4-07. FR2X Section 5 Federal Clauses.pdf

SECTION 5: FEDERAL CLAUSES

JULY 1, 2025

Utah Department of Transportation 20253 / Project No. S-ST99(835)

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Table of Contents

Section 5: FEDERAL CLAUSES

UTAH DEPARTMENT OF TRANSPORTATION CONTRACTING SERVICES - PROCUREMENT

REQUIREMENTS, PROVISIONS, & FORMS

Attachment A – UDOT-Required Contract Clauses & Provisions, and Applicable Forms for Federally Funded Transit Contracts

1 ACCESS TO RECORDS AND REPORTS

2 BUY AMERICA REQUIREMENTS

3 LOBBYING RESTRICTIONS

4 FLY AMERICA

5 CARGO PREFERENCE REQUIREMENTS

6 CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT

7 EMPLOYEE PROTECTIONS

8 CIVIL RIGHTS LAWS AND REGULATIONS

9 FEDERAL CHANGES

10 NO GOVERNMENT OBLIGATION TO THIRD PARTIES

11 GOVERNMENT-WIDE DEBARMENT AND SUSPENSION

12 PROGRAM FRAUD AND FALSE OR FRAUDULENT STATEMENTS AND RELATED ACTS

13 TERMINATION OF CERTAIN GRANTS, CONTRACTS, AND COOPERATIVE AGREEMENTS

(TRAFFICKING IN PERSONS)

14 RECYCLED PRODUCTS

15 LIMITATION ON CERTAIN ROLLING STOCK PROCUREMENTS

16 ENERGY CONSERVATION

17 SAFE OPERATION OF MOTOR VEHICLES

18 SUBSTANCE ABUSE REQUIREMENTS

19 PROHIBITION ON CERTAIN TELECOMMUNICATIONS AND VIDEO SURVEILLANCE

SERVICES OR EQUIPMENT

20 MOTOR CARRIER SAFETY

21 RESOLUTION OF DISPUTES, BREACHES, OR OTHER LITIGATION

22 SPECIAL NOTIFICATION REQUIREMENTS FOR STATES

23 PRE-AWARD AND POST DELIVERY AUDITS OF ROLLING STOCK PURCHASES

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UTAH DEPARTMENT OF TRANSPORTATION

CONTRACTING SERVICES - PROCUREMENT REQUIREMENTS,

PROVISIONS, & FORMS

For Federally Funded Transit Contracts

The provisions contained in Attachment A – UDOT-Required Contract Clauses & Provisions, and Applicable Forms for Federally Funded Transit Contracts include, in part, standard terms and conditions required by the United States Department of Transportation (U.S. DOT) and the Federal Transit Administration (FTA), whether or not expressly set forth in the Contract. All contract provisions required by U.S. DOT and FTA, as set forth in the most current versions of the FTA Master Agreement and FTA Circular 4220.1G (“Third Party Contracting Guidance”) are hereby incorporated by reference. Anything to the contrary herein notwithstanding, all U.S. DOT and FTA mandated provisions shall be deemed to control in the event of a conflict with other provisions contained in this Contract. The Contractor shall not perform any act, fail to perform any act, or refuse to comply with any Utah Department of Transportation (UDOT or the Department) requests that would cause the Department to be in violation of the U.S. DOT and FTA provisions. The Contractor agrees to include this clause in each subcontract financed in whole or in part with federal assistance.

• Attachment A – UDOT – Required Contract Clauses & Provisions, and applicable Forms for Federally Funded Transit Contracts

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Attachment A – UDOT-Required Contract Clauses & Provisions, and Applicable Forms for Federally Funded Transit Contracts

1 ACCESS TO RECORDS AND REPORTS

49 U.S.C. § 5325(g) 2 C.F.R. § 200.334 49 C.F.R. part 633

Applicability to Contracts

The record keeping and access requirements apply to all contracts funded in whole or in part with FTA funds. Under 49 U.S.C. § 5325(g), FTA has the right to examine and inspect all records, documents, and papers, including contracts, related to any FTA project financed with federal assistance authorized by 49 U.S.C. Chapter 53.

Flow Down Requirements

The record keeping and access requirements extend to all third-party contractors and their contracts at every tier and subrecipients and their subcontracts at every tier.

a. Record Retention. The Contractor will retain and will require its subcontractors of all tiers to retain and complete readily accessible records related in whole or in part to the Contract, including, but not limited to, data, documents, reports, statistics, sub-agreements, leases, subcontracts, arrangements, other third-party agreements of any type, and supporting materials related to those records.

b. Retention Period. The Contractor agrees to comply with the record retention requirements in accordance with 2 C.F.R. § 200.334. The 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 records shall be maintained until the disposition of all such litigation, appeals, claims or exceptions related thereto.

c. Access to Records. The Contractor agrees to provide sufficient access to inspect and audit records and information, including such records and information the Contractor or its subcontractors may regard as confidential or proprietary, related to performance of this Contract to the U.S. Secretary of Transportation or the Secretary’s’ duly authorized representatives, to the Comptroller General of the United States or the Comptroller General’s duly authorized representatives, and to the Department. The Contractor shall permit the aforementioned individuals to inspect all work and materials related to this Contract, and to audit any information related to this Contract, under the control of the Contractor or any of its subcontractors. The Contractor shall comply with 49 U.S.C. § 5325(g) federal access to records requirements set forth in 2 C.F.R. § 200.337.

d. Access to the Sites of Performance. The Contractor agrees to permit FTA and its contractors access to the sites of performance under this Contract and in accordance with 2 C.F.R. § 200.329(f).

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2 BUY AMERICA REQUIREMENTS

49 U.S.C. § 5323(j) 49 C.F.R. Part 661 2 C.F.R. Part 184

Flow Down Requirements

The Buy America requirements flow down to first tier Subcontractors, which are responsible for ensuring that lower tier Subcontractors are in compliance.

Buy America

The Contractor agrees to comply with 49 U.S.C. 5323(j) and 49 C.F.R. part 661, and the Build America Buy America Act (Public Law 117-58) and its implementing regulations at 2 C.F.R. Part 184, which provide that federal funds may not be obligated unless all steel, iron, manufactured products, and construction materials 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. Temporary waivers have been issued under 87 FR 64534 and 88 FR 55817.

Certificate of Compliance with Buy America Requirements

The bidder or offeror, or any of its lower-tier bidders or offerors, hereby certifies that it will comply with the requirements of 49 U.S.C. 5323(j)(1); the applicable regulations in 49 C.F.R. part 661; and the Build America, Buy America Act (Pub. L. No. 117-58 §§ 70901-17) and its implementing regulation 2 C.F.R.

Part 184.

Date: _____________________________________________________________________

Signature: _________________________________________________________________

Company: _________________________________________________________________

Name: ____________________________________________________________________

Title: _____________________________________________________________________

Certificate of Non-Compliance with Buy America Requirements

The bidder or offeror, or any of its lower-tier bidders or offerors, hereby certifies that it cannot comply with the requirements of 49 U.S.C. 5323(j), but it may qualify for an exception to the requirement pursuant to 49 U.S.C. 5323(j)(2), as amended; the applicable regulations in 49 C.F.R. § 661.7; and the Build America, Buy America Act (Pub. L. No. 117-58, §§ 70901-17) and its implementing regulations at 2 C.F.R. Part 184.

Date: _____________________________________________________________________

Signature: _________________________________________________________________

Company: _________________________________________________________________

Name: ____________________________________________________________________

Title: _____________________________________________________________________

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3 LOBBYING RESTRICTIONS

31 U.S.C. § 1352

2 C.F.R. § 200.450 2 C.F.R. part 200 appendix II (I)

49 C.F.R. part 20

Applicability to Contracts

The lobbying requirements apply to all contractors and Subcontractors that apply or bid for an award exceeding $100,000 at any tier under a federal grant. If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this agreement, the payor must complete and submit the Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.

Flow Down Requirements

The lobbying requirements mandate the maximum flow down pursuant to Byrd Anti-Lobbying Amendment, 31 U.S.C. §1352(b)(5)

Lobbying Restrictions

The undersigned certifies, to the best of his or her knowledge and belief, that:

1. No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of a federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement.

2. If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.

3. The undersigned shall require that the language of this certification be included in the Award documents for all sub-awards at all tiers (including subcontracts, sub-grants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

________________________________________ Signature of Contractor's Authorized Official

________________________________________ Name and Title of Contractor's Authorized Official

________________________________________ Date

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4 FLY AMERICA

49 U.S.C. § 40118

41 C.F.R. part 301-10 48 C.F.R. part 47.4

Applicability to Contracts

The Fly America requirements apply to the transportation of persons or property, by air, between a place in the U.S. and a place outside the U.S., or between places outside the U.S., when the FTA will participate in the costs of such air transportation. Transportation on a foreign air carrier is permissible when provided by a foreign air carrier under a code share agreement when the ticket identifies the U.S. air carrier’s designator code and flight number. Transportation by a foreign air carrier is also permissible if there is a bilateral or multilateral air transportation agreement to which the U.S. Government and a foreign government are parties and which the U.S. DOT has determined meets the requirements of the Fly America Act.

Flow Down Requirements

The Fly 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.

Fly America Requirements

a. Definitions. As used in this clause-- “International air transportation” means transportation by air between a place in the United States and a place outside the United States or between two places both of which are outside the United States.

“United States” means the 50 States, the District of Columbia, and outlying areas.

“U.S.-flag air carrier” means an air carrier holding a certificate under 49 U.S.C. Chapter 411.

b. When Federal funds are used to fund travel, Section 5 of the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. 40118) (Fly America Act) requires contractors, recipients, and others use U.S.-flag air carriers for U.S.

Government-financed international air transportation of personnel (and their personal effects) or property, to the extent that service by those carriers is available. It requires the Comptroller General of the United States, in the absence of satisfactory proof of the necessity for foreign-flag air transportation, to disallow expenditures from funds, appropriated or otherwise established for the account of the United States, for international air transportation secured aboard a foreign-flag air carrier if a U.S.-flag air carrier is available to provide such services.

c. If available, the Contractor, in performing work under this contract, shall use U.S.-flag carriers for international air transportation of personnel (and their personal effects) or property.

d. In the event that the Contractor selects a carrier other than a U.S.-flag air carrier for international air transportation, the Contractor shall include a statement on vouchers involving such transportation essentially as follows:

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Statement of Unavailability of U.S.-Flag Air Carriers

International air transportation of persons (and their personal effects) or property by U.S.-flag air carrier was not available or it was necessary to use foreign-flag air carrier service for the following reasons. See FAR § 47.403. [State reasons]:

(End of Statement)

a. The Contractor shall include the substance of this clause, including this paragraph (e), in each subcontract or purchase under this Contract that may involve international air transportation.

(End of Clause)

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5 CARGO PREFERENCE REQUIREMENTS

46 U.S.C. § 55305 46 C.F.R. part 381

Applicability to Contracts and Flow Down Requirements

The requirements of the Cargo Preference Act of 1954 apply to all contracts involving the transport of equipment, materials, or commodities by ocean vessel.

Cargo Preference - Use of United States-Flag Vessels

The contractor agrees:

a. To use privately owned United States-Flag commercial vessels to ship at least 50 percent of the gross tonnage (computed separately for dry bulk carriers, dry cargo liners, and tankers) involved, whenever shipping any equipment, material, or commodities pursuant to the underlying Contract to the extent such vessels are available at fair and reasonable rates for United States-Flag commercial vessels;

b. To furnish within 20 working days following the date of loading for shipments originating within the United States or within 30 working days following the date of loading for shipments originating outside the United States, a legible copy of a rated, "on-board" commercial ocean bill-of-lading in English for each shipment of cargo described in the preceding paragraph to the Division of National Cargo, Office of Market Development, Maritime Administration, Washington, DC 20590 and to the FTA recipient (through the contractor in the case of a subcontractor's bill-of-lading); and

c. To include these requirements in all subcontracts issued pursuant to this Contract when the subcontract may involve the transport of Equipment, material, or commodities by ocean vessel.

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6 CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT

42 U.S.C. §§ 7401 – 7671q

33 U.S.C. §§ 1251-1387 2 C.F.R. part 200, Appendix II (G)

Applicability to Contracts

The Clean Air and Clean Water Act requirements apply to each contract and subcontract exceeding $150,000. Each contract and subcontract must contain a provision that requires the recipient to agree to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act (42 U.S.C. 7401–7671q) and the Federal Water Pollution Control Act as amended (33 U.S.C. 1251–1387).

Violations must be reported to the federal awarding agency and the Regional Office of the Environmental Protection Agency (EPA).

Flow Down Requirements

The Clean Air Act and Federal Water Pollution Control Act requirements extend to all third-party contractors and their contracts at every tier and subrecipients and their subcontracts at every tier.

The Contractor agrees:

(1) It will not use any violating facilities;

(2) It will report the use of facilities placed on or likely to be placed on the U.S. EPA “List of Violating Facilities;”

(3) It will report violations of use of prohibited facilities to FTA; and

(4) It will comply with the inspection and other requirements of the Clean Air Act, as amended, (42 U.S.C. §§ 7401 – 7671q); and the Federal Water Pollution Control Act as amended, (33 U.S.C. §§ 1251-1387).

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7 EMPLOYEE PROTECTIONS

49 U.S.C. § 5333(a)

40 U.S.C. §§ 3141 – 3148 29 C.F.R. part 5 18 U.S.C. § 874 29 C.F.R. part 3

40 U.S.C. §§3701-3708 29 C.F.R. part 1926

Applicability to Contracts

Certain employee protections apply to all FTA funded contracts with particular emphasis on construction related projects. The Department will ensure that each third-party contractor complies with all federal laws, regulations, and requirements, including:

1. Contract Work Hours and Safety Standards

a. Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. §§ 3701-3708;

and supplemented by Department of Labor (DOL) regulations, 29 C.F.R. part 5; and

b. U.S. DOL regulations, “Safety and Health Regulations for Construction,” 29 C.F.R. part

1926.

Flow Down Requirements

These requirements extend to all third-party contractors and their contracts at every tier and subrecipients and their subcontracts at every tier. The Contract Work Hours and Safety Standards Act apply to all FTA funded contracts in excess of $100,000 that involve the employment of mechanics or laborers.

Contract Work Hours and Safety Standards

For all contracts in excess of $100,000 that involve the employment of mechanics or laborers, the Contractor shall comply with the Contract Work Hours and Safety Standards Act (40 U.S.C. §§ 3701- 3708), as supplemented by the DOL regulations at 29 C.F.R. part 5. Under 40 U.S.C. § 3702 of the Act, the Contractor shall compute the wages of every mechanic and laborer, including watchmen and guards, on the basis of a standard work week of 40 hours. Work in excess of the standard work week is permissible provided that the worker is compensated at a rate of not less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work week. The requirements of 40 U.S.C. § 3704 are applicable to construction work and provide that no laborer or mechanic be required to work in surroundings or under working conditions which are unsanitary, hazardous or dangerous. These requirements do not apply to the purchase of supplies or materials or articles ordinarily available on the open market, or to contracts for transportation or transmission of intelligence.

In the event of any violation of the clause set forth herein, the Contractor and any Subcontractor responsible therefor shall be liable for the unpaid wages. In addition, the Contractor and Subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of this clause in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by this clause.

The FTA shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the Contractor or Subcontractor under any such contract or any other federal contract with

Contract Section 5: Federal Clauses Page | 12 the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or Subcontractor for unpaid wages and liquidated damages as provided in this section.

The Contractor or Subcontractor shall insert in any subcontracts the clauses set forth in this section and also a clause requiring the Subcontractors to include these clauses in any lower tier subcontracts. The prime Contractor shall be responsible for compliance by any Subcontractor or lower tier Subcontractor with the clauses set forth in this agreement.

Contract Work Hours and Safety Standards for Awards Not Involving Construction

The Contractor shall comply with all federal laws, regulations, and requirements providing wage and hour protections for non-construction employees, in accordance with 40 U.S.C. § 3702, Contract Work Hours and Safety Standards Act, and other relevant parts of that Act, 40 U.S.C. § 3701 et seq., and U.S. DOL regulations, “Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction (also Labor Standards Provisions Applicable to Non-construction Contracts Subject to the Contract Work Hours and Safety Standards Act),” 29 C.F.R. part 5.

The Contractor shall maintain payrolls and basic payroll records during the course of the Work and shall preserve them for a period of three (3) years from the completion of the Contract for all laborers and mechanics, including guards and watchmen, working on the contract. Such records shall contain the name and address of each such employee, social security number, correct classifications, hourly rates of wages paid, daily and weekly number of hours worked, deductions made, and actual wages paid.

Such records maintained under this paragraph shall be made available by the Contractor for inspection, copying, or transcription by authorized representatives of the FTA and the Department of Labor, and the Contractor will permit such representatives to interview employees during working hours on the job.

The Contractor shall require the inclusion of the language of this clause within subcontracts of all tiers.

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8 CIVIL RIGHTS LAWS AND REGULATIONS

29 U.S.C § 621 et seq., 42 U.S.C. § 2000e

42 U.S.C. § 6101 et seq., 42 U.S.C § 12101 et seq.

49 U.S.C. § 5332 29 CFR Part 1625

Applicability to Contracts

The following federal civil rights laws and regulations apply to all contracts.

1. Federal Equal Employment Opportunity (EEO) Requirements. These include, but are not limited to:

a. Nondiscrimination in Federal Public Transportation Programs. 49 U.S.C. § 5332, covering projects, programs, and activities financed under 49 U.S.C. Chapter 53, prohibits discrimination on the basis of race, color, religion, national origin, sex (including sexual orientation), disability, or age, and prohibits discrimination in employment or business opportunity.

b. Prohibition against Employment Discrimination. Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000e, prohibits discrimination in employment on the basis of race, color, religion, sex, or national origin.

2. Nondiscrimination on the Basis of Sex. Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. § 1681 et seq. and implementing federal regulations, “Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance,” 49 C.F.R. part 25 prohibit discrimination on the basis of sex.

3. Nondiscrimination on the Basis of Age. The Age Discrimination Act of 1975, as amended, 42 U.S.C. § 6101 et seq., and Department of Health and Human Services implementing regulations, “Nondiscrimination on the Basis of Age in Programs or Activities Receiving Federal Financial Assistance,” 45 C.F.R. part 90, prohibit discrimination by participants in federally assisted programs against individuals on the basis of age. The Age Discrimination in Employment Act (ADEA), 29 U.S.C. § 621 et seq., and Equal Employment Opportunity Commission (EEOC) implementing regulations, Age Discrimination in Employment Act, 29 C.F.R. part 1625, also prohibit employment discrimination against individuals age 40 and over on the basis of age.

4. Federal Protections for Individuals with Disabilities. The Americans with Disabilities Act of 1990, as amended (ADA), 42 U.S.C. § 12101 et seq., prohibits discrimination against qualified individuals with disabilities in programs, activities, and services, and imposes specific requirements on public and private entities. Third party contractors must comply with their responsibilities under Titles I, II, III, IV, and V of the ADA in employment, public services, public accommodations, telecommunications, and other provisions, many of which are subject to regulations issued by other Federal agencies.

5. Disadvantaged Business Enterprises. Per 49 CFR Part 26, as an FTA recipient, the Department requires each transit vehicle manufacturer, as a condition of proposing on FTA-assisted transit vehicle procurements, certify that it has complied with the DBE program requirements. Only those transit vehicle manufacturers listed on FTA's eligible TVMs list, or that have submitted a goal methodology to FTA that has been approved or has not been disapproved, at the time of this solicitation will be eligible to bid on this contract.

Flow Down Requirements

The following civil rights requirements flow down to all third-party contractors and their contracts at every tier.

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Civil Rights and Equal Opportunity

The Department is an Equal Opportunity Employer. As such, the Department agrees to comply with all applicable federal civil rights laws and implementing regulations. Apart from inconsistent requirements imposed by federal laws or regulations, the Department agrees to comply with the requirements of 49 U.S.C. § 5323(h)(3) by not using any federal assistance awarded by FTA to support procurements using exclusionary or discriminatory specifications.

Under this Agreement, the Contractor shall at times comply with the following requirements and shall include these requirements in each subcontract entered into as part thereof.

1. Nondiscrimination. In accordance with federal transit law at 49 U.S.C. § 5332, the Contractor agrees that it will not discriminate against any employee or applicant for employment because of race, color, religion, national origin, sex, disability, or age. In addition, the Contractor agrees to comply with applicable federal implementing regulations and other implementing requirements FTA may issue.

2. Age. In accordance with the Age Discrimination in Employment Act, 29 U.S.C. §§ 621-634, U.S.

Equal Employment Opportunity Commission (U.S. EEOC) regulations, “Age Discrimination in Employment Act,” 29 C.F.R. part 1625, the Age Discrimination Act of 1975, as amended, 42 U.S.C. § 6101 et seq., 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, and Federal transit law at 49 U.S.C. § 5332, the Contractor agrees to refrain from discrimination against present and prospective employees for reason of age. In addition, the Contractor agrees to comply with any implementing requirements FTA may issue.

3. Disabilities. In accordance with section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794, the Americans with Disabilities Act of 1990, as amended, 42 U.S.C. § 12101 et seq., the Architectural Barriers Act of 1968, as amended, 42 U.S.C. §4151 et seq., and Federal transit law at 49 U.S.C. § 5332, the Contractor agrees that it will not discriminate against individuals on the basis of disability. In addition, the Contractor agrees to comply with any implementing requirements that DOT or FTA may issue.

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9 FEDERAL CHANGES

Applicability to Contracts

The Federal Changes requirement applies to all contracts

Flow Down Requirements

The Federal Changes requirement flows down appropriately to all contracts at all tiers.

Federal Changes

The Contractor shall at times 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 Department and FTA, as they may be amended or promulgated from time to time during the term of this Contract. The Contractor’s failure to so comply shall constitute a material breach of this Contract.

Federal requirements that apply to the Department or the Award, the accompanying underlying agreement, and any amendments thereto may change due to changes in federal law, regulation, other requirements, or guidance, or changes in the Department’s underlying agreement including any information incorporated by reference and made part of that underlying agreement. Applicable changes to those federal requirements will apply to this contract and parties thereto at any tier.

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10 NO GOVERNMENT OBLIGATION TO THIRD PARTIES

Applicability to Contracts

The no obligation clause applies to all third-party contracts that are federally funded.

Flow Down Requirements

The no obligation clause extends to all levels to clarify, to all parties to the Contract, that the federal government does not have contractual liability to third parties, absent specific written consent.

No Federal Government Obligation to Third Parties.

The Department and Contractor acknowledge and agree that, notwithstanding any concurrence by the federal government in or approval of the solicitation or Award of the underlying Contract, absent the express written consent by the federal government, the federal government is not a party to this Contract and shall not be subject to any obligations or liabilities to the Department, Contractor or any other party (whether or not a party to that Contract) pertaining to any matter resulting from the underlying Contract.

The Contractor agrees to include the above clause in each subcontract financed in whole or in part with federal assistance provided by the FTA. It is further agreed that the clause shall not be modified, except to identify the Subcontractor who will be subject to its provisions.

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11 GOVERNMENT-WIDE DEBARMENT AND SUSPENSION

2 C.F.R. part 180 2 C.F.R part 1200 2 C.F.R. § 200.213

2 C.F.R. part 200 Appendix II (H) Executive Order 12549 Executive Order 12689

Background and Applicability

A contract award (of any tier) in an amount expected to equal or exceed $25,000 or a contract award at any tier for a federally required audit (irrespective of the contract amount) must not be made to parties listed on the government-wide exclusions in the System for Award Management (SAM), in accordance with the OMB guidelines at 2 C.F.R. part 180. The Excluded Parties List System in SAM contains the names of parties debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible under statutory or regulatory authority other than Executive Order 12549.

Recipients, contractors, and Subcontractors (at any level) that enter into covered transactions are required to verify that the entity (as well as its principals and affiliates) with which they propose to contract or subcontract is not excluded or disqualified. This is done by: (a) checking the SAM exclusions; (b) collecting a certification from that person; or (c) adding a clause or condition to the contract or subcontract.

Flow Down Requirements

Recipients, contractors, and Subcontractors who enter into covered transactions with a participant at the next lower level, must require that participant to: (a) comply with subpart C of 2 C.F.R. part 180, as supplemented by 2 C.F.R. part 1200; and (b) pass the requirement to comply with subpart C of 2 C.F.R.

part 180 to each person with whom the participant enters into a covered transaction at the next lower tier.

Debarment, Suspension, Ineligibility and Voluntary Exclusion

The Contractor shall comply and facilitate compliance with U.S. DOT regulations, “Nonprocurement Suspension and Debarment,” 2 C.F.R. part 1200, which adopts and supplements the U.S. Office of Management and Budget (U.S. OMB) “Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement),” 2 C.F.R. part 180. These provisions apply to each contract at any tier of $25,000 or more, and to each contract at any tier for a federally required audit (irrespective of the contract amount), and to each contract at any tier that must be approved by an FTA official irrespective of the contract amount. As such, the Contractor shall verify that its principals, affiliates, and Subcontractors are eligible to participate in this federally funded contract and are not presently declared by any Federal department or agency to be:

a. Debarred from participation in any federally assisted award;

b. Suspended from participation in any federally assisted award;

c. Proposed for debarment from participation in any federally assisted award;

d. Declared ineligible to participate in any federally assisted award;

e. Voluntarily excluded from participation in any federally assisted award; or

f. Disqualified from participation in any federally assisted award.

By signing and submitting its bid or Proposal, the bidder or Proposer certifies as follows:

The certification in this clause is a material representation of fact relied upon by the Department. If it is later determined by the Department that the bidder or Proposer knowingly rendered an erroneous

Contract Section 5: Federal Clauses Page | 18 certification, in addition to remedies available to the Department, the federal government may pursue available remedies, including but not limited to suspension and/or debarment. The bidder or Proposer agrees to comply with the requirements of 2 C.F.R. part 180, subpart C, as supplemented by 2 C.F.R. part 1200, while this offer is valid and throughout the period of any contract that may arise from this offer.

The bidder or Proposer further agrees to include a provision requiring such compliance in its lower tier covered transactions.

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12 PROGRAM FRAUD AND FALSE OR FRAUDULENT STATEMENTS AND

RELATED ACTS

49 U.S.C. § 5323(l) (1) 31 U.S.C. §§ 3801-3812

18 U.S.C. § 1001 49 C.F.R. part 31

Applicability to Contracts

The program fraud clause applies to all third-party contracts that are federally funded.

Flow Down Requirements

The program fraud clause extends to all third-party contractors and their contracts at every tier and subrecipients and their subcontracts at every tier. These requirements flow down to contractors and Subcontractors who make, present, or submit covered claims and statements.

Program Fraud and False or Fraudulent Statements or Related Acts

The Contractor acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. § 3801 et seq. and U.S. DOT regulations, "Program Fraud Civil Remedies," 49 C.F.R. part 31, shall apply to its actions pertaining to this Project. Upon execution of the underlying Contract, the Contractor certifies or affirms the truthfulness and accuracy of any statement it has made, it makes, it may make, or causes to be made, pertaining to the underlying Contract or the FTA assisted Project for which this Contract Work is being performed. In addition to other penalties that may be applicable, the Contractor further acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification, the federal government reserves the right to impose the penalties of the Program Fraud Civil Remedies Act of 1986 on the Contractor to the extent the federal government deems appropriate.

The Contractor also acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification to the federal government under a contract connected with a project that is financed in whole or in part with Federal assistance originally awarded by FTA under the authority of 49 U.S.C. chapter 53, the Government reserves the right to impose the penalties of 18 U.S.C.

§ 1001 and 49 U.S.C. § 5323(l) on the Contractor, to the extent the federal government deems appropriate.

The Contractor agrees to include the above two (2) clauses in each subcontract financed in whole or in part with federal assistance provided by FTA. It is further agreed that the clauses shall not be modified, except to identify the Subcontractor who will be subject to the provisions.

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FEDERAL TAX LIABILITY AND RECENT FELONY CONVICTIONS

Transactions Prohibited

1. The Department agrees, that prior to entering into any third-party agreement with any private corporation, partnership, trust, joint-stock company, sole proprietorship, or other business association, the Department will obtain from the prospective third-party participant a certification that the third-party participant:

1) Does not have any unpaid federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability;

and

2) Was not convicted of a felony criminal violation under any Federal law within the preceding twenty-four (24) months.

2. If the prospective third-party participant cannot so certify, the Department agrees to refer the matter to FTA and not to enter into any third-party agreement with the third-party participant without FTA’s written approval.

Flow Down Requirements

The Department agrees to require all third-party participants to flow this requirement down to participants at all lower tiers, without regard to the value of any sub agreement.

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13 TERMINATION OF CERTAIN GRANTS, CONTRACTS, AND

COOPERATIVE AGREEMENTS (TRAFFICKING IN PERSONS)

2 C.F.R Part 175 22 U.S.C 7104(g) – noted above

31 U.S.C. 503;

31 U.S.C 1111;

41 U.S.C 405;

Reorganization Plan No.2 of 1970;

E.O. 11541, 35 FR, 3 C.F.R., 1966-1970, p. 939

Purpose of this Part

This part establishes a governmentwide term for grants and cooperative agreements to implement the requirement in paragraph (g) section 106 of the Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S. 7104(g)).

Statutory Requirement

In each agency award (i.e., grant or cooperative agreement) under which funding is provided to a private entity, Section 106(g) of the TVPA, as amended, requires the agency to include a condition that authorizes the agency to terminate the award, without penalty, if the recipient or a subrecipient –

a. Engages in severe forms of trafficking in persons during the period of time that the award is in effect;

b. Procures a commercial sex act during the period of time that the award is in effect; or

c. Uses forced labor in the performance of the award or subawards under the award.

Trafficking in persons.

a. Provisions applicable to any recipient

1) You must inform us immediately of any information you receive from any source alleging a violation of a prohibition in paragraph a.1 of this award term.

2) Our right to terminate unilaterally that is described in paragraph a.2 or b.

of this section:

i. Implement section 106(g) of the Trafficking Victims Protection Act of

2000 (TVPA), as amended (22 U.S.C. 7104(g)), and

ii. Is in addition to all other remedies for noncompliance that are available to us under this award.

3) You must include the requirements of paragraph a.1 of this award term in any subaward you make to a private entity.

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14 RECYCLED PRODUCTS

42 U.S.C. § 6962 40 C.F.R. part 247

2 C.F.R. part § 200.323

Applicability to Contracts

The Resource Conservation and Recovery Act, as amended, (42 U.S.C. § 6962 et seq.), requires states and local governmental authorities to provide a competitive preference to products and services that conserve natural resources, protect the environment, and are energy efficient. Recipients are required to procure only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 C.F.R.

part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired during the preceding fiscal year exceeded $10,000.

Flow Down Requirements

These requirements extend to all third-party contractors and their contracts at every tier and subrecipients and their subcontracts at every tier where the value of an EPA designated item exceeds $10,000.

Recovered Materials

The Contractor agrees to provide a preference for those products and services that conserve natural resources, protect the environment, and are energy efficient by complying with and facilitating compliance with Section 6002 of the Resource Conservation and Recovery Act, as amended, 42 U.S.C. § 6962, and U.S. Environmental Protection Agency (U.S. EPA), “Comprehensive Procurement Guideline for Products Containing Recovered Materials,” 40 C.F.R. part 247.

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15 LIMITATION ON CERTAIN ROLLING STOCK PROCUREMENTS

49 U.S.C. 5323(u)(1)

49 U.S.C. § 5323(u)(1) provides that federal assistance cannot be used in awarding a contract or subcontract for rolling stock for use in public transportation to an entity that meets the following criteria:

a. The entity is incorporated in or has manufacturing facilities in the United States; and

b. Is owned or controlled by, is a subsidiary of, or is otherwise related legally or financially to a corporation based in a country that:

i. Is identified as a Nonmarket Economy Country as defined in 19 U.S.C. §

1677(18);

ii. Was identified by the United States Trade Representative (“USTR”) in the most recent report required by 19 U.S.C. § 2242 as a foreign country included on the priority watch list as defined in 19 U.S.C. § 2242(g)(3); and

iii. Is subject to monitoring by the USTR under 19 U.S.C. § 2416.

c. For purposes of paragraph (b), the term “otherwise related legally or financially” does not include:

i. a minority relationship or investment; or

ii. a relationship with or investment in a subsidiary, joint venture, or other entity based in a country described in paragraph (b)(ii) that does not export rolling stock components or rolling stock for use in the United States.

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16 ENERGY CONSERVATION

42 U.S.C. 6321 et seq.

49 C.F.R. part 622, subpart C

Applicability to Contracts

The Energy Policy and Conservation Act requirements are applicable to all contracts. The recipient (the Department) agrees to, and assures that its subrecipients, if any, will comply with the mandatory energy standards and policies of its state energy conservation plans under the Energy Policy and Conservation Act, as amended, 42 U.S.C. § 6201 et seq., and perform an energy assessment for any building constructed, reconstructed, or modified with federal assistance as required under FTA regulations, “Requirements for Energy Assessments,” 49 C.F.R. part 622, subpart C.

Flow Down Requirements

These requirements extend to all third-party contractors and their contracts at every tier and subrecipients and their subcontracts at every tier.

Energy Conservation

The Contractor agrees to comply with mandatory standards and policies relating to energy efficiency, which are contained in the state energy conservation plan issued in compliance with the Energy Policy and Conservation Act.

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17 SAFE OPERATION OF MOTOR VEHICLES

23 U.S.C. part 402

Executive Order No. 13043 Executive Order No. 13513

U.S. DOT Order No. 3902.10

Applicability to Contracts

The safe operation of motor vehicles requirements apply to all federally funded third-party contracts. In compliance with federal Executive Order No. 13043, “Increasing Seat Belt Use in the United States,” April 16, 1997, 23 U.S.C. Section 402 note, FTA encourages each third-party contractor to adopt and promote on-the-job seat belt use policies and programs for its employees and other personnel that operate company owned, rented, or personally operated vehicles, and to include this provision in each third-party subcontract involving the Project. Additionally, recipients are required by FTA to include a distracted driving clause that addresses distracted driving, including text messaging in each of its third-party agreements supported with federal assistance.

Flow Down Requirements

The safe operation of motor vehicles requirements flow down to all third-party contractors at every tier.

Safe Operation of Motor Vehicles

Seat Belt Use

The Contractor is encouraged to adopt and promote 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. The terms “company-owned” and “company-leased” refer to vehicles owned or leased either by the Contractor or the Department.

Distracted Driving, Including Text Messaging While Driving

The Contractor 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 vehicle Contactor owns, leases, or rents, or a privately-owned vehicle when on official business in connection with the Work performed under this agreement.

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18 SUBSTANCE ABUSE REQUIREMENTS

Alcohol Misuse and Prohibited Drug Use

1. Requirements. Contractor will comply with:

a. Federal transit laws, specifically 49 U.S.C. § 5331;

b. FTA regulations, “Prevention of Alcohol Misuse and Prohibited Drug Use in Transit

Operations,” 49 CFR Part 655; and

c. Applicable provisions of U.S. DOT regulations, “Procedures for Transportation

Workplace Drug and Alcohol Testing Programs,” 49 CFR Part 40.

Remedies for Non-Compliance. Department agrees that if FTA determines that the Contractor receiving federal assistance under 49 U.S.C. chapter 53 is not in compliance with 49 CFR Part 655, the Federal Transit Administrator may bar that Contractor from receiving all or a portion of the federal transit assistance for public transportation it would otherwise receive.

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19 PROHIBITION ON CERTAIN TELECOMMUNICATIONS AND VIDEO

SURVEILLANCE SERVICES OR EQUIPMENT

In accordance with 2 CFR 200.216, the Contractor and its subcontractors are prohibited from expending funds under this Contract for the procurement of Equipment, services, or systems that use covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system.

“Covered telecommunications equipment or services” is telecommunications or video surveillance equipment or services produced by:

a. Huawei Technologies Company

b. ZTE Corporation

c. Hytera Communications Corporation

d. Hangzhou Hikvision Digital Technology Company

e. Dahua Technology Company

f. Any subsidiary of the above listed entities.

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20 MOTOR CARRIER SAFETY

Financial Responsibility

Contractor will comply with the economic and insurance registration requirements of the:

1. U.S. Federal Motor Carrier Safety Administration (U.S. FMCSA) regulations, “Minimum Levels of Financial Responsibility for Motor Carriers,” 49 CFR Part 387, if it is engaged in operations requiring compliance with 49 CFR Part 387, it is engaged in interstate commerce, and it is not within a defined commercial zone; and

2. The provisions of 49 U.S.C. § 31138(e)(4), which supersede inconsistent provisions of 49 CFR Part 387, and reduce the amount of insurance Contractor must obtain to the highest amount required by any state in which the public transportation provider operates, if it operates within a public transportation service area located in more than one state, and receives federal assistance under 49 U.S.C. §§ 5307, 5310, and 5311.

U.S. FMCSA Requirements

Contractor will comply with:

The safety requirements of U.S. FMCSA regulations, “Federal Motor Carrier Safety Regulations,” 49 CFR Parts 390 – 397, to the extent applicable; and

The driver’s license requirements of U.S. FMCSA regulations, “Commercial Driver’s License Standards, Requirements, and Penalties,” 49 CFR Part 383, and “State Compliance with Commercial Driver’s License,” 49 CFR Part 384, to the extent applicable, with the substance abuse requirements and guidance of U.S.