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including suspension and/or debarment.
3. The prospective lower tier participant shall provide immediate written notice to (Recipient) if at any time
the prospective lower tier participant learns that its certification was erroneous when submitted or has
become erroneous by reason of changed circumstances.
4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction,"
:"participant," "persons," "lower tier covered transaction," "principal," "proposal," and "voluntarily
excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of
rules implementing Executive Order 12549 [49 CPR Part 29]. You may contact (Recipient) for assistance in
obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting this proposal that, should the proposed
covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with
a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this
covered transaction, unless authorized in writing by (Recipient).
6. The prospective lower tier participant further agrees by submitting this proposal that it will include the
clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -
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Lower Tier Covered Transaction", without modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower
tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the
covered transaction, unless it knows that the certification is erroneous. A participant may decide the method
and frequency by which it determines the eligibility of its principals. Each participant may, but is not
required to, check the Nonprocurement List issued by u.s. General Service Administration.
8. Nothing contained in the foregoing shall be construed to require establishment of system of records in
order to render in good faith the certification required by this clause. The knowledge and information of a
participant is not required to exceed that which is normally possessed by a prudent person in the ordinary
course of business dealings.
9. Except for transactions authorized under Paragraph 5 of these instructions, if a participant in a covered
transaction knowingly enters into a lower tier covered transaction with a person who is suspended,
debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to all
remedies available to the Federal Government, (Recipient) may pursue available remedies including
suspension and/or debarment.
"Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier
Covered Transaction"
(1) The prospective lower tier participant certifies, by submission of this bid or proposal, that neither it nor
its "principals" [as defined at 49 c.F.R. § 29.105(p)] is presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal
department or agency.
(2) When the prospective lower tier participant is unable to certify to the statements in this certification,
such prospective participant shall attach an explanation to this proposal.
PRIVACY ACT
U.S.C.552
Contracts Involving Federal Privacy Act Requirements - 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
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provided by PTA.
CIVIL RIGHTS REQUIREMENTS
29 U.S.C. § 623, 42 U.S.c. § 2000
42 U.S.C. § 6102, 42 U.S.C. § 12112
42 U.S.C. § 12132, 49 U.S.C. § 5332
29 CFR Part 1630,41 CFR Parts 60 et seq.
Civil Rights - The following requirements apply to the underlying contract:
(1) Nondiscrimination - In accordance with Title VI of the Civil Rights Act, as amended, 42 U.S.c. §
2000d, section 303 of the Age Discrimination Act of 1975, as amended, 42 U.S.c. § 6102, section 202 of
the Americans with Disabilities Act of 1990,42 U.S.C. § 12132, and Federal transit law at 49 U.S.c. §
5332, the Contractor agrees that it will not discriminate against any employee or applicant for employment
because of race, color, creed, national origin, sex, age, or disability. In addition, the Contractor agrees to
comply with applicable Federal implementing regulations and other implementing requirements PTA may
Issue.
(2) Equal Employment Opportunity - The following equal employment opportunity requirements apply to
the underlying contract:
(a) Race, Color, Creed, National Origin, Sex - In accordance with Title vn of the Civil Rights Act, as
amended, 42 U.S.C. § 2000e, and Federal transit laws at 49 U.S.c. § 5332, the Contractor agrees to comply
with all applicable equal employment opportunity requirements of U.S. Department of Labor (U.S. DOL)
regulations, "Office of Federal Contract Compliance Programs, Equal Employment Opportunity,
Department of Labor," 41 C.F.R. Parts 60 et seq ., (which implement Executive Order No. 11246, "Equal
Employment Opportunity," as amended by Executive Order No. 11375, "Amending Executive Order 11246
Relating to Equal Employment Opportunity," 42 U.S.c. § 2000e note), and with any applicable Federal
statutes, executive orders, regulations, and Federal policies that may in the future affect construction
activities undertaken in the course of the Project. The Contractor agrees to take affirmative action to ensure
that applicants are employed, and that employees are treated during employment, without regard to their
race, color, creed, national origin, sex, or age. Such action shall include, but not be limited to, the
following: employment, upgrading, demotion or transfer, recruitment or recruitment advertising, layoff or
termination; rates of payor other forms of compensation; and selection for training, including
apprenticeship. In addition, the Contractor agrees to comply with any implementing requirements FTA may
issue.
(b) Age - In accordance with section 4 of the Age Discrimination in Employment Act of 1967, as amended,
29 U.S.C. § § 623 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.
(c) Disabilities - In accordance with section 102 of the Americans with Disabilities Act, as amended, 42
U.S.C. § 12112, the Contractor agrees that it will comply with the requirements of U.S. Equal Employment
Opportunity Commission, "Regulations to Implement the Equal Employment Provisions of the Americans
with Disabilities Act," 29 c.F.R. Part 1630, pertaining to employment of persons with disabilities. In
addition, the Contractor agrees to comply with any implementing requirements FTA may issue.
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(3) The Contractor also agrees to include these requirements in each subcontract financed in whole or in
part with Federal assistance provided by PTA, modified only if necessary to identify the affected parties.
BREACHES AND DISPUTE RESOLUTION
49 CFR Part 18
FTA Circular 4220.1D (also see Change 1)
Disputes - Disputes arising in the performance of this Contract which are not resolved by agreement of the
parties shall be decided in writing by the authorized representative of (Recipient),s [title of employee]. This
decision shall be final and conclusive unless within [ten (10)] days from the date of receipt of its copy, the
Contractor mails or otherwise furnishes a written appeal to the [title of employee]. In connection with any
such appeal, the Contractor shall be afforded an opportunity to be heard and to offer evidence in support of
its position. The decision of the [title of employee] shall be binding upon the Contractor and the Contractor
shall abide be the decision.
Performance During Dispute - Unless otherwise directed by (Recipient), Contractor shall continue
performance under this Contract while matters in dispute are being resolved.
Claims for Damages - Should either party to the Contract suffer injury or damage to person or property
because of any act or omission of the party or of any of his employees, agents or others for whose acts he is
legally liable, a claim for damages therefor shall be made in writing to such other party within a reasonable
time after the first observance of such injury of damage.
Remedies - Unless this contract provides otherwise, all claims, counterclaims, disputes and other matters in
question between the (Recipient) and the Contractor arising out of or relating to this agreement or its breach
will be decided by arbitration if the parties mutually agree, or in a court of competent jurisdiction within the
State in which the (Recipient) is located.
Rights and Remedies - The duties and obligations imposed by the Contract Documents and the rights and
remedies available thereunder shall be in addition to and not a limitation of any duties, obligations, rights
and remedies otherwise imposed or available by law. No action or failure to act by the (Recipient),
(Architect) or Contractor shall constitute a waiver of any right or duty afforded any of them under the
Contract, nor shall any such action or failure to act constitute an approval of or acquiescence in any breach
thereunder, except as may be specifically agreed in writing.
TRANSIT EMPLOYEE PROTECTIVE AGREEMENTS
49 U.S.C. § 5310, § 5311, and § 5333
29 CFR Part 215
(a) General Transit Employee Protective Requirements - To the extent that PTA determines that transit
operations are involved, the Contractor agrees to carry out the transit operations work on the underlying
contract in compliance with terms and conditions determined by the U.S. Secretary of Labor to be fair and
equitable to protect the interests of employees employed under this contract and to meet the employee
protective requirements of 49 U.S.C. A 5333(b), and U.S. DOL guidelines at 29 c.F.R. Part 215, and any
amendments thereto. These terms and conditions are identified in the letter of certification from the U.S.
DOL to PTA applicable to the PTA Recipient's project from which Federal assistance is provided to support
