. Compliance with all applicable standards, orders, or requirements
issued under Section 306 of the Clean Air Act (42 use 1857(h)),
Executive Order 11738, and Environmental Protection Agency
regulations (40 CFR Part 15).
This applies to contracts and subcontracts in excess of $100,000.
13. Mandatory standards and policies relating to energy efficiency which
are contained in the state energy conservation plan issued in
compliance with the Energy Policy and Conservation Act. (P.L. 94-
163).
E-2
I l
,..._............."..__~.,_~..__".,."."~"..~_~~.._.m._._._~.."_.4~___~~.. __.".
EXHIBIT F
Federal Financial Assistance
The information below will assist auditors prepare a report in compliance with
Office of Budget and Management Circular A-128 requirements.
Financing for this grant is divided between state and federal funds as follows:
UMTA Section 18
Stripper Well Funds
Total
$ 22,630
$ 5.270
$ 27,900
Federal Droaram title
Formula Grant Program for Areas Other Than Urbanized Areas (Section 18 of
the Urban Mass Transportation Act 1964, as amended)
Federal Cataloaue Number: 20.509
Federal Grant Number: OR-18-X007
Federal fundina aaencv
U.S. Department of Transportation
Urban Mass Transportation Administration
Region X
Suite 3142
Federal Building
915 Second Avenue
Seattle, Washington 98174
F-1