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MILWAUKEE TRANSPORT SERVICES, INC. Operator of the Milwaukee County Transit System
1942 NORTH 17TH STREET MILWAUKEE, WI 53205
(414) 937-3296 Purchasing Agent: JASON ROSS
[email protected] | www.ridemcts.com
BID NO 2020-12: TRANSIT BUS BEARINGS, BUSHINGS, AND SEALS RELEASE DATE: JUNE 25, 2020
Milwaukee Transport Services (MTS), a quasi-governmental instrumentality of Milwaukee County and operator of the Milwaukee County Transit System (MCTS). MTS is accepting bids for BEARINGS, BUSHINGS, AND SEALS for Transit Coaches until
DUE DATE: JULY 28, 2020 by 2:00 P.M. CST. Bids will be publicly opened and read at the above opening date and time in Room 104 of the Administration Building- Materials Management Department. Late bids will not be opened or accepted. Any bids received after the established due date and time at the place designated for receipt of bids is late, without exception. Faxed or emailed bids are not be allowed or accepted. Specifications: To comply with Specification No. FM-09-20, dated 05/05/2020. Requirements: To supply Milwaukee Transport Services, Inc with transit coach bus BEARINGS, BUSHINGS, AND SEALS per specification. Contract Type and Term This is a firm fixed price contract for two (2) years. How to Bid and Award of Contract: Bid a unit price per line item for the full term of the contract. Award will be based on the line-item pricing for Items 1 through 26, less invoice discount of 30 days (if
any). Award will be made per line item to the lowest responsible bidder complying with the specifications. Award will be based on what is deemed in the best interest of Milwaukee Transport Services, Inc. Question Deadline & Amendments to Bid Document: Questions regarding the solicitation of this Bid, as well as, any clarifications or further instructions to bidders will be sent to all prospective offerors in addendum form. All questions and comments regarding
this solicitation must be submitted via email to Jason Ross at [email protected] by July 14, 2020 end of business day. Right to Reject: MTS reserves the right to make an award based on its own determination, or to reject any or all bids or portions of same, if in the opinion of MTS, the best interest of MTS will be served thereby. In awarding a contract, MTS reserves the right to consider all elements entering the determination of the responsibility of the bidder. Any bid which is incomplete, conditional, obscure, or which contains additions not required, or irregularities of any kind, may be deemed non-responsive. In case of any discrepancy between the price written in the bid and that given in figures for any item, the price in writing will be considered as the bid. MTS also reserves the right to take into consideration the Bidders past performance with MTS or and other entity in determining if the Bidder is responsible and qualified. Waiver of Informalities: In its sole discretion, MTS may waive informalities and minor irregularities in bids received. Binding Contract: A proposal received in response to this solicitation is an offer that can be accepted by MTS to create a binding contract without negotiation with any Firm. Order of Precedence: An order of precedence is hereby formally established and will be used to form a binding contract. The order is as follows:
1. Purchase of Services Agreement 2. Purchase Order
2. All documents contained within and related to Bid 2020-08, including all Addenda 3. Bid from the successful vendor The order of precedence establishes that, in any conflict between the bid and the Purchase Order and/or Bid Documents, the Purchase Order and/or Bid Documents take precedence and control. Tax Exemption: MTS is an agency of Milwaukee County and is exempt from Wisconsin Sales Tax under Section 77.54 (9a) (b) of the Wisconsin Statutes, and is exempt from the Federal Excise Tax, and has been granted Exempt No. 39-73-0429K. Wisconsin Exempt No. CES014818. Bids shall be submitted excluding any of these taxes. Method of Award MTS reserves the right to make an award based upon the lowest, responsive, responsible bid or to reject any or all bids. Single Bid, If Received: If only a single bid is received, MTS may require that the Bidder provide the necessary cost or pricing data to enable MTS to perform a cost or price analysis to ensure that the bid price is fair and reasonable. If requested, the Bidder shall provide the cost or price data within five (5) working days of the date requested. MTS reserves the right to reject or accept the bid based on the cost or pricing data. Where only one responsive and responsible bid is received, MTS may also negotiate price with the sole responsive bidder.
Inspection: Materials or equipment purchased are subject to inspection and approval at MTS’s destination. MTS reserves the right to reject and refuse acceptance of items which are not in accordance with the instructions, specifications, or a part of the contractor’s warranty (express or implied). Rejected materials or equipment shall be removed by, or at the expense of the contractor promptly after rejection. Buy America Requirement: The Bidders shall comply with the federal statute set out below, and complete the Buy America Certification, included in the Bid Forms. This form must be included in the bid package for the offer to be considered responsive. Contract Continuation: Contractor recognizes that the services under this contract are vital to MTS and to the public and must be continued without interruption. Contractor agrees that MTS, in its sole discretion, and by written notice to Contractor at least 30 days prior to contract expiration, may extend this Agreement for up to an additional 120 days. If so, extended by MTS, Contractor shall continue to provide services under this Agreement, on the same terms as set forth in this Agreement. MTS may terminate any such extension by providing Contractor with 30 days’ notice. Contractor further agrees to exercise its best efforts and cooperation to affect an orderly and efficient transition to any successor Contractor. Mission Critical Contract: MTS has identified this Contract as critical to MTS’s ability to provide essential services. During the duration of the current COVID-19 pandemic, while there are federal, state, and/or local orders relating to or arising from this pandemic, or during any future pandemic or state of emergency declared during the term of this contract by federal, state, or local governments, Contractor will:
Dedicate resources to identify and mitigate situations in the workplace or jobsite which may introduce, expose, or spread COVID-19.
Screen employees following current CDC guidelines to verify they have not: : a) Traveled to a Level 2 or 3 Country in the past 14 days, or visited an area that requires self-quarantine because of COVID-19 infection, b) Had close contact (within 6 feet) with anyone known or suspected to have COVID19, c) Exhibited any symptoms (chest or back pain, cough, difficulty breathing) of COVID-19 or had a fever greater than 100.4 in the past 14 days. Educate employees on key CDC recommendations including how employees can protect themselves and what employees should do if they feel sick. Provide MTS services remotely, to the greatest extent possible. Notify MTS within 24 hours of becoming aware of any employee who has been on site at any MTS building, or in contact with any MTS employee, that has a confirmed or suspected case of COVID-19. Notify MTS immediately if Contractor believes, or has reason to believe, Contractor will be unable to provide services or goods under this Contract.
Agrees that MTS is not responsible for any costs, and will not be invoiced for any incomplete work, if MTS revokes permission for Contractor’s employees to be on MTS property due to that employee exhibiting symptoms of COVID-19, or any other illness. County Rights of Access and Audit The Contractor, Lessee, or other party to the contract, its officers, directors, agents, partners and employees shall allow the County Audit Services Division and department contract administrators (collectively referred to as Designated Personnel) and any other party the Designated Personnel may name, with or without notice, to audit, examine and make copies of any and all records of the Contractor, Lessee, or other party to the contract, related to the terms and performance of the Contract for a period of up to three years following the date of last payment, the end date of this contract, or activity under this contract, whichever is later. Any subcontractors or other parties performing work on this Contract will be bound by the same terms and responsibilities as the Contractor. All subcontracts or other agreements for work performed on this Contract will include written notice that the subcontractors or other parties understand and will comply with the terms and responsibilities. The Contractor, Lessee, or other party to the contract, and any subcontractors understand and will abide by the requirements of Section 34.09 (Audit) and Section 34.095 (Investigations Concerning Fraud, Waste, and Abuse) of the Milwaukee County Code of General Ordinances. Funds If funds are not appropriated for payment of this contract, Purchaser may terminate contract at the end of any fiscal year upon 30 days written notice. MTS operates the transit system for, and under an agreement with, Milwaukee County, Wisconsin. All multi-year contracts / agreements with MTS are contingent upon Milwaukee County retaining MTS as the operator of the transit system. The continuation of this agreement beyond December 31 of any given year, shall be contingent upon MTS receiving the necessary funding from the government agency. Variations in Word and Figures In case of variation between the amounts in words and figures, the amount prescribed in words will prevail. Delays in Delivery Delays in delivery caused by bona fide strikes, government priority or requisition, riots, fires, sabotage, acts of God or any other delays deemed by the Director of Materials Management to be clearly and unequivocally beyond the contractor's control, will be recognized. The vendor may be relieved of meeting the delivery time specified if vendor files with the Director of Materials Management a request for an extension of time, signed by a responsible official, giving in detail all the essential circumstances which upon verification by Director of Materials Management justifies such extension. Delivery Terms Bids shall include delivery costs to the specified delivery point, all transportation charges prepaid and borne by you. MTS reserves the right to change the location of tire delivery at any time during the life of the contract. Warranty: Warranty terms will be negotiated by MTS with excepted offer.
Liquidated Damages:
A. Contractor agrees to reimburse MTS $115/hr. for any labor or charges incurred by MTS to repair
or address any quality defects in leased tires provided by Contractor that must be addressed
immediately. If time is not of the essence, MTS will request Contractor to repair or replace
leased tires.
B. In the event that Contractor fails to comply with a request from MTS to repair, replace leased
tires, MTS shall, upon written notice to Contractor, have the authority to deduct the cost(s)
incurred by MTS to address the request from the next payment due under the contract.
C. Contractor agrees to reimburse MTS for the cost of towing if towing is needed due to any quality
defects in the leased tires provided by Contractor. Code of Ethics The Milwaukee County Code of Ethics states in part, "No person may offer to give to any Public official or employee or his immediate family, and no Public official or employee or his immediate family may solicit or receive anything of value pursuant to an understanding that such officers or employees' vote, official actions or judgment would be influenced thereby." No person(s) with a personal financial interest in the approval or denial of a contract being considered by a County department or with an agency funded and regulated by a County department, may make a campaign contribution to any County official who has approval authority over that contract during its consideration. Contract consideration shall begin when a contract is submitted directly to a County department or to an agency until the contract has reached final disposition, including adoption, county executive action, proceedings on veto (if necessary) or departmental approval. This provision does not apply to those items covered by Section 9.15 unless an acceptance by an elected official would conflict with this section. The language in Section 9.05(2)(l) shall be included in all Request for Proposals (RFP) and bid documents. Independent Contractor Nothing contained in the Agreement shall constitute or be construed to create a partnership or joint venture between MTS, Inc. or its successors and the Contractor or its successors or assigns. In entering into this Agreement, and in acting in compliance herewith, Contractor is at all times acting and performing as an independent Contractor, duly authorized to perform the acts required of it hereunder. Retention of Records Contractor agrees to retain all records related to this contract for a period of at least three years from final date of payment of this contract Audit of Records Contractor shall permit the authorized representative of the Milwaukee County Auditor, after reasonable notice, the right to inspect and audit all data and records of Contractor related to carrying out the contract for a period of up to three years after completion of the contract. If subcontracts
and/or associates are utilized, prime contractor shall have written contractual agreement with County approved subcontractors and/or associates which bind the subcontractor to the same audit contract terms and conditions as the prime Contractor. Non-Discrimination The contractor, lessee, offeror, supplier, purchaser, etc., agrees not to discriminate against any employee or applicant for employment because of race, religion, color, national origin, age, sex, or handicap, which include, but not limited to: recruitment or recruitment advertising; employment; upgrading; demotion or transfer, layoff or termination; rates of pay or other forms of compensation; selection for training, including apprenticeship. A violation of this provision shall be sufficient cause for MTS to terminate the contract, lease, order, etc. pursuant to County Ordinance 56.17 - Non-Discriminatory Contracts. Written Change Orders Oral change orders are not permitted. No change in this contract shall be made unless the contracting officer gives his prior written approval, therefore. The contractor shall be liable for all costs resulting from, and/or for satisfactorily correcting, any specification changes not properly ordered by written modification to the contract and signed by the contracting officer. Bidders shall complete and return all bid forms required. The required forms must be submitted using the exact forms provided and must be signed by an authorized representative of the Bidder. Any alterations of the Forms or failure to submit required Forms may cause the Bid to be rejected as non-responsive.
Enclosures:
1. Signature Sheet 2. Bid Sheet 3. Specification FM-09-20 4. Sample Purchase of Service Agreement 5. EEO Certificate 6. Conflict of Interest Statement 7. Buy America 8. False Claims Form 9. Debarment Form 10. Anti-Lobby 11. Non-Collusion 12. Federal Clauses
Forms that must be returned with Bid: 1. Signature Sheet 2. BID SHEET 3. EEO Certificate 4. Conflict of Interest Statement 5. Buy America Certification 6. False Claims form 7. Debarment Form 8. Anti-Lobbying Form 9. Non-collusion affidavit 10. Copy of Warranty for Proposed Bid Items
SIGNATURE SHEET CASH DISCOUNT: Cash invoice discount for payment of invoices following receipt and acceptance of goods or services _________% 30 days. DELIVERY: Price shall include delivery, FOB destination freight prepaid to Milwaukee Transport Services, Inc., 1525 W. Vine St., Milwaukee, WI 53205, unless otherwise noted in this solicitation. BY SIGNING THIS BID, YOU ARE AGREEING WITH FOLLOWING STATEMENTS:
1. This bid has been made without any connection with any other bidder and is in all respects fair and without collusion or fraud.
2. This bid has been made with the understanding that no elected officer/employee of Milwaukee
Transport Services, Inc., or Milwaukee County is interested therein, directly or indirectly. 3. The specifications for this bid has been read and understood. 4. Your company has never defaulted on any contract with Milwaukee Transport Services, Inc., or
Milwaukee County. In signing and submitting this quote, the proposer assures Milwaukee Transport Services, Inc., that the furnishing of the subject materials, services or equipment is under his/her control and accepts and has read all the Terms and Conditions of MTS, of this quote and all of its documents. If the proposer’s performance, in the event he/she is successful is contingent upon the act of another party, the proposer assures MTS that he/she has the necessary commitments to complete the contract which may be awarded him/her. Date: _____________ Submitted by: _______________________________________________________ Name of firm: _______________________________________________________ Address of firm: ______________________________________________________ Signed per: __________________________________________________________ (Manual signature required) Print name: __________________________________________________________ Title: ___________________________ Email: ______________________________ Telephone: _______________________ Fax: ____________________________ DUNS #: ________________________ NAICS CODE #___________________
BID SHEET Vendor Name:__________________
The undersigned bidder proposes to furnish the materials and services herein described at and for the prices hereinafter named, according to specification on file in the office of the Director of Materials Management, and, if successful, hereby agrees to enter into an agreement with Milwaukee Transport Services, Inc.
ITEM 1 MCTS LOT # 018-06-009, JOINT-UNIVERSAL DRIVESHAFT, SPICER/DANA CP280X OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 2 MCTS LOT # 121-10-002, SEAL SHAFT FRONT AXLE, M.A.N.#06.56289.0369,
6333910NFA, OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_______________________________________________
ITEM 3 MCTS LOT # 121-10-003, BEARING TAPER ROLLER FRONT AXLE,
M.A.N.#06.32499.0043, SKF# BR331933 OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 4 MCTS LOT # 121-10-011, BEARING ROLLER TAPER FRONT AXLE, M.A.N.#
06.32499.0016, SKF# BR32310 OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $__________________________________________________
ITEM 5 MCTS LOT # 122-11-013, BEARING M.A.N. ONLY, M.A.N.#06.36959.0035 OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 6 MCTS LOT # 122-11-015, RING-SEAL, M.A.N. 06.56279.0311,
6312112NFA OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 7 MCTS LOT # 122-11-016, RING-SEAL BUSHING, M.A.N.#81.50308.0006,
6312117NFA OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_______________________________________________
ITEM 8 MCTS LOT # 122-11-038, SEAL-SHAFT, M.A.N.#06.56279.0297,
6312099NFA OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 9 MCTS LOT # 123-04-002, END-ROD MALE, NEW FLYER#103278,
CM-8Z AURORA OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $__________________________________________________
ITEM 10 MCTS LOT # 324-02-053, BEARING BALL SEALED, 1641DC OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 11 MCTS LOT # 910-10-010, BEARING INNER MUST HAVE 13-14 BALL BEARINGS,
BL209Z OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 12 MCTS LOT # 910-10-011, BEARING-OUTER, DELCO # 9440138 OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_______________________________________________
ITEM 13 MCTS LOT # 121-08-002, SEAL-SHAFT, M.A.N. 06.56279.0262, 6313119NFA OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 14 MCTS LOT # 122-16-009, OUTR REAR WHEEL SEAL, M.A.N.#06.56289.0371,
6319485NFA OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_______________________________________________
ITEM 15 MCTS LOT # 122-23-010, BUSHING-THREADED M115, M.A.N.#80.99606.0251,
NEW FLYER# 6313261 OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 16 MCTS LOT # 121-02-004, WASHER SEALING, M.A.N.#81.90711.0941, NEW
FLYER#6313070 OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $__________________________________________________
ITEM 17 MCTS LOT # 121-02-006, BUSHING OEM M.A.N. ONLY, M.A.N.#81.93020.0706,
NEW FLYER# 6313057 OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 18 MCTS LOT # 121-02-007, SEAL-SHAFT, M.A.N.#06.56279.0353 OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 19 MCTS LOT # 121-05-010, PIN- BRAKE SHOE, M.A.N.#81.50212.0036NEW
FLYER#6312122NFA OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_______________________________________________
ITEM 20 MCTS LOT # 121-06-013, BUSHING INTERNAL, M.A.N.#81.93020.0811, NEW
FLYER# 6312085NFA OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 21 MCTS LOT # 121-06-018, BUSHING SMALL, M.A.N.#81.93021.0117, NEW FLYER#
6312083NFA OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 22 MCTS LOT # 121-12-012, BEARING-THRUST ROLLER, M.A.N.#06.32819.0033,
NEWFLYER# 6313060 OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $__________________________________________________
ITEM 23 MCTS LOT # 121-16-018, BUSHING FRONT RADIUS ROD, M.A.N.#81.43722.0047,
NEW FLYER#6322936 OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 24 MCTS LOT # 122-10-006, SEAL-SHAFT AND HOLDER, M.A.N.#06.56289.0319,
NEW FLYER# 6312912 OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 25 MCTS LOT # 601-06-001, HUB AND BEARING ASSY. FRONT, M.A.N.#
81.93420.0349, NEW FLYER#6346288 OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_______________________________________________
ITEM 26 MCTS LOT # 602-06-013, SEAL PINION SHAFT, M.A.N.# 81.96503.0531, NEW
FLYER#6407910 OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 27 MCTS LOT # 602-09-002, BEARING ASSY-HUB UNIT REAR, M.A.N.#
81.93420.0342, NEW FLYER# 6392545 OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $__________________________________________________
ITEM 28 MCTS LOT # 602-09-006, SEAL-SHAFT, M.A.N.# 06.56289.0387, NEW
FLYER#7700177 OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 29 MCTS LOT # 602-09-011, RADIAL SHAFT SEAL W/ABS PULSE WHEEL, M.A.N.#
81.96503.0333, NEW FLYER#6392081 OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 30 MCTS LOT # 910-10-010, BEARING INNER SHIELDED, 209ZJ SKF OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 31 MCTS LOT # 370-01-006, KIT-UPPER RADIUS ROD 130MM BUSHING, NEW
FLYER#6335815NFA OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $__________________________________________________
ITEM 32 MCTS LOT # 370-01-007, KIT-UPPER RADIUS ROD BUSHING 150MM, NEW
FLYER#6356495 OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 33 MCTS LOT # 370-16-018, SEAL-SHAFT, M.A.N.# 81.96503.0530
NEW FLYER# 6361462NFA OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_______________________________________________
ITEM 34 MCTS LOT # 370-16-019, BEARING ASSY. HUB UNIT, M.A.N.# 81.93420.0346,
NEW FLYER# 6348112 OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
ITEM 35 MCTS LOT # 370-16-020, SEAL ASSY-ABS RING & SHAFT SEAL, NEW FLYER#
6345864NFA, M.A.N.# 81.96503.6000 OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_______________________________________________
ITEM 36 MCTS LOT # 370-16-033, BEARING ASSY THRUST, NEW FLYER# 6345895 OR APPROVED EQUAL
Bid Price in Words_______________________________________________
Bid Price in Figures $_____________________________________________
Vendor DUNS #__________________
VENDOR EMAIL: ___________________________________________
SPECIFICATION NO. FM-09-20
FOR BEARINGS, BUSHINGS AND SEALS
(Updated 5/5/20)
1. SCOPE AND CLASSIFICATION
1 Scope
a It is the intent of this specification to describe the minimum requirements for the
purchase of Bearings, Bushings and Seals for use in Milwaukee County Transit system
buses. All items or features not specifically mentioned which are necessary or which are
regularly furnished in order to provide complete service, shall be furnished by the
successful bidder at the bid price and shall conform in quality of material and service to
that usually provided by the engineering practice indicated in this specification. The
Milwaukee County Transit System is managed and operated by Milwaukee Transport
Services, Inc., and shall be referred to as MTS hereinafter.
2 Classification
a Bearing Standardization - Ball and Roller Bearings shall be manufactured to boundary
dimensions (outside diameter, bore diameter and width) and tolerances which have been
standardized by the Anti-Friction Bearing Manufacturers Association (AFBMA).
2. DOCUMENTATION
1 None Required
3. REQUIREMENTS
1 All bearings, seals and bushings furnished by the supplier shall be the manufacturer's latest
approved design and shall be in the manufacturers sealed container, to preclude corrosion by
contamination from the elements.
2 The supplier shall furnish the make and types of bearings, seals and bushings as specified by
MTS unless authorized, in writing, to substitute another make and type by MTS. Where listed
“OR APPROVED EQUAL”, a request for approved equal status may be submitted , see section
4. Samples, Inspection and Testing. Where listed “OR SEE PRE-APPROVED LIST”, see
section 3.7 a and b only.
3 The supplier and/or manufacturer shall furnish free of charge, engineering and technical
assistance which may be required in connection with the use, maintenance and failure analysis of
bearings, seals and bushings.
4 The seals furnished shall be of the highest industrial quality and meet all applicable coach
manufacturer's requirements.
5 The bearings and seals furnished shall in no way affect engine or coach warranties.
6 All bearings, bushings and seals shall be virgin – as new. Used items will not be accepted
7 Pre-Approved Bearings - The MTS pre-approved Bearings are as follows:
a TORRINGTON MERITOR TIMKEN
FAFNIR ALINABAL FAG
NTN/BOWER MRC SKF
NDH NACHI KOYO
AURORA RBC/HEIM M.A.N.
Pre-Approved Seals - The MTS pre-approved Seals are as follows:
b CHICAGO RAWHIDE
NATIONAL
STEMCO
FEDERAL MOGUL
GARLOCK
VICTOR
TCM
M.A.N.
8
MCTS LOT # DESCRIPTION PART #
018-06-009 JOINT-UNIVERSAL
DRIVESHAFT SPICER/DANA CP280X
121-10-002 SEAL SHAFT FRONT
AXLE
M.A.N.#06.56289.0369,
6333910NFA
121-10-003 BEARING TAPER ROLLER
FRONT AXLE
M.A.N.#06.32499.0043
SKF# BR331933
121-10-011 BEARING ROLLER TAPER
FRONT AXLE
M.A.N.#06.32499.0016
SKF# BR32310
122-11-013 BEARING M.A.N. ONLY M.A.N.#06.36959.0035
122-11-015 RING-SEAL M.A.N. 06.56279.0311
6312112NFA
122-11-016 RING-SEAL BUSHING M.A.N.#81.50308.0006
6312117NFA
122-11-038 SEAL-SHAFT M.A.N.#06.56279.0297
6312099NFA
123-04-002 END-ROD MALE NEW FLYER#103278
CM-8Z AURORA
324-02-053 BEARING BALL SEALED 1641DC
910-10-010 BEARING INNER MUST
HAVE 13-14 BALL
BEARINGS
BL209Z
910-10-011 BEARING-OUTER DELCO # 9440138
121-08-002 SEAL-SHAFT M.A.N. 06.56279.0262
6313119NFA
122-16-009 OUTR REAR WHEEL
SEAL
M.A.N.#06.56289.0371
6319485NFA
122-23-010 BUSHING-THREADED
M115
M.A.N.#80.99606.0251
NEW FLYER# 6313261
121-02-004 WASHER SEALING M.A.N.#81.90711.0941
NEW FLYER#6313070
121-02-006 BUSHING OEM M.A.N.
ONLY
M.A.N.#81.93020.0706
NEW FLYER# 6313057
121-02-007 SEAL-SHAFT M.A.N.#06.56279.0353
121-05-010 PIN- BRAKE SHOE M.A.N.#81.50212.0036
NEW FLYER#6312122NFA
121-06-013 BUSHING INTERNAL M.A.N.#81.93020.0811
NEW FLYER# 6312085NFA
121-06-018 BUSHING SMALL M.A.N.#81.93021.0117
NEW FLYER# 6312083NFA
121-12-012 BEARING-THRUST
ROLLER
M.A.N.#06.32819.0033
NEWFLYER# 6313060
121-16-018 BUSHING FRONT RADIUS
ROD
M.A.N.#81.43722.0047
NEW FLYER#6322936
122-10-006 SEAL-SHAFT AND
HOLDER
M.A.N.#06.56289.0319
NEW FLYER# 6312912
601-06-001 HUB AND BEARING
ASSY. FRONT
M.A.N.# 81.93420.0349
NEW FLYER#6346288
602-06-013 SEAL PINION SHAFT M.A.N.# 81.96503.0531
NEW FLYER#6407910
602-09-002 BEARING ASSY-HUB
UNIT REAR
M.A.N.# 81.93420.0342
NEW FLYER# 6392545
602-09-006 SEAL-SHAFT M.A.N.# 06.56289.0387
NEW FLYER#7700177
602-09-011 RADIAL SHAFT SEAL
W/ABS PULSE WHEEL
M.A.N.# 81.96503.0333
NEW FLYER#6392081
910-10-010 BEARING INNER
SHIELDED
209ZJ SKF
370-01-006 KIT-UPPER RADIUS ROD
130MM BUSHING
NEW FLYER#6335815NFA
370-01-007 KIT-UPPER RADIUS ROD
BUSHING 150MM
NEW FLYER#6356495
370-16-018 SEAL-SHAFT M.A.N.# 81.96503.0530
NEW FLYER# 6361462NFA
370-16-019 BEARING ASSY. HUB
UNIT
M.A.N.# 81.93420.0346
NEW FLYER# 6348112
370-16-020 SEAL ASSY-ABS RING &
SHAFT SEAL
NEW FLYER# 6345864NFA
M.A.N.# 81.96503.6000
370-16-033 BEARING ASSY THRUST NEW FLYER# 6345895
5. SAMPLES, INSPECTIONS, TESTS
1 Bidders seeking approved equal status for products not already approved shall submit the
following information prior to the Deadline for Questions established in the first section of this
solicitation document:
a Specification Data Sheet showing the product meets or exceeds OEM quality and
performance specifications
b A list of three (3) transit properties (minimum) that have used the item(s) you are
proposing to furnish, for a least two (2) years. Provide name, phone number and
contact person.
c A copy of manufacturer’s warranty. Also, see Section 6 of this specification which
outlines additional warranty requirements.
d MTS may request a sample during the approved equal process.
e MTS reserves the right to conduct tests before and after the award of the bid to
determine compliance with this specification and to determine the suitability of the
approved equal item(s) for the use intended.
6. PREPARATION AND DELIVERY
1 Standard orders shall be shipped within 72 hours of receiving verbal or written release from
MTS-Materials Management Department. Bidder(s) shall pay all freight charges to MTS and all
freight charges necessary to return incorrect orders.
2 Emergency orders shall be shipped within 24 hours or receiving verbal or written release from
the Materials Management Department. Additional freight costs deemed necessary by MTS
shall be borne by MTS.
3 Failure to deliver stock orders or to promptly replace rejected material within 15 working days,
shall render the bidder(s) liable for the difference in replacement cost between the open market
price and the contract price, where emergency procurement is necessary.
4 Bearings, bushings and seals shall be permanently stamped with manufacturer’s identification
symbol and or manufacturer’s name. All bearings, bushings and seals shall be packaged in
standard packaging bearing the name or identification symbol of the manufacturer.
Manufacturer shall be responsible for labor to cover R&R and rebuild cost caused by a
manufacturer’s defect.
5 The Shipping/Receiving address is:
Milwaukee County Transit System
1525 West Vine Street
Milwaukee, Wisconsin 53205
6 All deliveries shall be completed between the hours of 7:00 AM and 2:00 PM, Monday
through Friday.
7. WARRANTY
i. All bearings shall carry the manufacturer’s warranty.
ii. A written warranty shall be supplied by bidder.
iii. The successful bidder shall be responsible for ALL warranty claims filed by
MTS. The successful bidder(s) shall act as an agent for the part manufacturer and
shall agree to reimburse MTS for any labor or charges incurred at labor rate
$115.00 an hour to include towing cost for any quality defects in manufacturing
promptly, prior to its reimbursement from the manufacturer, if necessary.
iv. In the event the bidder(s) fails to comply with a request from MTS to repair,
replace materials, correct defective work, equipment and accessories, MTS shall,
upon written notice to the bidder(s), have authority to deduct the cost(s) from the
next payment due under the contract.
v. Any and all shipping cost incurred through the warranty process shall be the
responsibility and be paid by the chosen vendor.
b. Contractual Provisions
i. The agreement shall run for two (2) year from the initial contract date.
ii. This agreement may be extended by mutual consent of both parties. The
extension(s) shall be in the best interests of MTS.
iii. This agreement may be canceled by either party for cause, with a thirty (30) day
written notice. NOTE: MTS will invoke this option if minimum requirements of
this specification are not met.
iv. MTS shall NOT pay any penalties in case of cancellation.
c. Changes to bid/specification
i. No changes whatsoever shall be allowed without prior written consent of the MTS
Materials Management Department.
ii. No verbal responses from any agent of MTS shall be acted upon. For non-protest
clarifications, submit questions in writing.
PROFESSIONAL SERVICE CONTRACT
This Contract between Milwaukee Transport Services, Inc., a quasi-governmental
instrumentality of Milwaukee County and operator of Milwaukee County Transit System located at
1942 North 17th Street, Milwaukee, Wisconsin 53205 (hereinafter called the “MTS”), and___________
located at ____________(hereafter called “Contractor”), is entered into as of ________, 2020.
1. SCOPE OF SERVICES.
The Contract consists of the following _____ documents listed below, all of which are incorporated
herein by reference, in the following order of precedence that will be govern any inconsistencies
between the terms of this Contract and the terms of any Exhibits, Schedules, or Attachments
thereto:
a. This Professional Service Contract
b. MTS Request for Proposal/Bid/Quote #
c. Contractor’s Entire Proposal
d. Contractor’s Best and Final Offer
e. MTS Purchase Order
2. STAFFING.
Contractor’s employees listed below are assigned to MTS and are the main points of contact for
this Contract.
Name Position
Contractor shall not replace the employees listed above without the prior approval of the MTS. If the successor to any of those employees cannot be mutually agreed upon, MTS shall have the right to terminate this Contract upon thirty (30) days’ notice. Any replacement of listed personnel shall be by persons of equal qualifications, which shall be attested to by Contractor. The employees listed above shall be required to give this contractual obligation top priority.
Contractor represents that its employees and subcontractors possess the necessary skill, expertise,
and capability, including sufficient personnel with the necessary qualifications, to perform the
services required by this Contract. Contractor shall provide, at its own expense, all personnel
required in performing the services under this Contract. Such personnel shall not be the employees
of, or have any other contractual relationship with, MTS.
3. DATES OF PERFORMANCE.
The initial term of this Contract shall be from _______ through _______ or until such time as
either party notifies the other of its termination, as provided herein.
4. COMPENSATION.
Contractor shall be compensated for work as listed in Contractor’s Best and Final Offer, attached
and incorporated into this Contract. This compensation shall include any and all out-of-pocket
expenses incurred by Contractor or its employees State Prompt Pay Law, Section 66.285, does not
apply to this Contract. As a matter of practice, MTS attempts to pay all invoices in 30 days.
Contractor shall provide MTS with monthly billings, listing actual costs, which shall include, but
not be limited to, the following:
A. Name and address of contractor
Invoice date and number
B. Remittance name and address
C. Name, title, and phone number of person to notify in event of defective invoice
Invoices should be sent to: [email protected]
MTS reserves the right to use a purchasing card to pay invoices.
5. MISSION CRITICAL CONTRACT.
MTS has identified this Contract as critical to MTS’s ability to provide essential services. During
the duration of the current COVID-19 pandemic, while there are federal, state, and/or local
orders relating to or arising from this pandemic, or during any future pandemic or state of
emergency declared during the term of this contract by federal, state, or local governments,
Contractor will:
a. Dedicate resources to identify and mitigate situations in the workplace or jobsite which may
introduce, expose, or spread COVID-19.
b. Screen employees following current CDC guidelines to verify they have not: : a) Traveled to
a Level 2 or 3 Country in the past 14 days, or visited an area that requires self-quarantine
because of COVID-19 infection, b) Had close contact (within 6 feet) with anyone known or
suspected to have COVID19, c) Exhibited any symptoms (chest or back pain, cough,
difficulty breathing) of COVID-19 or had a fever greater than 100.4 in the past 14 days.
c. Educate employees on key CDC recommendations including how employees can protect
themselves and what employees should do if they feel sick.
d. Provide MTS services remotely, to the greatest extent possible.
e. Notify MTS within 24 hours of becoming aware of any employee who has been on site at
any MTS building, or in contact with any MTS employee, that has a confirmed or suspected
case of COVID-19.
f. Notify MTS immediately if Contractor believes, or has reason to believe, Contractor will be
unable to provide services or goods under this Contract.
g. Agrees that MTS is not responsible for any costs, and will not be invoiced for any incomplete
work, if MTS revokes permission for Contractor’s employees to be on MTS property due to
that employee exhibiting symptoms of COVID-19, or any other illness.
6. OWNERSHIP OF DATA.
Upon completion of the work or upon termination of the Contract, it is understood that all
completed or partially completed data, drawings, records, computations, survey information, and
all other material that Contractor has collected or prepared in carrying out this Contract shall be
provided to and become the exclusive property of MTS Therefore, any reports, information and
data, given to or prepared or assembled by Contractor under this Contract shall not be made
available to any individual or organization by Contractor without the prior written approval of
MTS.
No reports or documents produced in whole or in part under this Contract shall be the subject of
an application for copyright by or on behalf of the Contractor.
7. RIGHTS OF ACCESS AND AUDIT.
The Contractor, Lessee, or other party to the contract, its officers, directors, agents, partners and
employees shall allow MTS and Milwaukee County Audit Services Division and department
contract administrators (collectively referred to as Designated Personnel) and any other party the
Designated Personnel may name, with or without notice, to audit, examine and make copies of
any and all records of the Contractor, Lessee, or other party to the contract, related to the terms
and performance of the Contract for a period of up to three years following the date of last
payment, the end date of this contract, or activity under this contract, whichever is later. Any
subcontractors or other parties performing work on this Contract will be bound by the same
terms and responsibilities as the Contractor. All subcontracts or other agreements for work
performed on this Contract will include written notice that the subcontractors or other parties
understand and will comply with the terms and responsibilities. The Contractor, Lessee, or other
party to the contract, and any subcontractors understand and will abide by the requirements of
Chapter Section 34.09 (Audit) and Section 34.095 (Investigations concerning fraud, waste, and
abuse) of the Milwaukee County Code of General Ordinances.
8. AFFIRMATIVE ACTION.
The Contractor assures that it will undertake an affirmative action program as required by
Milwaukee County Code of General Ordinances (MCCGO) 56.17(1d), to insure that no person
shall, on the grounds of race, creed, color, national origin, or sex be excluded from participating
in any employment activities covered in MCCGO 56.17(1d). The Contractor assures that no
person shall be excluded, on these grounds, from participating in or receiving the services or
benefits of any program or activity covered by this subpart. The Contractor assures that it will
require that its covered organizations provide assurances to the Contractor that they similarly will
undertake affirmative action programs and that they will require assurances from their
suborganizations, as required by MCCGO 56.17(1d), to the same effect.
9. TARGETED BUSINESS ENTERPRISES.
Contractor shall comply with all provisions imposed by or pursuant to Milwaukee County Code
of General Ordinances Chapter 42 when and where applicable, and as said Ordinance may be
amended. The County shall notify Contractor in the event that new ordinances are issued.
10. NON-DISCRIMINATION, EQUAL EMPLOYMENT OPPORTUNITY AND AFFIRMATIVE
ACTION PROGRAMS.
In the performance of work or execution of this contract, the Contractor shall not discriminate
against any employee or applicant for employment because of race, color, national origin or
ancestry, age, sex, sexual orientation, gender identity and gender expression, disability, marital
status, family status, lawful source of income, or status as a victim of domestic abuse, sexual
assault or stalking, which shall include but not be limited to the following: employment,
upgrading, demotion or transfer; recruitment or recruitment advertising; layoff or termination;
rates of pay or other forms of compensation; and selection for training including apprenticeships.
A violation of this provision shall be sufficient cause for MTS to terminate the Contract without
liability for the uncompleted portion or for any materials or services purchased or paid for by the
Contractor for use in completing the contract.
The Contractor agrees that it will strive to implement the principles of equal employment
opportunities through an effective affirmative action program, and will so certify prior to the
award of the Contract, which program shall have as its objective to increase the utilization of
women, minorities and handicapped persons, and other protected groups, at all levels of
employment in all divisions of the contractor's workforce, where these groups may have been
previously under-utilized and under-represented. The Contractor also agrees that in the event of
any dispute as to compliance with the aforestated requirements, it shall be his/her responsibility
to show that he/she has met all such requirements.
The Contractor agrees that it will strive to implement the principles of active and aggressive
efforts to assist MTS in meeting or exceeding its overall annual goal of participation of target
enterprise firms.
When a violation of the non-discrimination, equal opportunity or Affirmative Action provisions
of this section has been determined by MTS. Contractor shall immediately be informed of the
violation and directed to take all action necessary to halt the violation, as well as such action as
may be necessary to correct, if possible, any injustice to any person adversely affected by the
violation, and immediately take steps to prevent further violations.
If, after notice of a violation to Contractor, further violations of the section are committed during
the term of the Contract, MTS may terminate the Contract without liability for the uncompleted
portion or any materials or services purchased or paid for by the Contractor for use in completing
the Contract, or it may permit Contractor to complete the Contract, but, in either event,
Contractor shall be ineligible to bid on any future contracts let by County.
11. INDEMNITY.
Contractor agrees to the fullest extent permitted by law, to indemnify, defend and hold harmless,
MTS and its agents, officers and employees, from and against all loss or expense including costs
and attorney’s fees by reason of statutory benefits under Workers’ Compensation Laws, or liability
for damages including suits at law or in equity, caused by any wrongful, intentional, or negligent
act or omission of Contractor, or its (their) agents which may arise out of or are connected with
the activities covered by this Contract.
Contractor shall indemnify and save MTS harmless from any award of damages and costs against
MTS for any action based on U.S. patent or copyright infringement regarding computers programs
involved in the performance of the tasks and services covered by this Agreement.
12. INSURANCE.
Contractor agrees to maintain policies of insurance and proof of financial responsibility to
cover costs as may arise from claims for damages to property of and/or claims which may
arise out of or result from Contractors activities, by whomever performed, in such coverage
and amounts as required and approved by MTS. Acceptable proof of such coverage shall be
furnished to MTS prior to commencement of activities under this agreement. A Certificate of
Insurance inc lud ing dec l a ra t ions page, shall be submitted for review for each
successive period of coverage for the duration of this agreement, unless otherwise specified by
MTS, in the minimum amounts specified below.
Contractor shall provide evidence of the following coverages and minimum amounts:
Type of Coverage Minimum Limits
Wisconsin Workers’ Compensation and
Employer’s Liability & Disease
Statutory/Waiver of Subrogation
$100,000/$500,000/$100,000
General Liability
Bodily Injury and Property Damage to
include: Personal Injury, Fire, Products
and Completed Operations
$1,000,000 Per Occurrence
$2,000,000 Aggregate
Automobile Liability
Bodily Injury and Property Damage
All Autos
$1,000,000 Per Accident
Professional Liability
Refer to Additional Provision A.1.
$1,000,000 Per Occurrence
$3,000,000 Aggregate
Umbrella Liability
Policy will follow form to underlying
Employer’s, General, and Automobile
Liability policies
$5,000,000 Per Occurrence
$5,000,000 Aggregate
Milwaukee Transport Services, Inc (MTS) and Milwaukee County shall be named as an
Additional Insured on the General and Automobile L iability policies as respects the services
provided in this agreement. A Waiver of Subrogation shall be afforded to MTS on the
Workers' Compensation policy. A thirty (30) day written notice of cancellation or non-renewal
shall be afforded to Milwaukee County.
The insurance specified above shall be placed with a Carrier approved to do business in the
State of Wisconsin. All carriers must be A rated or better per AM Best's Rating Guide. Any
requests for deviations from or waivers of required coverages or minimums shall be submitted
in writing and approved by MTS’s Risk Manager as a condition of this agreement.
A.1. Professional Liability – Additional Provision.
Contractor agrees to provide additional information on its professional liability coverage as
respects policy type, i.e. errors and omissions for consultants, architects, and/or engineers, etc.;
applicable retention levels; coverage form, i.e. claims made, occurrence; discover clause
conditions, and effective retroactive and expiration dates, to MTS’s Procurement Department as
may be requested to obtain approval of coverage as respects this section.
It is understood and agreed that coverage which applies to the services inherent in this agreement
will be extended for two (2) years after completion of all work contemplated on this project if
coverage is written on a claims-made basis.
13. PERMITS, TAXES, LICENSES.
Contractor is responsible for procuring, maintaining and paying for all necessary federal, state,
and local permits, licenses, fees and taxes required to carry out the provisions of this Contract.
14. TERMINATION BY CONTRACTOR.
Contractor may, at its option, terminate this Contract upon the failure of MTS to pay any amount
that may become due hereunder for a period of sixty (60) days following submission of appropriate
billing and supporting documentation. Upon said termination, Contractor shall be paid the
compensation due for all services rendered through the date of termination including any retainage.
15. TERMINATION BY MTS FOR VIOLATIONS BY CONTRACTOR.
If the Contractor fails to fulfill its obligations under this Contract in a timely or proper manner, or
violates any of its provisions, MTS shall there upon have the right to terminate it by giving thirty
(30) days written notice of termination of contract, specifying the alleged violations, and effective
date of termination. It shall not be terminated if, upon receipt of the notice, Contractor promptly
cures the alleged violation prior to the end of the thirty (30) day period. In the event of termination,
MTS will only be liable for services rendered through the date of termination and not for the
uncompleted portion, or for any materials or services purchased or paid for by Contractor for use
in completing the Contract.
16. UNRESTRICTED RIGHT OF TERMINATION BY MTS.
MTS further reserves the right to terminate the Contract at any time for any reason by giving
Contractor thirty (30) days written notice of such termination. In the event of said termination, the
Contractor shall reduce its activities hereunder as mutually agreed to, upon receipt of said notice,
and turn over all work product to MTS. Upon said termination, Contractor shall be paid for all
services rendered through the date of termination.
17. CONTINUITY OF SERVICE.
Contractor recognizes that the services under this contract are vital to MTS and must be continued
without interruption and that, upon contract expiration or termination, a successor, either MTS or
another contractor, may continue them. Contractor agrees to:
a. Furnish phase-in, phase-out services for up to 30 days after this contract expires or
terminates for any reason; and (ii) negotiate in good faith a plan with a successor to
determine the nature and extent of phase-in, phase-out services required. The plan shall
specify a training program and a date for transferring responsibilities for each division of
work described in the plan, and shall be subject to MTS approval. Contractor shall provide
sufficient experienced personnel during the phase-in, phase-out period to ensure that the
services called for by this contract are maintained at the required level of proficiency.
b. Contractor shall allow as many personnel as practicable to remain on the job to help the
successor maintain the continuity and consistency of the services required by this contract.
Contractor also shall disclose necessary personnel records and allow the successor to
conduct on-site interviews with these employees. If selected employees are agreeable to
the change, Contractor shall release them at a mutually agreeable date and negotiate transfer
of their earned fringe benefits to the successor.
18. INDEPENDENT CONTRACTOR.
Nothing contained in this Contract shall constitute or be construed to create a partnership or joint
venture between MTS or its successors or assigns and Contractor or its successors or assigns. In
entering into this Contract, and in acting in compliance herewith, Contractor is at all times acting
and performing as an independent contractor, duly authorized to perform the acts required of it
hereunder. Nothing contained in this Contract shall give Contractor any authority to supervise,
manage, and/or direct MTS employees.
19. SUBCONTRACTS.
Assignment of any portion of the work by subcontract must have the prior written approval of
County.
20. ASSIGNMENT LIMITATION.
This Contract shall be binding upon and inure to the benefit of the parties and their successors and
assigns; provided, however, that neither party shall assign its obligations hereunder without the
prior written consent of the other.
21. PROHIBITED PRACTICES.
The following practices are prohibited during the term of this contract:
a. Contractor during the period of this contract shall not hire, retain or utilize for
compensation any member, officer, or employee of MTS or any person who, to the
knowledge of Contractor, has a conflict of interest.
b. Contractor hereby attests that it is familiar with Milwaukee County’s Code of Ethics, which
applies to MTS employees, and which states, in part, “No person may offer to give to any
County officer or employee or his immediate family, and no County officer or employee
or his immediate family, may solicit or receive anything of value pursuant to an
understanding that such officer’s or employee’s vote, official actions or judgment would
be influenced thereby” and will not offer or give anything of value to any MTS employee.
22. PUBLIC RECORDS.
Both parties understand that MTS is bound by the public records law, and as such, all of the terms
of this agreement are subject to and conditioned on the provisions of Wis. Stat. § 19.21, et seq.
Contractor hereby agrees that it shall be obligated to assist MTS in retaining and timely producing
records that are subject to the Wisconsin Public Records Law upon any statutory request having
been made, and that any failure to do so shall constitute a material breach of this agreement,
whereupon the contractor shall then and in such event be obligated to indemnify, defend and hold
MTS harmless from liability under the Wisconsin Public Records Law occasioned by such breach.
Except as otherwise authorized by MTS in writing, records that are subject to the Wisconsin Public
Records Law shall be maintained for a period of three years after receipt of final payment under
this agreement.
23. TAXES.
MTS is exempt from Federal Excise Taxes and Wisconsin State Sales Taxes. Any billing
submitted by Contractor must be without such taxes. Including taxes on invoices will delay
payment.
24. NON-CONVICTION FOR BRIBERY.
Contractor hereby declares and affirms that, to the best of its knowledge, none of its officers,
directors, or partners or employees directly involved in obtaining contracts has been convicted of
bribery, attempted bribery, or conspiracy to bribe under the laws of any state or the federal
government.
25. CONFIDENTIALITY.
Contractor agrees that all work product and oral reporting shall be provided only to or as directed
by the individual who is signing this Contract on behalf of MTS, below, and not any other person
or entity, including any other MTS employee or official. Contractor further agrees that, aside from
obligations under the public records law as more fully described in Sec. 23 of this Contract and as
determined in cooperation with MTS Contractor shall maintain all materials and communications
developed under or relating to this Contract as confidential and shall disclose them only to or as
directed by the individual who is signing this Contract on behalf of MTS. Contractor understands
that breach of confidentiality, especially regarding information that is not subject to public records
law disclosure, may harm or create liability for MTS and may require Contractor to indemnify
MTS as provided in Sec. 12 of this Contract.
26. NOTICES.
All notices with respect to this Contract shall be in writing. Except as otherwise expressly provided
in this Agreement, a notice shall be deemed duly given and received upon delivery, if delivered by
hand, or three days after posting via US Mail, to the party addressed as follows:
To Contractor: To MTS:
Attn.: Attn.: Materials Management
Address: Address: 1942 N. 17th St
Milwaukee, WI 53205
Either party may designate a new address for purposes of this Contract by written notice to the
other party.
27. MISCELLANEOUS.
This Contract shall be interpreted and enforced under the laws and jurisdiction of the State of
Wisconsin.
This Contract constitutes the entire understanding between the parties and is not subject to
amendment unless agreed upon in writing by both parties.
28. LIQUIDATED DAMAGES
a. Contractor shall agree to reimburse MTS $115/hr. for any labor or charges incurred to repair
or address any quality defects in Contractor’s manufacturing that must be addressed
immediately. This rate includes towing costs for any buses that are unable to drive back to
MTS property due to Contractor’s poor manufacturing.
b. In the event that Contractor fails to comply with a request from MTS to repair, replace
materials, correct defective work, equipment, or accessories, MTS shall, upon written notice
to Contractor, have the authority to deduct the cost(s) incurred by MTS to address the request
from the next payment due under the contract.
29. FEDERAL LAWS, REGULATIONS, AND REQUIREMENTS.
Contractor acknowledges and agrees that it will perform its obligations hereunder in compliance
with all applicable state, local or federal law, rules and regulations and orders.
30. COUNTERPARTS.
This Agreement may be executed in counterparts, each of which is deemed an original, but all of
which together are deemed to be one and the same agreement. A signed copy of this Agreement
delivered by facsimile, e-mail, or other means of electronic transmission is deemed to have the
same legal effect as delivery of an original signed copy of this Agreement.
31. AUTHORIZATION.
IN WITNESS WHEREOF, this contract is effective on the date of the last acquired signature.
Signer for Contractor warrants they are authorized to sign on behalf of Contractor.
CONTRACTOR
By: _________________________________ Date: _________________________
Signed
__________________________________ __________________________
Name Printed Title
Milwaukee Transport Services, Inc
By: _________________________________ Date: __________________________
Signed
__________________________________ __________________________
Name Printed Title
EQUAL EMPLOYMENT OPPORTUNITY CERTIFICATE
FOR
MILWAUKEE COUNTY CONTRACTS
In accordance with Section 56.17 of the Milwaukee County General Ordinances and Title 41 of the
Code of Federal Regulations, Chapter 60, SELLER or SUCCESSFUL BIDDER or CONTRACTOR or
LESSEE or (other-specify) _______________________________________
(henceforth referred to as VENDOR), certifies to MILWAUKEE COUNTY as to the following and
agrees that the terms of this certificate are hereby incorporated by reference into any contract awarded.
Non-Discrimination
VENDOR certifies that it will not discriminate against any employee or applicant for employment
because of race, color, national origin, age, sex or disability, which includes, but is not limited to the
following: employment, upgrading, demotion or transfer, recruitment or recruitment advertising, layoff
or termination, rates of pay or other forms of compensation, and selection for training including
apprenticeship.
VENDOR will post, in conspicuous places available to its employees, notices to be provided by the
County setting forth the provisions of the non-discriminatory clause.
A violation of this provision shall be sufficient cause for the County to terminate the contract without
liability for the uncompleted portion or for any materials or services purchased or paid for by the
contractor for use in completing the contract.
Affirmative Action Program
VENDOR certifies that it will strive to implement the principles of equal employment opportunity
through an effective affirmative action program, which shall have as its objective to increase the
utilization of women, minorities, and persons with disabilities and other protected groups, at all levels of
employment in all divisions of the seller, successful respondent or contractor’s work force, where these
groups may have been previously under-utilized and under-represented.
Non-Segregated Facilities
VENDOR certifies that it does not and will not maintain or provide for its employees any segregated
facilities at any of its establishments, and that it does not permit its employees to perform their services
at any location under its control where segregated facilities are maintained.
Subcontractors
VENDOR certifies that it has obtained or will obtain certifications regarding non-discrimination,
affirmative action program and non-segregated facilities from proposed subcontractors that are directly
related to any contracts with Milwaukee County, if any, prior to the award of any sub-contracts, and that
it will retain such certifications in its files.
Reporting Requirements
Where applicable, VENDOR certifies that it will comply with all reporting requirements and procedures
in Title Code 41 Code of Federal Regulations, Chapter 60.
Affirmative Action Plan
VENDOR certifies that, if it has 50 or more employees, it has filed or will develop and submit (within
120 days of contract award) for each of its establishments a written affirmative action plan. Current
affirmative action plans, if required, must be filed with ANY one of the following: The Office of Federal
Contract Compliance Programs, or the State of Wisconsin, or the Milwaukee County Department of
Audit, Milwaukee County - City Campus, 9th Floor, 2711 W. Wells Street, Milwaukee, Wisconsin
53208. If a current plan has been filed, indicate where filed and the year
covered . Please provide proof of your AA Plan approval.
VENDOR will also require its lower-tier subcontractors who have 50 or more employees to establish
similar written affirmative action plans.
Employees
VENDOR certifies that it has employees in the Standard Metropolitan
(No. of Employees)
Statistical Area (Wisconsin Counties of Milwaukee, Waukesha, Ozaukee and Washington) and _______
employees in total. (Total No. of Employees)
Compliance
VENDOR certifies that it is not currently in receipt of any outstanding letters of deficiencies, show
cause, probable cause, or other notification of noncompliance with EEO regulations.
Executed this day of 20 by:
Name and Title:________________________________________________________________
Firm Name: ___________________________________________________________________
Address:______________________________________________________________________
City/State/Zip:__________________________________________________________________
Telephone:________________________________FAX: _______________________________
WARNING: An unsigned form shall be considered as a negative response.
By___________________________________________________________________________
(Signature)
______________________________________________________________________________
(Please Print Name Here)
CONFLICT OF INTEREST STATEMENT
________________________________________ hereby certifies that our Firm’s officers and/or
personnel assigned to this project or their immediate family members do not have a Conflict of Interest
performing the duties outlined in our contract(s) with Milwaukee County Transit System (MCTS). To the
best of our knowledge, no officer and/or personnel assigned or their immediate family members has a
material financial interest in any commercial entity which may provide products or services as part of this
MCTS project. If our Firm’s officers and/or personnel that are assigned to this MCTS project become
aware of any development that may create a conflict of interest and compromise the integrity of the project,
they shall notify MCTS immediately and take the necessary action to address the conflict.
Conflict of Interest: A situation in which professional judgment or behavior concerning a primary interest
of a MCTS project has been improperly influenced by a different interest (such as for financial gain).
Immediate family member: spouse/partner or son or daughter.
Material financial interest: ownership or beneficial ownership of more than $10,000 worth of equity or
one percent of the stock in a commercial entity.
(Name of Company)
(Authorized Name, Print) (Title)
(Name of Assigned Consultant, Print) (Signature of Consultant)
____________________________________
(Date)
BUY AMERICA REQUIREMENTS
49 U.S.C. 5323(j) 49 CFR Part 661
Applicability to Contracts The Buy America requirements apply to the following types of contracts: Construction Contracts and Acquisition of Goods or Rolling Stock (valued at more than $100,000).
Flow Down Requirements: The Buy America requirements flow down from FTA recipients and subrecipients to first tier contractors, who are responsible for ensuring that lower tier contractors and subcontractors are in compliance. The $100,000 threshold applies only to the grantee contract, subcontracts under that amount are subject to Buy America.
Mandatory Clause/Language: The Buy America regulation, at 49 CFR 661.13, requires notification of the Buy America requirements in FTA-funded contracts, but does not specify the language to be used. The following language has been developed by FTA.
Buy America - The contractor agrees to comply with 49 U.S.C. 5323(j) and 49 C.F.R. Part 661, which provide that Federal funds may not be obligated unless steel, iron, and manufactured products used in FTA-funded projects are produced in the United States, unless a waiver has been granted by FTA or the product is subject to a general waiver. General waivers are listed in 49 C.F.R. 661.7, and include final assembly in the United States for 15 passenger vans and 15 passenger wagons produced by Chrysler Corporation, and microcomputer equipment and software. Separate requirements for rolling stock are set out at 49 U.S.C. 5323(j)(2)(C) and 49 C.F.R. 661.11. Rolling stock must be assembled in the United States and have a 60 percent domestic content.
A bidder or offeror must submit to the FTA recipient the appropriate Buy America certification (below) with all bids or offers on FTA-funded contracts, except those subject to a general waiver. Bids or offers that are not accompanied by a completed Buy America certification must be rejected as nonresponsive. This requirement does not apply to lower tier subcontractors.
Certification requirement for procurement of steel, iron, or manufactured products.
Certificate of Compliance with 49 U.S.C. 5323(j)(1)
The bidder or offeror hereby certifies that it will meet the requirements of 49 U.S.C. 5323(j)(1) and the applicable regulations in 49 CFR Part 661.5.
Date ____________________________________________________________
Signature______________________________________________________
Company Name_______________________________________________________
Title _____________________________________________________________
Certificate of Non-Compliance with 49 U.S.C. 5323(j)(1)
The bidder or offeror hereby certifies that it cannot comply with the requirements of 49 U.S.C. 5323(j)(1) and 49 C.F.R. 661.5, but it may qualify for an exception pursuant to 49 U.S.C. 5323(j)(2)(A), 5323(j)(2)(B), or 5323(j)(2)(D), and 49 C.F.R. 661.7.
Date _________________________________________________________________
Signature ___________________________________________________________
Company Name _________________________________________________________
Title _______________________________________________________________
Certification requirement for procurement of buses, other rolling stock and associated equipment.
Certificate of Compliance with 49 U.S.C. 5323(j)(2)(C).
The bidder or offeror hereby certifies that it will comply with the requirements of 49 U.S.C. 5323(j)(2)(C) and the regulations at 49 C.F.R. Part 661.11.
Date _________________________________________________________________
Signature ____________________________________________________________
Company Name ____________________________________________________________
Title _________________________________________________________________
Certificate of Non-Compliance with 49 U.S.C. 5323(j)(2)(C)
The bidder or offeror hereby certifies that it cannot comply with the requirements of 49 U.S.C. 5323(j)(2)(C) and 49 C.F.R. 661.11, but may qualify for an exception pursuant to 49 U.S.C. 5323(j)(2)(A), 5323(j)(2)(B), or 5323(j)(2)(D), and 49 C.F.R. 661.7.
Date _______________________________________________________________
Signature ____________________________________________________________
Company Name ________________________________________________________
Title _______________________________________________________________
False Claims Act Form
A recent amendment to the Federal Acquisition Regulation requires contractors to disclose violations of
criminal law and the False Claims Act in connection with the award and performance of government
contracts and subcontracts.
By signing this form, it assures Milwaukee Transport Services, Inc., that Contractors are subject to
debarment and suspension from government contracting for knowingly failing to disclose such violations
and overpayments on government contracts in a timely manner.
Date: _____________
Submitted by: ________________________________________________________
Name of firm: _______________________________________________________
Address of firm: ______________________________________________________
Signed per: __________________________________________________________ (manual signature required)
Print name: __________________________________________________________
Title: __________________________________Email: ________________________
Telephone: ___________________________Fax: ____________________________
CERTIFICATION REGARDING
DEBARMENT, SUSPENSION, PROPOSED DEBARMENT, AND
OTHER RESPONSIBILITY MATTERS
A. The Proposer certifies to the best of its knowledge and belief that it and its principals:
1. Are not presently debarred, suspended, proposed for disbarment, declared ineligible, or voluntarily
excluded from covered transactions by any Federal department or agency;
2. Have not within a ten-year period preceding this application been convicted of or had a civil judgment
rendered against them for commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a
public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft,
forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen
property;
3. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity
(Federal, State, or local) with commission of any of the offenses enumerated in paragraph (A)(2) of this
certification; and
4. Have not within a three-year period preceding this application had one or more public transactions
(Federal, State, or local) terminated for cause or default.
B. Where the prospective primary participant is unable to certify to any of the statements in this
certification, such prospective primary participant shall attach an explanation to this proposal.
Contractor Name: _________________________________________________________
Date: ___________________________________________________________________
By: _____________________________________________________________________
DUNS #: ________________________________________________
Name and Title of Authorized Representative: __________________________________
Signature of Authorized Representative: _______________________________________ Form 1220 12.19.2016
NON-COLLUSION AFFIDAVIT
The undersigned bidder or agent, being duly sworn on oath, says that he/she has not, nor has any other member, representative, or agent of the firm, company, corporation or partnership represented by him, entered into any combination, collusion or agreement with any person relative to the price to be bid by anyone at such letting nor to prevent any person from bidding nor to include anyone to refrain from bidding, and that this bid is made without reference to any other bid and without any agreement, understanding or combination with any other person in reference to such bidding. He/She further says that no person or persons, firms, or corporation has, have or will receive directly or indirectly, any rebate, fee gift, commission or thing of value on account of such sale.
OATH AND AFFIRMATION
I HEREBY AFFIRM UNDER THE PENALTIES FOR PERJURY THAT THE FACTS AND INFORMATION CONTAINED IN THE FOREGOING BID FOR PUBLIC WORKS ARE TRUE AND CORRECT. Dated this ___ day of ____________________, ________ _________________________________________________ (Name of Organization) (Title of Person Signing) (Signature)
ACKNOWLEDGEMENT
STATE OF _______________________) ) ss COUNTY OF_____________________) Before me, a Notary Public, personally appeared the above named and swore that the statements contained in the foregoing document are true and correct. Subscribed and sworn to me this _______ day of _____________, _______. ______________________________ Notary Public Signature My Commission Expires: __________________________________________________
September 2019
U.S. GOVERNMENT REQUIRED CLAUSES
Fly America Requirements – Applicability – all contracts involving transportation of persons
or property, by air between the U.S. and/or places outside the U.S. These requirements do not
apply to micro-purchases ($10,000 or less, except for construction contracts over $2,000).
Contractor shall comply with 49 USC 40118 (the “Fly America” Act) in accordance with
General Services Administration regulations 41 CFR 301-10, stating that recipients and
subrecipients of Federal funds and their contractors are required to use US Flag air carriers for
US Government-financed international air travel and transportation of their personal effects or
property, to the extent such service is available, unless travel by foreign air carrier is a matter of
necessity, as defined by the Fly America Act. Contractor shall submit, if a foreign air carrier was
used, an appropriate certification or memorandum adequately explaining why service by a US
flag air carrier was not available or why it was necessary to use a foreign air carrier and shall, in
any event, provide a certificate of compliance with the Fly America requirements. Contractor
shall include the requirements of this section in all subcontracts that may involve international air
transportation.
Buy America Requirements – Applicability – Construction Contracts and Acquisition of Goods
or Rolling Stock (valued at more than $150,000)
Contractor shall comply with 49 USC 5323(j) and 49 CFR 661, stating that Federal funds may
not be obligated unless steel, iron, and manufactured products used in FTA-funded projects are
produced in the United States, unless a waiver has been granted by FTA or the product is subject
to a general waiver. General waivers are listed in 49 CFR 661.7, and include software,
microcomputer equipment and small purchases (currently less than $150,000) made with capital,
operating, or planning funds. Separate requirements for rolling stock are stated at 5323(j)(2)(C)
and 49 CFR 661.11. Rolling stock must be manufactured in the US and have a minimum 60%
domestic content for FY2016 and FY2017, a minimum 65% domestic content for FY2018 and
FY2019 and a minimum 70% domestic content for FY2020 and beyond. A bidder or offeror
shall submit appropriate Buy America certification to the recipient with all bids on FTA-funded
contracts, except those subject to a general waiver. Proposals not accompanied by a completed
Buy America certification shall be rejected as nonresponsive. This requirement does not apply to
lower tier subcontractors.
Charter Bus Requirements – Applicability – Operational Service Contracts. These
requirements do not apply to micro-purchases ($10,000 or less, except for construction contracts
over $2,000).
Contractor shall comply with 49 USC 5323(d) and (g) and 49 CFR 604, which state that
recipients and subrecipients of FTA assistance may provide charter service for transportation
projects that uses equipment or facilities acquired with Federal assistance authorized under the
Federal transit laws (except as permitted by 49 CFR 604.2), or under 23 U.S.C. 133 or 142, only
in compliance with those laws and FTA regulations, “Charter Service,” 49 CFR part 604, the
terms and conditions of which are incorporated herein by reference.
School Bus Requirements – School Bus Requirements – Applicability – Operational Service
Contracts. These requirements do not apply to micro-purchases ($10,000 or less, except for
construction contracts over $2,000). Pursuant to 69 USC 5323(f) or (g) as amended by MAP-21,
23 USC 133, 23 USC 142, and 49 CFR 605, recipients and subrecipients of FTA assistance shall
September 2019
not engage in school bus operations exclusively for transportation of students and school
personnel in competition with private school bus operators unless qualified under specified
exemptions. When operating exclusive school bus service under an allowable exemption,
recipients and subrecipients shall not use federally funded equipment, vehicles, or facilities.
Violations. If a Recipient or any Third-Party Participant that has operated school bus service in
violation of FTA’s School Bus laws and regulations, FTA may: (1) Require the Recipient or
Third-Party Participant to take such remedial measures as FTA considers appropriate, or (2) Bar
the Recipient or Third Party Participant from receiving Federal transit funds.
Cargo Preference - Use of US-Flag Vessels – Applicability – Contracts involving equipment,
materials or commodities which may be transported by ocean vessels. These requirements do
not apply to micro-purchases ($10,000 or less, except for construction contracts over $2,000).
Contractor shall: a. use privately owned US-Flag commercial vessels to ship at least 50% of the
gross tonnage (computed separately for dry bulk carriers, dry cargo liners, and tankers) involved,
whenever shipping any equipment, material, or commodities pursuant to the underlying contract
to the extent such vessels are available at fair and reasonable rates for US flag commercial
vessels; b. furnish within 20 working days following the loading date of shipments originating
within the US or within 30 working days following the loading date of shipments originating
outside the US, a legible copy of a rated, "on-board" commercial bill-of-lading in English for
each shipment of cargo described herein to the Division of National Cargo, Office of Market
Development, Maritime Administration, Washington, DC 20590 and to the recipient (through
contractor in the case of a subcontractor's bill-of-lading.) c. include these requirements in all
subcontracts issued pursuant to this contract when the subcontract involves the transport of
equipment, material, or commodities by ocean vessel.
Seismic Safety – Applicability – Construction of new buildings or additions to existing
buildings. These requirements do not apply to micro-purchases ($10,000 or less, except for
construction contracts over $2,000). Contractor agrees that any new building or addition to an
existing building shall be designed and constructed in accordance with the standards required in
USDOT Seismic Safety Regulations 49 CFR 41 and shall certify compliance to the extent
required by the regulation. Contractor shall also ensure that all work performed under this
contract, including work performed by subcontractors, complies with the standards required by
49 CFR 41 and the certification of compliance issued on the project.
Energy Conservation – Applicability – All Contracts except micro-purchases ($10,000 or less,
except for construction contracts over $2,000) Contractor shall comply with mandatory standards
and policies relating to energy efficiency, stated in the state energy conservation plan issued in
compliance with the Energy Policy & Conservation Act.
Clean Water – Applicability – All Contracts and Subcontracts over $150,000. Contractor shall
comply with all applicable standards, orders or regulations issued pursuant to the Federal Water
Pollution Control Act, as amended, 33 USC 1251 et seq. Contractor shall report each violation to
the recipient and understands and agrees that the recipient shall, in turn, report each violation as
required to FTA and the appropriate EPA Regional Office. Contractor shall include these
requirements in each subcontract exceeding $150,000 financed in whole or in part with FTA
assistance.
September 2019
Bus Testing – Applicability – Rolling Stock/Turnkey
Contractor [manufacturer] shall comply with 49 USC A5323(c) and FTA's implementing
regulation 49 CFR 665 and shall perform the following:
1) A manufacturer of a new bus model or a bus produced with a major change in components or
configuration shall provide a copy of the final test report to the recipient prior to the recipient's
final acceptance of the first vehicle.
2) A manufacturer who releases a report under para. 1 above shall provide notice to the operator
of the testing facility that the report is available to the public.
3) If the manufacturer represents that the vehicle was previously tested, the vehicle being sold
should have the identical configuration and major components as the vehicle in the test report,
which must be provided to the recipient prior to the recipient's final acceptance of the first
vehicle. If configuration or components are not identical, the manufacturer shall provide a
description of the change and the manufacturer's basis for concluding that it is not a major
change requiring additional testing.
4) If the manufacturer represents that the vehicle is "grandfathered" (has been used in mass
transit service in the US before Oct. 1, 1988, and is currently being produced without a major
change in configuration or components), the manufacturer shall provide the name and address of
the recipient of such a vehicle and the details of that vehicle's configuration and major
components.
Pre-Award & Post-Delivery Audit Requirements - Applicability – Rolling Stock/Turnkey
Contractor shall comply with 49 USC 5323(l) and FTA's implementing regulation 49 CFR 663
and submit the following certifications:
1) Buy America Requirements: Contractor shall complete and submit a declaration
certifying either compliance or noncompliance with Buy America. If contractor certifies
compliance with Buy America, it shall submit documentation listing:
A. Component and subcomponent parts of the rolling stock to be purchased
identified by manufacturer of the parts, their country of origin and costs; and
B. The location of the final assembly point for the rolling stock, including a
description of the activities that will take place at the final assembly point and the
cost of final assembly.
C. Solicitation Specification Requirements: Contractor shall submit evidence that it
will be capable of meeting the bid specifications.
D. Federal Motor Vehicle Safety Standards (FMVSS): Contractor shall submit 1)
manufacturer's FMVSS self-certification sticker information that the vehicle
complies with relevant FMVSS or 2) manufacturer's certified statement that the
buses will not be subject to FMVSS regulations.
Lobbying – Applicability - Construction/Architectural and Engineering/Acquisition of Rolling
Stock/Professional Service Contract/Operational Service Contract/Turnkey contracts over
September 2019
$100,000
Byrd Anti-Lobbying Amendment, 31 U.S.C. 1352, as amended by the Lobbying Disclosure Act
of 1995, P.L. 104-65 [to be codified at 2 U.S.C. § 1601, et seq.] - Contractors who apply or bid
for an award of $100,000 or more shall file the certification required by 49 CFR part 20, "New
Restrictions on Lobbying." Each tier certifies to the tier above that it will not and has not used
Federal appropriated funds to pay any person or organization for influencing or attempting to
influence an officer or employee of any agency, a member of Congress, officer or employee of
Congress, or an employee of a member of Congress in connection with obtaining any Federal
contract, grant or any other award covered by 31 U.S.C. 1352. Each tier shall also disclose the
name of any registrant under the Lobbying Disclosure Act of 1995 who has made lobbying
contacts on its behalf with non-Federal funds with respect to that Federal contract, grant or award
covered by 31 U.S.C. 1352. Such disclosures are forwarded from tier to tier up to the recipient.
Access to Records and Reports– Applicability – As shown below. These requirements do not
apply to micro-purchases ($10,000 or less, except for construction contracts over $2,000)
The following access to records requirements apply to this Contract:
1. Where the purchaser is not a State but a local government and is an FTA recipient or a
subgrantee of FTA recipient in accordance with 49 CFR 18.36(i), contractor shall provide the
purchaser, the FTA, the US Comptroller General or their authorized representatives access to any
books, documents, papers and contractor records which are pertinent to this contract for the
purposes of making audits, examinations, excerpts and transcriptions. Contractor shall also,
pursuant to 49 CFR 633.17, provide authorized FTA representatives, including any PMO
contractor, access to contractor's records and construction sites pertaining to a capital project,
defined at 49 USC 5302(a)1, which is receiving FTA assistance through the programs described
at 49 USC 5307, 5309 or 5311.
2. Where the purchaser is a State and is an FTA recipient or a subgrantee of FTA recipient in
accordance with 49 CFR 633.17, contractor shall provide the purchaser, authorized FTA
representatives, including any PMO Contractor, access to contractor's records and construction
sites pertaining to a capital project, defined at 49 USC 5302(a)1, which receives FTA assistance
through the programs described at 49 USC 5307, 5309 or 5311. By definition, a capital project
excludes contracts of less than the simplified acquisition threshold currently set at $250,000.
3. Where the purchaser enters into a negotiated contract for other than a small purchase or under
the simplified acquisition threshold and is an institution of higher education, a hospital or other
non-profit organization and is an FTA recipient or a subgrantee of FTA recipient in accordance
with 49 CFR 19.48, contractor shall provide the purchaser, the FTA, the US Comptroller General
or their authorized representatives, access to any books, documents, papers and record of the
contractor which are directly pertinent to this contract for the purposes of making audits,
examinations, excerpts and transcriptions.
4. Where a purchaser which is an FTA recipient or a subgrantee of FTA recipient in accordance
with 49 USC 5325(a) enters into a contract for a capital project or improvement (defined at 49
USC 5302(a)1) through other than competitive bidding, contractor shall make available records
related to the contract to the purchaser, the Secretary of USDOT and the US Comptroller General
or any authorized officer or employee of any of them for the purposes of conducting an audit and
September 2019
inspection.
5. Contractor shall permit any of the foregoing parties to reproduce by any means whatsoever or
to copy excerpts and transcriptions as reasonably needed.
6. Contractor shall maintain all books, records, accounts and reports required under this contract
for a period of not less than three (3) years after the date of termination or expiration of this
contract, except in the event of litigation or settlement of claims arising from the performance of
this contract, in which case contractor agrees to maintain same until the recipient, FTA
Administrator, US Comptroller General, or any of their authorized representatives, have disposed
of all such litigation, appeals, claims or exceptions related thereto. Re: 49 CFR 18.39(i)(11).
FTA does not require the inclusion of these requirements in subcontracts.
Federal Changes – Applicability – All Contracts except micro-purchases ($10,000 or less,
except for construction contracts over $2,000)
Contractor shall comply with all applicable FTA regulations, policies, procedures and directives,
including without limitation those listed directly or by reference in the Master Agreement
between the recipient and FTA, as they may be amended or promulgated from time to time
during the term of the contract. Contractor's failure to comply shall constitute a material breach
of the contract.
Bonding Requirements – Applicability – For those construction or facility improvement
contracts or subcontracts exceeding $250,000, FTA may accept the bonding policy and
requirements of the recipient, provided that they meet the minimum requirements for
construction contracts as follows:
a. A bid guarantee from each bidder equivalent to five (5) percent of the bid price. The "bid
guarantees" shall consist of a firm commitment such as a bid bond, certifies check, or other
negotiable instrument accompanying a bid as assurance that the bidder will, upon acceptance of
his bid, execute such contractual documents as may be required within the time specified.
b. A performance bond on the part to the Contractor for 100 percent of the contract price. A
"performance bond" is one executed in connection with a contract to secure fulfillment of all the
contractor's obligations under such contract.
c. A payment bond on the part of the contractor for 100 percent of the contract price. A
"payment bond" is one executed in connection with a contract to assure payment, as required by
law, of all persons supplying labor and material in the execution of the work provided for in the
contract. Payment bond amounts required from Contractors are as follows:
(1) 50% of the contract price if the contract price is not more than $1 million;
(2) 40% of the contract price if the contract price is more than $1 million but not more than $5
million; or
(3) $2.5 million if the contract price is more than $5 million.
d. A cash deposit, certified check or other negotiable instrument may be accepted by a grantee in
lieu of performance and payment bonds, provided the grantee has established a procedure to
assure that the interest of FTA is adequately protected. An irrevocable letter of credit would also
September 2019
satisfy the requirement for a bond.
Bid Bond Requirements (Construction)
(a) Bid Security - A Bid Bond must be issued by a fully qualified surety company acceptable to
(Recipient) and listed as a company currently authorized under 31 CFR, Part 223 as possessing a
Certificate of Authority as described thereunder.
(b) Rights Reserved - In submitting this Bid, it is understood and agreed by bidder that the right
is reserved by (Recipient) to reject any and all bids, or part of any bid, and it is agreed that the
Bid may not be withdrawn for a period of [ninety (90)] days subsequent to the opening of bids,
without the written consent of (Recipient).
It is also understood and agreed that if the undersigned bidder should withdraw any part or all of
his bid within [ninety (90)] days after the bid opening without the written consent of (Recipient),
shall refuse or be unable to enter into this Contract, as provided above, or refuse or be unable to
furnish adequate and acceptable Performance Bonds and Labor and Material Payments Bonds, as
provided above, or refuse or be unable to furnish adequate and acceptable insurance, as provided
above, he shall forfeit his bid security to the extent of (Recipient's) damages occasioned by such
withdrawal, or refusal, or inability to enter into an agreement, or provide adequate security
therefor.
It is further understood and agreed that to the extent the defaulting bidder's Bid Bond, Certified
Check, Cashier's Check, Treasurer's Check, and/or Official Bank Check (excluding any income
generated thereby which has been retained by (Recipient) as provided in [Item x "Bid Security"
of the Instructions to Bidders]) shall prove inadequate to fully recompense (Recipient) for the
damages occasioned by default, then the undersigned bidder agrees to indemnify (Recipient) and
pay over to (Recipient) the difference between the bid security and (Recipient's) total damages,
so as to make (Recipient) whole.
The undersigned understands that any material alteration of any of the above or any of the
material contained on this form, other than that requested, will render the bid unresponsive.
Performance and Payment Bonding Requirements (Construction)
The Contractor shall be required to obtain performance and payment bonds as follows:
(a) Performance bonds
1. The penal amount of performance bonds shall be 100 percent of the original contract price,
unless the (Recipient) determines that a lesser amount would be adequate for the protection of
the (Recipient).
2. The (Recipient) may require additional performance bond protection when a contract price is
increased. The increase in protection shall generally equal 100 percent of the increase in contract
price. The (Recipient) may secure additional protection by directing the Contractor to increase
the penal amount of the existing bond or to obtain an additional bond.
(b) Payment bonds
1. The penal amount of the payment bonds shall equal:
(i) Fifty percent of the contract price if the contract price is not more than $1 million.
September 2019
(ii) Forty percent of the contract price if the contract price is more than $1 million but not more
than $5 million; or
(iii) Two and one half million if the contract price is more than $5 million.
2. If the original contract price is $5 million or less, the (Recipient) may require additional
protection as required by subparagraph 1 if the contract price is increased.
Performance and Payment Bonding Requirements (Non-Construction)
The Contractor may be required to obtain performance and payment bonds when necessary to
protect the (Recipient's) interest.
(a) The following situations may warrant a performance bond:
1. (Recipient) property or funds are to be provided to the contractor for use in performing the
contract or as partial compensation (as in retention of salvaged material).
2. A contractor sells assets to or merges with another concern, and the (Recipient), after
recognizing the latter concern as the successor in interest, desires assurance that it is financially
capable.
3. Substantial progress payments are made before delivery of end items starts.
4. Contracts are for dismantling, demolition, or removal of improvements.
(b) When it is determined that a performance bond is required, the Contractor shall be required to
obtain performance bonds as follows:
1. The penal amount of performance bonds shall be 100 percent of the original contract price,
unless the (Recipient) determines that a lesser amount would be adequate for the protection of
the (Recipient).
2. The (Recipient) may require additional performance bond protection when a contract price is
increased. The increase in protection shall generally equal 100 percent of the increase in contract
price.
The (Recipient) may secure additional protection by directing the Contractor to increase the
penal amount of the existing bond or to obtain an additional bond.
(c) A payment bond is required only when a performance bond is required, and if the use of
payment bond is in the (Recipient's) interest.
(d) When it is determined that a payment bond is required, the Contractor shall be required to
obtain payment bonds as follows:
1. The penal amount of payment bonds shall equal:
(i) Fifty percent of the contract price if the contract price is not more than $1 million;
(ii) Forty percent of the contract price if the contract price is more than $1 million but not more
than $5 million; or
September 2019
(iii) Two and one half million if the contract price is increased.
Advance Payment Bonding Requirements
The Contractor may be required to obtain an advance payment bond if the contract contains an
advance payment provision and a performance bond is not furnished. The (recipient) shall
determine the amount of the advance payment bond necessary to protect the (Recipient).
Patent Infringement Bonding Requirements (Patent Indemnity)
The Contractor may be required to obtain a patent indemnity bond if a performance bond is not
furnished and the financial responsibility of the Contractor is unknown or doubtful. The
(recipient) shall determine the amount of the patent indemnity to protect the (Recipient).
Warranty of the Work and Maintenance Bonds
1. The Contractor warrants to (Recipient), the Architect and/or Engineer that all materials and
equipment furnished under this Contract will be of highest quality and new unless otherwise
specified by (Recipient), free from faults and defects and in conformance with the Contract
Documents. All work not so conforming to these standards shall be considered defective. If
required by the [Project Manager], the Contractor shall furnish satisfactory evidence as to the
kind and quality of materials and equipment.
2. The Work furnished must be of first quality and the workmanship must be the best obtainable
in the various trades. The Work must be of safe, substantial and durable construction in all
respects. The Contractor hereby guarantees the Work against defective materials or faulty
workmanship for a minimum period of one (1) year after Final Payment by (Recipient) and shall
replace or repair any defective materials or equipment or faulty workmanship during the period
of the guarantee at no cost to (Recipient). As additional security for these guarantees, the
Contractor shall, prior to the release of Final Payment [as provided in Item X below], furnish
separate Maintenance (or Guarantee) Bonds in form acceptable to (Recipient) written by the
same corporate surety that provides the Performance Bond and Labor and Material Payment
Bond for this Contract. These bonds shall secure the Contractor's obligation to replace or repair
defective materials and faulty workmanship for a minimum period of one (1) year after Final
Payment and shall be written in an amount equal to ONE HUNDRED PERCENT (100%) of the
CONTRACT SUM, as adjusted (if at all).
Clean Air – Applicability – All contracts over $150,000. 1) Contractor shall comply with all
applicable standards, orders or regulations pursuant to the Clean Air Act, 42 USC 7401 et seq.
Contractor shall report each violation to the recipient and understands and agrees that the
recipient will, in turn, report each violation as required to FTA and the appropriate EPA
Regional Office. 2) Contractor shall include these requirements in each subcontract exceeding
$150,000 financed in whole or in part with FTA assistance.
Recycled Products – Applicability – All contracts for items designated by the EPA, when the
purchaser or contractor procures $10,000 or more of one of these items during the current or
previous fiscal year using Federal funds. The contractor agrees to comply with all the
requirements of Section 6002 of the Resource Conservation and Recovery Act (RCRA), as
amended (42 U.S.C. 6962), including but not limited to the regulatory provisions of 40 CFR Part
247, and Executive Order 12873, as they apply to the procurement of the items designated in
Subpart B of 40 CFR Part 247.
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Davis-Bacon and Copeland Anti-Kickback Acts – Applicability -Construction contracts and
subcontracts, including actual construction, alteration and/or repair, including decorating and
painting, over $2,000
(1) Minimum wages - (i) All laborers and mechanics employed or working upon the site of the
work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the
construction or development of the project), will be paid unconditionally and not less often than
once a week, and without subsequent deduction or rebate on any account (except such payroll
deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland
Act (29 CFR part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalents
thereof) due at time of payment computed at rates not less than those contained in the wage
determination of the Secretary of Labor which is attached hereto and made a part hereof,
regardless of any contractual relationship which may be alleged to exist between the contractor
and such laborers and mechanics. Contributions made or costs reasonably anticipated for bona
fide fringe benefits under section 1(b)(2) of the Davis-Bacon Act on behalf of laborers or
mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of
paragraph (1)(iv) of this section; also, regular contributions made or costs incurred for more than
a weekly period (but not less often than quarterly) under plans, funds, or programs which cover
the particular weekly period, are deemed to be constructively made or incurred during such
weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe
benefits on the wage determination for the classification of work actually performed, without
regard to skill, except as provided in 29 CFR Part 5.5(a)(4). Laborers or mechanics performing
work in more than one classification may be compensated at the rate specified for each
classification for the time actually worked therein: Provided, That the employer's payroll records
accurately set forth the time spent in each classification in which work is performed. The wage
determination (including any additional classifications and wage rates conformed under
paragraph (1)(ii) of this section) and the Davis-Bacon poster (WH-1321) shall be posted at all
times by the contractor and its subcontractors at the site of the work in a prominent and
accessible place where it can be easily seen by the workers. (ii)(A) The contracting officer shall
require that any class of laborers or mechanics, including helpers, which is not listed in the wage
determination and which is to be employed under the contract shall be classified in conformance
with the wage determination. The contracting officer shall approve an additional classification
and wage rate and fringe benefits therefore only when the following criteria have been met:
(1) Except with respect to helpers as defined as 29 CFR 5.2(n)(4), the work to be performed by
the classification requested is not performed by a classification in the wage determination; and
(2) The classification is utilized in the area by the construction industry; and (3) The proposed
wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage
rates contained in the wage determination; and (4) With respect to helpers as defined in 29 CFR
5.2(n)(4), such a classification prevails in the area in which the work is performed. (B) If the
contractor and the laborers and mechanics to be employed in the classification (if known), or
their representatives, and the contracting officer agree on the classification and wage rate
(including the amount designated for fringe benefits where appropriate), a report of the action
taken shall be sent by the contracting officer to the Administrator of the Wage and Hour
Division, Employment Standards Administration, U.S. Department of Labor, Washington, DC
20210. The Administrator, or an authorized representative, will approve, modify, or disapprove
every additional classification action within 30 days of receipt and so advise the contracting
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officer or will notify the contracting officer within the 30-day period that additional time is
necessary. (C) In the event the contractor, the laborers or mechanics to be employed in the
classification or their representatives, and the contracting officer do not agree on the proposed
classification and wage rate (including the amount designated for fringe benefits, where
appropriate), the contracting officer shall refer the questions, including the views of all interested
parties and the recommendation of the contracting officer, to the Administrator for
determination. The Administrator, or an authorized representative, will issue a determination
within 30 days of receipt and so advise the contracting officer or will notify the contracting
officer within the 30-day period that additional time is necessary. (D) The wage rate (including
fringe benefits where appropriate) determined pursuant to paragraphs (a)(1)(ii) (B) or (C) of this
section, shall be paid to all workers performing work in the classification under this contract
from the first day on which work is performed in the classification.(iii) Whenever the minimum
wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit
which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in
the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent
thereof. (iv) If the contractor does not make payments to a trustee or other third person, the
contractor may consider as part of the wages of any laborer or mechanic the amount of any costs
reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided,
That the Secretary of Labor has found, upon the written request of the contractor, that the
applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require
the contractor to set aside in a separate account assets for the meeting of obligations under the
plan or program. (v)(A) The contracting officer shall require that any class of laborers or
mechanics which is not listed in the wage determination and which is to be employed under the
contract shall be classified in conformance with the wage determination. The contracting officer
shall approve an additional classification and wage rate and fringe benefits therefor only when
the following criteria have been met: (1) The work to be performed by the classification
requested is not performed by a classification in the wage determination; and (2) The
classification is utilized in the area by the construction industry; and (3) The proposed wage
rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates
contained in the wage determination.
(B) If the contractor and the laborers and mechanics to be employed in the classification (if
known), or their representatives, and the contracting officer agree on the classification and wage
rate (including the amount designated for fringe benefits where appropriate), a report of the
action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour
Division, Employment Standards Administration, Washington, DC 20210. The Administrator,
or an authorized representative, will approve, modify, or disapprove every additional
classification action within 30 days of receipt and so advise the contracting officer or will notify
the contracting officer within the 30-day period that additional time is necessary.(C) In the event
the contractor, the laborers or mechanics to be employed in the classification or their
representatives, and the contracting officer do not agree on the proposed classification and wage
rate (including the amount designated for fringe benefits, where appropriate), the contracting
officer shall refer the questions, including the views of all interested parties and the
recommendation of the contracting officer, to the Administrator for determination. The
Administrator, or an authorized representative, will issue a determination with 30 days of receipt
and so advise the contracting officer or will notify the contracting officer within the 30-day
period that additional time is necessary. (D) The wage rate (including fringe benefits where
appropriate) determined pursuant to paragraphs (a)(1)(v) (B) or (C) of this section, shall be paid
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to all workers performing work in the classification under this contract from the first day on
which work is performed in the classification.
(2) Withholding - The recipient shall upon its own action or upon written request of an
authorized representative of the Department of Labor withhold or cause to be withheld from the
contractor under this contract or any other Federal contract with the same prime contractor, or
any other federally-assisted contract subject to Davis-Bacon prevailing wage requirements,
which is held by the same prime contractor, so much of the accrued payments or advances as
may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and
helpers, employed by the contractor or any subcontractor the full amount of wages required by
the contract. In the event of failure to pay any laborer or mechanic, including any apprentice,
trainee, or helper, employed or working on the site of the work (or under the United States
Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the
project), all or part of the wages required by the contract, the grantee may, after written notice to
the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the
suspension of any further payment, advance, or guarantee of funds until such violations have
ceased.
(3) Payrolls and basic records - (i) Payrolls and basic records relating thereto shall be maintained
by the contractor during the course of the work and preserved for a period of three years
thereafter for all laborers and mechanics working at the site of the work (or under the United
States Housing Act of 1937, or under the Housing Act of 1949, in the construction or
development of the project). Such records shall contain the name, address, and social security
number of each such worker, his or her correct classification, hourly rates of wages paid
(including rates of contributions or costs anticipated for bona fide fringe benefits or cash
equivalents thereof of the types described in section 1(b)(2)(B) of the Davis-Bacon Act), daily
and weekly number of hours worked, deductions made and actual wages paid. Whenever the
Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or
mechanic include the amount of any costs reasonably anticipated in providing benefits under a
plan or program described in section 1(b)(2)(B) of the Davis-Bacon Act, the contractor shall
maintain records which show that the commitment to provide such benefits is enforceable, that
the plan or program is financially responsible, and that the plan or program has been
communicated in writing to the laborers or mechanics affected, and records which show the costs
anticipated or the actual cost incurred in providing such benefits. Contractors employing
apprentices or trainees under approved programs shall maintain written evidence of the
registration of apprenticeship programs and certification of trainee programs, the registration of
the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs.
(ii)(A) The contractor shall submit weekly for each week in which any contract work is
performed a copy of all payrolls to the recipient for transmission to the Federal Transit
Administration. The payrolls submitted shall set out accurately and completely all of the
information required to be maintained under section 5.5(a)(3)(i) of Regulations, 29 CFR part 5.
This information may be submitted in any form desired. Optional Form WH-347 is available for
this purpose and may be purchased from the Superintendent of Documents (Federal Stock
Number 029-005-00014-1), U.S. Government Printing Office, Washington, DC 20402. The
prime contractor is responsible for the submission of copies of payrolls by all subcontractors. (B)
Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the
contractor or subcontractor or his or her agent who pays or supervises the payment of the persons
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employed under the contract and shall certify the following: (1) That the payroll for the payroll
period contains the information required to be maintained under section 5.5(a)(3)(i) of
Regulations, 29 CFR part 5 and that such information is correct and complete; (2) That each
laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract
during the payroll period has been paid the full weekly wages earned, without rebate, either
directly or indirectly, and that no deductions have been made either directly or indirectly from
the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR part
3; (3) That each laborer or mechanic has been paid not less than the applicable wage rates and
fringe benefits or cash equivalents for the classification of work performed, as specified in the
applicable wage determination incorporated into the contract. (C) The weekly submission of a
properly executed certification set forth on the reverse side of Optional Form WH-347 shall
satisfy the requirement for submission of the "Statement of Compliance" required by paragraph
(a)(3)(ii)(B) of this section.
(D) The falsification of any of the above certifications may subject the contractor or
subcontractor to civil or criminal prosecution under section 1001 of title 18 and section 231 of
title 31 of the United States Code. (iii) The contractor or subcontractor shall make the records
required under paragraph (a)(3)(i) of this section available for inspection, copying, or
transcription by authorized representatives of the Federal Transit Administration or the
Department of Labor, and shall permit such representatives to interview employees during
working hours on the job. If the contractor or subcontractor fails to submit the required records
or to make them available, the Federal agency may, after written notice to the contractor,
sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of
any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required
records upon request or to make such records available may be grounds for debarment action
pursuant to 29 CFR 5.12.
(4) Apprentices and trainees - (i) Apprentices - Apprentices will be permitted to work at less than
the predetermined rate for the work they performed when they are employed pursuant to and
individually registered in a bona fide apprenticeship program registered with the U.S.
Department of Labor, Employment and Training Administration, Bureau of Apprenticeship and
Training, or with a State Apprenticeship Agency recognized by the Bureau, or if a person is
employed in his or her first 90 days of probationary employment as an apprentice in such an
apprenticeship program, who is not individually registered in the program, but who has been
certified by the Bureau of Apprenticeship and Training or a State Apprenticeship Agency (where
appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of
apprentices to journeymen on the job site in any craft classification shall not be greater than the
ratio permitted to the contractor as to the entire work force under the registered program. Any
worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise
employed as stated above, shall be paid not less than the applicable wage rate on the wage
determination for the classification of work actually performed. In addition, any apprentice
performing work on the job site in excess of the ratio permitted under the registered program
shall be paid not less than the applicable wage rate on the wage determination for the work
actually performed. Where a contractor is performing construction on a project in a locality
other than that in which its program is registered, the ratios and wage rates (expressed in
percentages of the journeyman's hourly rate) specified in the contractor's or subcontractor's
registered program shall be observed. Every apprentice must be paid at not less than the rate
specified in the registered program for the apprentice's level of progress, expressed as a
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percentage of the journeymen hourly rate specified in the applicable wage determination.
Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship
program. If the apprenticeship program does not specify fringe benefits, apprentices must be
paid the full amount of fringe benefits listed on the wage determination for the applicable
classification. If the Administrator of the Wage and Hour Division of the U.S. Department of
Labor determines that a different practice prevails for the applicable apprentice classification,
fringes shall be paid in accordance with that determination. In the event the Bureau of
Apprenticeship and Training, or a State Apprenticeship Agency recognized by the Bureau,
withdraws approval of an apprenticeship program, the contractor will no longer be permitted to
utilize apprentices at less than the applicable predetermined rate for the work performed until an
acceptable program is approved.(ii) Trainees - Except as provided in 29 CFR 5.16, trainees will
not be permitted to work at less than the predetermined rate for the work performed unless they
are employed pursuant to and individually registered in a program which has received prior
approval, evidenced by formal certification by the U.S. Department of Labor, Employment and
Training Administration. The ratio of trainees to journeymen on the job site shall not be greater
than permitted under the plan approved by the Employment and Training Administration. Every
trainee must be paid at not less than the rate specified in the approved program for the trainee's
level of progress, expressed as a percentage of the journeyman hourly rate specified in the
applicable wage determination. Trainees shall be paid fringe benefits in accordance with the
provisions of the trainee program. If the trainee program does not mention fringe benefits,
trainees shall be paid the full amount of fringe benefits listed on the wage determination unless
the Administrator of the Wage and Hour Division determines that there is an apprenticeship
program associated with the corresponding journeyman wage rate on the wage determination
which provides for less than full fringe benefits for apprentices. Any employee listed on the
payroll at a trainee rate who is not registered and participating in a training plan approved by the
Employment and Training Administration shall be paid not less than the applicable wage rate on
the wage determination for the classification of work actually performed. In addition, any
trainee performing work on the job site in excess of the ratio permitted under the registered
program shall be paid not less than the applicable wage rate on the wage determination for the
work actually performed. In the event the Employment and Training Administration withdraws
approval of a training program, the contractor will no longer be permitted to utilize trainees at
less than the applicable predetermined rate for the work performed until an acceptable program is
approved.
(iii) Equal employment opportunity - The utilization of apprentices, trainees and journeymen
under this part shall be in conformity with the equal employment opportunity requirements of
Executive Order 11246, as amended, and 29 CFR part 30.
(5) Compliance with Copeland Act requirements - The contractor shall comply with the
requirements of 29 CFR part 3, which are incorporated by reference in this contract.
(6) Subcontracts - The contractor or subcontractor shall insert in any subcontracts the clauses
contained in 29 CFR 5.5(a)(1) through (10) and such other clauses as the Federal Transit
Administration may by appropriate instructions require, and also a clause requiring the
subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall
be responsible for the compliance by any subcontractor or lower tier subcontractor with all the
contract clauses in 29 CFR 5.5.
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(7) Contract termination: debarment - A breach of the contract clauses in 29 CFR 5.5 may be
grounds for termination of the contract, and for debarment as a contractor and a subcontractor as
provided in 29 CFR 5.12.
(8) Compliance with Davis-Bacon and Related Act requirements - All rulings and interpretations
of the Davis-Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein
incorporated by reference in this contract.
(9) Disputes concerning labor standards - Disputes arising out of the labor standards provisions
of this contract shall not be subject to the general disputes clause of this contract. Such disputes
shall be resolved in accordance with the procedures of the Department of Labor set forth in 29
CFR parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the
contractor (or any of its subcontractors) and the contracting agency, the U.S. Department of
Labor, or the employees or their representatives.
(10) Certification of Eligibility - (i) By entering into this contract, contractor certifies that neither
it (nor he or she) nor any person or firm who has an interest in contractor's firm is a person or
firm ineligible to be awarded Government contracts by virtue of section 3(a) of the Davis-Bacon
Act or 29 CFR 5.12(a)(1). (ii) No part of this contract shall be subcontracted to any person or
firm ineligible for award of a Government contract by virtue of section 3(a) of the Davis-Bacon
Act or 29 CFR 5.12(a)(1). (iii) The penalty for making false statements is prescribed in 18 USC
1001.
Contract Work Hours & Safety Standards Act – Applicability – Contracts over $250,000
(1) Overtime requirements - No contractor or subcontractor contracting for any part of the
contract work which may require or involve the employment of laborers or mechanics shall
require or permit any such laborer or mechanic in any workweek in which he or she is employed
on such work to work in excess of 40 hours in such workweek unless such laborer or mechanic
receives compensation at a rate not less than one and one-half times the basic rate of pay for all
hours worked in excess of 40 hours in such workweek.
(2) Violation; liability for unpaid wages; liquidated damages - In the event of any violation of the
clause set forth in para. (1) of this section, contractor and any subcontractor responsible therefore
shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable
for liquidated damages. Such liquidated damages shall be computed with respect to each
individual laborer or mechanic, including watchmen and guards, employed in violation of the
clause set forth in para. (1) of this section, in the sum of $10 for each calendar day on which such
individual was required or permitted to work in excess of the standard workweek of 40 hours
without payment of the overtime wages required by the clause set forth in para. (1) of this
section.
(3) Withholding for unpaid wages and liquidated damages - the recipient shall upon its own
action or upon written request of USDOL withhold or cause to be withheld, from any moneys
payable on account of work performed by contractor or subcontractor under any such contract or
any other Federal contract with the same prime contractor, or any other federally-assisted
contract subject to the Contract Work Hours & Safety Standards Act, which is held by the same
September 2019
prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of
such contractor or subcontractor for unpaid wages and liquidated damages as provided in the
clause set forth in para. (2) of this section.
(4) Subcontracts - Contractor or subcontractor shall insert in any subcontracts the clauses set
forth in this section and also a clause requiring the subcontractors to include these clauses in any
lower tier subcontracts. Prime contractor shall be responsible for compliance by any
subcontractor or lower tier subcontractor with the clauses set forth in this section.
No Government Obligation to Third Parties - Applicability – All contracts except micro-
purchases ($10,000 or less, except for construction contracts over $2,000)
(1) The recipient and contractor acknowledge and agree that, notwithstanding any concurrence
by the US Government in or approval of the solicitation or award of the underlying contract,
absent the express written consent by the US Government, the US Government is not a party to
this contract and shall not be subject to any obligations or liabilities to the recipient, the
contractor, or any other party (whether or not a party to that contract) pertaining to any matter
resulting from the underlying contract.
(2) Contractor agrees to include the above clause in each subcontract financed in whole or in part
with FTA assistance. It is further agreed that the clause shall not be modified, except to identify
the subcontractor who will be subject to its provisions.
Program Fraud and False or Fraudulent Statements or Related Acts – Applicability – All
contracts except micro-purchases ($10,000 or less, except for construction contracts over $2,000)
(1) Contractor acknowledges that the provisions of the Program Fraud Civil Remedies Act of
1986, as amended, 31 USC 3801 et seq. and USDOT regulations, "Program Fraud Civil
Remedies," 49 CFR 31, apply to its actions pertaining to this project. Upon execution of the
underlying contract, contractor certifies or affirms the truthfulness and accuracy of any statement
it has made, it makes, it may make, or causes to be made, pertaining to the underlying contract or
FTA assisted project for which this contract work is being performed. In addition to other
penalties that may be applicable, contractor further acknowledges that if it makes, or causes to be
made, a false, fictitious, or fraudulent claim, statement, submittal, or certification, the US
Government reserves the right to impose the penalties of the Program Fraud Civil Remedies Act
(1986) on contractor to the extent the US Government deems appropriate.
(2) If contractor makes, or causes to be made, a false, fictitious, or fraudulent claim, statement,
submittal, or certification to the US Government under a contract connected with a project that is
financed in whole or in part with FTA assistance under the authority of 49 USC 5307, the
Government reserves the right to impose the penalties of 18 USC 1001 and 49 USC 5307(n)(1)
on contractor, to the extent the US Government deems appropriate.
(3) Contractor shall include the above two clauses in each subcontract financed in whole or in
part with FTA assistance. The clauses shall not be modified, except to identify the subcontractor
who will be subject to the provisions.
Termination – Applicability – All Contracts over $10,000, except contracts with nonprofit
organizations and institutions of higher learning, where the threshold is $250,000
September 2019
a. Termination for Convenience (General Provision) the recipient may terminate this contract, in
whole or in part, at any time by written notice to contractor when it is in the recipient's best
interest. Contractor shall be paid its costs, including contract close-out costs, and profit on work
performed up to the time of termination. Contractor shall promptly submit its termination claim
to the recipient. If contractor is in possession of any of the recipient’s property, contractor shall
account for same, and dispose of it as the recipient directs.
b. Termination for Default [Breach or Cause] (General Provision) If contractor does not deliver
items in accordance with the contract delivery schedule, or, if the contract is for services, and
contractor fails to perform in the manner called for in the contract, or if contractor fails to
comply with any other provisions of the contract, the recipient may terminate this contract for
default. Termination shall be effected by serving a notice of termination to contractor setting
forth the manner in which contractor is in default. Contractor shall only be paid the contract price
for supplies delivered and accepted, or for services performed in accordance with the manner of
performance set forth in the contract.
If it is later determined by the recipient that contractor had an excusable reason for not
performing, such as a strike, fire, or flood, events which are not the fault of or are beyond the
control of contractor, the recipient, after setting up a new delivery or performance schedule, may
allow contractor to continue work, or treat the termination as a termination for convenience.
c. Opportunity to Cure (General Provision) the recipient in its sole discretion may, in the case of
a termination for breach or default, allow contractor an appropriately short period of time in
which to cure the defect. In such case, the notice of termination shall state the time period in
which cure is permitted and other appropriate conditions
If contractor fails to remedy to the recipient's satisfaction the breach or default or any of the
terms, covenants, or conditions of this Contract within ten (10) days after receipt by contractor or
written notice from the recipient setting forth the nature of said breach or default, the recipient
shall have the right to terminate the Contract without any further obligation to contractor. Any
such termination for default shall not in any way operate to preclude the recipient from also
pursuing all available remedies against contractor and its sureties for said breach or default.
d. Waiver of Remedies for any Breach In the event that the recipient elects to waive its
remedies for any breach by contractor of any covenant, term or condition of this Contract, such
waiver by the recipient shall not limit its remedies for any succeeding breach of that or of any
other term, covenant, or condition of this Contract.
e. Termination for Convenience (Professional or Transit Service Contracts) the recipient, by
written notice, may terminate this contract, in whole or in part, when it is in the recipient's
interest. If the contract is terminated, the recipient shall be liable only for payment under the
payment provisions of this contract for services rendered before the effective date of termination.
f. Termination for Default (Supplies and Service) If contractor fails to deliver supplies or to
perform the services within the time specified in this contract or any extension or if the
contractor fails to comply with any other provisions of this contract, the recipient may terminate
this contract for default. The recipient shall terminate by delivering to contractor a notice of
termination specifying the nature of default. Contractor shall only be paid the contract price for
supplies delivered and accepted, or services performed in accordance with the manner or
September 2019
performance set forth in this contract.
If, after termination for failure to fulfill contract obligations, it is determined that contractor was
not in default, the rights and obligations of the parties shall be the same as if termination had
been issued for the recipient’s convenience.
g. Termination for Default (Transportation Services) If contractor fails to pick up the
commodities or to perform the services, including delivery services, within the time specified in
this contract or any extension or if contractor fails to comply with any other provisions of this
contract, the recipient may terminate this contract for default. The recipient shall terminate by
delivering to contractor a notice of termination specifying the nature of default. Contractor shall
only be paid the contract price for services performed in accordance with the manner of
performance set forth in this contract.
If this contract is terminated while contractor has possession of the recipient goods, contractor
shall, as directed by the recipient, protect and preserve the goods until surrendered to the
recipient or its agent. Contractor and the recipient shall agree on payment for the preservation
and protection of goods. Failure to agree on an amount shall be resolved under the Dispute
clause. If, after termination for failure to fulfill contract obligations, it is determined that
contractor was not in default, the rights and obligations of the parties shall be the same as if
termination had been issued for the recipient’s convenience.
h. Termination for Default (Construction) If contractor refuses or fails to prosecute the work or
any separable part, with the diligence that will insure its completion within the time specified, or
any extension, or fails to complete the work within this time, or if contractor fails to comply with
any other provisions of this contract, the recipient may terminate this contract for default. the
recipient shall terminate by delivering to contractor a notice of termination specifying the nature
of default. In this event, the recipient may take over the work and compete it by contract or
otherwise, and may take possession of and use any materials, appliances, and plant on the work
site necessary for completing the work. Contractor and its sureties shall be liable for any damage
to the recipient resulting from contractor's refusal or failure to complete the work within
specified time, whether or not contractor's right to proceed with the work is terminated. This
liability includes any increased costs incurred by the recipient in completing the work.
Contractor's right to proceed shall not be terminated nor shall contractor be charged with
damages under this clause if:
1. Delay in completing the work arises from unforeseeable causes beyond the control and
without the fault or negligence of contractor. Examples of such causes include: acts of God, acts
of the recipient, acts of another contractor in the performance of a contract with the recipient,
epidemics, quarantine restrictions, strikes, freight embargoes; and
2. Contractor, within 10 days from the beginning of any delay, notifies the recipient in writing of
the causes of delay. If in the recipient’s judgment, delay is excusable, the time for completing the
work shall be extended. The recipient’s judgment shall be final and conclusive on the parties, but
subject to appeal under the Disputes clauses.
If, after termination of contractor's right to proceed, it is determined that contractor was not in
default, or that the delay was excusable, the rights and obligations of the parties will be the same
September 2019
as if termination had been issued for the recipient’s convenience.
i. Termination for Convenience or Default (Architect & Engineering) the recipient may terminate
this contract in whole or in part, for the recipient's convenience or because of contractor’s failure
to fulfill contract obligations. The recipient shall terminate by delivering to contractor a notice of
termination specifying the nature, extent, and effective date of termination. Upon receipt of the
notice, contractor shall (1) immediately discontinue all services affected (unless the notice
directs otherwise), and (2) deliver to the recipient all data, drawings, specifications, reports,
estimates, summaries, and other information and materials accumulated in performing this
contract, whether completed or in process. If termination is for the recipient’s convenience, it
shall make an equitable adjustment in the contract price but shall allow no anticipated profit on
unperformed services. If termination is for contractor’s failure to fulfill contract obligations, the
recipient may complete the work by contact or otherwise and contractor shall be liable for any
additional cost incurred by the recipient.
If, after termination for failure to fulfill contract obligations, it is determined that contractor was
not in default, the rights and obligations of the parties shall be the same as if termination had
been issued for the recipient’s convenience.
j. Termination for Convenience or Default (Cost-Type Contracts) the recipient may terminate
this contract, or any portion of it, by serving a notice or termination on contractor. The notice
shall state whether termination is for convenience of the recipient or for default of contractor. If
termination is for default, the notice shall state the manner in which contractor has failed to
perform the requirements of the contract. Contractor shall account for any property in its
possession paid for from funds received from the recipient, or property supplied to contractor by
the recipient. If termination is for default, the recipient may fix the fee, if the contract provides
for a fee, to be paid to contractor in proportion to the value, if any, of work performed up to the
time of termination. Contractor shall promptly submit its termination claim to the recipient and
the parties shall negotiate the termination settlement to be paid to contractor. If termination is
for the recipient’s convenience, contractor shall be paid its contract close-out costs, and a fee, if
the contract provided for payment of a fee, in proportion to the work performed up to the time of
termination.
If, after serving a notice of termination for default, the recipient determines that contractor has an
excusable reason for not performing, such as strike, fire, flood, events which are not the fault of
and are beyond the control of contractor, the recipient, after setting up a new work schedule, may
allow contractor to continue work, or treat the termination as a termination for convenience.
Government-wide Debarment and Suspension (Nonprocurement) – Applicability –
Contracts over $25,000
The Recipient agrees to the following: (1) It will comply with the requirements of 2 C.F.R. part
180, subpart C, as adopted and supplemented by U.S. DOT regulations at 2 C.F.R. part 1200,
which include the following: (a) It will not enter into any arrangement to participate in the
development or implementation of the Project with any Third Party Participant that is debarred
or suspended except as authorized by: 1 U.S. DOT regulations, “Nonprocurement Suspension
and Debarment,” 2 C.F.R. part 1200, 2 U.S. OMB, “Guidelines to Agencies on Governmentwide
Debarment and Suspension (Nonprocurement),” 2 C.F.R. part 180, including any amendments
thereto, and 3 Executive Orders Nos. 12549 and 12689, “Debarment and Suspension,” 31 U.S.C.
§ 6101 note, (b) It will review the U.S. GSA “System for Award Management,”
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https://www.sam.gov, if required by U.S. DOT regulations, 2 C.F.R. part 1200, and (c) It will
include, and require each of its Third Party Participants to include, a similar provision in each
lower tier covered transaction, ensuring that each lower tier Third Party Participant: 1 Will
comply with Federal debarment and suspension requirements, and 2 Reviews the “System for
Award Management” at https://www.sam.gov, if necessary to comply with U.S. DOT
regulations, 2 C.F.R. part 1200, and (2) If the Recipient suspends, debars, or takes any similar
action against a Third Party Participant or individual, the Recipient will provide immediate
written notice to the: (a) FTA Regional Counsel for the Region in which the Recipient is located
or implements the Project, (b) FTA Project Manager if the Project is administered by an FTA
Headquarters Office, or (c) FTA Chief Counsel,
Contracts Involving Federal Privacy Act Requirements – Applicability - When a grantee
maintains files on drug and alcohol enforcement activities for FTA, and those files are organized
so that information could be retrieved by personal identifier, the Privacy Act requirements apply
to all contracts except micro-purchases ($10,000 or less, except for construction contracts over
$2,000)
The following requirements apply to the Contractor and its employees that administer any
system of records on behalf of the Federal Government under any contract:
(1) The Contractor agrees to comply with, and assures the compliance of its employees with, the
information restrictions and other applicable requirements of the Privacy Act of 1974, 5 U.S.C. §
552a. Among other things, the Contractor agrees to obtain the express consent of the Federal
Government before the Contractor or its employees operate a system of records on behalf of the
Federal Government. The Contractor understands that the requirements of the Privacy Act,
including the civil and criminal penalties for violation of that Act, apply to those individuals
involved, and that failure to comply with the terms of the Privacy Act may result in termination
of the underlying contract.
(2) The Contractor also agrees to include these requirements in each subcontract to administer
any system of records on behalf of the Federal Government financed in whole or in part with
Federal assistance provided by FTA.
Civil Rights Requirements– Applicability – All contracts except micro-purchases ($10,000 or
less, except for construction contracts over $2,000)
The following requirements apply to the underlying contract:
The Recipient understands and agrees that it must comply with applicable Federal civil rights
laws and regulations, and follow applicable Federal guidance, except as the Federal Government
determines otherwise in writing. Therefore, unless a Recipient or Program, including an Indian
Tribe or the Tribal Transit Program, is specifically exempted from a civil rights statute, FTA
requires compliance with that civil rights statute, including compliance with equity in service:
a. Nondiscrimination in Federal Public Transportation Programs. The Recipient agrees to, and
assures that each Third Party Participant will, comply with Federal transit law, 49 U.S.C. § 5332
(FTA’s “Nondiscrimination” statute): (1) FTA’s “Nondiscrimination” statute prohibits
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discrimination on the basis of: (a) Race, (b) Color, (c) Religion, (d) National origin, (e) Sex, (f)
Disability, (g) Age, or (h) Gender identity and (2) The FTA “Nondiscrimination” statute’s
prohibition against discrimination includes: (a) Exclusion from participation, (b) Denial of
program benefits, or (c) Discrimination, including discrimination in employment or business
opportunity, (3) Except as FTA determines otherwise in writing: (a) General. Follow: 1 The most
recent edition of FTA Circular 4702.1, “Title VI Requirements and Guidelines for Federal
Transit Administration Recipients,” to the extent consistent with applicable Federal laws,
regulations, and guidance, and
2 Other applicable Federal guidance that may be issued, but (b) Exception for the Tribal Transit
Program. FTA does not require an Indian Tribe to comply with FTA program-specific guidelines
for Title VI when administering its projects funded under the Tribal Transit Program,
b. Nondiscrimination – Title VI of the Civil Rights Act. The Recipient agrees to, and assures that
each Third Party Participant will: (1) Prohibit discrimination based on: (a) Race, (b) Color, or (c)
National origin, (2) Comply with: (a) Title VI of the Civil Rights Act of 1964, as amended, 42
U.S.C. § 2000d et seq., (b) U.S. DOT regulations, “Nondiscrimination in Federally-Assisted
Programs of the Department of Transportation – Effectuation of Title VI of the Civil Rights Act
of 1964,” 49 C.F.R. part 21, and (c) Federal transit law, specifically 49 U.S.C. § 5332, as stated
in the preceding section a, and (3) Except as FTA determines otherwise in writing, follow: (a)
The most recent edition of FTA Circular 4702.1, “Title VI and Title VI-Dependent Guidelines
for Federal Transit Administration Recipients,” to the extent consistent with applicable Federal
laws, regulations, and guidance. (b) U.S. DOJ, “Guidelines for the enforcement of Title VI, Civil
Rights Act of 1964,” 28 C.F.R. § 50.3, and (c) Other applicable Federal guidance that may be
issued,
c. Equal Employment Opportunity. (1) Federal Requirements and Guidance. The Recipient
agrees to, and assures that each Third Party Participant will, prohibit discrimination on the basis
of race, color, religion, sex, or national origin, and: (a) Comply with Title VII of the Civil Rights
Act of 1964, as amended, 42 U.S.C. § 2000e et seq., (b) Facilitate compliance with Executive
Order No. 11246, “Equal Employment Opportunity,” as amended by Executive Order No.
11375, “Amending Executive Order No. 11246, Relating to Equal Employment Opportunity,” 42
U.S.C. § 2000e note, (c) Comply with Federal transit law, specifically 49 U.S.C. § 5332, as
stated in section a, and (d) Comply with FTA Circular 4704.1other applicable EEO laws and
regulations, as provided in Federal guidance, including laws and regulations prohibiting
discrimination on the basis of disability, except as the Federal Government determines otherwise
in writing, (2) General. The Recipient agrees to: (a) Ensure that applicants for employment are
employed and employees are treated during employment without discrimination on the basis of
their: 1 Race, 2 Color, 3 Religion, 4 Sex, 5 Disability, 6 Age, or 7 National origin, (b) Take
affirmative action that includes, but is not limited to: 1 Recruitment advertising, 2 Recruitment, 3
Employment, 4 Rates of pay, 5 Other forms of compensation, 6 Selection for training, including
apprenticeship, 7 Upgrading, 8 Transfers, 9 Demotions, 10 Layoffs, and 11 Terminations, but (b)
Indian Tribe. Title VII of the Civil Rights Act of 1964, as amended, exempts Indian Tribes under
the definition of "Employer".
(3) Equal Employment Opportunity Requirements for Construction Activities. In addition to the
foregoing, when undertaking “construction” as recognized by the U.S. Department of Labor
(U.S. DOL), the Recipient agrees to comply, and assures the compliance of each Third Party
Participant, with: (a) U.S. DOL regulations, “Office of Federal Contract Compliance Programs,
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Equal Employment Opportunity, Department of Labor,” 41 C.F.R. chapter 60, and (b) Executive
Order No. 11246, “Equal Employment Opportunity,” as amended by Executive Order No.
11375, “Amending Executive Order No. 11246, Relating to Equal Employment Opportunity,” 42
U.S.C. § 2000e note,
d. Disadvantaged Business Enterprise. To the extent authorized by applicable Federal law, the
Recipient agrees to facilitate, and assures that each Third-Party Participant will facilitate,
participation by small business concerns owned and controlled by socially and economically
disadvantaged individuals, also referred to as “Disadvantaged Business Enterprises” (DBEs), in
the Project as follows: 1) Requirements. The Recipient agrees to comply with: (a) Section
1101(b) of Map-21, 23 U.S.C. § 101 note, (b) U.S. DOT regulations, “Participation by
Disadvantaged Business Enterprises in Department of Transportation Financial Assistance
Programs,” 49 C.F.R. part 26, and (c) Federal transit law, specifically 49 U.S.C. § 5332, as stated
in section a, (2) Assurance. As required by 49 C.F.R. § 26.13(a), (b) DBE Program
Requirements. Recipients receiving planning, capital and/or operating assistance that will award
prime third-party contracts exceeding $250,000 in a Federal fiscal year must: 1 Have a DBE
program meeting the requirements of 49 C.F.R. part 26, 2 Implement a DBE program approved
by FTA, and 3 Establish an annual DBE participation goal, (c) Special Requirements for a
Transit Vehicle Manufacturer. The Recipient understands and agrees that each transit vehicle
manufacturer, as a condition of being authorized to bid or propose on FTA-assisted transit
vehicle procurements, must certify that it has complied with the requirements of 49 C.F.R. part
26, (d) the Recipient provides assurance that: The Recipient shall not discriminate on the basis of
race, color, national origin, or sex in the award and performance of any DOT-assisted contract or
in the administration of its DBE program or the requirements of 49 C.F.R. part 26. The Recipient
shall take all necessary and reasonable steps under 49 C.F.R. part 26 to ensure nondiscrimination
in the award and administration of DOT-assisted contracts. The Recipient's DBE program, as
required by 49 C.F.R. part 26 and as approved by DOT, is incorporated by reference in this
agreement. Implementation of this program is a legal obligation and failure to carry out its terms
shall be treated as a violation of this agreement. Upon notification to the Recipient of its failure
to carry out its approved program, the Department may impose sanctions as provided for under
49 C.F.R. part 26 and may, in appropriate cases, refer the matter for enforcement under 18
U.S.C. § 1001 and/or the Program Fraud Civil Remedies Act of 1986, 31 U.S.C. § 3801 et seq.,
(2) Exception for the Tribal Transit Program. FTA exempts Indian tribes from the Disadvantaged
Business Enterprise regulations at 49 C.F.R. part 26 under Map-21and previous legislation,
e. Nondiscrimination on the Basis of Sex. The Recipient agrees to comply with Federal
prohibitions against discrimination on the basis of sex, including: (1) Title IX of the Education
Amendments of 1972, as amended, 20 U.S.C. § 1681 et seq., (2) U.S. DOT regulations,
“Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal
Financial Assistance,” 49 C.F.R. part 25, and (3) Federal transit law, specifically 49 U.S.C. §
5332, as stated in section a,
f. Nondiscrimination on the Basis of Age. The Recipient agrees to comply with Federal
prohibitions against discrimination on the basis of age, including: (1) The Age Discrimination in
Employment Act (ADEA), 29 U.S.C. §§ 621 – 634, which prohibits discrimination on the basis
of age, (2) U.S. Equal Employment Opportunity Commission (U.S. EEOC) regulations, “Age
Discrimination in Employment Act,” 29 C.F.R. part 1625, which implements the ADEA, (3) The
September 2019
Age Discrimination Act of 1975, as amended, 42 U.S.C. § 6101 et seq., which prohibits
discrimination against individuals on the basis of age in the administration of programs or
activities receiving Federal funds, (4) U.S. Health and Human Services regulations,
“Nondiscrimination on the Basis of Age in Programs or Activities Receiving Federal Financial
Assistance,” 45 C.F.R. part 90, which implements the Age Discrimination Act of 1975, and
(5) Federal transit law, specifically 49 U.S.C. § 5332, as stated in section a,
g. Nondiscrimination on the Basis of Disability. The Recipient agrees to comply with the
following Federal prohibitions pertaining to discrimination against seniors or individuals with
disabilities: (1) Federal laws, including: (a) Section 504 of the Rehabilitation Act of 1973, as
amended, 29 U.S.C. § 794, which prohibits discrimination on the basis of disability in the
administration of federally funded programs or activities, (b) The Americans with Disabilities
Act of 1990 (ADA), as amended, 42 U.S.C. § 12101 et seq., which requires that accessible
facilities and services be made available to individuals with disabilities, 1 General. Titles I, II,
and III of the ADA apply to FTA Recipients, but 2 Indian Tribes. While Titles II and III of the
ADA apply to Indian Tribes, Title I of the ADA exempts Indian Tribes from the definition of
“employer,” (c) The Architectural Barriers Act of 1968, as amended, 42 U.S.C. § 4151 et seq.,
which requires that buildings and public accommodations be accessible to individuals with
disabilities, (d) Federal transit law, specifically 49 U.S.C. § 5332, which now includes disability
as a prohibited basis for discrimination, and (e) Other applicable laws and amendments
pertaining to access for elderly individuals or individuals with disabilities, (2) Federal
regulations, including: (a) U.S. DOT regulations, “Transportation Services for Individuals with
Disabilities (ADA),” 49 C.F.R. part 37, (b) U.S. DOT regulations, “Nondiscrimination on the
Basis of Disability in Programs and Activities Receiving or Benefiting from Federal Financial
Assistance,” 49 C.F.R. part 27, (c) U.S. DOT regulations, “Transportation for Individuals with
Disabilities: Passenger Vessels,” 49 C.F.R. part 39, (d) Joint U.S. Architectural and
Transportation Barriers Compliance Board (U.S. ATBCB) and U.S. DOT regulations,
“Americans With Disabilities (ADA) Accessibility Specifications for Transportation Vehicles,”
36 C.F.R. part 1192 and 49 C.F.R. part 38, (e) U.S. DOJ regulations, “Nondiscrimination on the
Basis of Disability in State and Local Government Services,” 28 C.F.R. part 35, (f) U.S. DOJ
regulations, “Nondiscrimination on the Basis of Disability by Public Accommodations and in
Commercial Facilities,” 28 C.F.R. part 36, (g) U.S. EEOC, “Regulations to Implement the Equal
Employment Provisions of the Americans with Disabilities Act,” 29 C.F.R. part 1630, (h) U.S.
Federal Communications Commission regulations, “Telecommunications Relay Services and
Related Customer Premises Equipment for Persons with Disabilities,” 47 C.F.R. part 64, Subpart
F, (i) U.S. ATBCB regulations, “Electronic and Information Technology Accessibility
Standards,” 36 C.F.R. part 1194, and (j) FTA regulations, “Transportation for Elderly and
Handicapped Persons,” 49 C.F.R. part 609, and (3) Other applicable Federal civil rights and
nondiscrimination guidance,
h. Drug or Alcohol Abuse - Confidentiality and Other Civil Rights Protections. The Recipient
agrees to comply with the confidentiality and civil rights protections of: (1) The Drug Abuse
Office and Treatment Act of 1972, as amended, 21 U.S.C. § 1101 et seq., (2) The
Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of
1970, as amended, 42 U.S.C. § 4541 et seq., and (3) The Public Health Service Act, as amended,
42 U.S.C. §§ 290dd – 290dd-2,
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i. Access to Services for People with Limited English Proficiency. Except as the Federal
Government determines otherwise in writing, the Recipient agrees to promote accessibility of
public transportation services to people whose understanding of English is limited by following:
1) Executive Order No. 13166, “Improving Access to Services for Persons with Limited English
Proficiency,” August 11, 2000, 42 U.S.C. § 2000d-1 note, and (2) U.S. DOT Notice, “DOT
Policy Guidance Concerning Recipients’ Responsibilities to Limited English Proficiency (LEP)
Persons,” 70 Fed. Reg. 74087, December 14, 2005,
j. Other Nondiscrimination Laws. Except as the Federal Government determines otherwise in
writing, the Recipient agrees to: (1) Comply with other applicable Federal nondiscrimination
laws and regulations, and (2) Follow Federal guidance prohibiting discrimination.
k. Remedies. Remedies for failure to comply with applicable Federal Civil Rights laws and
Federal regulations may be enforced as provided in those Federal laws or Federal regulations.
Breaches and Dispute Resolution – Applicability – All contracts over $250,000
Disputes arising in the performance of this contract which are not resolved by agreement of the
parties shall be decided in writing by the recipient’s authorized representative. This decision
shall be final and conclusive unless within ten days from the date of receipt of its copy,
contractor mails or otherwise furnishes a written appeal to the recipient’s CEO. In connection
with such appeal, contractor shall be afforded an opportunity to be heard and to offer evidence in
support of its position. The decision of the recipient’s CEO shall be binding upon contractor and
contractor shall abide by the decision. FTA has a vested interest in the settlement of any
violation of Federal law including the False Claims Act, 31 U.S.C. § 3729.
Performance During Dispute - Unless otherwise directed by the recipient, contractor shall
continue performance under this contract while matters in dispute are being resolved.
Claims for Damages - Should either party to the contract suffer injury or damage to person or
property because of any act or omission of the party or of any of his employees, agents or others
for whose acts he is legally liable, a claim for damages therefore shall be made in writing to such
other party within ten days after the first observance of such injury or damage.
Remedies - Unless this contract provides otherwise, all claims, counterclaims, disputes and other
matters in question between the recipient and contractor arising out of or relating to this
agreement or its breach will be decided by arbitration if the parties mutually agree, or in a court
of competent jurisdiction within the residing State.
Rights and Remedies - Duties and obligations imposed by the contract documents and the rights
and remedies available thereunder shall be in addition to and not a limitation of any duties,
obligations, rights and remedies otherwise imposed or available by law. No action or failure to
act by the recipient or contractor shall constitute a waiver of any right or duty afforded any of
them under the contract, nor shall any such action or failure to act constitute an approval of or
acquiescence in any breach thereunder, except as may be specifically agreed in writing.
Patent and Rights Data –
Contracts involving experimental, developmental, or research work ($10,000 or less, except for
construction contracts over $2,000).
September 2019
Patent Rights
A. General. The Recipient agrees that:
(1) Depending on the nature of the Project, the Federal Government may acquire patent rights
when the Recipient or Third Party Participant produces a patented or patentable: (a) Invention,
(b) Improvement, or (c) Discovery, (2) The Federal Government’s rights arise when the patent or
patentable information is: (a) Conceived under the Project, or (b) Reduced to practice under the
Project, and (3) When a patent is issued or patented information becomes available as described
in Patent Rights section A(2), the Recipient agrees to: (a) Notify FTA immediately, and (b)
Provide a detailed report satisfactory to FTA,
B. Federal Rights. The Recipient agrees that:
(1) Its rights and responsibilities, and the rights and responsibilities of each Third Party
Participant, in that federally funded invention, improvement, or discovery will be determined as
provided by applicable Federal laws, regulations, and guidance, including any waiver thereof,
and (2) Unless the Federal Government determines otherwise in writing, irrespective of the
Recipient’s status or the status of any Third Party Participant as a large business, a small
business, a State government, a State instrumentality, a local government, an Indian tribe, a
nonprofit organization, an institution of higher education, or an individual, the Recipient agrees
to transmit the Federal Government’s patent rights to FTA as specified in: (a) 35 U.S.C. § 200 et
seq., and (b) U.S. Department of Commerce regulations, “Rights to Inventions Made by
Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and
Cooperative Agreements,” 37 C.F.R. part 401, and
C. License Fees and Royalties. As permitted by 49 C.F.R. parts 18 and 19:
(1) License fees and royalties for patents, patent applications, and inventions derived from the
Project are program income, and (2) The Recipient has no obligation to the Federal Government
with respect to those license fees or royalties, except: (a) For compliance with 35 U.S.C. § 200 et
seq., which applies to patent rights developed under a federally funded research-type project, and
(b) As FTA determines otherwise in writing.
Rights in Data and Copyrights
A. Definition of “Subject Data.” means recorded information: (1) Copyright. Whether or not
copyrighted, and (2) Delivery. That is delivered or specified to be delivered under the
Underlying Agreement,
B. Examples of “Subject Data.” Examples of “subject data”: (1) Include, but are not limited to:
(a) Computer software, (b) Standards, (c) Specifications, (d) Engineering drawings and
associated lists, (e) Process sheets, (f) Manuals, (g) Technical reports, (h) Catalog item
identifications, and (i) Related information, but (2) Do not include: (a) Financial reports,
(b) Cost analyses, or (c) Other similar information used for Project administration,
September 2019
C. General Federal Restrictions. The following restrictions apply to all subject data first
produced in the performance of the Recipient’s Project supported by the Underlying Agreement:
(1) Prohibitions. The Recipient may not: (a) Publish or reproduce any subject data in whole or in
part, or in any manner or form, or (b) Permit others to do so, but (2) Exceptions. The prohibitions
of Rights in Data and Copyrights C(1) do not apply to: (a) Publications or reproductions for the
Recipient’s own internal use, (b) An institution of higher learning, (c) The portion of subject data
that the Federal Government has previously released or approved for release to the public, or (d)
The portion of data that has the Federal Government’s prior written consent for release,
D. Federal Rights in Data and Copyrights. The Recipient agrees that: (1) License Rights. The
Recipient must provide a license to its “subject data” to the Federal Government, which license
is: (a) Royalty-free, (b) Non-exclusive, and (c) Irrevocable, (2) Uses. The Federal Government’s
license must permit the Federal Government to take the following actions provided those actions
are taken for Federal Government purposes: (a) Reproduce the subject data, (b) Publish the
subject data, (c) Otherwise use the subject data, and (d) Permit other entities or individuals to use
the subject data, and
E. Special Federal Rights in Data for Research, Development, Demonstration, Deployment, and
Special Studies Projects. In general, FTA’s purpose in providing Federal funds for a research,
development, demonstration, deployment, or special studies Project is to increase transportation
knowledge, rather than limit the benefits of the Project to the Recipient and its Third Party
Participants, therefore, the Recipient agrees that: (1) Publicly Available Report. When the
Project is completed, it must provide a Project report that FTA may publish or make available for
publication on the Internet, (2) Other Reports. It must provide other reports pertaining to the
Project that FTA may request, (3) Availability of Subject Data. FTA may make available to any
FTA Recipient or any of its Third Party Participants at any tier of the Project, either FTA’s
copyright license to the subject data or a copy of the subject data, except as the Federal
Government determines otherwise in writing, (4) Identification of Information. It must identify
clearly any specific confidential, privileged, or proprietary information submitted to FTA, (5)
Incomplete Project. If the Project is not completed for any reason whatsoever, all data developed
under the Project becomes “subject data” and must be delivered as the Federal Government may
direct, but (6) Exception. Rights in Data and Copyrights Section E does not apply to an
adaptation of automatic data processing equipment or program that is both: (a) For the
Recipient’s use, and (b) Acquired with FTA capital program funding,
F. License Fees and Royalties. As permitted by 49 C.F.R. parts 18 and 19: (1) License fees and
royalties for copyrighted material or trademarks derived from Project are program income, and
(2) The Recipient has no obligation to the Federal Government with respect to those license fees
or royalties, except: (a) For compliance with 35 U.S.C. § 200 et seq., which applies to patent
rights developed under a federally funded research-type project, and (b) As FTA determines
otherwise in writing,
G. Hold Harmless. Upon request by the Federal Government, the Recipient agrees that: (1)
Violation by Recipient. (a) If it willfully or intentionally violates any: 1 Proprietary rights, 2
Copyrights, or 3 Right of privacy, and (b) Its violation occurs from any of the following uses of
Project data: 1 Publication, 2 Translation, 3 Reproduction, 4 Delivery, 5 Use, or 6 Disposition,
then (c) It will indemnify, save, and hold harmless against any liability, including costs and
September 2019
expenses of: 1 The Federal Government’s officers acting within the scope of their official duties,
2 The Federal Government’s employees acting within the scope of their official duties, and 3
Federal Government’s agents acting within the scope of their official duties, but (2) Exceptions.
The Recipient will not be required to indemnify the Federal Government for any liability
described in Rights in Data and Copyrights section G(1) if: (a) Violation by Federal Officers,
Employees or Agents. The violation is caused by the wrongful acts of Federal employees or
agents, or (b) State law. If indemnification is prohibited or limited by applicable State law,
H. Restrictions on Access to Patent Rights. Nothing in this Rights in Data and Copyrights section
pertaining to rights in data either: (1) Implies a license to the Federal Government under any
patent, or (2) May be construed to affect the scope of any license or other right otherwise granted
to the Federal Government under any patent,
I. Data Developed Without Federal Funding or Support. The Recipient understands and agrees
that in certain circumstances it may need to provide data developed without any Federal funding
or support to FTA. Nevertheless: (1) Protections. Rights in Data and Copyrights Sections A, B,
C, and D generally do not apply to data developed without Federal funding, even though that
data may have been used in connection with the Project, and (2) Identification of Information.
The Recipient understands and agrees that the Federal Government will not be able to protect
data developed without Federal funding from unauthorized disclosure unless that data is clearly
marked “Proprietary” or “Confidential,” and
J. Requirements to Release Data. The Recipient understands and agrees that the Federal
Government may be required to release Project data and information the Recipient submits to the
Federal Government as required by: (1) The Freedom of Information Act, 5 U.S.C. § 552,
(2) Another applicable Federal law requiring access to Project records, (3) U.S. DOT regulations,
“Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher
Education, Hospitals, and Other Non-Profit Organizations,” specifically 49 C.F.R. § 19.36(d), or
(4) Other applicable Federal regulations and guidance pertaining to access to Project records.
Transit Employee Protective Provisions – Applicability – Contracts for transit operations
except micro-purchases ($10,000 or less, except for construction contracts over $2,000)
Public Transportation Employee Protective Arrangements. The Recipient agrees that 49 U.S.C. §
5333(b) requires employee protective arrangements to be in place as a condition of award of
FTA assistance made available or appropriated for FTA programs involving public
transportation operations. U.S. DOL recognizes the following categories of arrangements:
(1) U.S. DOL Certification. When its Project involves public transportation operations and is
financed with funding made available or appropriated for 49 U.S.C. §§ 5307, 5309, 5312, 5337,
or 5339, as amended by Map-21, or former 49 U.S.C. §§ 5308, 5309, 5312, or other provisions
of law as required by the Federal Government, U.S. DOL must provide a Certification of
employee protective arrangements before FTA may provide financial assistance for the Project.
Therefore, the Recipient understands and agrees, and assures that any Third Party Participant
providing public transportation operations will agree, that: (a) It must carry out the Project as
provided in its U.S. DOL Certification, which contains the terms and conditions that U.S. DOL
has determined to be fair and equitable to protect the interests of any employees affected by the
Project, (b) It must comply with 49 U.S.C. § 5333(b), and any future amendments thereto, (c)
September 2019
It will follow the U.S. DOL guidelines, “Guidelines, Section 5333(b), Federal Transit Law,” 29
C.F.R. part 215, except as U.S. DOL determines otherwise in writing, (d) It must comply with
the terms and conditions of the U.S. DOL certification of public transportation employee
protective arrangements for the Project, which certification is dated as identified on the
Underlying Agreement, including: 1 Alternative comparable arrangements U.S. DOL has
specified for the Project, 2 Any revisions U.S. DOL has specified for the Project, or 3 Both, and
(e) It must comply with the following documents and provisions incorporated by reference in and
made part of the Underlying Agreement for the Project: 1 The U.S. DOL certification of public
transportation employee protective arrangements for the Project, which certification is dated as
identified on the Underlying Agreement, 2 The documents cited in that U.S. DOL certification
for the Project, 3 Any alternative comparable arrangements that U.S. DOL has specified for the
Project, and 4 Any revisions that U.S. DOL has specified for the Project, (2) Special Warranty.
When its Project involves public transportation operations, and is financed with funding made
available or appropriated for 49 U.S.C. § 5311, as amended by Map-21, for former 49 U.S.C. §
5311 in effect in FY 2012, or a previous fiscal year, or for section 3038 of TEA-21, as amended
by section 3039 of SAFETEA-LU, U.S. DOL will provide a Special Warranty for those projects,
including projects under the Tribal Transit Program. Therefore, the Recipient understands and
agrees, and assures that any Third Party Participant providing public transportation operations
will agree, that: (a) It must comply with Federal transit laws, specifically 49 U.S.C. § 5333(b),
(b) Follow the U.S. DOL guidelines, “Guidelines, Section 5333(b), Federal Transit Law,” 29
C.F.R. part 215, except as U.S. DOL determines otherwise in writing, (c) It will comply with the
U.S. DOL Special Warranty for its Project that is most current on the date when it executed the
Underlying Agreement, and documents cited therein, including: 1 Any alternative comparable
arrangements U.S. DOL has specified for the Project, 2 Any revisions U.S. DOL has specified
for the Project, or 3 Both, and (d) It will comply with the following documents and provisions
incorporated by reference in and made part of the Underlying Agreement: 1 The U.S. DOL
Special Warranty for its Project, 2 Documents cited in that Special Warranty, 3 Alternative
comparable arrangements U.S. DOL specifies for the Project, and 4 Any revisions that U.S. DOL
has specified for the Project, and (3) Special Arrangements for 49 U.S.C. § 5310 Projects. The
Recipient understands and agrees, and assures that any Third Party Participant providing public
transportation operations will agree, that although pursuant to 49 U.S.C. § 5310, and former 49
U.S.C. §§ 5310 or 5317, FTA has determined that it was not “necessary or appropriate” to apply
the conditions of 49 U.S.C. § 5333(b) to Subrecipients participating in the program to provide
public transportation for seniors (elderly individuals) and individuals with disabilities, FTA
reserves the right to make the following exceptions: (a) FTA will make case-by-case
determinations of the applicability of 49 U.S.C. § 5333(b) for all transfers of funding authorized
under title 23, United States Code (flex funds), and (b) FTA reserves the right to make other
exceptions as it deems appropriate.
Disadvantaged Business Enterprise (DBE) – Applicability – Contracts over $10,000 awarded
on the basis of a bid or proposal offering to use DBEs
a. This contract is subject to the requirements of Title 49, Code of Federal Regulations, Part 26,
Participation by Disadvantaged Business Enterprises in Department of Transportation Financial
Assistance Programs. The national goal for participation of Disadvantaged Business Enterprises
(DBE) is 10%. The recipient’s overall goal for DBE participation is listed elsewhere. If a
separate contract goal for DBE participation has been established for this procurement, it is listed
September 2019
elsewhere.
b. The contractor shall not discriminate on the basis of race, color, national origin, or sex in the
performance of this contract. The contractor shall carry out applicable requirements of 49 CFR
Part 26 in the award and administration of this contract. Failure by the contractor to carry out
these requirements is a material breach of this contract, which may result in the termination of
this contract or such other remedy as the municipal corporation deems appropriate. Each
subcontract the contractor signs with a subcontractor must include the assurance in this
paragraph (see 49 CFR 26.13(b)).
c. If a separate contract goal has been established, Bidders/offerors are required to document
sufficient DBE participation to meet these goals or, alternatively, document adequate good faith
efforts to do so, as provided for in 49 CFR 26.53.
d. If no separate contract goal has been established, the successful bidder/offeror will be required
to report its DBE participation obtained through race-neutral means throughout the period of
performance.
e. The contractor is required to pay its subcontractors performing work related to this contract for
satisfactory performance of that work no later than 30 days after the contractor’s receipt of
payment for that work from the recipient. In addition, the contractor may not hold retainage
from its subcontractors or must return any retainage payments to those subcontractors within 30
days after the subcontractor's work related to this contract is satisfactorily completed or must
return any retainage payments to those subcontractors within 30 days after incremental
acceptance of the subcontractor’s work by the recipient and contractor’s receipt of the partial
retainage payment related to the subcontractor’s work.
f. The contractor must promptly notify the recipient whenever a DBE subcontractor performing
work related to this contract is terminated or fails to complete its work, and must make good
faith efforts to engage another DBE subcontractor to perform at least the same amount of work.
The contractor may not terminate any DBE subcontractor and perform that work through its own
forces or those of an affiliate without prior written consent of the recipient.
Prompt Payment – Applicability – All contracts except micro-purchases ($10,000 or less,
except for construction contracts over $2,000)
The prime contractor agrees to pay each subcontractor under this prime contract for satisfactory
performance of its contract no later than 30 days from the receipt of each payment the prime
contract receives from the Recipient. The prime contractor agrees further to return retainage
payments to each subcontractor within 30 days after the subcontractors work is satisfactorily
completed. Any delay or postponement of payment from the above referenced time frame may
occur only for good cause following written approval of the Recipient. This clause applies to
both DBE and non-DBE subcontracts.
Incorporation of Federal Transit Administration (FTA) Terms – Applicability – All
contracts except micro-purchases ($10,000 or less, except for construction contracts over $2,000)
September 2019
The preceding provisions include, in part, certain Standard Terms & Conditions required by
USDOT, whether or not expressly stated in the preceding contract provisions. All USDOT-
required contractual provisions, as stated in FTA Circular 4220.1F, are hereby incorporated by
reference. Anything to the contrary herein notwithstanding, all FTA mandated terms shall be
deemed to control in the event of a conflict with other provisions contained in this Agreement.
The contractor shall not perform any act, fail to perform any act, or refuse to comply with any
request that would cause the recipient to be in violation of FTA terms and conditions.
Drug & Alcohol Abuse and Testing – Applicability – Operational service contracts except
micro-purchases ($10,000 or less, except for construction contracts over $2,000)
The Contractor agrees to comply with the following Federal substance abuse regulations: a.
Drug-Free Workplace. U.S. DOT regulations, "Drug-Free Workplace Requirements (Grants), "
49 C.F.R. Part 32, that implements the Drug-Free Workplace Act of 1988 as amended, 41
U.S.C. §§ 8103 et seq., and 2 CFR part 182, b. Alcohol Misuse and Prohibited Drug Use. FTA
Regulations, "Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations," 49
USC 5331, as amended by Map-21, 49 CFR part 40, 49 USC chapter 53, 49 CFR Part 655, to the
extent applicable.
Other Federal Requirements:
Full and Open Competition – In accordance with 49 U.S.C. § 5325(h) all procurement
transactions shall be conducted in a manner that provides full and open competition.
Prohibition Against Exclusionary or Discriminatory Specifications – Apart from inconsistent
requirements imposed by Federal statute or regulations, the contractor shall comply with the
requirements of 49 USC 5323(h)(2) by refraining from using any FTA assistance to support
procurements using exclusionary or discriminatory specifications.
Conformance with ITS National Architecture – Contractor shall conform, to the extent
applicable, to the National Intelligent Transportation Standards architecture as required by
SAFETEA-LU Section 5307(c), 23 U.S.C. Section 512 note and follow the provisions of FTA
Notice, “FTA National Architecture Policy on Transit Projects,” 66 Fed. Reg.1455 etseq.,
January 8, 2001, and any other implementing directives FTA may issue at a later date, except to
the extent FTA determines otherwise in writing.
Access Requirements for Persons with Disabilities – Contractor shall comply with 49 USC
5301(d), stating Federal policy that the elderly and persons with disabilities have the same rights
as other persons to use mass transportation services and facilities and that special efforts shall be
made in planning and designing those services and facilities to implement that policy.
Contractor shall also comply with all applicable requirements of Sec. 504 of the Rehabilitation
Act (1973), as amended, 29 USC 794, which prohibits discrimination on the basis of handicaps,
and the Americans with Disabilities Act of 1990 (ADA), as amended, 42 USC 12101 et seq.,
which requires that accessible facilities and services be made available to persons with
disabilities, including any subsequent amendments thereto.
Notification of Federal Participation – To the extent required by law, in the announcement of
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any third party contract award for goods and services (including construction services) having an
aggregate value of $500,000 or more, contractor shall specify the amount of Federal assistance to
be used in financing that acquisition of goods and services and to express that amount of Federal
assistance as a percentage of the total cost of the third party contract.
Interest of Members or Delegates to Congress - No members of, or delegates to, the US
Congress shall be admitted to any share or part of this contract nor to any benefit arising
therefrom.
Ineligible Contractors and Subcontractors - Any name appearing upon the Comptroller
General’s list of ineligible contractors for federally-assisted contracts shall be ineligible to act as
a subcontractor for contractor pursuant to this contract. If contractor is on the Comptroller
General’s list of ineligible contractors for federally financed or assisted construction, the
recipient shall cancel, terminate or suspend this contract.
Other Contract Requirements - To the extent not inconsistent with the foregoing Federal
requirements, this contract shall also include those standard clauses attached hereto, and shall
comply with the recipient’s Procurement Guidelines, available upon request from the recipient.
Compliance With Federal Regulations - Any contract entered pursuant to this solicitation shall
contain the following provisions: All USDOT-required contractual provisions, as set forth in
FTA Circular 4220.1F, are incorporated by reference. Anything to the contrary herein
notwithstanding, FTA mandated terms shall control in the event of a conflict with other
provisions contained in this Agreement. Contractor shall not perform any act, fail to perform
any act, or refuse to comply with any grantee request that would cause the recipient to be in
violation of FTA terms and conditions. Contractor shall comply with all applicable FTA
regulations, policies, procedures and directives, including, without limitation, those listed
directly or incorporated by reference in the Master Agreement between the recipient and FTA, as
may be amended or promulgated from time to time during the term of this contract. Contractor’s
failure to so comply shall constitute a material breach of this contract.
Real Property - Any contract entered into shall contain the following provisions: Contractor
shall at all times comply with all applicable statutes and USDOT regulations, policies,
procedures and directives governing the acquisition, use and disposal of real property, including,
but not limited to, 49 CFR 18.31-18.34, 49 CFR 19.30-19.37, 49 CFR Part 24, 49 CFR 5326 as
amended by Map-21, 49 CFR part 18 or 19, 49 USC 5334, applicable FTA Circular 5010, and
FTA Master Agreement, as they may be amended or promulgated during the term of this
contract. Contractor’s failure to so comply shall constitute a material breach of this contract.
Access to Services for Persons with Limited English Proficiency - To the extent applicable
and except to the extent that FTA determines otherwise in writing, the Recipient agrees to
comply with the policies of Executive Order No. 13166, "Improving Access to Services for
Persons with Limited English Proficiency," 42 U.S.C. § 2000d 1 note, and with the provisions of
U.S. DOT Notice, “DOT Guidance to Recipients on Special Language Services to Limited
English Proficient (LEP) Beneficiaries,” 70 Fed. Reg. 74087, December 14, 2005.
Environmental Justice - Except as the Federal Government determines otherwise in writing, the
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Recipient agrees to promote environmental justice by following: (1) Executive Order No. 12898,
“Federal Actions to Address Environmental Justice in Minority Populations and Low-Income
Populations,” February 11, 1994, 42 U.S.C. § 4321 note, as well as facilitating compliance with
that Executive Order, and (2) DOT Order 5610.2, “Department of Transportation Actions To
Address Environmental Justice in Minority Populations and Low-Income Populations,” 62 Fed.
Reg. 18377, April 15, 1997, and (3) The most recent and applicable edition of FTA Circular
4703.1, “Environmental Justice Policy Guidance for Federal Transit Administration Recipients,”
August 15, 2012, to the extent consistent with applicable Federal laws, regulations, and
guidance,
Environmental Protections – Compliance is required with any applicable Federal laws
imposing environmental and resource conservation requirements for the project. Some, but not
all, of the major Federal laws that may affect the project include: the National Environmental
Policy Act of 1969; the Clean Air Act; the Resource Conservation and Recovery Act; the
comprehensive Environmental response, Compensation and Liability Act; as well as
environmental provisions with Title 23 U.S.C., and 49 U.C. chapter 53. The U.S. EPA, FHWA
and other federal agencies may issue other federal regulations and directives that may affect the
project. Compliance is required with any applicable Federal laws and regulations in effect now
or that become effective in the future.
Geographic Information and Related Spatial Data – Any project activities involving spatial
data or geographic information systems activities financed with Federal assistance are required to
be consistent with the National Spatial Data Infrastructure promulgated by the Federal
Geographic Data Committee, except to the extent that FTA determines otherwise in writing.
Geographic Preference
All project activities must be advertised without geographic preference, (except in A/E under
certain circumstances, preference for hiring veterans on transit construction projects and
geographic-based hiring preferences as proposes to be amended in 2 CFR Part 1201 ).
Organizational Conflicts of Interest
The Recipient agrees that it will not enter into a procurement that involves a real or apparent
organizational conflict of interest described as follows: (1) When It Occurs. An organizational
conflict of interest occurs when the Project work, without appropriate restrictions on certain
future activities, results in an unfair competitive advantage: (a) To that Third Party Participant or
another Third Party Participant performing the Project work, and (b) That impairs that Third
Party Participant’s objectivity in performing the Project work, or (2) Other. An organizational
conflict of interest may involve other situations resulting in fundamentally unfair competitive
conditions, (3) Disclosure Requirements. Consistent with FTA policies, the Recipient must
disclose to FTA, and each of its Subrecipients must disclose to the Recipient: (a) Any instances
of organizational conflict of interest, or (b) Violations of federal criminal law, involving fraud,
bribery, or gratuity violations potentially affecting the federal award, and (4) Failure to
Disclose. Failure to make required disclosures can result in remedies for noncompliance,
including debarment or suspension.
Federal Single Audit Requirements for State Administered Federally Aid Funded Projects
Non Federal entities that expend $750,000 or more in a year in Federal awards from all sources
September 2019
are required to comply with the Federal Single Audit Act provisions contained in U.S. Office of
Management and Budget (OMB) Circular No. A 133, “Audits of States, Local Governments, and
Non Profit Organizations” (replaced with 2 CFR Part 200,“Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards” effective December
26, 2014 as applicable). Non Federal entities that expend Federal awards from a single source
may provide a program specific audit, as defined in the Circular. Non Federal entities that
expend less than the amount above in a year in Federal awards from all sources are exempt from
Federal audit requirements for that year, except as noted in Sec. 215 (a) of OMB Circular A-133
Subpart B--Audits, records must be available for review or audit by appropriate officials of the
cognizant Federal agency the New York State Department of Transportation, the New York State
Comptrollers Office and the U.S. Governmental Accountability Office (GAO).
Non Federal entities are required to submit a copy of all audits, as described above, within 30
days of issuance of audit report, but no later than 9 months after the end of the entity’s fiscal
year, to the New York State Department of Transportation, Contract Audit Bureau, 50 Wolf
Road, Albany, NY 12232. Unless a time extension has been granted by the cognizant Federal
Agency and has been filed with the New York State Department of Transportation’s Contract
Audit Bureau, failure to comply with the requirements of OMB Circular A-133 may result in
suspension or termination of Federal award payments.
Veterans Preference. As provided by 49 U.S.C. § 5325(k), to the extent practicable, the
Recipient agrees and assures that each of its Subrecipients:
(1) Will give a hiring preference to veterans, as defined in 5 U.S.C. § 2108, who have the skills
and abilities required to perform construction work required under a third party contract in
connection with a Capital Project supported with federal assistance appropriated or made
available for 49 U.S.C. chapter 53, and
(2) Will not require an employer to give a preference to any veteran over any equally qualified
applicant who is a member of any racial or ethnic minority, female, an individual with a
disability, or a former employee.
Safe Operation of Motor Vehicles.
a. Seat Belt Use. The Recipient agrees to implement Executive Order No. 13043, “Increasing
Seat Belt Use in the United States,” April 16, 1997, 23 U.S.C. § 402 note, (62 Fed. Reg.
19217), by:
(1) Adopting and promoting on-the-job seat belt use policies and programs for its
employees and other personnel that operate company-owned vehicles, company-rented
vehicles, or personally operated vehicles, and
(2) Including a “Seat Belt Use” provision in each third party agreement related to the
Award.
b. Distracted Driving, Including Text Messaging While Driving. The Recipient agrees to
comply with:
(1) Executive Order No. 13513, “Federal Leadership on Reducing Text Messaging While
Driving,” October 1, 2009, 23 U.S.C. § 402 note, (74 Fed. Reg. 51225),
(2) U.S. DOT Order 3902.10, “Text Messaging While Driving,” December 30, 2009, and
(3) The following U.S. DOT Special Provision pertaining to Distracted Driving:
(a) Safety. The Recipient agrees to adopt and enforce workplace safety policies to decrease
crashes caused by distracted drivers, including policies to ban text messaging while using an
electronic device supplied by an employer, and driving a vehicle the driver owns or rents, a
September 2019
vehicle Recipient owns, leases, or rents, or a privately-owned vehicle when on official business
in connection with the Award, or when performing any work for or on behalf of the Award,
(b) Recipient Size. The Recipient agrees to conduct workplace safety initiatives in a manner
commensurate with its size, such as establishing new rules and programs to prohibit text
messaging while driving, re-evaluating the existing programs to prohibit text messaging while
driving, and providing education, awareness, and other outreach to employees about the safety
risks associated with texting while driving, and
(c) Extension of Provision. The Recipient agrees to include the preceding Special Provision of
section 34.b(3)(a) – (b) of this Master Agreement in its third party agreements, and encourage its
Third Party Participants to comply with this Special Provision, and include this Special Provision
in each third party subagreement at each tier supported with federal assistance.
Catalog of Federal Domestic Assistance (CFDA) Identification Number
The municipal project sponsor is required to identify in its accounts all Federal awards received
and expended, and the Federal programs under which they were received. Federal program and
award identification shall include, as applicable, the CFDA title and number, award number and
year, name of the Federal agency, and name of the pass-through entity.
The CFDA number for the Federal Transit Administration. Nonurbanized Area Formula
(Section 5311) is 20.509. A Recipient covered by the Single Audit Act Amendments of 1996
and OMB Circular A-133, “Audits of States, Local Governments, and Non-Profit
Organizations,” (replaced with 2 CFR Part 200,“Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards” effective December 26, 2014 as
applicable) agrees to separately identify the expenditures for Federal awards under the Recovery
Act on the Schedule of Expenditures of Federal Awards (SEFA) and the Data Collection Form
(SF-SAC) required by OMB Circular A-133. The Recipient agrees to accomplish this by
identifying expenditures for Federal awards made under Recovery Act separately on the SEFA,
and as separate rows under Item 9 of Part III on the SF-SAC by CFDA number, and inclusion of
the prefix “ARRA” in identifying the name of the Federal program on the SEFA and as the first
characters in Item 9d of Part III on the SF-SAC.