Res 1339 - 95/96 Comm Trans Grt
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COUNCIL BILL NO. 1691
RESOLUTION NO. 1339
A RESOLUTION ENTERING INTO AN AGREEMENT WITH THE STATE OF OREGON,
KNOWN AS THE " 1995/96 COMMUNITY TRANSPORTATION GRANT CAPITAL
ASSISTANCE AGREEMENT" AND AUTHORIZING THE MAYOR SIGN SUCH AGREEMENT.
WHEREAS, The City of Woodburn applied for a Community Transportation Program
Capital Assistant Grant in February 1992 in an amount not to exceed $52,000 to assist in
purchase of an ADA accessible bus for the transit system, and
WHEREAS, The city's request was approved for federal fiscal year 1996 and
included in the preliminary Statewide Transportation Improvement Program, and
WHEREAS, The Oregon Transportation Commission approved the Statewide
Transportation Improvement Program which included the city's capital investment request;
NOW THEREFORE,
THE CITY OF WOODBURN RESOLVES AS FOLLOWS:
Section 1. That the City of Woodburn enter into an agreement with the State of
Oregon to secure up to $52,000 in federal Title 49 U.S. C. Section 5311 funds for capital
assistance to purchase a small accessible bus. Said agreement is attached hereto and by
this reference incorporated herein.
Section 2. That the Mayor is authorized to sign said agreement on behalf of the
City.
Passed by the Council
i1'6J16
APPROVED: /';l~/ --. (if~
Nancy KirkspY, Mayor )
February 12, 1996;
February 13, 1996
Approved as to fOSrl%- ~
City Attorney
Submitted to the Mayor
Approved by the Mayor
February 13, 1996
Filed in the Office of the Recorder
ATTEST: IYJQ,V-{'~~
Maly T6Qilant, Recorder
City of Woodburn, Oregon
February 13, 1996
Page 1 -
COUNCIL BILL NO. 1691
RESOLUTION NO. 1339
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Contract # OR180012C40
1995/96 COMMUNITY TRANSPORTATION GRANT
CAPITAL ASSISTANCE AGREEMENT
PARTIES
1. State of Oregon, by and through its Department of Transportation, Public Transit
Section (STATE).
2. City of Woodburn (RECIPIENT).
RECITALS
1. The Oregon Transportation Commission acting through STATE is authorized to
enter into contracts and disburse funds for the purpose of supporting public
transportation pursuant to ORS 184.670 through 184.733.
2. RECIPIENT has requested assistance with the purchase and improvement of
equipment used to provide general public transportation services.
3. Title 49 U.S.C. Sec. 5310 provides capital assistance funding to private, non-profit
organizations that meet the special needs of persons who are elderly and disabled
where mass transportation services are unavailable, insufficient or inappropriate.
4. Special Transportation Discretionary Program provides capital assistance funding to
governing bodies that meet the transportation needs of individuals who are elderly
and disabled pursuant to ORS 323.455 and ORS 391.800 through 391.830.
5. Title 49 U.S.C. Sec. 5311 provides for capital assistance funding in non urbanized
areas.
6. The Governor of the State of Oregon in accordance with a request by the Federal
Transit Administration (FTA) has designated STATE to evaluate and select projects
and to coordinate the grant application.
7. Information concerning the financial assistance used to finance this grant is
attached in Attachment D of this agreement.
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Contract # OR 180012C40
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AGREEMENTS
1. STATE and RECIPIENT agree to be bound by the terms and conditions of the
General Provisions; Part I. II. and III, which are attached and are by reference
incorporated herein.
2. This Agreement shall cover the equipment identified in Attachment A, "Project
Description", which is attached and by reference incorporated herein.
3. RECIPIENT agrees to be bound by the terms and conditions of "Sample Project
Completion Statement" (Attachment B), "Provisions to be included in Contracts"
(Attachments C), "Federal Transit Administration Master Agreement" (Attachment
E), "Federal Fiscal Year 1996 Certifications and Assurances for FTA Assistance
Programs" (Attachment F), and the "Signature Page" (Attachment G), which are
attached and are by reference incorporated herein.
4. This Agreement shall become effective upon approval and signature by the
Manager of the Public Transit Section and those officials authorized to sign on
behalf of RECIPIENT.
This Agreement is approved by the Interim Manager of the Transportation Development
Branch under authority granted by the Oregon Transportation Commission. Said
authority is set forth in Delegation Order number 2. dated May 9, 1995.
Signed this 31 $t day of ~Y\vo..0 ,19 'f~.
Approved as to legal sufficiency.
State of Oregon by and through its
Department of Transportation,
Transportation Development Branch
City of Woodburn
O~ff--
~ager
Transportation Development Branch
('n~~ ~c/Cud
ReCiPie~ )
i
Mayor
Title
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Date
1995-1996 Capital Assistance Grant Agreement
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Section 1.
Section 2.
Section 3.
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Contract # OR180012C40
GENERAL PROVISIONS
PART I
STATE'S OBLIGATIONS
Purpose. This Agreement is to provide financial assistance to
RECIPIENT for the purchase and improvement of general public
transportation equipment and facilities.
Grant Limitations.
A.
STATE shall provide up to eighty percent of the approved project cost
from federal funds available under Title 49 U.S.C. Sec. 5311, not to
exceed $52,000.00 , as identified in Attachment A.
B.
In the event that the actual cost of the project differs from the
estimated cost of the project, STATE and RECIPIENT shall abide by
the following:
1. Actual Project Cost is Less Than Estimated Project Cost
STATE shall pay 80% of actual cost of project regardless of
whether project cost is less than estimated cost. No additions to
projects listed in Attachment A will be allowed without ST A TE's
prior written approval.
2. Actual Project Cost is More Than Estimated Project Cost
RECIPIENT may elect to:
a. discontinue the project. RECIPIENT and STATE shall sign a
project completion statement releasing STATE from further
financial obligation for the project; or,
b.
contribute local money and continue the project. STATE shall
contribute no more than the amount specified in Attachment
A on Page A-1. RECIPIENT and STATE shall sign a project
completion statement when the project is complete.
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Technical Assistance with the Purchase of Project Property and
Equipment. STATE shall provide RECIPIENT with guidelines to
assist with the purchase of project property and equipment, including
the applicable state and federal rules, regulations, and laws.
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Section 4. Purchases by STATE. STATE may, at its discretion and
RECIPIENT's election, purchase equipment on RECIPIENT's behalf.
STATE shall consult with RECIPIENT concerning equipment
specifications. STATE shall award bids for the project with the consent
of RECIPIENT.
A. In the event that actual project cost exceeds estimated project cost,
RECIPIENT shall pay the difference.
B. STATE and RECIPIENT shall sign a project completion statement at
the conclusion of the project.
Section 5. . . Reimbursement for RECIPIENT Expenses. STATE shall reimburse
expenses incurred in carrying out the project subject to the grant
limitation set out in Section 2, above. STATE shall reimburse
RECIPIENT based on reports submitted by RECIPIENT. Requests
shall be submitted in a format determined by the STATE.
Section 6. Withholding of Payment. STATE reserves the right to withhold
payment of funds if all required reporting has not been submitted, or if
there are any unresolved audit findings.
Section 7. Monitoring of Project. STATE shall review and approve all project
specifications and bid documents prior to their advertisement and/or
use. STATE shall approve, or otherwise respond in writing to
RECIPIENT, within fifteen (15) working days of receipt of the project
specifications.
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Contract # OR180012C40
GENERAL PROVISIONS
P ART II
RECIPIENT'S OBLIGATIONS
Section 1. Scope of Project. RECIPIENT shall use the grant funds provided
under this Agreement to complete the project approved by the STATE
and the Oregon Transportation Commission. This project is described
in Attachment A which is incorporated herein.
Section 2. Timeline for Purchases. RECIPIENT shall complete all purchases of
project property or equipment by June 30, 1997.
Section 3. Submission of Requests for Reimbursement. When RECIPIENT
undertakes a project, RECIPIENT shall submit to STATE reports
which request reimbursement. Reports shall be submitted in the
format required by the STATE.
Section 4. Purchases. RECIPIENT shall make purchases of any equipment,
materials, or services pursuant to this Agreement under procedures
consistent with Title 49 C.F.R. Part 18.36 or Title 49 C.F.R. Part 19.40
through 19.48, FTA Circular 4220.1 B "Third Party Contracting", Title
49 U.S.C. Sec. 5311, FTA Circular 9040.1 C, Administrative Rules
(OAR Chapter 125) for the Oregon Department of Administrative
Services and Oregon State Law.
Section 5. Use of Project Property and Equipment.
A. RECIPIENT shall use the equipment purchased under this Agreement
to meet the transportation needs of the clientele identified in
RECIPIENT's Application for Capital Assistance. However, the
equipment may be made available for use by others as space is
available, provided this use does not interfere with use by identified
clientele. When said real property, facilities, or equipment is withdrawn
from transportation service, RECIPIENT shall immediately notify
STATE and return possession to STATE.
B. 'RECIPIENT shall keep and maintain records with regard to the project
property and equipment during the project and for three (3) years after
the project to meet the standards of Title 49 C.F.R. Part 18 or Title 49
C.F.R. Part 19.
C. RECIPIENT shall maintain, in amounts and form satisfactory to
STATE, such insurance or self insurar:lce as will be adequate to
protect RECIPIENT, vehicl-e drivers and assistants, vehicle occupants,
and project equipment throughout the period of use. RECIPIENT shall
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Section 6.
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Contract # OR180012C40
bear the cost of said insurance. At a minimum, this shall include
comprehensive and collision insurance adequate to repair or replace
project property and equipment in the event it is damaged or
destroyed, liability insurance of $10,000 for property damage, $25,000
for bodily injury per person, $50,000 bodily injury per occasion,
uninsured motorist protection, and personal injury protection
insurance as required by ORS Chapter 806. RECIPIENT shall be
responsible for all deductibles or self-insured retentions. RECIPIENT
shall include the Oregon Department of Transportation, Public Transit
Section, as Additional Insureds on the above insurance policies.
D.
RECIPIENT shall maintain project facilities and/or equipment in a high
level of cleanliness, safety, and mechanical soundness. STATE and
FTA shall have the right to conduct periodic inspections for the
purpose of confirming proper maintenance. Records of maintenance
to manufacturer's specifications shall be kept.
E.
RECIPIENT agrees that all drivers of equipment shall have a valid
Oregon driver's license and shall have passed a defensive driving
course or bus driver's training course. Drivers of equipment designed
to carry 16 or more passengers, including the driver, shall have a valid
Commercial Driver's License (CDL).
Disposition of Project Property and Equipment.
A.
RECIPIENT shall meet the requirements of Title 49 C.F.R. Part 18 or
Title 49 C.F.R. Part 19, Title 49 U.S.C. Sec. 5311, and FTA Circular
9040.1 C when RECIPIENT transfers, sells, or otherwise disposes of
project property, facilities or equipment.
1. RECIPIENT shall notify STATE of its intent to dispose of project
property and/or equipment
2. RECIPIENT shall follow STATE's instructions regarding disposition
which may include:
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a. Transfer of property to STATE or another of STATE's grant
recipients with compensation for RECIPIENT's interest in the
property; or,
b. Transfer to a recipient of other FTA grants with compensation
for RECIPIENT's interest; or,
1995-1996 Capital Assistance Grant Agreement
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Contract # OR180012C40
c. Transfer of title to RECIPIENT with no further obligation to
STATE or the federal government, provided that the fair
market value of equipment at the time of disposition is less
than $5,000.
d. Sale to the public with STATE and RECIPIENT dividing the
proceeds of the sale according to their respective interest in
the purchase cost, provided that the proceeds exceed $5,000.
3. RECIPIENTs interest in project property and equipment is defined
to be a share of the fair market value of said property and
equipment in direct proportion to RECIPIENTs contribution toward
its purchase cost.
B.
RECIPIENT shall maintain and account for the federal and/or state
interest in project property and equipment. In the event that a
disposition of property or equipment results in a payment to
RECIPIENT, RECIPIENT shall provide written documentation of
proper maintenance of the project property or equipment, as defined
by manufacturer, and shall remit an amount in proportion to the
federal and state interest to STATE.
Liens on Property and Equipment.
A.
STATE has an on-going financial interest in any real property,
personal property, or equipment purchased under this Agreement.
ST A TE's interest is in proportion to the federal and state participation
in the project.
B.
STATE and RECIPIENT shall meet the requirements of Title 49
U.S.c.. Sec. 5311. In particular,
1. STATE shall be shown as the first security interest holder in any
vehicles or equipment with a unit purchase cost of $5,000 or more;
and,
{, Title in real property is to be held in such a manner as to meet the
requirements of Title 49 U.S.C. Sec. 5311 and FTA Circular
9040.1 C. The methods used may include mortgage, trust deed,
deed in escrow, or other methods as determined necessary by
STATE and FTA. RECIPIENT shall sign any documents necessary
to accomplish the purpose of this section.
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Contract # OR180012C40
Section 8. Audit Requirements. RECIPIENT shall submit to STATE an annual
audit covering the monies expended under this Agreement. Said
audit(s) shall meet the standards for audit set out in OMS Circular
A-128, Audits of State and Local Governments or OMS Circular A-
133, Audits of Institutions of Higher Education and Nonprofit
Organizations.
Section 9. Access to Records. RECIPIENT shall permit STATE, the Secretary
of State of the State of Oregon, the Comptroller General of the United
States, the Secretary of the United States Department of
Transportation, or their authorized representatives, upon reasonable
notice, to inspect all vehicles, real property, facilities, equipment
purchased by RECIPIENT as part of the project, and the
transportation services rendered by RECIPIENT, or any subcontractor
acting on RECIPIENT's behalf. RECIPIENT shall permit the above
named persons to audit the books, records, and accounts of
RECIPIENT relating to the project. Further, RECIPIENT agrees to
maintain all required records for at least three years after STATE's
final payment, final disposition of grant-financed property or
equipment, and all other pending matters have been resolved.
Section 10. Contracts and Other Third Party Agreements.
A. RECIPIENT shall submit proposed third party agreements relating to
provision or operation of transit service which is to be provided by
RECIPIENT as part of this project to STATE for review. STATE shall
concur with the agreement, or otherwise respond in writing to
RECIPIENT, within fifteen (15) working days.
S. Third party agreements shall contain conditions as required by FTA
Circular 4220.1 C "Third Party Contracting Requirements" and Title 49
U.S.C. Sec. 5311. A brief description of each provision is contained in
Attachment C of this Agreement.
Section 11. Hold Harmless. RECIPIENT shall save and hold harmless the State
()f. Oregon, including the Oregon Transportation Commission, the
Department of Transportation, the Public Transit Section, and their
members, officers, agents, and employees from all claims, suits, or
actions of whatever nature arising out of the performance of this
contract except for claims arising out of the negligent acts or
omissions of the State of Oregon, its employees or representatives.
This provision is subject to the limitations set forth in Article XI,
Section 10 of the Oregon Constitution and in the Oregon Tort Claims
Act, ORS 30.260 to 30.300.
1995-1996 Capital Assistance Grant Agreement
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Section 12.
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Contract # OR180012C40
Compliance with Laws, Regulations, Ordinances. RECIPIENT
shall comply with the Federal Transit Administration Master
Agreement, which is attached to this Agreement as Attachment E. In
addition, RECIPIENT shall be bound by the following conditions:
A.
Non-discrimination. RECIPIENT shall comply with Title VI of the
Civil Rights Act of 1964 (78 Stat 252; 42 U.S.C. Sec. 2000d) and the
regulations of the United States Department of Transportation, Title 49
C.F.R. Part 21, Subtitle A. RECIPIENT will exclude no person on the
grounds of race, religion, color, sex, age, or national origin from the
benefits of aid received under this Agreement.
B.
Disadvantaged Business Enterprises RECIPIENT will provide for
full and fair utilization of socially and/or economically disadvantaged
business enterprises (DBEs). RECIPIENT will use its best efforts to
ensure that DBEs shall have an equal opportunity to compete for
contract and subcontract work under this agreement.
In accordance with Title 49 C.F.R. Part 23, all bidders and all
contractors shall agree to abide by and take all necessary and
reasonable steps to comply with the following statement:
DISADVANTAGED BUSINESS ENTERPRISES (DBE)
POLICY STATEMENT
DBE POLICY. It is the policy of the Oregon Department of
Transportation (DOT) that socially and/or economically disadvantaged
business enterprises as defined in Title 49 C.F.R. Part 23 (DBEs) shall
have the maximum opportunity to participate in the performance of
contracts financed in whole or in part with Federal funds under this
Agreement. Consequently, the requirements of Title 49 C.F.R. Part 23
apply to this Agreement.
DBE OBLIGATION. RECIPIENT, contractors, and bidders agree to
ensure that DBEs have the maximum opportunity to participate in the
~rformance of contracts and subcontracts financed in whole or in
part with funds provided under this Agreement. In this regard,
RECIPIENT, contractors and bidders shall take all necessary and
reasonable steps in accordance with Title 49 C.F. R. Part 23 to ensure
that DBEs have the maximum opportunity to compete for and perform
contracts.
RECIPIENT, contractors, and bidders shall not discriminate on the
basis of race, color, national origin or sex in the award and
performance of DOT assisted contracts.
1995-1996 Capital Assistance Grant Agreement
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Contract # OR180012C40
The DSE Policy Statement shall be included in all subcontracts
entered into under this Agreement. Bidders and contractors include
proposers and consultants; bids include proposals.
C. Equal Employment Opportunity. RECIPIENT, and any
subcontractor acting on RECIPIENTs behalf, shall comply with
Executive Order 11246, entitled "Equal Employment Opportunity", as
amended by Executive Order 11375 and supplemented by
Department of Labor regulations, Title 41 C.F.R. Part 60. RECIPIENT
will not discriminate against any employee or applicant for
employment because of race, color, religion, sex, age or national
origin. RECIPIENT will take affirmative action to ensure that applicants
are employed, and that employees are treated during employment,
without regard to their race, color, religion, sex, age or national origin.
D. Transportation For Persons Who Are Elderly and Disabled.
RECIPIENT shall provide transportation services to persons who are
elderly and disabled that can be used effectively. RECIPIENT will
exclude no person on the basis of a disability from the benefits of aid
received under this Agreement, as required in Title 49 C.F.R. Part 27.
E. Record Keeping and Management of Funds. RECIPIENT shall
manage and account for funds and property received under this
Agreement in accordance with the provisions of OMS Circular A-128
or OMS Circular A-133, Title 49 C.F.R. Part 18 or Title 49 C.F.R. Part
19, FTA Circular 9040.1C and Title 49 U.S.C. Sec. 5311.
F. Prohibited Interest. RECIPIENT's officers, employees, or agents
shall neither solicit not accept gratuities, favors, or anything of
monetary value from contractors, potential contractors, or parties to
subagreements. No member or delegate to the Congress of the
United States or State of Oregon employee shall be admitted to any
share or part of this Agreement or any benefit arising therefrom.
G. ~~fety Jurisdiction. RECIPIENT shall correct any condition which
STATE or FTA believes "creates a serious hazard of death or injury"
in accordance with Title 49 U.S.C. Sec. 5311.
H. Workers Compensation. The RECIPIENT, its subcontractors, if any,
and all employers working under this Agreement are subject
employers under the Oregon Workers' Compensation Law and shall
comply with ORS 656.017, which requires them to provide workers'
compensation coverage for all their subject workers.
1995-1996 Capital Assistance Grant Agreement
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Contract # OR180012C40
I. Debarment. RECIPIENT, in accepting this Agreement, certifies that
neither RECIPIENT nor its principals is presently debarred,
suspended, proposed for debarment, declared ineligible or voluntarily
excluded from participating in this Agreement by any state or federal
agency or department.
J. Pre-Award and Post-Delivery Audits. To the extent applicable,
RECIPIENT shall comply with Title 49 C.F.R. Part 663.
K. Americans with Disabilities (ADA). RECIPIENT shall comply with
the Americans with Disabilities Act of 1990 and Title 49 C.F.R. Part 37
and Part 38.
L. Restrictions on Lobbying. RECIPIENT shall comply with Title 31
U.S.C. Sec. 1352, which prohibits the use of Federal funds for
lobbying any official or employee of any Federal agency, or member
or employee of Congress. In addition, even though RECIPIENT uses
no Federal funds for lobbying, RECIPIENT shall disclose any lobbying
of any official or employee of any Federal agency, or member or
employee of Congress in connection with Federal assistance, and to
comply with USDOT regulations, "New Restrictions on Lobbying," Title
49 C.F.R. Part 20.
M. Buy America. RECIPIENT shall comply with FTA "Buy America"
regulations, Title 49 C.F.R. Part 661.
N Bus Testing. To the extent applicable, RECIPIENT shall comply with
FTA "Bus Testing" regulations, Title 49 C.F.R. Part 665.
L. Public Contracting Requirements. RECIPIENT shall comply with all
other federal, state and local laws, regulations and ordinances
applicable to this Agreement, specifically including ORS 279.312,
279.314,279.316,279.320 and 279.
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Contract # OR 180012C40
GENERAL PROVISIONS
PART III
GENERAL CONDITIONS
Section 1.
Supplemental Agreements. This Agreement may be revised or
amended by a supplemental written agreement between the parties
and executed with the same formalities as this Agreement.
Section 2.
Termination
A.
Upon completion of the project and disposition of all project
property and equipment purchased in accordance with this
Agreement, the STATE shall notify RECIPIENT that this Agreement is
terminated.
B.
For convenience, the STATE may terminate the purchase of project
property and equipment and cancel this Agreement in whole or in part
whenever:
1. The requisite state and/or federal funding becomes unavailable
through failure of appropriation or otherwise; or,
2. The requisite local funding becomes unavailable to RECIPIENT;
or,
3. Federal or State laws, rules, regulations or guidelines are modified,
changed, or interpreted in such a way that the financial assistance
or purchase of equipment provided for in the Agreement is no
longer allowable or is no longer eligible for funding proposed by
this Agreement; or,
4. Both parties agree that continuation of the Agreement would not
produce results commensurate with the further expenditure of
funds.
C. Y\(ith cause, the STATE may, by written notice to RECIPIENT,
terminate the Project and cancel this Agreement for any of the
following reasons:
1. RECIPIENT takes any action pertaining to this Agreement without
the approval of STATE and which under the provisions of this
Agreement would have required the approval of STATE; or,
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Section 3.
Section 5.
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Contract # OR 180012C40
2. The commencement, prosecution, or timely completion of the
purchase and use of project property and equipment by
RECIPIENT is, for any reason, rendered improbable, impossible,
or illegal; or,
3. RECIPIENT is in default under any provision of this Agreement. If
this Agreement is terminated for cause, RECIPIENT shall deliver
project property or equipment within twenty-four (24) hours to
STATE at its offices in Salem, or to another agreed upon location.
STATE shall transfer, sell or dispose of the property or equipment
and distribute any funds due to RECIPIENT.
D.
For non-use of the equipment for more than ninety (90) consecutive
calendar days, the STATE may, by written notice to RECIPIENT, take
possession of the equipment and process its transfer or disposal, in
accordance with Part II, Section 6 of this Agreement.
RECIPIENT's Authorization. This Agreement shall be executed by
those officials authorized to execute this Agreement on the
RECIPIENT's behalf. In the event RECIPIENT's governing body
delegates signature of the Agreement, RECIPIENT shall attach to this
Agreement a copy of the motion or resolution which authorizes said
officials to execute this Agreement and shall also certify its
authenticity.
Regulations
This Agreement is based upon and is subject to Oregon Revised
Statutes, Oregon Administrative Rules, and regulations issued by FT A
pursuant to Title 49 U.S.C. Sec. 5311. These laws and regulations are
contained in ORS 323.455, ORS 391.800 through 391.830 and FTA
Circular 9040.1 C. From time to time, these laws, rules and regulations
may be amended. STATE reserves the right to amend this Agreement
if it is affected. STATE will provide thirty (30) days notice of impending
changes and will prepare a supplemental agreement incorporating the
cRanges to be executed by the parties to this Agreement.
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Contract # OR180012C40
ATTACHMENT A
Project Description
for
City of Woodburn
Proiect Description Federal share
Local share
Total
Small bus $52,000.00
$13,000.00
$65,000.00
Total $52,000
$13,000
$65,000
NOTE:
Each project is independent of the others. Completion of one
project under budget does not release funds which can be used
for the others listed in this program of projects.
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Contract # OR 180012C40
ATTACHMENT B
Sample
Project Completion Statement
City of Woodburn certifies that it has completed all capital purchases as described in
Capital Assistance Agreement number OR180012C40.
Billings for all expenses incurred by City of Woodburn have been submitted to the
STATE. City of Woodburn releases the STATE from further financial obligation for
project number OR180012C40 under the Capital Assistance Agreement dated
[AGREEMENT DATE].
City of Woodburn will use the equipment and/or facilities provided by the Agreement for
transportation services to the clients identified in the application.
The STATE certifies that the City of Woodburn has complied with the provisions of the
Agreement and has completed the project listed above.
City of Woodburn
Oregon Department of Transportation
Public Transit Section
Name
Name
Title
Title
Date
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Date
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Contract # OR180012C40
ATTACHMENT C
PROVISIONS TO BE INCLUDED IN CONTRACTS
RECIPIENT's purchasing documents and contracts financed by this Agreement must
contain clauses or conditions relating to the material below.
1. Administrative, contractual, or legal remedies in instances where contractors violate
or breach contract terms. These provisions should provide for such sanctions and
penalties as may be appropriate.
This provision applies to all contracts for more than $25,000.
2. Termination for cause and for convenience by the RECIPIENT including the manner
by which it will be effected and the basis for settlement.
This provision applies to all contracts for more than 510,000.
3. Notice of requirements and regulations pertaining to reporting.
4. Access by the STATE, RECIPIENT, FTA, the Comptroller General of the United
States, or any of their duly authorized representatives to any books, documents,
papers, and records of the contractor which are directly pertinent to that specific
contract for the purpose of making audit, examination, excerpts, and transcriptions.
5. Retention of all required records for three years after RECIPIENT makes the final
payment and all other pending matters are closed.
6. Workers Compensation. This requirement applies to purchases of supplies and
equipment, public works contracts, and contracts for personal services. Every public
contract must contain a clause or condition that all employers working under the
contract are subject employers that will comply with ORS 656.017. ORS 656.017
prescribes the means by which employers must "maintain assurance" that their
subject workers will receive compensation for compensable injuries under the
Workers' Compensation Law.
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7. Public Contracting. Public contracts are governed by the provisions of ORS
Chapter 279. Subcontracts must contain the following general conditions set out in
ORS Chapter 279:
ORS 279.312 concerning payment of workers, contributions to the Industrial
Accident Fund. liens and payment of withholding taxes.
ORS 279.314 concerning payment of claims by public officers.
1995-1996 Capital Assistance Grant Agreement
C-1
.. r
.
Contract # OR 180012C40
ORS 279.316 concerning hours of labor.
ORS 279.320 concerning payments for medical care and providing workers'
compensation.
ORS 279.555 relating to recycling.
1995-1996 Capital Assistance Grant Agreement
C-2
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1
Contract # OR180012C40
ATTACHMENT D
Federal Financial Assistance
The information below will assist auditors prepare a report in compliance with the
requirements of Office of Budget and Management (OMB) Circular A-128 and OMB
Circular A-133.
This grant is financed with federal funds available through Title 49 U.S.C. Sec. 5311.
Auditors may cite $52,000.00 in their audits from this source.
Federal Program Title
Formula Assistance Program for Elderly and Individuals with Disabilities
Program, Title 49 U.S.C. Sec. 5311.
Federal Catalogue Number:
20.509
Federal Grant Number:
OR-18-0012
Federal Funding Agency
U.S. Department of Transportation
Federal Transit Administration
Region X
Suite 3142
Federal Building
915 Second Avenue
Seattle, Washington 98174
1995-1996 Capital Assistance Grant Agreement
D-1
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,
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
FEDERAL TRANSIT ADMlNISTRA nON
MASTER AGREEMENT
For Transit Projects financed under Federal transit legislation codified at
49 u.s.c. fifi 5301 et sea.; under Title 23, V.S.C. (Highways); or under other provisions of
the Intermodal Surface Transportation Efficiency Act of 1991, as amended
Form FfA MA(2)
October 1,1995
....-.' ""
..
Section 1.
Section 2.
Section 3.
Section 4.
Section 5.
Section 6.
Section 7.
Section 8.
Section 9.
....
TABLE OF CONTENTS
Definitions..................... _................. ................. ....... ................ ....................... 1
Project Implementation.. t......................... ....................................................... 3
a. Effective Date.... ....... .............................. ...................... ............................ 3
b. General Requirements... .......... ..'... ........ ..... ....... ........... ..... .......................... 4
c. Responsibility for Compliance With Federal Requirements......................... 4
d. U.S. DOT Administrative Requirements.. .......................... ...... ................... 4
e. Application of Federal, State, and Local Laws and Regulations.................. 5
f Changed Conditions of Performance (Including Litigation)......................... 5
g. No Federal Government Obligation to Third Parties..................::.~............. 6
h. Infrastructure Investment...... ......... .... ...................... ........... ....................... 6
Ethics........... ....................... ...~..................... .......................... ......................... 6
a. Code of Ethics. ................ ...... .................... ......... ................ ... .................... 6
b. Debarment and Suspension............... ....................... ......... ......................... 7
c. Interest of Members of or Delegates to Congress ...................................... 7
d. Bonus or Commission........... .......... ................................ ................ ...... ..... 7
e. Restrictions on Lobbying ........................................................................... 8
f Employee Political Activity... ...... ............... ..................... ................. .......... 8
g. False or Fraudulent Statements or Claims................................................... 8
Federal Financial Assistance.............. .... ................... ........... ..... ............. ..... ..... 9
a. "Net Project Cost" ........... ...... ............. ............. ......... .... .......... ................... 9
b. Other Basis for FT A Participation....... ........... ..................... .... ................... 9
Local Share.... ..... ............. .......... ............. ....... ............ ........ ...... .... ........ ........... 9
a. Restrictions on the Source of Local Share.................................................. 9
b. Duty to Obtain the Local Share.................................................................. 10
c. Calculation of Local Share......................................... ....................... ......... 10
d. Reduction of Local Share............. ..... .............. ...... ............................... ...... 10
Project Budget............. ...... ......... ... ..:....... .......... ......... ...... .............................. 10
Accounting Records........ .......... ... ............. ....... .............. ....... .... .... ................. 10
a. Project Accounts................ ... .... ............. ......... ...... ....... ....... ...... ............... ._1 0
b. Funds Received or Made Available for the Project...................................... 10
c. Documentation of Project Costs and Program Income................................ 11
d. Checks, Orders, and Vouchers.... ............ ...... .......... .................... ................ 11
Reporting, Record Retention, and Access....................................................... 11
a. Reports..................................... .................... .................... .... .................... 11
b. Record Retention................................... ....... ......... ............ ....................... 11
c. Access to Records.............. ............. ........ .... ......... .............. ........................ 11
d. Project Closeout. ................................. ...... .......................... ......... ............. 11
Payments.. ............... ............. .......... .............. ............ ..... ........ ... ...................... 11
a. Recipient's Request for Payment................................................................. 11
b. Paynlent by ITA............... ............. ......... .... ....................... ........................ 12
c. Costs Reimbursed....... ........ ... ..... ..... .......... ............ ....... ... .............. ............ 14
d. Bond Interest and Other Financing Costs................................................... 15
I
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T
Section 9
Section 10.
Section 11.
Section 12.
Section 13.
Section 14.
Section 15.
Section 16.
Section 17.
.....,..~
TABLE OF CONTENTS (CONTINUED)
e. Excluded Costs............... ........... ..... ........ .... ...... ........ .... .................... ...... ... 15
f Claims, Excess Payments, and Disallowed Costs (Including Interest).......... 16
g. De-obligation of Funds............................... ............ ..... ..................... .... ...... 17
Right of the Federal Government toTenninate................................................ ]7
Project Completion, Non-Federal Audits, Settlement, and Closeout.................]7
a. Project Completion........... ................. .............................. .......................... .17
b. Non-Federal Audits.... ................ .... ..... .............................. ......................... 17
c. Remittance of Excess Payments.......................... ...... ....... ........................... 18
d. Project Closeout.... ...... ......................... ...... ...... ............... ...... ....~:~............. 18
Real Property, Equipment, and Supplies........ .................. ............... ................. 18
a. Use of Property. .......... .......... ...:.................................... ............................. 18
b. General Federal Requirements.... ....... ....... ........ ... ..... ..................... ........ ..... 19
c. Maintenance........... ..... ........ .................. ... ............. .......... ...... ..................... 19
d. Records. ............:. ........... .... ..... ................... ............... .... .... .................... ..... 19
e. Transfer of Project Property...................... .................... ... ..... .... ................. 19
f Disposition of Project Property............... ......... .......... .... ........................... ..19
g. Misused or Damaged Property................................................................ ... 21
h. Obligations After Project Closeout............................................................. 21
Encumbrance of Project Property....... ."..... ..... ......... .............. ..................... ......21
a. Written Transactions....................... ........ ........ ......... ........................ .......... 21
b. Oral Transactions.................. ........ ...... ..................... ....... ....... .................... 21
c. Other Actions......... ............... ..................... ..... ............ ............ ....... ...... ...... 21
Relocation and Land Acquisition............................... ... ............................. ......21
Insurance................... ........................ ... .... ....... ..... ......... ...... .......... ......... .... .... 21
a. Insurance During Construction......................................................... .... ......21
b. Flood Hazards........ .......... ..... ................... ............ ........... ........................... 21
Project Management for Major Capital Projects............................................. 22
Procurement.................................................................................................. 22
a. Federal Standards........... ....... ............... ..... ........................ ..............:.... ...... 22 "
b. Exclusionary or Discriminatory Specifications............................................ 22
c. Geographic Restrictions...................... ........................ .............................. 22
d. Use ofFederaI Supply Schedules.. ..... .......... ............. ~........ .... ...... ............... .22
e. Award to Other Than the Lowest Bidder....................................................22
f Force Account...... '" ........ ........ ............ .... .... ................. ..... ...... ............... ....22
g. Capital Leases.......... ......... ................................ .............. ........... ................ 22
h. Cross-Border Leases and Certificates ofParticipation.................................22
i. Buy America... ..... ................... ................. .................. ..... ........................... 23
j. Cargo Preference - Use of United States-Flag Vessels............................... 23
k. Preference for Recycled Products.......... .............. ..... ... .... ........................... 23
l. Bus Seat Specifications........ ............... ....................... ............ ................. ....23
m. Acquisition of Rolling Stock..... ...................................... ..... ...................... 23
n. Acquisition of Management, Architectural, and Engineering Services........ 23
11
~__'_H _._._.. .,.._ ,. .__,..._ .._ .. ".._".....__._.._._~_.."'
TABLE OF CONTENTS (CONTINUED)
Section 17. o. Bonding...... ............... ....... ...... ...... ....... ....... '" ................ ..... ................ '" .... 24
p. Liquidated Damages. ............. ..... ................................................................ 24
q. Seismic Safety................... ....... .......... ............. ...... ................. .................... 24
r. Notification ofFedera1 Participation............................... ........ .......... .... ...... 24
s. Third Party Contract Disputes or Breaches................................................. 25
Section 18. Patent Rights...... ...... .................. .... ....... ................ ....................... .................. 25
a. General................................... .......... ........... .... ......................................... 25
b. Federal Rights..................... ..... ........... ......... ................... ....... ................... 25
Section 19. Rights in Data and Copyrights........................................................:."t............26
a. Definition....... ... .................... .... ........ ..... ........... ... ......... ......... ...... .............. 26
b. Federal Restrictions.. ............. ..... ..................... .................. ... ......................26
c. Federal Rights in Data and Copyrights........................................................ 26
d. Special Federal Rights for Planning, Research, and Development Projects.. 26
e. Hold Harmless.:... .......... ........ .... ......... ........... .... ........... ................. ............ .27
f Restrictions on Access to Patent Rights...................................................... 27
g. Rights in Data for Materials Provided by the Recipient.............................. 27
Section 20. Civil Rights..... ..... ....... ........... ............................................ ...... ....................... 27
a. Prohibitions Against Discrimination in Federal Programs............................ 27
b. Equal Employment Opportunity....................................... ............. .... ......... 27
c. Disadvantaged Business Enterprise.... .............. ................ .... .......................28
d. Access Requirements for Persons with Disabilities............................... ... ....29
Section 21. Employee Protections... ..... ..... ........ ..... ........ ........... ........ ........ .... ....... ..............30
a. Construction Activities........................... ................................................... 30
b. Activities Not Involving Construction....................................................... 31
c. State and Local Government Employees................................................... 32
d. Transit Employee Protective Arrangements................................................ 32
Section 22. Planning and Private Enterprise....................................................................... 33
Section 23. Environmental Requirements.... ....... ..................... ................. .... ... ...................33
a. Environmental Protection..................... ... ... .......... .... .................................. 33
b. Air Quality.... ..... .... ................ ...... ... ..... ............ .............. ...... ......... ........ ..... 33
c. Clean Water... ............... .... ......... ...... .................. ........................ ................ 34
d. Use of Public Lands.... ....... .... ........... ...... ...... ... .......... ............ ...... .............. .34
e. Historic Preservation....... ................... ............... ... ................. ..................... 34
f Mitigation of Adverse Environmental Effects.............................................. 3 5
Section 24. Energy Conservation................ ................. ................................................ .....35
Section 25. State Management and Monitoring Systems.................................................... 3S
Section 26. Charter Service Operations......... ................................................................. ... 3S
Section 27. School Bus Operations ..... ....... .................... ........... ................. ............ .......... 35
Section 28. Metric System.... ................. ..... .......... ..... .............. ..................... .......... .......... 36
Section 29. Privacy........... ..... ........ ... .......... .......... ... .... ........... ... .................. ............ ........ 36
a. Obtain Consent of Federal Government.......................... ............................36
b. Acknowledgment of Civil and Criminal Penalties........................................ 36
111
...~
TABLE OF CONTENTS (CONTINUED)
Section 30. Substance Abuse................................ ......................... ....... ... ......................... 36
a. Drug Abuse...............~........................................................... .... ............... 36
b. Alcohol Abuse........ .............. ....... .... .................. .........................................37
Section 31. State Safety Oversight of Rail Fixed Guideway Public Systems........................37
Section 32. Special Requirements for Fonnula Assistance Projects for Urbanized Areas.. 37
a. Fares and Services ........... ...................... .............. ........... ..... .... ... ....... ... .... 37
b. Audit Requirements ............ ...... ...... ......................................... .......... ....... 37
c. IIalf-Fare Requirements... ......... ...... ................ ....... .................. ................. 37
d. Procurement of an Associated Capital Maintenance Product.....~::~.............. 37
e. Transit Security............ ....... ......................... ..... ..... ................................. 38
f Restrictions on Use ofFonnula Assistance for Operations ......................... 38
g. Reporting Requirements ..... ............................. ...... ............................ ........ 38
h. Annual Rep'ort on Advertising and Concession Revenues........................... 38
i. Criminal Sanctions...................... ................... ..................... ,...................... 38
Section 33. Special Requirements for Formula Assistance Projects for the Elderly and
Individuals with Disabilities....... ............... ... ..... ...... .................. ............... 38
a. Eligible Subrecipients............... .......................................... ........................ 38
b. State Procedures ................... ........... ........ ....... ............................. ............. 38
c. Eligible Project Activities ...... ........................ ........... .......... ........ ............... 39
d. Transfer of Assets... ............ ............................ ...... .................................... .39
Section 34. Special Requirements for Formula Assistance Projects for Nonurbanized
Areas . ........ ....... ........... ..... ................ ............ .................. ........................ 39
a. State Procedures ........................................ ............................ ................... 39
b. Eligible Project Activities ..................................................... ............ ... ...... 39
c. Transfer of Assets ............... ............................ .......................... ................ 39
d. Restrictions on Use ofFonnula Assistance for Operations ......................... 39
e. Intercity Transportation .......... .................... ..... ...... .................... ........... .....39
Section 35. Special Requirements for Research, Development, Demonstration, and
Special Studies Projects......... ..................... ...... ......... ...... ......... ....... .... .....40
a. Project Report .......... ........... ........ ................... ... .... .......... ........... ...............40
b. Project Identification.............. ...... .................... .......................................... 40
Section 36. Extension of Master Agreement Requirements to Other Parties........................ 40
a. Parties Affected...... ..................... ....... ............ ...... ....... ............... ............... 40
b. Third Party Contracts and Subagreements Affected.................................... 40
c. Categories of Federal Requirements. ........... ................. ............. ................. 40
Section 37. Amendments to the Project.............. ........................ ............. ................. ......... 45
Section 38. Electronic Data Interchange Technology ........................................................ 45
Section 39. Severability................................... ......... ... ........ ..... ......... ................................ 45
IV
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UNITED STATES DEPARTMENT OF TRANSPORTATION
FEDERAL TRANSIT ADMINISTRATION
MASTER AGREEMENT
This Master Agreement encompasses standard terms and conditions governing the administration
of a Project supported with Federal financial assistance awarded by the Federal Transit
Administration (FT A) through a Grant Agreement or Cooperative Agreement with the Recipient.
This Master Agreement covers Federal financial assistance authorized by. Federabtransit laws
codified at 49 U.S.c. ~~ 5301 et gg.; Title 23, United States Code (Highways); the Intermodal
Surface Transportation Efficiency Act of 1991, as amended; or other Federal enabling laws
administered by ITA. (pub. L. No. 103-272, July 5, 1994, codified the Federal Transit Act, as
amended, as chapter 53 of title 49 of the United States Code, thus requiring new citations for
F ederaJ transit laws.)
FT A and the Recipient understand and agree that not every requirement within this Master
Agreement will apply to every Recipient or every Project for which FTA provides financial
assistance through a Grant Agreement or Cooperative Agreement. The nature of the Project and
the section of the statute authorizing financial assistance for the Project will determine which
requirements of this Master Agreement apply. Any violation of a requirement within this Master
Agreement applicable to the Recipient or its Project may result in penalties to the violating party;
requirements that do not apply will not be enforced.
Thus, in consideration of the mutual covenants, promises, and representations herein, FT A and
the Recipient agree as follows:
Section 1. Definitions. As used in this Master Agreement:
a. Application means the signed and dated proposal for Federal financial assistance, including
any amendment thereto, with all explanatory, supporting, and supplementary documents filed with
and accepted or approved by the FT A by or on behalf of the Recipient.
b. Approval. Authorization.. Concurrence. Waiver meaDs a conscious written act (whether
transmitted by paper Of electronically) by an authorized official of the Federal Government
granting permission to the Recipient to perform or omit an action required pursuant to the Grant
Agreement or Cooperative Agreement, which action may not be perfonned or omitted without
such permission. Unless clearly stated otherwise, an approval, authorization, concurrence, or
waiver pennitting the perfonnance or omission of a specific action does not constitute permission
to perform or omit other similar actions. Oral permission or interpretations have no legal force or
effect.
Master Agreement Form FT A MA(2), October I, .1995
Page I
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c. Approved Proiect Budget means the most recent statement, approved by the FTA, of the
costs of the Project, the maximum amount ofFedera1 assistance for which the Recipient is
currently eligible, the specific tasks (including specified contingencies) covered, and the estimated
cost of each task.
d. Cooperative Agreement means the instrument by which ITA awards Federal assistance to a
specific Recipient to support a particular Project, and in which FT A takes an active role or retains
substantial control. The Cooperative Agreement consists of the ITA Award establishing the
specific parameters of the Project, an Execution statement signed by the Recipient, and may
include Special Conditions or Special Requirements; in addition, this Master Agreement is
incorporated by reference and made part of the Cooperative Agreement. t.."
e. F ede~ Government means the United States of America and any executive department or
agency thereof
f Federal Transit Administration is the current designation for the fonner Urban Mass
Transportation Administration. Any reference in any law, map, regulation, document, paper, or
other record of the United States to the Urban Mass Transportation Administration shall be
deemed a reference to the Federal Transit Administration.
g. Federal Transit Administrator is the current designation for the fonner Urban Mass
Transportation Administrator. Any reference in any law, map, regulation, document, paper, or
other record of the United States to the Urban Mass Transportation Administrator shall be
deemed a reference to the Federal Transit Administrator.
h. FT A is the acronym for the Federal Transit Administration, one of the operating
administrations of the U.S. Department of Transportation (U.S. DOT). ITA replaces the
acronym UMT A.
i. FT A Directive includes any FT A circular, notice, or order providing information about FT A's
programs, application processing procedures, and Project management guidance. In addition to
FTA directives, certain U.S. DOT directives also apply to the Project.
j. Grant Agreement means the instrument by which FTA awards Federal assistance to a specific
Recipient to support a particular Project, and in which FT A does not take an active role or retain
substantial control. The Grant Agreement consists of the FTA Award establishing the specific
parameters of the Project, an Execution section signed by the Recipient, and may include Special
Conditions or Special Requirements; in addition, this Master Agreement is incorporated by
reference and made part of the Grant Agreement.
k. Local Government includes a public transit authority as well as a county, municipality, city,
town, township, special district, council of governments (whether or not incorporated as a private
nonprofit organization under state law), regional or interstate government entity, or any agency or
instrumentality thereof
Master Agreement Form FrA MA(2), October 1, 1-995
Page 2
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..
I. Proiect means the task or tasks, listed in the Approved Project Budget, and any modifications
stated in the Conditions to the Grant Agreement or Cooperative Agreement applicable to the
Project. For the fOmlula assistance programs for urbanized areas, for the elderly and persons with
disabilities, and nonurbanized areas, 49 U.S.c. ~~ 5307, 5310, and 5311, respectively, the term
"Project" encompasses both "Program" and "each Project within the Program," as the context
may require, to effectuate the requirements of the Grcmt Agreement or Cooperative Agreement.
m. Recipient means any entity that receives Federal assistance directly from FTA to accomplish
the Project. The tenn "Recipient" includes each IT A "Grantee" as well as each FT A Recipient of
a Cooperative Agreement. Except as FT A pennits otherwise, the Recipient is the entire legal
entity even though only a single organization within that entity is designated as th! Recipient in
the Grant Agreement or Cooperative Agreement.
n. Secretarvmeans ~e U.S. DOT Secretary, including his or her duly authorized designee.
o. Subagreement means an agreement by which a Recipient awards financial assistance derived
from ITA to the subrecipient as defined in section 1. p of this Master Agreement. The term
"subagreement" also includes the term "subgrant, " but does not include "third party contract" or
"third party subcontract. "
p. Subrecipient means any entity that receives Federal assistance awarded by an ITA Recipient,
rather than ITA directly. The term "subrecipient" also includes the tenn tCsubgrantee," but does
not include "third party contractor" or "third party subcontractor."
q. Third Party Contract means a contract or purchase order awarded by the Recipient or
sub recipient to a vendor or contractor, financed in whole or in part with Federal assistance
awarded by ITA
r. Third Party Subcontract means a subcontract at any tier entered into by the third party
contractor or third party subcontractor, financed in whole or in part with Federal assistance
. originally derived from FT A
s. Transit means transportation by a conveyance, either publicly or privately owned, that
provides regular and continuing general or special public transportation to the public, but does not
include school bus, charter, or sightseeing transportation. The tenn "transit" also includes "mass
transportation" and "public transportation. tC
t. U.S. DOT is the acronym for the United States Department of Transportation, including its
operating administrations.
Section 2. Project Implementation.
a. Effective Date. The effective date of the Grant Agreement or Cooperative Agreement is the
Obligation Date on which the FTA's Authorized Official signs the IT A Award in the Gran!
Master AgreementFormFrAMA(2), October 1, !995
Page 3
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Agreement or Cooperative Agreement. The effective date of any Amendment is the Obligation
Date on which the FTA's Authorized Official signs the FT A Award for that Amendment.
b. General Requirements. The Recipient agrees to undertake and complete the Project, and
provide for the use of Project facilities and equipment, in accordance with the terms of the Grant
Agreement or Cooperative Agreement, the Approved Project Budget, the Project schedules, and
all applicable Federal laws, regulations, directives, and published policies. The "Project
Description" in the IT A Award section of the Grant Agreement or Cooperative Agreement
describes the Project or Projects to be funded by that Grant Agreement or Cooperative
Agreement. The Federal law or laws authorizing Project approval identified in the FTA Award
section of the Grant Agreement or Cooperative Agreement control Project implett.entation.
c. Responsibility for Compliance with Federal Requirements. The Recipient agrees as follows:
(1) To the extent the Recipient awards a subagreement to another party to undertake primary
responsibility for a part of the Project in direct support of either the recipient's or the
sub recipient's mission, the Recipient agrees to include the requirements imposed on the Recipient
or by this Master Agreement and the underlying Grant or Cooperative Agreement in that
sub agreement, modified to the extent necessary and appropriate.
(2) Irrespective of whether or not the Recipient delegates Project management
responsibilities to a subrecipient, the Recipient continues to remain responsible to FT A for
compliance with all Federal requirements imposed by Federal statute, regulations, executive
orders, directives, published policies, this Master Agreement, and the Grant Agreement or
Cooperative Agreement for the Project.
(3) The Recipient, however, is relieved of compliance with Federal responsibilities in the
following two circumstances:
(a) A designated recipient of urbanized area fonnula funds authorized by 49 U.S.C.
95307 that has entered into a supplemental agreement with FTA and a grantee covering the-
Project is not responsible to FTA for compliance with Federal project management requirements.
(b) If the Federal Government, through appropriate official action, relieves the Recipient
of a portion of or all responsibility to the Federal Government.
d. U.S. DOT Administrative Requirements. The Recipient acknowledges that Federal
administrative requirements differ for the various types of entities receiving Federal assistance.
(1) A state, local or Indian tribal government that is a Recipient agrees to comply with
U.S. DOT regulations, "Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments," 49 C.F.R. Part 18.
(2) An institution of higher education or a nonprofit organization that is a Recipient agrees to
comply with U.S. DOT regulations, "Uniform Administrative Requirements for Grants and
Master Agreement Form FrA MA(2), October 1, 1995
Page 4
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Agreements with Institutions of Higher Education, Hospitals, and Other Non-profit
Organizations," 49 G.F.R. Part 19.
(3) A private for-profit organization that is a Recipient also agrees to comply with the
"Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher
Education, Hospitals, and Other Non-profit Organizations," 49 C.F.R Part 19.
e. Application of Federal. State. and Local Laws and Regulations.
(1) Federal Laws and Regulations. The Recipient acknowledges that Federal laws,
regulations, policies, and related administrative practices applicable to the ProjeCtl"on the date the
authorized FT A official signs the Grant Agreement or Cooperative Agreement may be modified
from time to time. The Recipient agrees that the most recent of such Federal requirements will
govern the administration of the Project at any particular time, except ifFTA issues a written
detennination otherwise. Such written detennina.tion might take the form of a Special Condition
or Requirement added to the Grant Agreement or Cooperative Agreement or a letter signed by
the Federal Transit Administrator, the language of which modifies or otherwise conditions the text
of a particular provision of this Master Agreement. Specifically, new Federal laws, regulations,
policies, and administrative practices may be promulgated after the date when the Recipient
executes the Grant Agreement or Cooperative Agreement, and may, by their terms, apply to that
Grant Agreement or Cooperative Agreement. To achieve compliance with changing Federal
requirements, the Recipient agrees to include notice in each agreement with its subrecipients and
third party contractors under the Project that Federal requirements may change and the changed
requirements will apply to the project as required, unless the Federal Government determines
otherwise. All standards or limits within this Master Agreement to be observed in the
performance of the Project are minimum requirements, unless modified by FT A
(2) State or Territorial Law and Local Law. Except to the extent that a Federal statute or
regulation preempts state or teIritoriallaw, nothing in the Grant Agreement or Cooperative-
Agreement shall require the Recipient to observe or enforce compliance with any provision
thereot: perform any other act, or do any other thing in contravention of any state, territorial law
or local law; therefore, if any of the provisions of the Grant Agreement or Cooperative
Agreement violate any state, territorial, or local law, or if compliance with the provisions of the
Grant Agreement or Cooperative Agreement would require the Recipient to violate any state,
territorial, or local law, the Recipient agrees to notify FT A immediately in writing to pennit Fr A
and the Recipient to make appropriate and arrangements to proceed with the Project as quickly as
possible.
f Changed Conditions ofPerfonnance (Including Litigation). The Recipient agrees to notify
FT A immediately of any change in 10ca1law, conditions, or any other event that may significantly
affect the Recipient's ability to perform the Project in accordance with the tenns of the Grant
Agreement or Cooperative Agreement. In addition, the Recipient agrees to notify FT A
immediately of any decision pertaining to the Recipient's conduct of litigation that may affect the
Federal Government's interests in the Project or the Federal Govenunent's administration or
enforcement of Federal laws or regulations. Before the Recipient may name the Federal _
Master Agreement Form FrA MA(2), October 1, '1995
Page 5
..'. ,~" .._"'~,.'" -~,',-,.., ." ,-,.__.,.,-~"-_...,._--
Government as a party to litigation for any reason, in any forum, the Recipient agrees to infonn
the FT A.
g. No Federal Government ObligatioRs to Third Parties. The Recipient agrees that, absent the
Federal Government's express written consent, the Federal Government shall not be subject to any
obligations or liabilities to any subrecipient, any third party contractor, or any other person not a
party to the Grant Agreement or Cooperative Agreement in connection with the perfonnance of
the Project. Notwithstanding any concurrence provided by the Federal Government in or
approval of any solicitation, subagreement, or third party contract, the Federal Government
continues to have no obligations or liabilities to any party, including the subrecipient and third
. ,.
party contractor. _
h. Infrastructure Investment. The Recipient agrees to consider the provisions of Executive Order
No. 12803, "Infrastructure Privatization," 57 Fed. Reg. 19063, May 4, 1992; and Executive
Order No. 12893, "Principles for Federal Infrastructure Investments," 59 Fed. Reg. 4233,
January 26, 1994.
Section 3. Ethics.
a Code of Ethics. The Recipient agrees to maintain a written code or standards of conduct that
shall govern the perfonnance of its officers, employees, board members, or agents engaged in the
award and administration of third party contracts or subagreements supported by Federal
assistance. The code or standards shall provide that the Recipient's officers, employees, board
members, or agents may neither solicit nor accept gratuities, favors, or anything of monetary
value from present or potential contractors or subrecipients. The Recipient may set minimum
rules where the financial interest is not substantial, or the gift is an unsolicited item of nominal
intrinsic value. As pennitted by state or loca1law or regulations, the code or standards shall
include penalties, sanctions, or other disciplinary actions for violations by the Recipient's officers,
employees. board members, or their agents, or by contractors or subrecipients or their agents.
(I) Personal Conflicts of Interest. The Recipient's code or standards of conduct shall
prohibit the Recipient's employees, officers, board members, or agents from participating in the
selection, award, or administration of a third party contract or sub agreement supported by Federal
funds if a real or apparent conflict of interest would be involved. Such a conflict would arise
when any of the following parties has a financial or other interest in the firm or entity selected for
award: (a) the employee, officer, board member, or agent; (b) any member of his or her
immediate family; (c) his or her partner; or (d) an organization that employs, or intends to employ,
any of the above.
(2) Organizational Conflicts of Interest. The Recipient's code or standards of conduct must
include procedures for identifying and preventing real and apparent organizational conflicts of
interest. An organizational conflict of interest exists when the nature of the work to be
perfonned under a proposed third party contract or subagreement may, without some restrictions
Master Agreement Form FTA MA(2). October 1, 1995
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on future activities, result in an unfair competitive advantage to the third party contractor or
subrecipient or impair its objectivity in perfonning the contract work.
b. Debarment and Suspension. The Recipient agrees as follows:
(1) The Recipient agrees to comply with the requirements of Executive Orders Nos. 12549
and 12689, "Debarment and Suspension," 31 U.S.C. ~ 6101 note; and U.S. DOT regulations on
Debarment and Suspension at 49 C.F.R Part 29.
(2) Unless otherwise permitted by FTA, the Recipient agrees to refrain from awarding any
third party contract of any amount to or entering into any subagreement of any alnbunt with a
party included in the "U.S. General Services Administration's (U.S. GSA) List of Parties Excluded
from Federal Procurement or Nonprocurement Programs," implementing Exeartive Orders Nos.
12549 and 12689, "Debarment and Suspension" and 49 C.F.R. Part 29. The list also includes the
names of parties debarred, suspended, or otherwise excluded by agencies, and contractors
declared ineligible for contract award under statutory or regulatory authority other than Executive
Order No. 12549 and 12689.
(3) Before entering into any subagreement with a sub recipient, the Recipient agrees to obtain
a debarment and suspension certification from each prospective recipient containing information
about the debarment and suspension status and other specific information about the subrecipient
and its "principals," as defined at 49 C.F.R ~ 29.105(p). An example of the appropriate
certification is contained in 49 C.F.R Part 29, Appendix A.
(4) Before entering into any third party rontract exceeding S100,ooo, the Recipient agrees to
obtain a debarment and suspension certification from each third party contractor containing
information about the debarment and suspension status of that third party contractor and its
"principals," as defined at 49 C.F.R ~ 29.1 05(P). The Recipient also agrees to require each third
party contractor to refrain from awarding any third party subcontract of any amount (at any tier)
to a debarred or suspended subcontractor, and to obtain a similar certification from any third
party subcontractor (at any tier) seeking a contract exceeding $100,000. An example of the
appropriate certification is contained in 49 C.F.R. Part 29, Appendix B.
(5) The Recipient agrees to provide FT A a copy of each conditioned debarment or
suspension certification provided by a prospective third party contractor at any tier or subrecipient
at any tier. Until FTA approval is obtained, the Recipient agrees to refrain from awarding a third
party contract or entering into a subagreement with any party that has submitted a conditioned
debarment or suspension certification.
c. Interest of Members of or Delegates to the United States Congress. In accordance with
41 U.S.C. ~ 22, the Recipient agrees that it will not admit any member of or delegate to the
United States Congress to any share or part of the Project or any benefit derived therefrom.
d. Bonus or Commission. The Recipient affirms that it has not paid, and'agrees not to pay, any
bonus or commission to obtain approval of its Federal assistance application for the Project.
Master Agreement FormFTA MA(2), October 1,1995
Page 7
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e. Restrictions on Lobbying. The Recipient agrees as follows:
(1) The Recipient agrees that it will not use Federal assistance funds to support lobbying.
(2) In accordance with 31 U.S.c. 9 1352 and U.S. DOT regulations, "New Restrictions on
Lobbying," 49 C.F.R Part 20, if the Recipient's Project exceeds SI00,000, FTA will not make any
Federal assistance available to the Recipient until FTA has: (a) received the Recipient's
cenification that the Recipient has not and will not use Federal appropriated funds to pay any
person or organization to influence or attempt to influence an officer or employee of any Federal
department or agency, a member of Congress, an officer or employee of Congress, or an
employee of a member of Congress in connection with obtaining any Federal ~ cooperative
agreement, or any other Federal award from which funding for the Project is originally derived,
consistent with 31 U.S.C. ~ 1352, and (b) if applicable, the Recipient's statement disclosing any
lobbying with non-Federal funds that has taken place in connection with obtaining any. Federal
financing ultimately supponing the Project.
(3) The Recipient agrees to provide FT A a copy of each lobbying disclosure statement with
the accompanying lobbying cenification provided by a prospective third party contractor at any
tier or subrecipient at any tier.
f. Employee Political Activity. To the extent applicable, 5 U.S.C. ~~ 1501 through 1508 (Hatch
Act) and Office of Personnel Management regulations, "Political Activity of State or Local
Officers or Employees," 5 C.F.R Part 151, apply to state and local agencies and their officers and
employees. The Hatch Act restricts the political activity of an individual principally employed by
a state or local executive agency in connection with a program financed in whole or in part by a
Federal loan, grant, or cooperative agreement. However, the Hatch Act does not apply to a
nonsupervisory employee of a transit system (or of any other agency or entity performing related
functions) receiving FTA assistance to.whom the Hatch Act does not otherwise apply.
g: False or Fraudulent Statements and Claims. The Recipient acknowledges and agrees as
follows:
(1) The Recipient recognizes that the requirements of the Program Fraud Civil Remedies Act
of 1986, as amended, 49 V.S.C. ~~ 3801 et~. and U.S. DOT regulations, "Program Fraud Civil
Remedies," 49 C.F.R. Part 31, apply to its actions pertaining to the Project. Accordingly, by
signing the Grant Agreement or Cooperative Agreement, the Recipient certifies or affirms the
truthfulness and accuracy of any statement it has made, it makes, or it may make pertaining to the
covered by the Grant Agreement or Cooperative Agreement. In addition to other penalties that
may be applicable, the Recipient also acknowledges that if it makes 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, as amended, on
the Recipient to the extent the Federal Government deems appropriate.
(2) The Recipient also acknowledges that if it makes a false, fictitious, or fraudulent claim,
statement, submission, or certification to the Federal Government in connection with an urbanized
Master Agreement Form FfA MA(2), October 1, 1995
Page 8
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area formula project financed with Federal assistance authorized by 49 U.S.C. ~ 5307, the
Government reserves the right to impose on the Recipient the penalties of 18 U.S.C. ~ 1001 and
49 U.S.C. ~ 5307(n)(i), to the extent the Federal Government deems appropriate.
Section 4. Federal Financial Assistance. The Recipient acknowledges and agrees that FT A Will
provide Federal financial assistance for the Project equal to the smallest of the following amounts:
(a) the maximum amount permitted by Federal law and regulations, (b) the amount designated in
the Grant Agreement or Cooperative Agreement as "Maximum Federal Funds Approved," or (c)
the amount calculated in accordance with the "Maximum Percentage(s) of Federal Participation,"
included in the Grant Agreement or Cooperative Agreement. FTA's obligation to..ibake Federal
assistance payments is limited to the amounts included in the Approved Project Budget. The
amount forming the basis upon which FTA detennines the "Maximum Federal Funds Approved"
is identified. as "Estimated Project Cost" and is included in the Grant Agreement and the
Cooperative Agreement.
a. "Net Proiect Cost". For any Project required by FTA or Federal law to be financed on the
basis of its "Net Project Cost" as defined by 49 U.S.C. ~ 5302(a)(8). FTA intends to assist the
Recipient in financing that portion of the Project that cannot reasonably be financed fromtbe
Recipient's revenues, i.e., "Net Project Cost" of the Project. Accordingly, the amount listed as
"Estimated Project Cost" in the Grant Agreement or Cooperative Agreement and "Project CDst;"
within FT A's electronic grant making system will be the Net Project Cost.
b. Other Basis for FT A Participation. For any project not required by FT A or Federal law to be
financed on the basis ofits"Net Project Cost" as defined by 49 U.S.C. ~ 5302(aX8), FTA ~!l:
to assist the Recipient in financing all or part of the cost of the Project. Accordingly, the 8.l1IDltnt
listed as "Estimated Project Cost" in the Grant Agreement or Cooperative Agreement and
"Project Cost" within FTA's electronic grant making system will be the Cost of the Project
recognized by FT A as forming the basis for FT A's detennination of the extent to which it will
award Federal assistance.
Section 5. Local Share.
If FT A requires the Recipient to provide a local share for the Project financed under the Grant
Agreement or Cooperative Agreement, the Recipient agrees as follows:
a. Restrictions on the Source of Local Share. Except as permitted otherwise by Federal law, the
Recipient agrees to provide sufficient funds or approved in-kind resources, together with the
Federal financial assistance awarded, to assure payment of the actual cost of each project covered
by the Grant Agreement or Cooperative Agreement. The Recipient agrees that no funds provided
will be derived from receipts from using the Project facilities or equipment; revenues of the transit
system in which such facilities or equipment are used; or other Federal funds.
Master Agreement Form FTA MA(2), October I, 1995
Page 9
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b. Duty to Obtain Local Share. Except as otherwise approved by FT A, the Recipient agrees to
complete all proceedings necessary to provide the local share of the Project costs at or before the
time those funds are needed to meet Project expenses.
c. Calculation of Local Share. The Recipient agrees that the local share will be calculated on a
project-by-project basis for each project covered by the Grant Agreement or Cooperative
Agreement.
d. Reduction of Local Share. The Recipient further agrees that a refund or reduction of the local
share may be made only if a refund of a proportional amount of the Federal financial assistance is
made to the Federal Government at the same time, unless the Federal Govemmertt"expressly
approves otherwise in writing.
Section 6. Proiect Budget. .
The Recipient agrees to prepare and maintain a Project Budget. The Recipient agrees to incur
obligations and make disbursements of project funds only as authorized in the latest Approved
Project Budget. The latest Approved Project Budget is incorporated herein by reference and
made part of the Grant Agreement or Cooperative Agreement. The Approved Project Budget
may be revised to the extent permitted by and in conformance with applicable Federal
requirements. Any amendment granting additional Federal financial assistance requires the
issuance of a new Approved Project Budget. An amendment to the Approved Project Budget
shall require the issuance of a formal amendment to the Grant Agreement or Cooperative
Agreement, except that a re-allocation of funds among budget items or fiscal years that does not
increase the total amount of the Federal financial assistance awarded may be made in accordance
with applicable Federal circulars and regulations.
Section 7. Accounting Records.
a. Proiect Accounts. The Recipient agrees to establish and maintain for the Project either a
separate set of accounts, or separate accounts within the framework of an established accounting
system that can be identified with the Project, in accordance with 49 C.F.R. ~ 18.20 or 49 C.F.R.
~ 19.21, whichever is applicable. The Recipient agrees that all checks, payrolls, invoices,
contracts, vouchers, orders, or other accounting documents related in whole or in part to the
Project shall be clearly identified, readily accessible and available to FT A upon its request, and, to
the extent feasible, kept separate from documents not related to the Project.
b. Funds Received or Made Available for the Proiect. The Recipient agrees to record in the
Project Account, and deposit in a financial institution, all Project payments it receives from the
Federal Government pursuant to the Grant Agreement or Cooperative Agreement and all other
funds provided for, accruing to, or otherwise received on account of the Project (project funds) in
accordance with applicable provisions of 49 C.F.R. ~ 18.21 or 49 C.F.R. ~ 19.22. The Recipient
is encouraged to use financial institutions owned at least 50 percent by minority group members.
Master Agreement Form FI' A M.~(2), October I, 1995
Page 10
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c. Documentation ofProiect Costs and Program Income. All costs charged to the Project,
including any approved services contributed by the Recipient or others, shall be supported by
properly executed payrolls, time records, invoices, contracts, or vouchers describing in detail the
nature and propriety of the charges. The Recipient also agrees to maintain accurate records of all
Program Income derived from implementation of the Project; this requirement, however, does not
apply to certain Recipient income determined by Ff A to be exempt from the general Program
income requirements.
d. Checks. Orders. and Vouchers. The Recipient agrees to refrain from drawing checks or
orders for goods or services to be charged against the Project Account until it has on file in its
office a properly signed voucher describing in proper detail the purpose of the exfx!nditure.
Section 8. Reporting. Record Retention. and Access. The Recipient agrees as follows:
a. Reports. At a minimum, the Recipient agrees to provide to FT A those reports required by
U.S. DOTs grant management rules and any other reports the Federal Government may require.
b. Record Retention. The Recipient agrees that, during the course of the Project and for three
years thereafter, it will maintain intact and readily accessible all data, documents, reports,
records, contracts, and supporting materials relating to the Project as the Federal Government
may require for the Project.
c. Access to Records. Upon request, the Recipient agrees to permit the Secretary of
Transportation and the Comptroller General of the United States, or their authorized
representatives, to inspect all Project work, materials, payrolls, and other data, and to audit the
books, records, and accounts of the Recipient and its contractors pertaining to the Project. In
accordance with 49 U.S.C. ~ 5325(a), the Recipient agrees to require each third party contractor
whose contract award is not based on competitive bidding procedures as defined by the Secretary
of Transportation to permit the Secretary of Transportation and the Comptroller General of the
. United States, or their duly authorized representatives, to inspect all work, materials, payrolls, and
other data and records involving that third party contract and to audit the books, records, and
accounts involving that third party contract as it affects the Project.
d. Proiect Closeout. Project closeout does not alter these reporting and record retention
requirements.
Section 9. Payments. The Recipient agrees that it will not seek payment from FT A for Project
costs until it has first executed the Grant Agreement or Cooperative Agreement providing Federal
assistance for the Project.
a. Recipient's Request for Payment. FT A will respond to the Recipient's request for the Federal
share payment of its allowable costs in accordance with the procedures described in this Section.
To receive a Federal assistance payment, the Recipient must:
Master Agreement FormFfA MA(2). October 1, 1995
Page 11
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(1) Have demonstrated or certified that it will provide adequate local funds, when combined
with Federal payments,to cover all costs to be incurred for the Project. Unless the Federal
Government has expressly permitted the Recipient to defer provision of the local share, a
Recipient required by Federal statute or the Grant Agreement or Cooperative Agreement to
provide a local share agrees to refrain from:
(a) Requesting or obtaining Federal funds exceeding the arnountjustified by the local
share previously provided, and
(b) Taking any action that would cause the proportion of Federal funds made available
to the Project at any time to exceed the percentage authorized by the Grant Agredment or
Cooperative Agreement;
(2) Have submitted to FTA all financial and progress reports required to date by this Master
Agreement; and
(3) Have identified the source(s) offinancial assistance provided for the Project from which
the payment is to be derived.
b. Payment bv FT A FT A makes all payments by the Automated Clearing House (ACH) method
of payment, regardless of the amount involved.
(1) Electronic Clearing House Operation Payments. If payment is made through the
Electronic Clearinghouse Operation (ECHO) by means of an ECHO Control Number, the
Recipient agrees to comply with the following ECHO requirements pursuant to U.S. Department
of the Treasury Circular 1075, Part 205, "Withdrawal of Cash from the Treasury for Advances
Under Federal Grants and Other Programs," and as established by the "Guidelines for
Disbursements" included in the ECHO System Operations Manual used for FT A projects:
(a) The Recipient may draw down cash only when actually needed for immediate
disbursement required for Project purposes. Unless provided otherwise by Federal law or
regulation, the Recipient agrees to expend all Federal funds obtained under the Project for Project
purposes no later than three (3) days after it receives those funds. If the Recipient fails to expend
those Federal assistance funds within three (3) days of their receipt or return the funds to FTA
within a reasonable period, or fails to establish procedures to minimize the time elapsing between
cash advances and the disbursement, the Federal Government may revoke or temporarily suspend
the Recipient's ECHO Control Number and the Recipient's access to the ECHO System. In
addition to revocation or suspension of the Recipient's ECHO Control Number, a Recipient's
failure to adhere to these requirements may result in other remedies or penalties authorized by
Federal1aw or regulation.
(b) The Recipient agrees to report its cash disbursements and balances in a timely
manner in compliance with Federal requirements.
Master Agreement Form FTA MA(2), October 1, 1995
Page 12
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( c) The Recipient agrees to provide for control and accountability for all project funds
consistent with Federal requirements and procedures for use of the ECHO system.
(d) The Recipient may not ~w down funds for a project in an amount exceeding the
sum obligated by the Federal Government or the current available balance for that Project.
( e) The Recipient agrees to draw down funds only for eligible Project costs.
(f) The Recipient agrees to refrain from drawing down Federal assistance funds before
needed for disbursement.
'_l"
(g) The Recipient agrees to remit interest to the Federal Government on any Federal
assistance prematurely drawn down, irrespective of whether that Federal assistance has been
deposited in an interest-bearing account. The Recipient agrees that a debt for any premature draw
down of Federal assistance funds does not qualify as a "claim" covered by the Debt Collection Act
of 1982, as amended, 31 U.S.C.-~~ 3701 through 3720, and that the interest provisions of
Subsection 9.b(I)(g) of this Master Agreement, rather than the interest provisions of the Debt
Collection Act of 1982, as amended, will determine the amount of interest due on any underlying
debt for Federal. assistance prematurely drawn down. The Recipient agrees different amounts of
interest due depend on whether or not the Recipient is a state or state instrumentality.
1. A Recipient that is also a state or state instrumentality agrees to remit interest to
the Federal Govenunent calculated as required by U.S. Department of Treasury regulations, .
"Rules and Procedures for Funds Transfers/' 31C.F.R Part 205, which implements section 5(b)
of the Cash Management Improvement Act, of 1990, as amended, 31 U.S.C. ~ 6503(b). Thus, a
Recipient that also is a state or a state instrumentality agrees that interest on any underlying debt
it may incur for Federal assistance prematurely drawn down does not qualify for the interest
exemption of the Debt Collection Act of 1982, as amended, 31 U.S.C. ~~ 3701 and 3717.
~. A Recipient that is not a state or state instrumentality agrees to remit
prejudgment interest on the underlying debt for any premature draw down of Federal assistance,
to the exte~ permitted under the common law, consistent with U.S. General Accounting Office
(U.S. GAD) - U.S. Department of Justice (U.S. DOl) regulations permitting interest on debts at
4 C.F.R. Part 102, currently ~ 102. 13 (i)(2). Accordingly, a Recipient that also is either a local
government or an instrumentality of a local government agrees that interest on any underlying
debt it may incur for Federal assistance prematurely drawn down"does not qualify for the interest
exemption for units of general local government within the Debt Collection Act of 1982, as
amended, 31 U.S.C. ~~ 3701 and 3717.
(h) The Recipient agrees to comply with all applicable requirements of Subsections
9.b(I)(a), (b), (c), (d), (e), and (f) of this Master Agreement.
(i) If the Recipient fails to comply with the requirements of Subsections 9.b(1)(a), (b),
(c), (d), (e), or (f) of this Master Agreement, the Federal Government may revoke the portion of
the unexpended portion of the Federal assistance awarded to the Recipient.
Master Agreement Form Fr A MA(2), October 1, 1995
Page 13
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(j) The Recipient agrees to notify the appropriate Regional or Program Office when a
single draw down will.exceed $50 million.
(2) Requisition. If the requisition ~ethod of payment is used, the Recipient agrees as
follows:
(a) Recipient Responsibilities. The Recipient agrees to:
1. Complete and submit the "Payment Information Form - ECHO-ACH Payment
System, II Revised 10/92, to FT A's Accounting Division.
.....':'
~. Complete and submit Standard Form 270, "Request for Advance or
Reimbursement, II to the designated FT A office.
(b) FT A Responsibilities. Upon receipt of a payment request and adequate
accompanying information, Ff A will authorize payment by direct deposit, provided the Recipient
is in compliance with the obligations of the Grant Agreement or Cooperative Agreement, has
satisfied the FTA that it needs the requested Federal funds during the requisition period, and is
making adequate and timely progress toward Project completion. When all these conditions are
met, the Government may reimburse the Recipient's apparent allowable costs incurred (or to be
incurred during the requisition period) up to the maximum amount of Federal funds payable
through the Federal fiscal year of that requisition, as included in the Approved Project Budget.
c. Costs Reimbursed. FT A will reimburse Project costs to the extent permitted by OMB
Circulars A-128 or A-133, provided those costs also comply with all the following requirements:
(1) Conform with the Project Description, the Approved Project Budget, and all other terms
of the Gnmt Agreement or Cooperative Agreement;
(2) Are necessary in order to accomplish the Project;
(3) Are reasonable for the goods or services purchased;
(4) Are actual net costs to the Recipient (i.e., the price paid minus any refunds, rebates, or
other items of value received by the Recipient that have the effect of reducing the cost actually
incurred, excluding Program Income);
(5) Are incurred for work performed after the date of the Grant Agreement or Cooperative
Agreement, unless specific authorization from the Federal Government to the contrary is received;
(6) Unless permitted otherwise by Federal statute or regulation, conform with the following
Federal regulations or guidelines establishing Federal cost principles:
(a) For a Recipient that is a state, local, or Indian tribal government, the standards of
OMB Circular A-87, Revised, "Cost Principles for State and Local Governments" apply; ~
Master Agreement Form FrA MA(2), October 1, 1995
Page 14
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(b) For a Recipient that is an institution of higher education, the standards ofOMB
Circular A-21, Revised, "Cost Principles for Educational Institutions" apply;
(c) For a Recipient that is a private nonprofit organization, the standards of OMB
Circular A-122, Revised, "Cost Principles for Nonprofit Organizations" apply;
(d) For a Recipient that is a for-profit organization, the standards of the Federal
Acquisition Regulation, 48 C.F.R Chapter L Subpart 31.2, "Contracts with Commercial
Organizations" apply;
(7) Are satisfactorily documented; and
....'1"
(8) Are treated consistently in accordance with accounting principles and procedures
approved by the Federal Government for the Recipient, and with accounting principles and
procedures approved by the Recipient for its contractors.
d. Bond Interest and Other Financing Costs. To the extent permitted in writing by FT A, bond
interest and other financing costs are allowable.
e. Excluded Costs. The Recipient agrees as follows:
(1) In determining the amount of Federal assistance FTA will provide, FTA will exclude:
(a) .Any Project costs incurred by.the Recipient before the. Obligation Date of the Grant
Agreement or Cooperative Agreement or Amendment thereto, unless otherwise permitted by
Federal law or regulation, or unless an authorized FfA official states in writing to the contrary;
(b) Any costs incurred by the Recipient that are not included in the latest Approved
Project Budget; and
(c) Any costs for goods or services received under a third party contract or other .
arrangement required to be, but has not been, concurred in or approved in writing by the Federal
Government.
(2) The Recipient agrees that reimbursement of any cost made by the Government does not
constitute a final decision of the Federal Government about the whether that cost is eligible for
reimbursement and does not constitute a waiver of any violation by the Recipient of the tenns of
the Grant Agreement or Cooperative Agreement. The Recipient acknowledges that the Federal
Government will not make a final determination about the eligibility of any cost until an audit of
the Project has been completed. If the Federal Government determines that the Recipient is not
entitled to receive any part of the Federal funds requested, the Federal Government will notify the
Recipient stating its reasons. Project closeout will not alter the Recipient's obligation to return
any funds due to the Federal Government as a result of later refunds, corrections, or other
transactions. Nor will Project closeout alter the Federal Government's right to disallow costs and
recover funds on the basis ofa later audit or other review. Unless prohibited by law, the'tederal
Master Agreement Form FI'A MA(2), October I, 1995
Page 15
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Government may recoup any Federal assistance funds to be made available for the Project as
needed to satisfy any outstanding monetary claims that the Federal Government may have against
the Recipient. Exceptions pertaining to disallowed costs are contained in FT A directives or in
other written Federal guidance.
f Claims. Excess Payments. and Disallowed C~sts (Including Interest).
(1) Recipient's Obligation to Pay. Upon notice by the Federal Government to the Recipient
of specific amounts due, the Recipient agrees to remit to the Federal Government promptly any
amounts due for claims, excess payments, or disallowed costs, including any interest due.
'_l"
(2) Amount oflnterest Due. The Recipient agrees that the amount of interest due depends
on whether the Federal Government treats the underlying principal as a Federal claim or a debt
owed to the Federal Government. Thus, Recipient agrees to pay interest calculated as follows:
(a) Federal Claims against the Recipient. The Debt Collection Act of 1982, as amended,
31 U.S.c. ~~ 3701 through 3720, exempts state governments and units of general local
government from the obligation to pay interest on claims pursued by the Federal Government
under that Act, 31 U.S.C. ~~ 3701 and 3717. Interest on claims against other parties will be
calculated in accordance with the interest provisions of U.S. GAO-U.S DOl regulations,
"Federal Claims Collection Standards," at Part 1 02, currently ~ 102.13.
(b) Excess Payments. The Recipient agrees that a debt for any excess payment does not
qualify as a "claim" covered by the Debt Collection Act of 1982, as amended, 31 U.S.C. ~~ 3701
through 3720, and that the interest exemption for state governments and units of general local
government provided by that Act will not apply to interest on the underlying debt for excess
payments. Accordingly, a Recipient that also is a state government or a unit of general local
government agrees that interest on any underlying debt for excess payments does not qualify
for the interest exemption provided to state and local governments by 31 U.S.c. ~~ 3701
and 3717. Thus, irrespective of whether the Recipient is a state government, a unit of general
'local government, a nonprofit organization, an institution of higher education, an individual,
or any other party, the Recipient agrees to pay prejudgment interest and related charges for
excess payments made by the Federal Government, to the extent authorized under the common
law, consistent with provisions permitting interest on debts at 4 C.F.R. Part 102, currently
~ 102. 13(i)(2).
(c) Disallowed Costs. The Recipient agrees that a debt for any disallowed cost does not
qualify as a "claim" covered by the Debt Collection Act of 1982, as amended, 31 U.S.C. ~~ 3701
through 3720, and that the interest exemption for state governments and units of general local
government provided by that Act will not apply to interest on the underlying debt for the
disallowed cost. Accordingly, a Recipient that also is a state government or a unit of generalloca1
government agrees that interest on any underlying debt for a disallowed cost does not qualify for
the interest exemption provided to state and local governments by 31 U.S.c. ~~ 3701 and 3717.
Thus, irrespective of whether the Recipient is a state government, a unit of generalloca1
government, a nonprofit organization, an institution of higher education, an individual, or ~y .
Master Agreement Form FfA MA(2), October 1, 1995
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other party, the Recipient agrees to pay prejudgment interest and related charges for debts for
each disallowed cost paid by the Federal Government, to the extent authorized under the common
law, consistent with provisions permitting interest on debts at 4 C.F.R. Part 102, currently
~ 102.13(i)(2).
g. De-obligation of Funds. The Federal GovefI1II1ent reserves the right to de-obligate
unexpended Federal funds before Project closeout.
Section 10. Right of the Federal Government to Terminate. The Recipient agrees as follows:
Upon written notice, the Recipient agrees that the Federal Government may suspend or terminate
all or part of the Federal financial assistance provided herein if the Recipient has violated the
terms of the Grant Agreement or Cooperative Agreement, or if the Federal Government
determines that the purposes of the statute under which the Project is authorized would not be
adequately served by continuation of Federal financial assistance for the Project. Any failure to
make reasonable progress on the Project or other violation of the Grant Agreement or
Cooperative Agreement that endangers substantial perfonnance of the Project shall provide
sufficient grounds for the Federal Government to terminate the Grant Agreement or Cooperative
Agreement. In general, termination of any Federal financial assistance for the Grant Agreement
or Cooperative Agreement will not invalidate obligations properly incurred by the Recipient and
concurred in by the Federal Government before the tennination date, to the extent those
obligations cannot be canceled. However, if the Federal Goverriment detennines that the
Recipient has willfu11y misused Federal assistance funds by failing to make adequate progress,
failing to make reasonable and appropriate use of the Project real property, facilities, or
equipment, or failing to adhere to the terms of the Grant Agreement or Cooperative Agreement,
the Federal Government reserves the right to require the Recipient to refund the entire amount of
Federal funds provided for the Grant Agreement or Cooperative Agreement or any lesser amount
as the Federal Government may determine. Expiration of any Project Time Period established for
the Project does not, by itself: constitute an expiration or termination of the Grant Agreement or
Cooperative Agreement.
'~ll'
Section 11. Project Completion. Audit. Settlement. and Closeout.
a. Proiect Completion. Within ninety (90) days of the Project completion date or tennination by
the Federal Govenunent, the Recipient agrees to submit a final Financial Status Report
(Standard Fonn 269), a certification or summary of Project expenses, and third party audit
reports, as applicable.
b. Non-Federal Audits. The Recipient acknowledges and agrees as follows:
(I) Audit Requirements. The Recipient agrees to obtain the following audits:
Master Agreement Fonn FTA MA(2), October 1,1995
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(a) Standard Audits. Each state, local, or Indian tribal government that is a Recipient
agrees to undertake the audits required by 49 C.F.R ~ 18.26 and OMB Circular A-128 or any
revision or supplement thereto. Each institution of higher education, a private nonprofit
organization, or a private for-profit organization that is a Recipient agrees to undertake the audits
required by 49 C:F.R. ~ 19.26 and OMB Circular A-B3, and any revision or supplement thereto.
The Federal Government may waive the OMB c;ircular A-128 audit requirement or substitute a
requirement for a project audit perfonned in accordance with the U.S. Comptroller General's
standards.
(b) Additional Audits. The Recipient agrees to obtain any other audits required by the
Federal Government Project closeout will not alter the Recipient's audit respoMibilities.
(2) Costs. Audit costs for Project administration and management are allowable Project
costs to the extent authorized by OMB Circular A-87, Revised; OMB Circular A-21,Revised; or
OMB Circular A-122, Revised.
c. Remittance of Excess Payments. If the FTA has made payments to the Recipient exceeding
the total amount of the Federal assistance due, the Recipient agrees to remit that excess and
interest as may be required by Subsection 9 .ft2)(b) of this Master Agreement promptly to the
Federal Government
d. Proiect Closeout. Project closeout Occurs when the Federal Govenunent notifies the
Recipient the Project is closed out, and either forwards the final Federal assistance payment or
acknowledges that the Recipient has remitted the proper refund. The Recipient agrees that
Project closeout does not invalidate any continuing obligations imposed on the Recipient by the
Grant Agreement or Cooperative Agreement or by the Federal Govenunent's final notification or
acknowledgment.
Section 12. Real Property. Equipment. and Supplies.
Unless otherwise approved by the Fedeml Transit Administrator, the following conditions apply
to the treatment of real property, equipment, and supplies financed by the Grant Agreement or
Cooperative Agreement:
a. Use ofPropen;y. The Recipient agrees that Project real property, equipment, and supplies
shall be used for appropriate Project purposes for the duration of their useful life, as established
by FT A Should the Recipient unreasonably delay or fail 10 use Project real property, equipment,
or supplies during their useful life, the Recipient agrees that FT A may require the Recipient to
return the entire amount of the Federal assistance expended on that real property, equipment, or
supplies. The Recipient further agrees 10 notify FT A inunediately when any Project real property
or equipment is withdrawn from use or when real property or equipment is used in a manner
substantially different from the representations made by the Recipient in its Application or the
Project Description.
Master Agreement Form FTA MA(2), October I, 1995
Page 18
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b. General Federal Requirements. A Recipient that is a state, local, or Indian tribal government
agrees to comply with the property management standards of 49 C.F.R ~~ 18.31 through 18.34,
including any amendments thereto, and other applicable guidelines or regulations the Federal
Government may issue. A Recipient that is an institution of higher education, a private nonprofit
organization, or a for-profit organization agrees to comply with 49 C.F.R ~~ 19.30 through
19.37, including any amendments thereto, and other applicable guidelines or regulations the
Federal Government may issue. Exceptions to the requirements of 49 C.F.R. ~~ 18.31 through
18.34, and to 49 C.F.R ~~ 19.30 through 19.37, must be specifically approved by the Federal
Government. Nevertheless, FT A has established specific reimbursement requirements for
premature dispositions of certain Project equipment (i.e.. when Project equipment is withdrawn
from appropriate use before the expiration of the equipment's useful life establishetl by FT A), as
explained further in Subsection 12.f of this Master Agreement.
c. Maintenance. The Recipient agrees to maintain Project real property and equipment in good
operating order, and in compliance with any guidelines, directives, or regulations FT A may issue.
d. Records. The Recipient agrees to keep satisfactory records with regard to the use of Project
real property, equipment, and supplies, and submit to the FT A upon request such information as
may be required to assure compliance with Section 12 of this Master Agreement.
e. Transfer of Project Property.
(1) Recipient Request. The Recipient may transfer assets financed ~nder 49 U.S.C.-
chapter 53 toa public body to be used for any public purpose with no further obligation to the
Federal Government, provided that transfer is approved by the Federal Transit Administrator and
conforms with the requirements of 49 U.S.C. ~ 5334(g).
(2) Federal Government Direction. The Recipient agrees that the Federal Government may
require the Recipient to transfer title to any real property, equipment, or supplies financed with
Federal assistance made available by the Grant Agreement or Cooperative Agreement as
permitted by either 49 C.F.R ~~ 18.31 through 18.34, or 49 C.F.R ~ 19.3, as applicable. The
Recipient also agrees that the Federal Government may direct the disposition of real property or
equipment financed with Federal assistance funds made available for the Grant Agreement or
Cooperative Agreement, as permitted by either 49 C.F.R. ~~ 18.31 through 18.33, or 49 C.F.R.
~~ 19.32 through 19.35, as applicable.
(3) Leasing Proiect Property to Another Party. If the Recipient leases any Project asset to
another party, the Recipient agrees to retain ownership of the leased asset, and assure that the
lessee will use the Project ~t appropriately, either through a "Lease and Supervisory
Agreement" between the Recipient and lessee, or another similar document. Upon request by
FT A, the Recipient agrees to provide a copy of any relevant documents.
f. Disposition ofProiect Property. The Recipient agrees that FTA may establish the useful life
of Project property, and that the Recipient will use Project property continuously and
appropriately throughout the period of time of the propertYs useful life.
Master Agreement Form Fr A MA(2), October I, 1995
Page 19
(1) Project Property Whose Useful Life Has Expired. For property whose useful life, as
determined by FT A has expired, the Recipient agrees to comply with the property disposition
requirements ofeither'49 C.F.R. Part 18 or 49 C.F.R Part 19.
(2) Proiect Property Prematurely Withdrawn from Use. For property withdrawn from
appropriate use before its useful life has expired, the Recipient agrees to the following provisions:
(a) Notification Requirement. The Recipient agrees to notifY FTA immediately when
any Project real property, equipment, or supplies are prematurely withdrawn from appropriate
use, whether by planned withdrawal, misuse, or casualty loss.
i ,"
(b) Federal Interest in Prematurely Withdrawn Proiect Property. Unless otherwise
approved by the Federal Government, the Recipient agrees to remit to the Federal Government
the Federal interest in the fair market value of Project real property, equipment, or supplies
prematurely withdrawn from appropriate use. The amount of Federal interest in the property shall
be determined on the basis of the ratio of the Federal assistance awarded by the Federal
Government for the property to the actual cost of the Property. The Recipient agrees to the
following methods of calculating the fair market value of property prematurely withdrawn from
appropriate use:
1. Equipment and Supplies. Unless otherwise dete~ed in writing by FTA, fair
market value shall be calculated by straight line depreciation of the equipment or supplies, based
on the useful life of the equipment or supplies established or approved by FT A. The fair market
value of equipment and supplies shall be the -value immediately before the occurrence prompting
the withdrawal of that property from use. In the case of equipment or supplies lost or damaged
by casualty or fire, the fair market value shall be calculated on the basis of the condition of that
property immediately before the casualty or fire, irrespective of the extent of insurance coverage.
As authorized by 49 C.F.R ~ 18.32(b), a state may use its own disposition procedures, provided
that the state's procedures comply with the laws governing that state.
~. Real Property. The fair market value ofrea1 property shall be determined.
either by competent appraisal based on an appropriate date approved by the Federal Government,
in accordance with the standards of 49 C.F.R. Part 24, or by straight line depreciation, whichever
is greater.
J. Exceptional Circumstances. The Federal Government reserves the right to
require the use of another method of valuation if detennined to be in the best interests of the
Federal Government. In unusual circumstances, the Recipient may request that another
reasonable method of detennining fair market value be used including, but not limit~ to,
accelerated depreciation, comparable sales, or established market values. In detennining whether
to approve another method of valuation, the Federal Government may consider any action taken,
omission made, or unfortunate occurrence suffered by the Recipient with respect to the
preservation or conservation of the value of the real property, equipment, or supplies withdrawn
from appropriate use for any reason.
Master Agreement FormFfA MA(2), October 1,1995
Page 20
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g. Msused or Damaged Property. If any damage to Project real property, equipment, or
supplies results from abuse or misuse occurring with the Recipient's knowledge and consent, the
Recipient agrees to restore that real property or equipment to its original condition or refund the
value of the Federal interest in the ~ed property, as the Federal Government may require.
h. Obligations After Proiect Closeout. A Recipient that is a state, local, or Indian tribal
government agrees that Project closeout will not alter its property management obligations of
Section 12 of this Master Agreement and 49 C.F.R. ~~ 18.31 through 18.34. A Recipientthat is
an institution of higher education, a private nonprofit organization, or a for-profit organization
agrees that project closeout will not alter its property management obligations under Section 12
of this Master Agreement and 49 C.F.R ~~ 19.32 through 19.37. '_~
Section 13. Encumbrance ofProiect Property. Unless authorized in writing by the Federal
Government, the Recipient agrees as follows:
a. Written Transactions. The Recipient agrees to refrain from executing any transfer oftitle,
lease, lien, pledge, mortgage, encumbrance, third party contract, grant anticipation note,
alienation, or other obligation that in any way would affect the Federal interest in any Project real
property or equipment.
b. Oral Transactions. The Recipient agrees to refrain from obligating itself in any manner to any
third party with respect to Project real property. or equipment.
c. Other Actions. The Recipient agrees to refrain from taking any action that would either
adversely affect the Federal interest or impair the Recipient's continuing control of the use of
Project real property or equipment.
Section 14. Relocation and Land Acquisition.
The Recipient agrees to comply with the Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970, as amended, 42 U.S.C. ~~ 4601 et ~.; and U.S. DOT
regulations, "Uniform Relocation and Real Property Acquisition for Federal and Federally
Assisted Programs," 49 C.F.R Part 24.
Section 15. Insurance. The Recipient agrees as follows:
a. Insurance During Construction. At a minimum, the Recipient agrees to comply with the
insurance requirements normally imposed by its state and local governments.
b. Flood Hazards. The Recipient agrees to comply with the flood insurance purchase
requirements of section 102(a) of the Flood Disaster Protection Act of 1973,42 U.S.c.
~ 4012a(a), with respect to each Project activity involving construction or acquisition.
Master Agreement Fonn FrA MA(2), October 1, 1995
Page 21
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Section 16. Proiect Management for Major Capital Projects.
The Recipient agrees to comply with FT A regulations, "Project Management Oversight, "
49 C.F.R Part 633, and any revision thereto, applicable to a Major Capital Project.
Section 17. Procurement.
a. Federal Standards. The Recipient agrees to comply with applicable Procurement Standards of
49 C.F.R 9 18.36 or 49 C.F.R. ~9 19.40 through 19.48 and Appendix A; and with supplementary
regulations and directives, particularly FT A Circular 4220.1 C, "Third Party Contdcting
Requirements, If and other FT A manuals or guidance pertaining to third party contracting. Unless
stated otherwise in writing, FT A's approval of the Project does not constitute pre-approval of any
non-competitive third party contract awards associated therewith. If. detennined necessaiy for
proper Project administration, FT A reserves the right to review the Recipient's technical
specifications and requirements. -
b. Exclusionary or Discriminatory Specifications. Apart from inconsistent requirements imposed
by Federal statute or regulations, the Recipient agrees that it will comply with the requirements of
49 U.S.c. 9 5323(h)(2) by refraining from using any Federal assistance awarded by FTA to
support procurements using exclusionary or discriminatory specifications.
c. Geographic Restrictions. The Recipient agrees to refrain from using state or local geographic
preferences, except those expressly mandated or encouraged by Federal statute, and as permitted
by FTA,.such as stated in Subsection 17.n of this Master Agreement.
d. Use of Federal Supply Schedules. In accordance with 40 C.F.R ~ 481(b) and any
implementing regulations or guidance GSA, U.S. DOT, or FTA may promulgate, state, local, and
certain nonprofit Recipients may use a Federal supply schedule in making third party acquisitions.
e. Award to Other Than the Lowest Bidder. In accordance with 49 U.S.C. ~ 5326(c), a
Recipient may award a third party contract to other than the lowest bidder in connection with a
procurement, when such award furthers objectives consistent with the purposes of 49 U.S.C.
chapter 53 and any implementing regulations, circulars, manuals, or other guidance FTA may
Issue.
f Force Account. The Recipient agrees that FT A may determine the extent to which Federal
assistance may be used to participate in force account costs.
g. Capital Leases. To the extent applicable, the Recipient agrees to comply with FT A
regulations, "Capital Leases," 49 C.F.R. Part 639, and any revision thereto.
h. Cross-Border Leases and Certificates of Participation. To the extent applicable, the Recipient
agrees to comply with FT A Circular 7020.1, "Cross-Border Leasing Guidelines," April 26, 1990,
in acquiring capital assets 'with Federal financial assistance. In addition, the Recipient agrees to
Master Agreement Fonn ITA MA(2), October I, 1995
Page 22
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obtain FT A concurrence before entering into a leasing arrangement involving certificates of
participation for acquiring any capital asset.
i. Buy America. The Recipient agrees to comply with 49 U.S.c. ~ 53230), FTA's Buy America
regulations at 49 C.F.R. Part 661, and any amendments thereto, and any implementing guidance
issued by FT A, with respect to each third party contract financed by the Grant Agreement or
Cooperative Agreement.
j. Cargo Preference-Use of United States-Flag Vessels. The Recipient agrees to comply with
U.S. Maritime Administration regulations, "Cargo Preference-U.S.-Flag Vessels, II 46 C.F.R. Part
381, to the extent those regulations apply to the Project. Specifically, the Recipient agrees to
include the clauses required by those regulations, modified as necessary to identify the affected
parties, in each third party contract or subagreement involving equipment, materials, or
commodities suitable for transport by ocean vessel.
k. Preference for Recycled Products. To the extent practicable and economically feasible, the
Recipient agrees to provide a competitive preference for recycled products to be used in the
Project pursuant to U.S. Environmental Protection Agency (U.S. EP A) guidelines at 40 C.F.R.
Parts 247-253, which implement section 6002 of the Resource Conservation and Recovery Act,
as amended, 42 U.S.C. ~ 6962.
I. Bus Seat Specifications. A State or local government recipient may use specifications
conforming with the requirements of 49 U.S. C.. ~ 5323(e) to acquire bus seats.
m. Acquisition of Rolling Stock. In acquiring rolling stock, the Recipient agrees as follows:
(1) Method of Acquisition. The Recipient agrees to comply with the requirements of
49 U.S.C. ~ 5325(b) using one of the following methods to award a third party contract (a) using
a competitive procurement process, (b) based on the rolling stock's initial capital cost, or (c)
based on the rolling stock's performance, standardization, life cycle costs, and other factors.
(2) Pre-Award and Post-Delivery Requirements. The Recipient agrees to comply with the
requirements of 49 D.S.C. ~ 5323(1) and FTA regulations, "Pre-Award and Post-Delivery Audits
of Rolling Stock Purchases," 49 C.F.R. Part 663, and any revision thereto.
(3) Bus Testing. To the extent applicable, the Recipient agrees to comply with the
requirements of 49 U.S.C. ~ 5323(c) and FTA regulations, "Bus Testing, 49 C.F.R Part 665, and
any revision thereto.
n. Acquisition ofMa.nagement. Architectural. and Engineering Services. In acquiring
management, architectural, and engineering services, the Recipient agrees to comply with the
requirements of 49 D.S.C. ~ 5325(d), by contracting for program management, construction
management, a feasibility study, and preliminary engineering, design, architectural, engineering,
surveying, mapping, or related services awarded in the same way as a co~tract for architectural
Master Agreement Form FTA MA(2), October I, 1995
Page 23
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and engineering services is negotiated under title IX of the Federal Property and Administrative
Services Act of 1949, as amended, 40 U.S.C. ~~ 541 et ~., or an equivalent qualifications-based
requirement of the state. Provided a sufficient number of qualified finns are eligible to compete
for the third party contract, geographic.1ocation may be a selection criterion. This section does
not apply to the extent a state has adopted or adopts by law fonnal procedures for procuring
those services.
o. Bonding. The Recipient agrees to comply with the following bonding requirements.
(1 ) Construction Activities. The Recipient agrees to comply with the bid guarantee,
performance, and payment bonding provisions of 49 C.F.R ~ 18.36(h) or 49 C.PJt ~ 19.48(c),
as applicable, and with any guidance FT A may issue.
(2) Other Activities. The Recipient agrees to comply with any requirements or restrictions
FT A may impose on the Recipient's bonding practices for its other Project acquisitions or
activities.
p. Liquidated Damages. FT A and the Recipient recognize that liquidated damages requirements
are appropriate if the parties to a contract may reasonably expect to incur damages in the form of
increased Project costs resulting from the late completion of the contract and if the extent or
amount of such damages would be difficult or impossible to determine after the delay has
occurred. Accordingly, the Recipient agrees to comply with the following requirements:
(1) General Restrictions. The Recipient agrees that any liquidated damage clauses it might
impose must comply with the folloWing restrictions:
(a) The assessment for damages shall be at a specific rate per day for each day of
overrun in contract time; and
(b) The rate must be specified in the third party contract.
.. (2) Special Restrictions. The Recipient agrees to comply with any other special liquidated
damages restrictions FT A might impose.
(3) Disposition of Liquidated Damages. The Recipient agrees that any liquidated damages
recovered shall be credited to the Project account involved unless the Federal Government
pennits otherwise.
q. Seismic Safety. The Recipient agrees to apply the requirements of US. DOT regulations
applicable to seismic safety requirements for US. DOT assisted construction projects at
49 C.F.R. Part 41, (specifically, 49 C.F.R. ~ 41.117), and any implementing guidance FTA may
issue, to the acquisition of any new building and to additions to any existing building.
.
r. Notification of Federal Participation. In the announcement of any third party contract award
for goods or services (including construction services) having an aggregate value ofSSOO,OOO or
Master Agreement Form FTA MA(2), October 1, 1995
Page 24
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more, the Recipient agrees to specify the amount of Federal assistance to be used in financing that
acquisition of goods and services and to express the amount of that Federal assistance as a
percentage of the total cost of that third party contract. .
s. Third Party Contract Disputes or Breaches. The Recipient agrees as follows:
(1) General. Because FT A has a vested interest in the settlement of any dispute, default, or
breach involving any federally assisted third party contract, the Recipient agrees to pursue all1egal
rights available under any third party contract. FT A reserves the right to concur in any
compromise or settlement of any third party contract claim involving the Recipient.
'_lI'
(2) Notification to FTA. The Recipient agrees to notify FTA of any current or prospective
major dispute, breach, or litigation pertaining to any third party contract. If the Recipient seeks to
name the Federal Government as a party to litigation for any reason, in any forum, the Recipient
agrees to inform the FTA before doing so.
(3) Federal Interest in Recovery. The Federal Government retains the right to a
proportionate share, based on the percentage of the Federal share committed to the Project, of
any proceeds derived from any third party recovery. If the third party contract at issue contains a
liquidated damages provision, the Recipient agrees to credit any liquidated damages recovered to
the Project account unless the Federal Government permits otherwise.
(4) Alternative Dispute Resolution. FTA encourages the Recipient to use alternative dispute
resolution procedures, as may be appropriate.
Section 18. Patent Rights.
a. General. If any invention, improvement, or discovery of the Recipient or any of its third party
contractors is conceived or first actually reduced to practice in the course of or under the
Project, and that invention, improvement, or discovery is patentable under the laws of the
United States of America or any foreign country, the Recipient agrees to notify FT A immediately
and provide a detailed report.
b. Federal Rights. Unless the Federal Govenunent later makes a contrary detennination in
writing, the rights and responsibilities of the Recipient, third party contractor, subrecipient and
the Federal Government pertaining to that invention, improvement, or discovery will be
determined in accordance with applicable Federal laws, regulations, including any waiver thereof
Unless the Federal Government later makes a contrary determination in writing, the Recipient
agrees that, irrespective of its status or the status of any subrecipient or any third party contractor
at any tier (i.e.. a large business, small business, state government or state instrumentality, local
government, nonprofit organization, institution of higher education, individual, etc.), the Recipient
agrees it will transmit to FT A those rights due the Federal Govenunent in any invention resulting
from that third party contract described in U.S. Department of Commerce regulations, "Rights to
Master Agreement FOnD FrA MA(2), October 1, 1995
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Inventions Made by Nonprofit Organizations and Small Business Firms Under Government
Grants, Contracts and Cooperative Agreements," 37 C.F.R. Part 401.
Section 19. Rights in Data and Copyrights.
a. Definition. The term "subject data" used in this section means recorded infonnation, whether
or not copyrighted, that is delivered or specified to be delivered under the Gnmt Agreement or
Cooperative Agreement. Examples include, but are not limited to: computer software,
engineering drawings and associated lists, specifications, standards, process sheets, manuals,
technical reports, catalog item identifications, and related information. The terrh'.subject data"
does not include financial reports, cost analyses, and similar information incidental to Project
administration.
b. Federal Restrictions. The following restrictions apply to all subject data first produced in the
performance of the Grant Agreement or Cooperative Agreement:
(1) Except for its own internal use, the Recipient may not publish or reproduce subject.data
in whole or in part, or in any manner or form, nor may the Recipient authorize others to do so,
without the written consent of the Federal Government, until such time as the Federal
Government may have either released or approved the release of such data to the public.
(2) The restriction on publication of Subsection 19.b( 1) of this Master Agreement, however,
does not apply to an Agreement with an institution of higher learning.
c. Federal Rights in Data and Copyrights. In accordance with 49 C.F.R. ~ 18.34 and 49 C.F.R.
~ 19.36, the Federal Govenunent reserves a royalty-free, non-exclusive and irrevocable license to
reproduce, publish, or otherwise use, and to authorize others to use, for Federal Government
purposes the "subject data" described in the following Subsections 19.c(1) and 19.c(2) of this
Master Agreement. As used in the previous sentence, "for Federal Government purposes, " means
use only for the direct purposes of the Federal Government. Without the copyright'owners
consent, the Federal Govenunent may not extend its Federal license to other parties.
(1) Any subject data developed under the Grant Agreement or Cooperative Agreement, or
under a third party contract or sub agreement financed by the Grant Agreement or Cooperative
Agreement, whether or not a copyright has been obtained; and
(2) Any rights of copyright to which a Recipient, subrecipient, or a third party contractor
purchases ownership with Federal assistance.
d. Special Federal Rights for Planning. Research. and Development Proiects. When FTA
provides financial assistance for a planning, research, development, or a demonstration Project, it
is FT A's general intention to increase transportation knowledge, rather than limit the benefits of
the Project to participants in the Project. Therefore, unless FT A detennines otherwise. the
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Recipient ofFTA financial assistance to support a planning, research, development, or a
demonstration Project agrees that, in addition to the rights in data and copyrights of
Subsection 19.c oftliis Master Agreement, FTA may make available to any FTA recipient,
subrecipient, third party contractor, or. third party subcontractor, either FT A's license in the
copyright to the subject data derived under the Grant Agreement or Cooperative Agreement, or a
copy of the subject data first produced under the Grant Agreement or Cooperative Agreement. If
the Project, which is the subject of the Grant Agreement or Cooperative Agreement, is not
completed for any reason whatsoever, all data developed under that Project shall become subject
data as defined in Subsection 19.a of this Master Agreement and shall be delivered as the Federal
Government may direct. This Subsection 19.d of this Master Agreement, however, does not
apply to adaptations of automatic data processing equipment or programs for tIielkecipient's use
whose costs are financed with Federal transportation funds for capital projects.
e. Hold Harmless. Unless prohibited by state law, upon request by the Federal Government, the
Recipient agrees to indenmify, save, and hold harmless the Federal Government and its officers,
agents, and employees acting within the scope of their official duties against.any liability, including
costs and expenses, resulting from any willful or intentional violation by the Recipient of
proprietary rights, copyrights, or right of privacy, arising out of the publication, translation,
reproduction, delivery, use, or disposition of any data furnished under the Grant Agreement or
Cooperative Agreement. The Recipient shall not be required to indemnify the Federal
Government for any such liability arising out of the wrongful acts of employees or agents of the
Federal Government.
f Restrictions on Access to Patent Rights. Nothing contained in this section on rights in data
shall imply a license to the Federal Government under any patent or be construed as affecting the
scope of any license or other right otherwise granted to the Federal Government under any patent.
g. Application to Materials IncolJlorated into Pr01ect. The requirements of Subsections 19.b,
19. c, and 19d of this Master Agreement do not apply to material furnished by the Recipient and
incorporated into the work carried out under the Grant Agreement or Cooperative Agreement,
provided that the Recipient identifies the incorporated material at the time of delivery of the work.
Section 20. Civil Rights.
a. Prohibitions Against Discrimination in Federal Prosmuns. The Recipient agrees to comply
with, and assure compliance by its third party contractors at any tier and subrecipients at any tier
under the Project, with all requirements of Title VI of the Civil Rights Act of 1964, as amended,
42 D.S.C. ~ 2000d; 49 D.S.C. ~ 5332; and DOT regulations, "Nondiscrimination in
Federally-Assisted Programs of the Department of Transportation - Effectuation of Title VI of
the Civil Rights Act, n 49 C.F.R Part 21, and any implementing requirements FTA may issue.
b. Equal Emplovrnent Opportunity. The Recipient agrees to comply with the following equal
employment opportunity (EEO) requirements:
Master Agreement FOnD FfA MA(2), October 1, i995
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(1) General Requirements. The Recipient agrees as follows:
(a) The Recipient agrees that it will not diScriminate against any employee or applicant
for employment because of race, color; creed, sex, disability, age, or national origin. The
Recipient 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, sex,
disability, age, or national origin. Such action shall include, but not be limited to, the following:
employment, upgrading, demotion or transfer, recruitment or recruitment adyertising, layoff or
tennination; rates of payor other fonns of compensation; and selection for tf.tining, including
apprenticeship. The Recipient also agrees to comply with any implementing requirements FT A
. , ~
may Issue. ..
(b) If the Recipient is required to submit and obtain Federal Government approval of its
EED program, that EEO program approved by the Federal Government is incorporated by
reference and made part of the Grant Agreement or Cooperative Agreement. Failure by the
Recipient to carry out the terms of that EEO program shall be treated as a violation of the Grant
Agreement or Cooperative Agreement. Upon notification to the Recipient of its failure to carry
out the approved EEO program, the Federal Government may impose such remedies as it
considers appropriate, including tennination of Federal financial assistance in accordance with
Section 10 of this Master Agreement, or other measures that may affect the Recipient's eligibility
to obtain future Federal financial assistance for transportation projects.
(2) E ual Em 10 ent 0 ortuni Re uirements for Construction Activities. With respect
to construction activities, the Recipient agrees to comply with all applicable EEO requirements of
U.S. Department of Labor (U.S. DOL) regulations, "Office of Federal Contract Compliance
Programs, Equal Employment Opportunity, Department of Labor, II 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) and any Federal statutes, executive orders, regulations, and
Federal policies that may in the future affect construction activities undertaken in the course of the
Project.
c. Disadvantaged Business EnteIJ>rise. The Recipient agrees to take the following measures to
facilitate participation by disadvantaged business enterprises (DBE) in the Project:
(1) The Recipient agrees to comply with current U.S. DOT regulations on DBE participation
in U.S. DOT financial assistance programs, at 49 C.F.R Part 23 or at another Part ifre-issued,
and any requirements or guidance FT A may issue.
(2) The Recipient agrees that it will not discriminate on the basis of race, color, national
origin, or sex in the award and performance of any third party contract, or subagreement financed
with Federal assistance derived from the U.S. DOT. The Recipient agrees to take all necessary
and reasonable steps required by U.S. DOT regulations to ensure that eligible DBEs have the
maximum feasible opportunity to participate in third party contracts financed with Federal
Master Agreement Form ITA MA(2), October 1, 1995
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assistance awarded by U.S. DOT. If the Recipient is required by U.S. DOT regulations to have a
DBE program, the pBE program approved by U.S. DOT is incorporated by reference and made
part of the Grant Agreement or Cooperative Agreement. Implementation of that DBE program is
a legal obligation, and failure to carry .out its terms shall be treated as a violation of the Grant
Agreement or Master Agreement. Upon notifying the Recipient of any failure to implement its
approved DBE program, U.S. DOT may impose sanctions as provided for under its regulations
and may, in appropriate cases, refer the matter for enforcement under 18 US.C. ~ 1001, and the
Program Fraud Civil Remedies Act, 31 U.S.C. ~~ 3801 et~.
d. Access Requirements for Persons with Disabilities. The Itecipient agrees to comply with all
applicable requirements of the Americans with Disabilities Act of 1990 (ADA), ~~ U.S.C.
~~ 12101 et ~.; section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. ~ 794;
49 US.c. ~ 5301(d); and the following Federal regulations including any amendments thereto:
(1) U.S. DOT regulations, "Transportation Services for Individuals with Disabilities (ADA),"
49 C.F.R Part 37;
(2) U.S. DOT regulations, "Nondiscrimination on the Basis of Handicap in Programs and
Activities Receiving or Benefiting from Federal Financial Assistance," 49 C.F.R Part 27;
(3) U.S. DOT regulations, "Americans With Disabilities (ADA) Accessibility Specifications
for Transportation Vehicles," 49 C.F.R Part 38;
(4) U.S. DOl regulations, "Nondiscrimination on the Basis of Disability in State and Local
Government Services, II 28 C.F.R Part 35;
(5) U.S. DOl regulations, "Nondiscrimination on the Basis of Disability by Public
Accommodations and in Commercial Facilities," 28 C.F.R. Part 36;
(6) U.S. GSA regulations, ''Accommodations for the Physically Haiidicapped," 41 C.F.R.
Subpart 101-19;
(7) US. Equal Employment Opportunity Commission, "Regulations to Implement the Equal
Employment Provisions of the Americans with Disabilities Act," 29 C.F.R. Part 1630;
(8) U.S. Federal Communications Conunission regulations, "Telecommunications Relay
Services and Related Customer Premises Equipment for the Hearing and Speech Disabled, "
47 C.F.R Part 64, Subpart F; and
(9) FT A regulations, "Transportation for Elderly and Handicapped Persons," 49 C.F.R
Part 609.
(10) Any implementing requirements FTA may issue.
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Section 21. Employee Protections.
a. Construction Acti~ties. For construction activities exceeding $2,000 performed in
connection with the Project, the Recipient agrees to comply with the following construction
employee protection requirements:
(1) Davis-Bacon Act. as amended. The Recipient agrees to comply and assures compliance
with the requirements of 49 V.S.C. ~ 5333(a), the Davis-Bacon Act, 40 US.C. ~~ 276a through
276a(7), and implementing U.S. DOL regulations, "Labor Standards Provisions Applicable to
Contracts Govemmg Federally Financed and Assisted Construction (also Labor Standards
Provisions Applicable to Nonconstruction Contracts Subject to the Contract Wolf Hours and
Safety Standards Act), II 29 C.F.R Part 5. In addition to other requirements that may apply:
(a) The Recipient agrees to pay wages to laborers and mechanics performing third party
contract work at a rate not less than the minimum wages specified in a wage determination issued
by the U.S. Secretary of Labor and not less frequently than once a week. The Recipient agrees to
place a copy of the current prevailing wage determination issued by the US. DOL in each
solicitation for third party contract work under the Project, and agrees to refrain from awarding
any affected third party contract until the third party contractor agrees to the required wage
determination.
(b) The Recipient agrees to report to FT A every suspected or reported violation of the
Davis-Bacon Act or its Federal implementing regulations.
(2) Contract Work Hours and Safety Standards Act. as amended. The Recipient agrees to
comply and assures compliance with sections 102 and 107 of the Contract Work Hours and
Safety Standards Act, as amended, 40 US.C. ~~ 327 through 333; and implementing U.S. DOL
regulations, "Labor Standards Provisions Applicable to Contracts Governing Federally Financed
and Assisted Construction (also Labor Standards provisions Applicable to Nonconstruction
Contracts Subject to the Contract Work Hours and Safety Standards Act)," 29 C.F.R Part 5; and
U.S. DOL regulations, "Safety and Health Regulations for Construction," 29 C.F.R.npart 1926.
In addition to other requirements that may apply:
( a) In accordance with section 102 of the Contract Work Hours and Safety Standards
Act, as amended, 40 U.S.C. g~ 327 through 332, the Recipient agrees and assures that, for the
Project, the wages of every mechanic and laborer will be computed on the basis of a standard
work week of 40 hours, and that each worker will be compensated for work exceeding the
standard work week at a rate of not less than 1.5 times the basic rate of pay for all hours worked
in excess of 40 hours in the work week. The Recipient agrees that determinations pertaining to
these requirements will be made in accordance with applicable U.S. DOL regulations, "Labor
Standards Provisions Applicable to Contracts Governing Federally Financed and Assisted
Construction (also Labor Standards Provisions Applicable to Nonconstruction Contracts Subject
to the Contract Work Hours and Safety Standards Act)," 29 C.F.R. Part 5.
Master Agreement Form FTA MA(2), October 1, 1995
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(b) In-accordance with section 107 of the Contract Work Hours and Safety Standards
Act, as amended, 40 U.S.C. 9333, the Recipient agrees and assures that no laborer or mechanic
working on a constniction contract shall be required to work in surroundings or under working
conditions that are unsanitary, hazardous, or dangerous to his or her health and safety, as
detennined in accordance with U.S. DOL regulations, "Safety and Health Regulations for
Construction," 29 C.F.R Part "1926,
(c) The requirements of this Subsection 21.a(2) of the Master Agreement do not apply
to a third party contract for the purchase of supplies, materials, or articles ordinarily available on
the open market.
(3) Copeland "Anti-Kickback" Act. as amended. The Recipient agrees to comply with the
Copeland "Anti-Kickback" Act, 18 U.S.C. ~ 874 and 40 U.S.C. ~ 276c, and U.S. DOL.
regulations, "Contractors and Subcontractors on Public Building or Public Work Financed in
Whole or in part by Loans Or Grants from the United States," 29 C.F.R Part 3. In addition to
other requirements that may apply:
'_l>
(a) The Recipient agrees that it will not induce, by any means, any person employed in
the construction, completion, or repair of public work, to give up any part of the compensation to
which that employee is otherwise entitled.
(b) The Recipient agrees to report every suspected or reported violation of the Copeland
"Anti-Kickback" Act or its Federal implementing regulations to FTA.
b. Activities Not Involving Construction. For nonconstruction activities exceeding $2,500
performed in connection with the Project, the Recipient agrees to comply with the following
employee protection requirements:
(1) In accordance with section 102 of the Contract Work Hours and Safety Standards Act, as
amended, 40 U.S.C. ~~ 327 through 332, the Recipient agrees and assures that, for the Project,
the wages of every mechanic and laborer will be computed on the basis of a standard work week
of 40 hours, and that each worker will be compensated for work exceeding the standard work
week at a rate of not less than 1.5 times the basic rate of pay for all hours worked in excess of
40 hours in the work week. The Recipient agrees that determinations pertaining to these
requirements will be made in accordance with applicable U.S. DOL regulations, "Labor Standards
Provisions Applicable to Contracts Governing Federally Financed and Assisted Construction (also
Labor Standards Provisions Applicable to Nonconstruction Contracts Subject to the Contract
Work Hours and Safety Standards Act), II 29 C.F.R Part 5.
(2) The requirements of this Subsection 21.b(1) of the Master Agreement do not apply to a
third party contract for the purchase of supplies, materials, or articles ordinarily available on the
open market.
Master Agreement Form FT A MA(2), October 1, i 995
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c. State and Local Government Employees. The Recipient agrees that the minimum wage and
overtime provisions of the Fair Labor Standards Act, as amended, 29 D.S.C. ~~ 206 and 207,
apply to employees pefrorming work involvingcommeree, including such state and local
government employees as public transit authority employees, participating in the Project.
Consequently, each Recipient that is a state or local government agrees to comply with the Fair
Labor Standards Act's minimum wage and overtime requirements for employees perfonning work
in connection with the Project.
d. Transit Emplovee Protective Arrangements. The Recipient agrees to comply with the
following requirements applicable to transit operations performed in connection with the Project:
, ..,.
(1) Standard Transit Employee Protective Arrangements. To the extent that transit
operations are involved, the Recipient agrees to carry out the Project in compliance with terms
and conditions determined by the Secretary of Labor to be &ir and equitable to protect the
interests of employees affected by the Project and to meet the requirements of 49 D.S.C.
~ 5333(b), and US. guidelines at 29 C.F.R. Part 215, and any amendments thereto. These terms
and conditions are identified in U.S. DOL's certification of transit employee protective
arrangements to FTA, the date of which is included in the Grant Agreement or Cooperative
Agreement. The Recipient agrees to carry out the Project in compliance with the conditions
stated in that the U.S. DOL certification. That U.S. DOL certification and any documents cited
therein are incorporated by reference and made part of the Grant Agreement or Cooperative
Agreement. The requirements of this Subsection 21.d(l) of this Master Agreement, however, do
not apply to formula assistance projects for the elderly and persons with disabilities authorized by
49 D.S.C. ~ 5310(a)(2) or to formula assistance projects for nonurbanized areas authorized by 49
US.C. ~ 5311; separate requirements for those projects are contained in Subsections 21.d(2) and
21.d(3) of this Master Agreement.
(2) Transit Employee Protective Arranl]:ements for Proiects Authorized by 49 US.C.
~ 531O(a)(2) for the Elderly and Persons with Disabilities. If the Secretary of Transportation has
detennined or determines in the future that employee protective anaIlgements required by
49 U.S.C. ~ 5333(b) are necessaryor appropriate for public body subrecipients under'the Project,
the Recipient agrees to carry out the Project in compliance with the terms and conditions
detennined by the Secretary of Labor to meet the requirements of 49 U.S.C. ~ 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 U.S. DOVs certification of transit employee protective arrangements
to Ff A, the date of which is included in the Grant Agreement or Cooperative Agreement. The
Recipient agrees to carry out the Project in compliance with the conditions stated in that U.S.
DOL certification. That U.S. DOL certification and any documents cited therein are incorporated
by reference and made part of the Grant Agreement or Cooperative Agreement.
(3) Transit Employee Protective Arrangements for Proiects Authorized by 49 U.S.C. & 5311
in Nonurbanized Areas. The Recipient agrees to comply with the terms and conditions of the
Special Warranty for the Nonurbanized Area Program agreed to by the Secretaries of
Transportation and Labor, dated May 31, 1979, and the procedures implemented by U.S. DOL or
any revision thereto.
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Section 22. Plannine and Private Enterprise.
The Recipient agreeS that each Project financed under the Grant Agreement or Cooperative
Agreement will be implemented in a manner consistent with the plans developed in accordance
with applicable planning and private enterprise requirements of 49 U.S.C. ~~ 5303 through 5306,
and joint Federal Highway Administration (FHW A)/FT A regulations, "Planning Assistance and
Standards," 23 C.F.R Part 450 and 49 C.F.R. Part 613.
Section 23. Environmental Requirements.
'_l"
The Recipient recognizes that many Federal and state laws imposing environmental and resource
conservatioDrequirements may apply to the Project. Some, but not all, of the major Federal laws
that may affect the Project include: the National Environmental Policy Act of 1969, as amended,
42 V.S.C. ~~ 4321 et seq.; the Clean Air Act, as amended, 42 U.S.c. ~S 7401 et~. and
scattered sections of29 U.S.C.;the Clean Water Act, as amended, scatter~ sections of
33 V.S.c. and 12 U.S.c.; the Resource Conservation and Recovery Act, as amended, 42 U.S.c.
S~ 6901 et gg.; and the Comprehensive Environmental Response, Compensation, 'and Liability
Act, as amended, 42 U.S.C. ~S 9601 et gg. The Recipient also recognizes that U.S. EPA,
FHW A and other agencies of the Federal Government have issued and are expected in the future
to issue regulations, guidelines, standards, orders, directives, or other requirements that may
affect the Project. Thus, the Recipient agrees to adhere to, and impose on its subrecipients and
third party contractors, any such Federal requirements as the Federal Government may now or in
the future promulgate. Listed below are requirements of particular concern to FTA and the
Recipient. The Recipient acknowledges that this list does not constitute the Recipient's entire
obligation to meet all Federal environmental and resource conservation requirements.
a. Environmental Protection. The Recipient agrees to comply with the applicable requirements
of the National Environmental Policy Act of 1969, as amended, 42 U.S.C. ~S 4321 et gg. in
accordance with Executive Order No. 12898, "Federal Actions to Address Environmental Justice
in Minority Populations and Low-Income Populations," 59 Fed. Reg. 7629, Feb. 16, 1994; FfA
statutory requirements on environmental matters at 49 V.S.C. ~ 5324(b); Council on
Environmental Quality regulations on compliance with the National Environmental Policy Act
of 1969, as amended, 40 C.F.R Part 1500 et gg.; and joint FHWA/FI'A regulations,
"Environmental Itnpact and Related Procedures," 23 C.F.R Part 771 and 49 C.F.R Part 622.
b. Air Ouality. The Recipient agrees as follows:
(1) The Recipient agrees to comply with all applicable standards, orders, or regulations issued
pursuant to the Clean Air Act, as amended, 42 U.S.C. ~S 7401 et gg. Specifically:
(a) The Recipient agrees to comply with applicable requirements of U.S. EP A
regulations, "Conformity to State or Federal Implementation Plans of Transportation Plans,
Programs, and Projects Developed, Funded or Approved Under Title 23 U.S.C. or the Federal
Transit Act," 40 C.F.R. Part 51. Subpart T; and "Determining Confonnity of Federal Actions to
Master Agreement Form FI'A MA(2), October 1,.1995
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State or Federal Implementation Plans," 40 C.F.R. Part 93. To support the requisite air quality
conformity finding for the Project, the Recipient agrees to implement each air quality mitigation .
and control measure mcorporated in the Project. The Recipient agrees that any Project identified
in an applicable State Implementation Plan (SIP) as a Transportation Control Measure, will be
wholly consistent with the description of the design concept and scope of the Project described in
the SIP.
(b) u.s. EPA also imposes requirements implementing the Clean Air Act,'as amended,
that may apply to transit operators, particularly operators of large transit bus fleets. Thus, the
Recipient should be aware that the following U.S. EPA regulations, among others, may apply to
its Project: "Control of Air Pollution from Motor Vehicles and Motor Vehicle ~gines,"
40 C.F.R Part 85; "Control of Air Pollution from New and In-Use Motor Vehicles and New and
In-Use Motor Vehicle Engines: Certification and Test Procedures," 40 C.F.R Part 86; and "Fuel
Economy of Motor Vehicles," 40 C.F.R. Part 600.
(2) The Recipient agrees to report and require each third party contractor and subrecipient at
any tier to report any violation of these requirements resulting from any Project implementation
activity ofa third party contractor, subrecipient, or itself to FTA and the appropriate U.S. EPA
Regional Office.
c. Clean Water. The Recipient agrees as follows:
(1) The Recipient agrees to comply with all applicable standards, orders, or regulations issued
pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. ~~ 1251 et~.
(2) The Recipient agrees to report and require each third party contractor and subrecipient at
any tier to report any violation of these requirements resulting from any Project implementation
activity of a third party contractor (at any tier), subrecipient (at any tier), or itself to FT A and the
appropriate U.S. EPARegional Office.
d. Use of Public Lands. The Recipient agrees that no publicly owned land from a park,
recreation area; or wildlife or waterfowl refuge of national, state, or local significance as
detennined by the Federal, state, or local officials having jurisdiction thereof, or any land from a
historic site of national, state, or local significance may be used for the Project unless the FT A
makes the specific findings required by 49 U.S.C. ~ 303.
e. Historic Preservation. The Recipient agrees to assist the Federal Government in complying
with section 106 of the National Historic Preservation Act, 16 U.S.C. ~ 470f, involving historic
and archaeological preservation as follows:
(1) The Recipient agrees to consult with the State Historic Preservation Officer about
investigations to identifY properties and resources listed in or eligible for inclusion in the National
Register of Historic Places that may be affected by the Project, in accordance with Advisory
Council on Historic Preservation regulations, "Protection of Historic and Cultural Properties, "
36 C.F.R Part 800, and notifying FTA of those properties so affected.
Master Agreement Form FT A MA(2), October I, 1995
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(2) The Recipient agrees to comply with all Federal requirements to avoid or mitigate
adverse effects on those historic properties.
f Mitigation of Adverse Environmental Effects. The Recipient agrees that if the Project should
cause adverse environmental effects, the Recipient will take all reasonable steps to minimize those
effects in accordance with 49 U.S.c. ~ 5324(b), and all other applicable Federal laws and
regulations, specifically, the procedures of23 C.F.R. Part 771 and 49 C.F.R. Part 622. The
Recipient agrees to undertake all environmental mitigation measures that may be identified as
conunitments in applicable environmental documents (such as environmental assessments,
environmental impact statements, memoranda of agreement, and statements required by
49 U.S.c. ~ 303) and with any conditions the Federal Government has imposed inllits finding of
no significant impact or a record of decision. Those mitigation measures are incorporated by
reference and made part of the Grant Agreement or Cooperative Agreement. As soon as the
Federal Government and the Recipient reach agreement on any deferred mitigation measures,
those measures will then be incorporated by reference and made part of the Grant Agreement or
Cooperative Agreement. The Recipient agrees that any mitigation measures agreed upon may not
be modified or withdrawn without the express written approval of the Federal Government.
Section 24. Energy Conservation. The Recipient agrees to comply with the mandatory energy
efficiency standards and policies within the applicable state energy conservation plans issued in
compliance with the Energy Policy and Conservation Act, 42 U.S.C. ~~ 6321 et~.
Section 25. State Management and Monitoring Systems.
To the extent applicable, the Recipient agrees to comply with the requirements of joint
FHW AlFTA regulations, "Management and Monitoring Systems," 23 C.F.R. Parts 500 and 626,
and 49 C.F.R Part 614.
Section 26. Charter Service Operations.
The Recipient agrees that neither it nor any transit operator perfomUng work in connection with
the Project will engage in charter service operations, except as pennitted by 49 U.S.C. ~ 5323(d)
and ITA regulations, "Charter Service," 49 C.F.R. Part 604, and any amendments thereto that
may be issued. Any applicable charter service agreement required by these regulations is
incorporated by reference and made part of the Grant Agreement or Cooperative Agreement.
Section 27. School Bus Operations.
The Recipient agrees that neither it nor any transit operator perfonning work in connection with
the Project will engage in school bus operations for the transportation of students or school
personnel exclusively in competition with private school bus operators, except as permitted by
Master Agreement Form FI'A MA(2), October 1,1995
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49 US.C. ~ 5323(f) and FTA regulations, "School Bus Operations," 49 C.F.R. Part 605, and any
amendments thereto that may be issued. Any applicable school bus agreement required by these
regulations is inCOrpOI-ated by reference and made part of the Grant Agreement or Cooperative
Agreement.
Section 28. Metric System. To the extent required by U.S. DOT or FTA, the Recipient agrees to
use the metric system of measurement in its Project activities, as may be required by 49 U.S.C.
99 205a et ~.; Executive Order No. 12770, "Metric Usage in Federal Government Programs,"
15 US.c. 9 205a note; and other regulations, guidelines, and policies issued by
. U.S. DOT or FTA. To the extent practicable and feasible, the Recipient agrees to"accept
products and services with dimensions expressed in the metric system of measurement.
Section 29. Privacy. To the extent that the Recipient, any third party contractor at any tier, any
subrecipient at any tier, or their employees administers any system of records. on behalf of the
Federal Government, the Recipient agrees to comply with, and assures the compliance of each
affected third party contractor at any tier, each affected subrecipient at any tier, and their
employees with the information restrictions and other applicable requirements of the Privacy Act
of 1974, 5 US.e. 9552, (the Privacy Act). Specifically:
a. Consent of Federal Government. The Recipient agrees to obtain the express consent of the
Federal Government before it or its third party contractors, subrecipients, or any of their
employees operates a system of records on behalf of the Federal Government.
b. Acknowledgment of Civil and Criminal Penalties. The Recipient acknowledges that the
requirements of the Privacy Act, including the civil and criminal penalties for violations of the
. Privacy Act apply to those individuals administering a system of records for the Federal
Government under the Project, and that failure to comply with the Privacy Act may result in
tennination of the Grant Agreement or Cooperative Agreement.
Section 3.0. Substance Abuse.
a. Drug Abuse. The Recipient agrees as follows:
(1) The Recipient agrees to comply with U.S. DOT regulations, "Drug-Free Workplace
Requirements (Grants), II 49 C.F.R. Part 29, Subpart F.
(2) To the extent the Recipient, any third party contractor at any tier, any subrecipient at any
tier, or their employees, perform a safety sensitive function under the Project, the Recipient agrees
to comply with, and assures the compliance of each affected third party contractor at any tier,
each affected subrecipient at any tier, and their employees with 49 U.S.C. ~ 5331, and Ff A
regulations, "Prevention of Prohibited Drug Use in Transit Operations, II 49 C.F.R. Part 653.
Master Agreement Form FfA MA(2), October 1, 1995
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b. Alcohol Abuse. To the extent the Recipient, any third party contractor at any tier, any
sub recipient at any tier, or their employees, perform a safety sensitive function under the Project,
the Recipient agrees to comply with, and assures the compliance of each affected third party
contractor at any tier, each affected sqbrecipient at any tier, and their employees with 49 U.S.c.
~ 5331, and ITA regulations, "Prevention of Alcohol Misuse in Transit Operations," 49 C.F.R.
Part 654.
Section 31. State Safety Oversight of Rail Fixed Guideway Public Systems.
To the extent applicable, the Recipient agrees to comply with any regulations Of-!\1idance
pertaining to state safety oversight of rail fixed guideway systems that FTA or U.S. DOT may
issue to implement 49 U.S.c. ~ 5330.
Section 32. Special Requirements for Formula Assistance Proiects for Urbanized Areas.
a. Fares and Services. The Recipient agrees that it will use its established administrative process
to solicit and consider public comment before raising fares or implementing a major reduction of .
servIce.
b. Audit Requirements. The Recipient agrees that the Federal Government may, at least annually
and more frequently in its discretion, conduct or require the Recipient to have independently
conducted reviews and audits as the Federal Government deems appropriate, pursuant to the
provisions of 49 U.S.C. ~ 5307(i) and applicable regulations or guidelines that the Federal
Government may issue.
c. Half Fare Requirements. The Recipient agrees that the rates charged the elderly and persons
with disabilities during nonpeak hours for transportation using or involving Project facilities and
equipment will not exceed one-half of the rates generally applicable to other persons at peak
hours, whether the operation of such facilities and equipment is by the Recipient or is by another
entity under lease or otherwise. The Recipient agrees that it will give the rate required herein to
any individual presenting a Medicare card duly issued to that individual pursuant to title II or
title xvm of the Social Security Act, 42 U.S.C. ~~ 401 et ~., and ~~ 1395 et. ~.,
respectively.
d. Procurement of an Associated Capital Maintenance Product. The Recipient may, without
prior Federal approval, procure an associated capital maintenance product eligible under
49 U.S.C. ~ 532S(c) by contract directly with the original manufacturer or supplier of the item to
be replaced, provided that the Recipient: (1) first certifies in writing that such manufacturer or
supplier is the only source of that item and the price of that item is no higher than the price paid
for that item by like customers, and (2) complies with applicable Buy America statutory and
regulatory requirements.
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e. Transit Security. Each fiscal year, the Recipient agrees to spend at least one (1) percent of its
funds authorized by 4~ U.S.C. ~ 5307 for transit security projects, unless the Recipient has
certified to FT A that such expenditures are not necessary.
f Restrictions on Use of Formula Assistance for Operations. Financial assistance for operating
assistance authorized by 49 V.S.C. ~ 5307 may be applied to the Net Project Cost of the
Recipient's operating expenses incurred during the Project time period specified in the Approved
Project Budget, provided that the applicable operating assistance limitation is not exceeded.
g. Reporting Requirements. For each fiscal year, the Recipient agrees to conform, and
assures that any transit operator to which the Recipient provides funds derived fro&. Federal
assistance authorized for 49 U.S.c. ~ 5307 will conform, to the reporting system and the uniform
system of accounts and records required by 49 U.S.C. ~ 5335(a) for FTA's national transit
database and FT A regulations, "Uniform System of Accounts and Records and Reporting
System," 49 C.F.R. Part 630.
h. Annual Report on Advertising and Concession Revenues. The Recipient agrees to submit an
annual report to FT A on advertising and concession revenues and sales. The Recipient may
satisfy this requirement by submitting the necessary data in its quarterly financial reports.
i. Criminal Sanctions. Any certificate or submission in connection with an Urbanized Area
Formula Program authorized by 49 U.S.C. ~ 5307 is subject to 49 U.S.C. ~ 1001.
Section 33. Special Requirements for Formula Assistance Proiects for the Elderly and Persons
With Disabilities.
a. Eligible Subrecipients. If the Federal financial assistance awarded for the Grant Agreement or
Cooperative Agreement has been authorized for projects under 49 V.S.C. ~ 5310(a)(2), the
Recipient will provide assistance only to subrecipients that qualify as one of the following types of
entities: (1) a private nonprofit corporation or association meeting the special needs:!.ofthe elderly
and persons with disabilities for whom transit services are unavailable, insufficient, or
inappropriate; (2) a public body approved by the state to coordinate services for the elderly and
persons with disabilities; or (3) a public body that certifies to the Governor that no-nonprofit
corporations or associations are readily available in its area to provide service to meet the special
needs of the elderly and persons with disabilities.
b. State Procedures. In general, the Recipient agrees to administer the Project in accordance
with FT A Circular 9070.1 C, any revision thereto, and other FT A implementing guidance, and
applicable U.S. DOT regulations at 49 C.F.R. Parts 18 and 19. To the extent that U.S. DOT
regulations at 49 C.F.R.Pans 18 or 19 conflict with the provisions ofFfA Circular 9070.1C or
any revision thereto, U.S. DOT regulations will apply.
Master Agreement Form FTA MA(2), October I, 1995
Page 38
T
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c. Eligible Proiect Activities. Federal financial assistance awarded for the Project may be used
for eligible capital projects specified under 49 U.S.c. ~ 5310 and may include meal delivery
service to the extent permitted by 49 U.S.C. ~ 5310(h).
d. Transfer of Assets. In addition to the authority to transfer Project assets provided by
49 U.S.c. ~ 5334(g), the Recipient may transfer f~cilities and equipment acquired with financial
assistance authorized for 49 D.S.C. ~ 5311 to any recipient eligible to receive assistance under 49
V.S.c. chapter 53, provided that the subrecipient currently in possession of such facilities or
equipment consents to the transfer and the facilities or equipment will continue to be used in
accordance with the requirements of 49 U.S.c. ~ 5311.
, -"
Section 34. Special Requirements for Formula Assistance Proiects for Nonurbanized Areas.
a. State Procedures. In general, the Recipient agrees to administer the Project in accordance
with FT A Circular 9040.1 C, any revision thereto, and other FT A implementing guidance, and
applicable V.S. DOT regulations at 49 C.F.R Parts 18 and 19. However, to the extent that
V.S. DOT regulations at 49 C.F.R Parts 18 or 19 conflict with the terms ofFTA Circular
9040. Ie or any revision thereto, U.S. DOT regulations will apply.
b. Eligible Project Activities. Federal financial assistance provided under the Grant Agreement
or Cooperative A.greement may be used for transit projects in areas other than urbanized areas.
These projects must be eligible for Federal financial assistance authorized for
49 U.S.C. ~ 5311, and may include purchase of service agreements with private providers of mass
transit service and meal delivery service, to the extent permitted by 49 V.S.C. ~ 5311.
c. Transfer of Assets. In addition to the authority to transfer Project assets provided by
49 V.S.C. ~ 5334(g), the Recipient may also transfer facilities and equipment acquired with
financial assistance authorized for 49 U.S.C. ~ 5311 to any recipient eligible to receive assistance
under 49 U.S.C. chapter 53, provided that the subrecipient currently in possession of such
facilities or equipment consents to the transfer and the facilities or equipment will continue to be
used in accordance with the requirements of 49 U.S.C. ~ 5311.
d. Restrictions on Use ofFonnula Assistance for Operations. Formula assistance authorized for
49 V.S.C. ~ 5311 provided under the Grant Agreement or Cooperative Agreement for operating
assistance may be applied to the Net Project Cost of the subrecipient's operating expenses
incurred during the Project time period specified for the Project.
e. Intercity Transportation. Each fiscal year, the Recipient agrees to spend for intercity
transportation projects at least fifteen (15) percent ofits funds authorized for 49 U.S.c.
~ 5311, unless the state's chief executive officer has certified to FTA that the state's intercity bus
service needs are being adequately met.
Master Agreement Form Fr A MA(2), October 1, 1.995
Page 39
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Section 35. Special Requirements for Research. Development. Demonstration. and Special
Studies Proiects.
a. Proiect Report. The Recipient agn~es to prepare and make available a comprehensive report
on the results of the Project, the conclusions reached, and the methods used.
b. Proiect Identification. The Recipient agrees that each tangible product resulting from the
Grant Agreement or Cooperative Agreement shall be labeled with an appropriate sign or
designation stating that the Project has been financed with Federal assistance provided by the
U.S. Department of Transportation, Federal Transit Administration. Unless waived by FTA, this
requirement applies to all equipment, hardware, construction, reports, data, or arty"'similar items
produced under the Grant Agreement or Cooperative Agreement.
Section 36. Extension of Master Agreement Requirements to Other Parties.
a. Parties Affected. The Recipient agrees to take appropriate measures necessary to ensure that
each third party contractor at every tier and each subrecipient at every tier performing Project
work or activities will be responsible for compliance with those Federal requirements described in
Section 36 of this Master Agreement, as appropriate.
b. Third Party Contracts and Subagreements Affected. To the extent applicable, Federal
requirements extend to third party contractors and their contracts at every tier and subrecipients
and their subagreements at every tier. Accordingly, the Recipient agrees to include, and to
require its third party contractors and subrecipients to include, appropriate clauses in each third
party contract and each subagreement financed in whole or in part with financial assistance
provided by FT A under the Grant Agreement or Cooperative Agreement.
c. Categories of Federal Requirements. Listed below are sever!! major categories of third party
contracts and subagreements, followed by the more significant Federal requirements applicable to
that category. Note, however, that neither the list of categories nor the list ofFederiil
requirements is all-inclusive:
(1) All FTA Assisted Third Party Contracts and-Subagreements.
(a) Adequate Provisions. The third party contract or sub agreement must contain
adequate provisions to define a sound and complete agreement.
(b) No Federal Government Obligations to Third Parties. The disclaimer of Federal
Government obligations or liabilities in connection with the Project required by Subsection 2.g of
this Master Agreement must be included.
(c) Program Fraud. and False or Fraudulent Statements and Related Acts. The program
fraud requirements of Subsection 3.g of this Master Agreement must be included.
Master Agreement Form FrA MA(2), October 1, 1995
Page 40
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(d) Prohibitions Against Exclusionary or Discriminatory Specifications. The
prohibitions against the use of exclusionary or discriminatory specifications of Subsection 17.b of
this Master Agreement must be included.
(e) Interest of Members of or Delegates to the United States Congress. The
prohibitions against providing benefit derived fr<:>m the Project to any member of or delegate to
the United States Congress, as explained in Subsection 3.c of this Master Agreement apply and
are recommended for inclusion.
(f) Geographic Restrictions. The prohibitions against geographic restrictions of
Subsection 17.c of this Master Agreement apply and are recommended for inclu&l>n.
(g) Debarment and Suspension. The debarment and suspension requirements of
Subsection 3.b of this Master Agreement apply to all parties to the extent applicable.
(2) Awards Exceeding the Small Purchase Threshold (the Simplified Acquisition Threshold
Established by 41 U.S.c. & 4030 It currently. $100.000). .
(a) Report. Record. Retention and Access. The provision of reports and record
retention requirements of Subsections 8.a, 8.b, 8.c of this Master Agreement must be included.
(b) Termination. Adequate contract or agreement termination provisions, as required by
49 C.F.R ~ 18.36(i)(2) or 49 C.P.R ~ 19.48(b), must be included.
(c) Buy America. When tangible property or construction will be acquired, the Buy
America requirements of Subsection 17.i of this Master Agreement must be included.
(d) Provisions for Resolution of Disputes or Breaches. Provisions for resolution of
disputes and breaches of the third party contract or subagreement must be included.
(3) Awards Exceeding $100.000 (Amount Established by Specific Federal Statute).
(a) Lobbying. The lobbying requirements of Subsection 3.e of this Master Agreement
must be included. Among other things, each prospective third party contractor or subrecipient to
which the lobbying requirements of Subsection 3.e of this Master Agreement apply must provide
the requisite lobbying certification (and any disclosure statement necessary), as explained in
Subsection 3.e of this Master Agreement, before funds derived from Federal assistance may be
used to finance the third party contract or subagreement.
(b) Bonding. For construction activities, the bonding requirements of Subsection 17.0
of this Master Agreement apply. For nonconstruction activities, bonding requirements may be
imposed even though the Federal Government does not require bonding. In no case, however,
may bonding requirements result in the issuance of an exclusionary or discriminatory specification.
Master Agreement Form FfA MA(2), October I, -1995
Page 41
1
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...
(c) Clean Air. The Clean Air requirements of Subsection 23.b of this Master Agreement
must be included.
(d) Clean Water. The Clean.Water requirements of Subsection 23.c of this Master
Agreement must be included.
(4) Negotiated Acquisitions
(a) Access to Records. The access to records requirements of Subsection 8.c of this
Master Agreement must be included.
. .."
(5) Participation by a Specific Source or Delivery of a Specific Product. In addition to other
sources used and products delivered, the following are of special concern to FT A:
(a) Disadvantaged Business EntelJlrise. Requirements for the use ofDBEs must be
included in each contract awarded on the basis of a bid or proposal offering to use DBEs.
(b) Buy America. Requirements for delivery of a domestic product must be included in
each contract awarded on the basis of a bid or proposal offering to provide domestic products.
(c) Recycled Products. Requirements for recycled product use must be included each
contract awarded on the basis of a bid or proposal offering to provide or use recycled products.
(6) Acquisitions of Property Shipped by Ocean Vessel.
Cargo Preference. When acquiring property suitable for shipment by ocean vessel, the
cargo preference requirements of Subsection 17.j of this Master Agreement must be included in
. the solicitation.
(7) Construction Activities.
(a) Equal Employment Opportunity. Except in a third party contract to acquire
standard commercial supplies or raw materials, the requirements of Subsection 20.b of this Master
Agreement must be included.
(b) Construction Employee Protection Requirements. Except in a construction contract
of $2,000 or less, and except in a third party contract for supplies, materials or articles ordinarily
available on the open market, the statutory requirements of the Davis-Bacon Act, Contract Work
Standards and Safety Standards Act, and Copeland "Anti-Kickback" Act within Subsection 21.a
of this Master Agreement must be included.
(c) Seismic Safety. The seismic safety requirements of Subsection 17.q of this Master
Agreement must be included.
Master Agreement Fonn Fr A MA(2), October 1, 1995
Page 42
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(8) Nonconstruction Activities.
(a) Equal Employment Opportunity. Except in a third party contract to acquire
standard commercial supplies or raw m,aterials, the requirements of Subsection 20.b(l) of this
Master Agreement must be included.
(b) Nonconstruction Employee Protection Requirements. Except in a third party
nonconstruction contract ofS2,SOO or less, and except in a third party contract to acquire
supplies, materials or articles ordinarily available on the open market, the Contract Work Hour
and Safety Standards Act requirements of Subsection 21. b of this Master Agreement must be
included. '_l"
(9) Transit Operations.
(a) Transit Employee Protective Arrangements. The applicable transit employee
protective arrangements and requirements of Subsection 21.d of this Master Agreement must be
included.
(b) Charter Service Operations. The charter service operations requirements of
Section 26 of this Master Agreement must be included.
(c) School Bus Operations. The school bus operations requirements of Section 27 of
this Master Agreement must be included.
(10) Safety Sensitive Functions.
(a) Drug Abuse and Testing Requirements. The drug abuse and drug testing
requirements of Subsection 30.a(2) of this Master Agreement must be included.
(b) Alcohol Testing: Requirements. The alcohol abuse and alcohol testing requirements
of Subsection 30.b of this Master Agreement must be included.
(11) Planning.. Research. Development and Demonstration Proiects.
(a) Patent Rights. The patent rights requirements of Section 18 of this Master
Agreement must be included.
(b) Rights in Data and Copyrights. The rights in data and copyrights requirements of
Section 19 of this Master Agreement must be included.
(12) Turnkey and Other Acquisitions Made by a Third Party Contractor Assuming the Role
of the Recipient.
(a) Federal Requirements Imposed on Recipient. With few exceptions, when a third
party contractor assumes the role of the Recipient in acquiring real property, equipment, or
Master Agreement Form Fr A MA(2), October 1, 1995
Page 43
,
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supplies for ultimate use by the Recipient, the requirements, the third party contractor must
comply with the requirements imposed on the Recipient by this Master Agreement.
(b) Examples of Significant Applicable Requirements. The following requirements have
specific significance for turnkey contracts.
1- Award to Other Than the Lowest Bidder. A third party contract may be awarded
to other than the lowest bidder in accordance with the requirements of Subsection 17.e of this
Master Agreement.
2. Acquisition of Rolling Stock. In acquiring rolling stock, the requjs:ements of
Subsection 17.m of this Master Agreement must be included.
1. Acquisition of Management. Architectural. and Engineering Services. In
acquiring management, architectural, and engineering services, as covered by Subsection 17.n of
this Master Agreement, the requirements of Subsection 17.n must be included.
(c) Example ofan Inapplicable Requirement. The Drug-Free Workplace requirements
of Subsection 30.a(1) of this Master Agreement do not apply to third party contractors or
subrecipients.
(13) Miscellaneous Special Requirements.
(a) Environmental Mitigation. In accordance with Subsection 23.f of this Master
Agreement, FT A reserves the right to impose specific mitigation requirements for the Project.
(b) Energy Conservation Requirements. In accordance with Section 24 of this Master
Agreement, FT A reserves the right to impose energy conservation requirements for the Project.
( c) Liquidated Damages. Any liquidated damages requirements imposed must comply
with Subsection 17. P of this Master Agreement.
(d) Metric Requirements. In accordance with Section 28 of this Master Agreement,
FTA reserves the right to impose specific metric requirements for the Project.
( e) Privacy Act. To the extent a system of records will be maintained on behalf of the
Federal Government, the Privacy Act provisions of Section 29 of this Master Agreement apply.
(f) Notification of Other Federal Requirements. Although there are no mandatory
requirements to provide official notice in third party contracts and sub agreements, it would be
useful to notify third party contractors and subrecipients of pertinent Federal requirements, such
as those listed below, that may affect their third party contracts or subagreements:
1. Participation by Persons with Disabilities. To the extent any of the requirements
of Subsection 20.d may be applicable, they should be included.
Master Agreement Form FTA MA(2), October 1, 1-995
Page 44
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2. Environmental Protection Requirements. To the extent any of the requirements
of Section 23 of this Master Agreement may be applicable, they should be included.
Section 37. Amendments to the Proiect.
The Recipient agrees that a change in circumstances affecting the Project causing an inconsistency
with the terms of the Grant Agreement or Cooperative Agreement will require a formal
amendment to the Grant Agreement or Cooperative Agreement. The Recipient agrees that a
change in the fundamental information submitted in its Application will also require an
Amendment to its Application or the Grant Agreement or Cooperative Agreem~,., as
appropriate.
Section 38. Electronic Data: Interchange Technology.
As approved by FT A, the Recipient may use electronic data interchange technology to exchange
information with FT A. FT A reserves the right to determine whether the Recipient may use
electronic data interchange technology to execute legal documents pertaining to FT A projects.
Section 39. Severability.
If any provision of the Grant Agreement or Cooperative Agreement is held invalid, the remainder
of the Agreement shall not be affected thereby if such remainder would then continue to conform
to the requirements of applicable law. .
*****
Master Agreement Form FI'A MA(2), October 1, 1995 Page 45
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Contract # OR180012C40
ATTACHMENT F
Federal Fiscal Year 1996 Certifications and Assurances for
Federal Transit Administration Assistance Programs
Each Applicant is requested to provide as many of the following certifications and
assurances as possible to cover the various types of Federal assistance programs for
which the Applicant intends to seek Federal assistance from FTA in Federal Fiscal
Year 1996. A state making certifications and assurances on behalf of its prospective
subrecipients is expected to obtain sufficient documentation from those subrecipients
as necessary for the state to make informed certifications and assurances~ The
thirteen categories of certifications and assurances are listed by Roman numerals I
through XIII on the other side of the Signature Page document. Categories II through
XIII will apply to some, but not all applicants. The categories correspond to the
following descriptions of circumstances mandating submission of specific certifications,
assurances, or agreements:
I. Certifications and Assurances Required of Each Applicant
Each Applicant for Federal assistance awarded by FTA must make all certifications
and assurances in this Category I. Accordingly, FTA may not award any Federal
assistance until the Applicant provides assurance of compliance by selecting Category
I on the Signature Page at the end of this document.
A. Authority of Applicant and Its Representative
The authorized representative of the Applicant and legal counsel who sign these
certifications, assurances, and agreements attest that both the Applicant and its
authorized representative have adequate authority under state and local law and the
by-laws or internal rules of the Applicant organization to:
(1) Execute and file the application for Federal assistance on behalf of the Applicant,
(2) Execute and file the required certifications, assurances, and agreements on behalf
of the Applicant binding the Applicant, and
(3) Execute grant and cooperative agreements with FTA on behalf of the Applicant.
B. Standard Assurances
The Applicant assures that it will comply with all applicable Federal statutes,
regulations, executive orders, FTA circulars, and other Federal administrative
requirements in carrying out any grant or cooperative agreement awarded by FT A. The
Applicant acknowledges that it is under a continuing obligation to comply with the
1995-1996 Capital Assistance Grant Agreement
F-1
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Contract # OR180012C40
terms and conditions of the grant or cooperative agreement issued for its approved
project with FTA. The Applicant understands that Federal laws, regulations, policies,
and administrative practices might be modified from time to time and affect the
implementation of the project. The'Applicant agrees that the most recent Federal
requirements will apply to the project, unless FTA issues a written determination
otherwise.
C. Debarment. Suspension. and Other Responsibility Matters -- Primary Covered
Transactions
, :>
As required by U.S. DOT regulations on Governmentwide Debarment an"(j Suspension
(Nonprocurement) at 49 CFR 29.510:
(1) The Applicant (Primary Participant) certifies to the best of its knowledge and belief,
that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from covered transactions by any Federal department
or agency,
(b) Have not within a three-year period preceding this proposal 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;
(c) 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
listed in paragraph (2) of this certification, and
(d) Have not within a three-year period preceding this certification had one or more
public transactions (Federal, state, or local) terminated for cause or default.
(2) The Applicant also certifies that if, later, it becomes aware of any information
contradicting the statements of paragraphs (a) through (d) above, it will promptly
provide that information to FTA.
(3) If the Applicant (Primary Participant) is unable to certify to the statements within
paragraphs (1) and (2) above, it shall indicate so on its Signature Page and provide a
written explanation to FTA.
1995-1996 Capital Assistance Grant Agreement
F-2
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Contract # OR180012C40
D. Drug-Free Workplace Certification
As required by U.S. DOT regulations on Drug-Free Workplace Requirements (Grants)
at 49 CFR 29.630, the Applicant certifies that it will provide a drug-free workplace by:
(1) Publishing a statement notifying its employees that the unlawful manufacture,
distribution, dispensing, possession, or use of a controlled substance is prohibited in
the Applicant's workplace and specifying the actions that will be taken against its
employees for violation of that prohibition,
(2) Establishing an ongoing drug-free awareness program to inform its employees
about: (a) the dangers of drug abuse in the workplace, (b) the Applicant's policy of
maintaining a drug-free workplace; (c) any available drug counseling, rehabilitation,
and employee assistance programs; and (d) the penalties that may be imposed upon
its employees for drug abuse violations occurring in the workplace,
(3) Making it a requirement that each of its employees to be engaged in the
performance of the grant or cooperative agreement be given a copy of the statement
required by paragraph (1),
(4) Notifying each of its employees in the statement required by paragraph (1) that, as
a condition of employment financed with Federal assistance provided by the grant or
cooperative agreement, the employee will (a) abide by the terms of the statement, and
(b) notify the employer (Applicant) in writing of his or her conviction for a violation of a
criminal drug statute occurring in the workplace no later than 5 calendar days after that
conviction,
(5) Notifying FTA in writing, within 10 calendar days after receiving notice required by
paragraph (4)(b) above from an employee or otherwise receiving actual notice of that
conviction. The Applicant, which is the employer of any convicted employee must
provide notice, including position title, to every project officer or other designee on
whose project activity the Applicant's convicted employee was working. Notice shall
include the identification number(s) of each affected grant or cooperative agreement.
(6) Taking one of the following actions within 30 calendar days of receiving notice
under paragraph (4)(b) above with respect to any employee who is so convicted: (a) by
taking appropriate personnel action against that employee, up to and including
termination, consistent with the requirements of the Rehabilitation Act of 1973, as
amended, or (b) by requiring that employee to participate satisfactorily in a drug abuse
assistance or rehabilitation program approved for such purposes by a Federal, state,
or local health, law enforcement, or other appropriate agency,
(7) Making a good faith effort to continue to maintain a drug-free workplace through
implementation of paragraphs (1), (2), (3), (4), (5), and (6) above. The Applicant has or
1995-1996 Capital Assistance Grant Agreement
F-3
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Contract # OR180012C40
will provide to FTA a list identifying its headquarters location and each workplace it
maintains in which project activities supported by FTA are conducted.
E. Intergovernmental Review Assurance
The Applicant assures that each application for Federal assistance submitted to FT A
has been or will be submitted, as required by each state, for intergovernmental review
to the appropriate state and local agencies. Specifically, the Applicant assures that it
has fulfilled or will fulfill the obligations imposed on FTA by U.S. DOT regulations,
"Intergovernmental Review of Department of Transportation Programs and Activities,"
, ,.
49 CFR part 17. ..
F. Nondiscrimination Assurance
As required by 49 U.S.C. 5332, Title VI of the Civil Rights Act of 1964, as amended, 42
U.S.C. 2000d, and U.S. DOT regulations, "Nondiscrimination in Federally-Assisted
Programs of the Department of Transportation -- Effectuation of Title VI of the Civil
Rights Act, " 49 CFR part 21 at 21.7, the Applicant assures that it will comply with all
requirements of 49 CFR part 21, FTA Circular 4702.1, "Title VI Program Guidelines for
Federal Transit Administration Recipients", and other applicable directives, so that no
person in the United States, on the basis of race, color, national origin, creed, sex, or
age will be excluded from participation in, be denied the benefits of, or otherwise be
subjected to discrimination in any program or activity (particularly in the level and
quality of transportation services and transportation-related benefits) for which the
Applicant receives Federal assistance awarded by the U.S. DOT or FTA as follows:
(1) The Applicant assures that each project will be conducted, property acquisitions will
be undertaken, and project facilities will be operated in accordance with all applicable
requirements of 49 U.S.C. 5332 and 49 CFR part 21, and understands that this
assurance extends to its entire facility and to facilities operated in connection with the
project.
(2) The Applicant assures that it will take appropriate action to ensure that any
transferee receiving property financed with Federal assistance derived from FT A will
comply with the applicable requirements of 49 U.S.C. 5332 and 49 CFR part 21.
(3) The Applicant assures that it will promptly take the necessary actions to effectuate
this assurance, including notifying the public that complaints of discrimination in the
provision of transportation-related services or benefits may be filed with U.S. DOT or
FTA. Upon request by U.S. DOT or FTA, the Applicant assures that it will submit the
required information pertaining to its compliance with these requirements.
(4) The Applicant assures that it will make any changes in its 49 U.S.C. 5332 and Title
VI implementing procedures as U.S. DOT or FTA may request.
1995-1996 Capital Assistance Grant Agreement
F-4
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Contract # OR180012C40
(5) As required by 49 CFR 21.7(a)(2), the Applicant will include appropriate clauses in
each third party contract or subagreement to impose the requirements of 49 CFR part
21 and 49 U.S.C. 5332, and include appropriate provisions imposing those
requirements in deeds and instruments recording the transfer of real property,
structures, improvements.
G. Assurance of Nondiscrimination on the Basis of Disability
As required by U.S. DOT regulations, "Nondiscrimination on the Basis of Handicap in
Programs and Activities Receiving or Benefiting from Federal Financial Assistance," at
49 CFR 27.9, implementing the Rehabilitation Act of 1973, as amended, ~ahd the
Americans with Disabilities Act of 1990, the Applicant assures that, as a condition to
the approval or extension of any Federal assistance awarded by FTA to construct any
facility, obtain any rolling stock or other equipment, undertake studies, conduct
research, or to participate in or obtain any benefit from any program administered by
FTA, no otherwise qualified person with a disability shall be, solely by reason of that
disability, excluded from participation in, denied the benefits of, or otherwise subjected
to discrimination in any program or activity receiving or benefiting from Federal
assistance administered by the FTA or any entity within U.S. DOT. The Applicant
assures that project implementation and operations so assisted will comply with all
applicable requirements of U.S. DOT regulations implementing the Rehabilitation Act
of 1973, as amended, and the Americans with Disabilities Act of 1990, and any later
amendments thereto, at 49 CFR parts 27, 37, and 38, and any applicable regulations
and directives issued by other Federal departments or agencies.
H. Procurement Compliance
The Applicant certifies that its procurements and procurement system will comply with
all applicable requirements imposed by Federal laws, executive orders, or regulations
and the requirements of FT A Circular 4220.1 C, "Third Party Contracting
Requirements," and other implementing guidance or manuals FTA may issue. The
Applicant certifies that it will include in its contracts financed in whole or in part with
FTA assistance all clauses required by Federal laws, executive orders, or regulations,
and will ensure that each subrecipient and contractor will also include in its
subagreements and contracts financed in whole or in part with FT A assistance all
applicable clauses required by Federal laws, executive orders, or regulations.
II. Lobbying Certification Required for Each Application Exceeding $100,000
An Applicant that submits, or intends to submit this fiscal year, an application for
Federal assistance exceeding $100,000 must provide the following certification. FTA
may not provide Federal assistance for an application exceeding $100,000 until the
Applicant provides this certification by selecting Category II on the Signature Page.
1995-1996 Capital Assistance Grant Agreement
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A. As required by U.S. DOT regulations, "New Restrictions on Lobbying," at 49 CFR
20.110, the Applicant's authorized representative certifies to the best of his or her
knowledge and belief that for each application for a Federal assistance exceeding
$100,000: (1) No Federal appropriated funds have been paid or will be paid, by or on
behalf of the Applicant, 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 pertaining to the award of any
Federal assistance, or the extension, continuation, renewal, amendment, or
modification of any Federal grant or cooperative agreement, and (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 agend"y, a Member
of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with any application to FTA for Federal assistance, the
Applicant assures that it will complete and submit Standard Form-LLL, "Disclosure
Form to Report Lobbying," including the information required by the form's instructions.
B. The Applicant understands that this certification is a material representation of fact
upon which reliance is placed and that submission of this certification is a prerequisite
for providing Federal assistance for a transaction covered by 31 U.S.C. 1352. The
Applicant also understands that any person who fails to file a 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.
III. Public Hearing Certification Required for Each Project (Except Urbanized
Area Formula Projects) That Will Substantially Affect a Community or Its Transit
Service
An Applicant for Capital Program assistance or other Federal assistance (except
Urbanized Area Formula Program assistance), that will substantially affect a
community or its transit service must provide the following certification. FTA may not
award that Federal assistance until the Applicant provides this certification by selecting
Category III on the Signature Page. As required by 49 U.S.C. 5323(b), the Applicant
certifies that it has, or before submitting its application, will have:
A. Provided an adequate opportunity for a public hearing with adequate prior notice of
the proposed project published in a newspaper of general circulation in the geographic
area to be served;
B. Held that hearing and provided FTA a transcript or detailed report summarizing the
issues and responses, unless no one with a significant economic, social, or
environmental interest requests a hearing,
C. Considered the economic, social, and environmental effects of the project, and
1995-1996 Capital Assistance Grant Agreement
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Contract # OR 180012C40
D. Determined the project to be consistent with official plans for developing the urban
area.
IV. Certification of Pre-Award and Post-Delivery Rolling Stock Reviews Required
for Each Applicant Seeking to Purchase Rolling Stock Financed With Federal
Assistance Awarded by FTA
An Applicant seeking FTA assistance to purchase rolling stock must make the
following certification. FTA may not provide assistance for any rolling stock acquisition
until the Applicant provides this certification by selecting Category IV on the Signature
Page. '_:>'
As required by 49 U.S.C. 5323(1), and implementing FTA regulations at 49 CFR 663.7,
the Applicant certifies that it will comply with the requirements of 49 CFR part 663, in
the course of purchasing revenue service rolling stock. Among other things, the
Applicant will conduct or cause to be conducted the prescribed pre-award and post-
delivery reviews, and will maintain on file the certifications required by 49 CFR part
663, subparts B, C, and D.
V. Bus Testing Certification Required for New Buses
An Applicant seeking FTA assistance to acquire new buses must make the following
certification. FTA may not provide assistance for the acquisition of new buses until the
Applicant provides this certification by selecting Category V on the Signature Page.
As required by FTA regulations, "Bus Testing," at 49 CFR 665.7, the Applicant certifies
that before expending any Federal assistance to acquire the first bus of any new bus
model or any bus model with a new major change in configuration or components or
authorizing final acceptance of that bus (as described in 49 CFR part 665):
A. The model of the bus will have been tested at a bus testing facility approved by
FT A, and
B. It will have received a copy of the test report prepared on the bus model.
VI. Charter Bus Agreement
An Applicant seeking FTA assistance to acquire buses must enter into the following
charter bus agreement. FTA may not provide assistance for bus projects until the
Applicant enters into this agreement by selecting Category VI on the Signature Page.
A. As required by 49 U.S.C 5323(d) and FTA regulations, "Charter Service," at 49 CFR
604.7, the Applicant agrees that it and its recipients will: (1) provide charter service that
uses equipment or facilities acquired with Federal assistance authorized for 49 U.S.C.
1995-1996 Capital Assistance Grant Agreement
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5307, 5309, or 5311 or Title 23 U.S.C., only to the extent that there are no private
charter service operators willing and able to provide the charter service that it or its
recipients desire to provide, unless one or more of the exceptions in 49 CFR 604.9
applies, and (2) comply with the pr.ovisions of 49 CFR part 604 before they provide any
charter service using equipment or facilities acquired with Federal assistance
authorized for the above statutes.
B. The Applicant understands that the requirements of 49 CFR part 604 will apply to
any charter service provided, the definitions in 49 CFR part 604 apply to this
agreement, and violation of this agreement may require corrective measures and the
imposition of penalties, including debarment from the receipt of further Federal
assistance for transportation.
VII. School Bus Agreement
An Applicant seeking FT A assistance to acquire transportation facilities and equipment
must agree as follows. FTA may not provide assistance for transportation facilities until
the Applicant enters into this Agreement by selecting Category VII on the Signature
Page.
A. As required by 49 U.S.C. 5323(f) and FTA regulations, "School Bus Operations," at
49 CFR 605.14, the Applicant agrees that it and all its recipients will: (1) engage in
school bus operations in competition with private school bus operators only to the
extent permitted by an exception provided by 49 U.S.C. 5323(f), and implementing
regulations, and (2) comply with the requirements of 49 CFR part 605 before providing
any school bus service using equipment or facilities acquired with Federal assistance
authorized by 49 U.S.C. chapter 53 or Title 23 U.S.C. awarded by FTA for
transportation projects.
B. The Applicant understands that the requirements of 49 CFR part 605 will apply to
any school bus service it provides, the definitions of 49 CFR part 605 apply to this
school bus agreement, and a violation of this agreement may require corrective
measures and the imposition of penalties, including debarment from the receipt of
further Federal assistance for transportation.
VIII. Certification Required for the Direct Award of FTA Assistance to an
Applicant for Its Demand Responsive Service
An Applicant seeking Federal assistance directly to support its demand responsive
service must provide the following certification. FTA may not award Federal assistance
directly to an Applicant to support its demand responsive service until the Applicant
provides this certification by selecting Category VIII on the Signature Page.
1995-1996 Capital Assistance Grant Agreement
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As required by U.S. DOT regulations, "Transportation Services for Individuals with
Disabilities (ADA)," at 49 CFR 37.77, the Applicant certifies that its demand responsive
service offered to persons with disabilities, including persons who use wheelchairs, is
equivalent to the level and quality of service offered to persons without disabilities.
When viewed in its entirety, its service for persons with disabilities is provided in the
most integrated setting feasible and is equivalent with respect to: (1) response time, (2)
fares, (3) geographic service area, (4) hours and days of service, (5) restrictions on trip
purpose, (6) availability of information and reservation capability, and (7) constraints on
capacity or service availability.
IX. Substance Abuse Certifications Required by January 1,1996 '_:0-
An Applicant required by Federal regulations to provide the following substance abuse
certifications, must do so by January 1, 1996. FTA may not provide Federal assistance
until an Applicant required to provide the following certifications by January 1, 1996
has selected Category IX on the Signature Page.
A. Alcohol Testing Certification
As required by FTA regulations, "Prevention of Alcohol Misuse in Transit Operations,"
at 49 CFR 654.83, the Applicant certifies that it has or will have, before January I,
1996, established and implemented an alcohol misuse prevention program complying
with the requirements of 49 CFR part 654, and if the Applicant has employees
regulated by the Federal Railroad Administration (FRA), the Applicant also certifies
that it has for those employees an alcohol misuse prevention program complying with
the requirements of FRA's regulations, "Control of Alcohol and Drug Use," 49 CFR part
219.
B. Anti-Drug Program Certification
As required by FTA regulations, "Prevention of Prohibited Drug Use in Transit
Operations," at 49 CFR 653.83, the Applicant certifies that it has or will have, before
January 1, 1996, established and implemented an anti-drug program and has
conducted employee training complying with the requirements of 49 CFR part 653, and
if the Applicant has employees regulated by FRAt the Applicant also certifies that it has
for those employees an anti-drug program complying with the requirements of FRAts
regulations, "Control of Alcohol and Drug Use," 49 CFR part 219.
X. Assurances Required for Projects Involving Real Property
The Applicant must provide the following assurances in connection with each
application for Federal assistance to acquire (purchase or lease) real property. FTA
may not award Federal assistance for a project involving real property until the
1995-1996 Capital Assistance Grant Agreement
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Applicant provides these assurances shown by selecting Category X on the Signature
Page.
A. Relocation and Real Property Acquisition Assurance
As required by U.S. DOT regulations, "Uniform Relocation Assistance and Real
Property Acquisition for Federal and Federally Assisted Programs," at 49 CFR 24.4,
and sections 210 and 305 of the Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970, as amended (Uniform Relocation Act), 42 U.S.C 4630
and 4655, the Applicant assures that it has the requisite authority under applicable
state and local law and will comply with the requirements of the Uniform 'R'elocation
Act, 42 U.S.C. 4601 et seq., and U.S. DOT regulations, "Uniform Relocation
Assistance and Real Property Acquisition for Federal and Federally Assisted
Programs," 49 CFR part 24 including, but not limited to the following:
(1) The Applicant will adequately inform each affected person of the benefits, policies,
and procedures provided for in 49 CFR part 24,
(2) The Applicant will provide fair and reasonable relocation payments and assistance
required by 42 U.S.C. 4622, 4623, and 4624; 49 CFR part 24, and any applicable FTA
procedures, to or for families, individuals, partnerships, corporations or associations
displaced as a result of any project financed with FTA assistance;
(3) The Applicant will provide relocation assistance programs offering the services
described in 42 U.S.C. 4925 to such displaced families, individuals, partnerships,
corporations or associations in the manner provided in 49 CFR part 24 and FT A
procedures,
(4) Within a reasonable time before displacement, the Applicant will make available
comparable replacement dwellings to displaced families and individuals as required by
42 U.S.C. 4625(c)(3),
(5) The Applicant will carry out the relocation process in such a manner as to provide
displaced persons with uniform and consistent services, and will make available
replacement housing in the same range of choices with respect to such housing to all
displaced persons regardless of race, color, religion, or national origin, and
(6) In acquiring real property, the Applicant will be guided to the greatest extent
practicable under state law, by the real property acquisition policies of 42 U.S.C. 4651
and 4652,
(7) The Applicant will payor reimburse property owners for necessary expenses as
specified in 42 U.S.C. 4653 and 4654, understanding that FTA will participate in the
1995-1996 Capital Assistance Grant Agreement
F-10
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Contract # OR 180012C40
Applicant's costs of providing those payments and that assistance for the project as
required by 42 U.S.C. 4631,
(8) The Applicant will execute such,amendments to third party contracts and
subagreements financed with FTA assistance and execute, furnish, and be bound by
such additional documents as FTA may det~rmine necessary to effectuate or
implement the assurances provided herein, and
(9) The Applicant agrees to make this document part of and incorporate it by reference
in any third party contract or subagreement, or any supplements and amendments
thereto, relating to any project financed by FTA involving relocation or land acquisition
and provide in any affected document that these relocation and land acquisition
provisions shall supersede any conflicting provisions. .
B. Flood Insurance Coverage
As required by section 102(a) of the Flood Disaster Protection Act of 1973, 42 U.S.C.
4012a(a), the Applicant assures that in the course of implementing each project
financed with Federal assistance, the Applicant will obtain appropriate insurance for
any real estate acquired or construction undertaken thereon within any special flood
hazard area as identified by the Federal Insurance Administrator. The Applicant
understands that such insurance is available in the participating area through the U.S.
Federal Emergency Management Agency's National Flood Insurance Program.
C. Seismic Assurance
As required by U.S. DOT regulations, "Seismic Safety," 49 CFR 41 117(d), the
Applicant assures that before it accepts delivery of any building financed with Federal
assistance provided by FT A, the Applicant will obtain a certificate of compliance with
the seismic design and construction requirements of 49 CFR part 41.
XI. Certifications Required for the Urbanized Area Formula Program
Each Applicant to FTA for Urbanized Area Formula Program assistance authorized for
49 U.S.C. 5307 must provide the following certifications in connection with its
application. FT A may not award Urbanized Area Formula Program assistance to the
Applicant until the Applicant provides these certifications and assurances shown by
selecting Category XI on the Signature Page.
A. Certifications Required by Statute
As required by 49 U.S.C. 5307(d)(1 )(A) through (J), the Applicant certifies that:
1995-1996 Capital Assistance Grant Agreement
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(1) It has or will have the legal, financial, and technical capacity to carry out the
proposed program of projects;
(2) It has or will have satisfactory continuing control over the use of the equipment and
facilities;
(3) It will adequately maintain the equipment and facilities;
(4) It will ensure that the elderly and handicapped persons, or any person presenting a
Medicare card issued to himself or herself under title II or title XVIII of the Social
Security Act (42 U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.), will be dnirged during
non-peak hours for transportation using or involving a facility or equipment of a project
financed with Federal assistance authorized for 49 U.S.C. 5307 not more than 50
percent of the peak hour fare;
(5) In carrying out a procurement financed with Federal assistance authorized for the
Urbanized Area Formula Program at 49 U.S.C. 5307, it will use competitive
procurement (as defined or approved by the Secretary), it will not use a procurement
using exclusionary or discriminatory specifications, and it will comply with applicable
Buy America laws in carrying out a procurement;
(6) It has complied or will comply with the requirements of 49 U.S.C. 5307(c),
specifically, it has or before submitting its application it will (a) make available to the
public information on amounts available for the Urbanized Area Formula Program at 49
U.S.C. 5307 and the program of projects it proposes to undertake with those funds, (b)
develop, in consultation with interested parties, including private transportation
providers, a proposed program of projects for activities to be financed, (c) publish a
proposed program of projects in a way that affected citizens, private transportation
providers, and local elected officials have the opportunity to examine the proposed
program and submit comments on the proposed program and the performance of the
Applicant, (d) provide an opportunity for a public hearing to obtain the views of citizens
on the proposed program of projects, and (e) ensure that the proposed program of
projects provides for the coordination of transportation services assisted under 49
U.S.C. 5336 with transportation services assisted by another Federal Government
source, (f) consider comments and views received, especially those of private
transportation providers, in preparing the final program of projects, and (g) make the
final program of projects available to the public;
(7) It has or will have available and will provide the amount of funds required by 49
U.S.C. 5307(e) and applicable FTA policy (specifying Federal and local shares of
project costs);
(8) It will comply with: (a) 49 U.S.C. 5301 (a) (requirements to develop transportation
systems that maximize mobility and minimize fuel consumption and air pollution); (b)
1995-1996 Capital Assistance Grant Agreement
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Contract # OR180012C40
49 U.S.C. 5301 (d) (requirements for transportation of the elderly and persons with
disabilities); (c) 49 U.S.C. 5303 through 5306 (planning requirements); and (d) 49
U.S.C. 5310(a) through (d) (programs for the elderly and persons with disabilities);
(9) It has a locally developed process to solicit and consider public comment before
raising fares or implementing a major reduction of transportation; and
(10) As required by 49 U.S.C. 5307(d)(1 )(J), it will expend at least one percent of the
amount of Federal assistance it receives for this fiscal year apportioned by 49 U.S.C.
5336 for transit security projects, including increased lighting in or adjacent to a transit
system (including bus stops, subway stations, parking lots, and garages):ihcreased
camera surveillance of an area in or adjacent to that system, providing an emergency
telephone line to contact law enforcement or security personnel in an area in or
adjacent to that system, and any other project intended to increase the security and
safety of an existing or planned transit system; unless it has decided that it is not
necessary to expend one percent of that Federal assistance this fiscal year for transit
security projects.
B. Certification Required for Capital Leasing
As required by FTA regulations, "Capital Leases," 49 CFR at 639.15(b)(1) and 639.21,
to the extent that the Applicant uses Federal assistance authorized for 49 U.S.C. 5307
to acquire any capital asset by lease, the Applicant certifies that:
(1) It will not use Federal assistance authorized for 49 U.S.C. 5307 to finance the cost
of leasing any capital asset until it undertakes calculations demonstrating that it is
more cost-effective to lease the capital asset than to purchase or construct similar
assets;
(2) It will complete these calculations before entering into the lease or before receiving
a capital grant for the asset, whichever is later; and
(3) It will not enter into a capital lease for which FTA can only provide incremental
funding unless it has the financial capacity to meet its future obligations under the
lease in the event Federal assistance is not available for capital projects in subsequent
years.
C. Certification Required for Sole Source Purchase of Associated Capital Maintenance
Item
As required by 49 U.S.C. 5325(c), to the extent that the Applicant procures an
associated capital maintenance item under the authority of 49 U.S.C. 5307(b)(1), the
Applicant certifies that it will use competition to procure an associated capital
maintenance item unless the manufacturer or supplier of that item is the only source
1995-1996 Capital Assistance Grant Agreement
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Contract # OR180012C40
for the item and the price of the item is no more than the price similar customers pay
for the item, and maintain sufficient records pertaining to each such procurement on
file easily retrievable for FTA inspection.
XII. Certifications and Assurances for the Elderly and Persons With Disabilities
Program
An Applicant that intends to administer, on behalf of the state, the Elderly and Persons
with Disabilities Program must provide the following certifications. FTA may not award
assistance for this program until the Applicant provides these certifications and
assurances by selecting Category XII on the Signature Page. '.,:0-
Based on its own knowledge and, as necessary, on information submitted by the
subrecipient, the Applicant administering on behalf of the state the Elderly and
Persons with Disabilities Program authorized by 49 U.S.C. 5310 certifies and assures
that the following requirements and conditions will be fulfilled:
A. The state organization serving as the Applicant and each subrecipient has or will
have the necessary legal, financial, and managerial capability to apply for, receive, and
disburse Federal assistance authorized for 49 U.S.C. 5310, and to implement and
manage the project.
B. The state assures that each subrecipient either is recognized under state law as a
private nonprofit organization with the legal capability to contract with the state to carry
out the proposed project, or is a public body that has met the statutory requirements to
receive Federal assistance authorized for 49 U.S.C. 5310.
C. The subrecipient's application for 49 U.S.C. 5310 assistance contains information
from which the state concludes that the transit service provided or offered to be
provided by existing public or private transit operators is unavailable, insufficient, or
inappropriate to meet the special needs of the elderly and persons with disabilities.
D. The state assures that sufficient non-Federal funds have been or will be committed
to provide the required local share.
E. The subrecipient has, or will have by the time of delivery, sufficient funds to operate
and maintain the vehicles and equipment purchased with Federal assistance awarded
for this project.
F. The state assures that its Elderly and Persons with Disabilities Formula Program is
included in the Statewide Transportation Improvement Program as required by 23
U.S.C. 135, and all projects in urbanized areas recommended for approval are
included in the annual element of the metropolitan Transportation Improvement
Program in which the subrecipient is located.
1995-1996 Capital Assistance Grant Agreement
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Contract # OR 180012C40
G. The subrecipient has, to the maximum extent feasible, coordinated with other
transportation providers and users, including social service agencies authorized to
purchase transit service.
H. The subrecipient is in compliance with all applicable civil rights requirements, and
has signed the Nondiscrimination Assurance. (Category I, G. "Certifications and
Assurances Required of Each Applicant.")
I. The subrecipient will comply with applicable requirements of U.S. DOT regulations
on participation of disadvantaged business enterprises in U.S. DOT programs.
, ~"
J. The state will comply with all existing Federal requirements regarding transportation
of the elderly and persons with disabilities. The subrecipient has provided to the state
an Assurance of Nondiscrimination on the Basis of Disability as set forth in the
Certifications and Assurances required of each Applicant for FTA assistance.
(Category I, F "Certifications and Assurances Required of Each Applicant.") If non-
accessible vehicles are being purchased for use by a public entity in demand
responsive service for the general public, the state will obtain from the subrecipient a
"Certification of Equivalent Service," which states that the public entity's demand
responsive service offered to persons with disabilities, including persons who use
wheelchairs, is equivalent to the level and quality of service the public entity offers to
persons without disabilities. (See Category VIII "Certifications Required for the Direct
Award of FTA Assistance to an Applicant for its Demand Responsive Service.") This
certification of Equivalent Service" must also state that the public entity's demand
responsive service, when viewed in its entirety, is provided in the most integrated
setting feasible and has equivalent: (1) response time, (2) fares, (3) geographic service
area, (4) hours and days of service, (5) restrictions or restraints on trip purpose, (6)
availability of information and reservation capability, and (7) constraints on capacity or
service availability.
K. The subrecipient has certified to the state that it will comply with applicable
provisions of 49 CFR part 605 pertaining to school bus operations. (See Category VII,
"School Bus Agreement.")
L. Unless otherwise noted, each of the subrecipient's projects qualifies for a
categorical exclusion and does not require further environmental approvals, as
described in the joint FHWA/FTA regulations, "Environmental Impact and Related
Procedures," at 23 CFR 771.117(c). The state certifies that financial assistance will not
be provided for any project that does not qualify for a categorical exclusion described
in 23 CFR 771.117(c) until FTA has made the required environmental finding. The
state further certifies that no financial assistance will be provided for a project requiring
a conformity finding in accordance with the Environmental Protection Agency's Clean
Air Conformity regulations at 40 CFR parts 51 and 93, until FTA makes the required
conformity finding.
1995-1996 Capital Assistance Grant Agreement
F-15
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Contract # OR 1800 12C40
M. The subrecipient has submitted (or will submit) all certifications and assurances
currently required, including, but not limited to: a nonprocurement suspension and
debarment certification; a bus testing certification for new models; a pre-award and
post-delivery review certification; and a lobbying certification for each application
exceeding $100,000.
N. The state will enter into a written agreement with each subrecipient stating the
terms and conditions of assistance by which the project will be undertaken and
completed.
. ..
O. The state recognizes FTA's authority to conduct audits to verify compHance with the
foregoing requirements and stipulations.
XIII. Certifications and Assurances for the Nonurbanized Area Formula Program
An Applicant that intends to administer, on behalf of the state, the Nonurbanized Area
Formula Program must submit the following certifications and assurances. FTA may
not award Nonurbanized Area Formula Program assistance to the Applicant until the
Applicant provides these certifications and assurances shown by selecting Category
XIII on the Signature Page.
Based on its own knowledge and, as necessary, on information submitted by the
subrecipient, the Applicant administering on behalf of the state the Nonurbanized Area
Formula Program authorized by 49 U.S.C. 5311 certifies and assures that the following
requirements and conditions will be fulfilled:
A. The state organization serving as the Applicant and each subrecipient has or will
have the necessary legal, financial, and managerial capability to apply for, receive and
disburse Federal assistance authorized for 49 U.S.C. 5311, and to implement and
manage the project.
B. The state assures that sufficient non-Federal funds have been or will be committed
to provide the required local share.
C. The subrecipient has, or will have by the time of delivery, sufficient funds to operate
and maintain the vehicles and equipment purchased with Federal assistance
authorized for this project.
D. The state assures that its Nonurbanized Area Formula Program is included in the
Statewide Transportation Improvement Program as required by 23 U.S.C. 135, and to
the extent applicable projects are included in a metropolitan Transportation
Improvement Program.
1995-1996 Capital Assistance Grant Agreement
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Contract # OR180012C40
E. The state has provided for a fair and equitable distribution of Federal assistance
authorized for 49 U.S.C. 5311 within the state, including Indian reservations within the
state.
F. The subrecipient has, to the maximum extent feasible, coordinated with other
transportation providers and users, including.social service agencies authorized to
purchase transit service.
G. The subrecipient is in compliance with all applicable civil rights requirements, and
has signed the Nondiscrimination Assurance. (See Category I, G, "Certifications and
Assurances Required of Each Applicant.") ,~~
H. The subrecipient will comply with applicable requirements of U.S. DOT regulations
on participation of disadvantaged business enterprise in U.S. DOT programs.
I. The state will comply with all existing Federal requirements regarding transportation
of elderly persons and persons with disabilities. The subrecipient has provided to the
state an Assurance of Nondiscrimination on the Basis of Disability, as set forth in the
Certifications and Assurances required of each Applicant for FTA assistance in
Category I of this document. If non-accessible vehicles are being purchased for use by
a public entity in demand responsive service for the general public, the state will obtain
from the subrecipient a "Certification of Equivalent Service," which states that the
public entity's demand responsive service offered to persons with disabilities, including
persons who use wheelchairs, is equivalent to the level and quality of service the
public entity offers to persons without disabilities. (See Category I, F, "Certifications
and Assurances Required of Each Applicant.") This "Certification of Equivalent
Service" must also state that the public entity's demand responsive service, when
viewed in its entirety, is provided in the most integrated setting feasible and has
equivalent: (1) response time, (2) fares, (3) geographic service area, (4) hours and
days of service, (5) restrictions and restraints on trip purpose, (6) availability of
information and reservation capability, and (7) constraints on capacity or service
availability. (See Category VIII, "Certifications Required for the Direct Award of FTA
Assistance to an Applicant for its Demand Responsive Service.")
J. The subrecipient has complied with the transit employee protective provisions of 49
U.S.C. 5333(b), by one of the following actions: (1) signing the Special Warranty for
the Nonurbanized Area Formula Program, (2) agreeing to alternative comparable
arrangements approved by the Department of Labor (DOL), or (3) obtaining a waiver
from DOL, and the state has certified the subrecipient's compliance to DOL.
K. The subrecipient has certified to the state that it will comply with 49 CFR part 604 in
the provision of any charter service provided with equipment or facilities acquired with
FTA assistance, and will also comply with applicable provisions of 49 CFR part 605
1995-1996 Capital Assistance Grant Agreement
F-17
~
",_ _"..,,,___,.._ "_.._'._~._..~.__ " .' ".."_.. _.,._.~.._~."..~......~,__"-.___.....,..___._..M..""~._._..~......_ ._____. .~...h.~_._'.._." '.''''''''~
Contract # OR 1800 12C40
pertaining to school bus operations. (See Category VI, "Charter Bus Agreement," and
Category VII, "School Bus Agreement. ")
L. Unless otherwise noted, each of'the sub recipient's projects qualifies for a
categorical exclusion and does not require further environmental approvals, as
described in the joint FHWAlFTA regulations, "Environmental Impact and Related
Procedures," at 23 CFR 771.117(c). The state certifies that financial assistance will not
be provided for any project that does not qualify for a categorical exclusion described
in 23 CFR 771.117(c) until FTA has made the required environmental finding. The
state further certifies that no financial assistance will be provided for a pr.o~ect requiring
a conformity finding in accordance with the Environmental Protection Agency's Clean
Air Conformity regulations at 40 CFR parts 51 and 93, until FTA makes the required
conformity finding.
M. The subrecipient has submitted (or will submit) all certifications and assurances
currently required, including but not limited to: a nonprocurement suspension and
debarment certification; a bus testing certification for new bus models; a pre-award and
post-delivery review certification; a lobbying certification for each application exceeding
$100,000; and if required by FTA, an anti-drug program certification and an alcohol
testing certification.
N. The state will enter into a written agreement with each subrecipient stating the
terms and conditions of assistance by which the project will be undertaken and
completed.
O. The state recognizes FTA's authority to conduct audits to verify compliance with the
foregoing requirements and stipulations.
P. As required by 49 U.S.C. 5311 (t), it will expend not less than fifteen percent of the
Federal assistance authorized for 49 U.S.C. 5311 (t) it receives during this fiscal year to
carry out a program to develop and support intercity bus transportation, unless the
chief executive officer of the state or his or her duly authorized designee certifies that
the intercity bus service needs of the state are being adequately met.
1995-1996 Capital Assistance Grant Agreement
F-18
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. .
~ .. . .....
Contract # OR180012C40
ATTACHMENT G
Signature Page - FTA Certifications and Assurances for Federal Fiscal Year 1996
Name of Applicant: City of Woodburn
The Applicant agrees to comply with applicable requirements of Categories I - XIII. x
(The Applicant may make this selection in lieu of individual selections below.)
OR
'.."
The Applicant agrees to comply with the applicable requirements of the following
categories it has selected:
I. Certifications and Assurances Required of Each Applicant.
(Previous Category II, Procurement, is now Category 1, paragraph H.)
II. Lobbying Certification.
III. Public Hearing Certification for Major Projects with Substantial Impacts.
IV. Certification for the Purchase of Rolling Stock.
V. Bus Testing Certification.
VI. Charter Bus Agreement.
VII. School Bus Agreement.
VIII. Certification for Demand Responsive Service.
IX. Substance Abuse Certifications Required by January 1, 1996.
X. Assurances Projects Involving Real Property.
XI. Certifications for the Urbanized Area Formula Program.
XII. Certifications for the Elderly and Persons with Disabilities Program.
XIII. Certifications for the Nonurbanized Area Formula Program.
(Both sides of this Signature Page must be appropriately completed and signed
where indicated.)
1995-1996 Capital Assistance Grant Agreement
G-1
"It'
~ .
Contract # OR180012C40
Name of Applicant:
City of Woodburn
Name and Relationship of Authorized Representative: Nancy Kirksey, Mayor
BY SIGNING BELOW I, Nancy Kirksey (name), declare that I
the Applicant has duly authorized me to make these certifications and assurances on the Applicant's
behalf and bind the Applicant's compliance. Thus, the.Applicant agrees to comply with all Federal
statutes, regulations, executive orders, and administrative guidance required for each application it
makes to the Federal Transit Administration (FTA) in Federal Fiscal Year 1996.
FTA intends that the certifications and assurances the Applicant selects on the other side of this form, as
representative of the certifications and assurances in Appendix A, should apply, as required, to each
project for which the Applicant seeks now, or may later, seek FTA assistance during Fedetal Fiscal Year
1996.
The Applicant affirms the truthfulness and accuracy of the certifications and assurances it has made in
the statements submitted herein with this document and any other submission made to FTA, and
acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986,31 U.S.C. 3801 et
seq., as implemented by U.S. DOT regulations, "Program Fraud Civil Remedies," 49 CFR part 31 apply
to any certification, assurance or submission made to FTA. The criminal fraud provisions of 18 U.S.C.
1001 apply to any certification, assurance, or submission made in connection with the Urbanized Area
Formula Program, 49 U.S.C. 5307, and may apply to any other certification, assurance, or submission
made in connection with any other program administered by FTA.
In signing this document, I declare under penalties of perjury that the foregoing certifications and
assurances, and any other statements made by me on behalf of the Applicant are true and correct.
:Y"1
AFFIRMATION OF APPLICANT'S ATTORNEY
./'.
Date: d.-// 3/~ fa
, I
ant
for City of Woodburn
(Name of Applicant)
As the undersigned legal counsel for the above named Applicant I hereby affirm that the Applicant has
authority under state and local law to make and comply with the certifications and assurances as
indicated on the foregoing pages. I further affirm that, in my opinion, the certifications and assurances
have been legally made and constitute legal and binding obligations on the Applicant.
I further affirm that, to the best of my knowledge, there is no legislation or litigation pending or threatened
that might adversely affect the validity of these certifications and assurances, or of the performance of the
project. Furthermore, if I become aware of circumstances that change the accuracy of the foregoing
statements, I will notify the Applicant and FTA.
Date:
b.
Applicant's Attorney
Date:
c.
The Applicant's legal counsel is required to affirm the legal capacity of the Applicant, except that an Applicant seeking only an
FTA university and research training grant authorized by 49 U.S.C. 5312(b) need not submit an Attorney's Affirmation. The
Attorney's Affirmation used for a previous FTA project generally may be used in Fiscal Year 1996. provided the Applicant's
circumstances have not changed in a way that makes the certifications invalid and the Attorney's Affirmation remains on file in the
Applicant's offices readily available to FTA. In that case. line "b" should remain blank and the same Authorized Representative
signs "a." and "c." See Procedures in introduction section. Note: FTA, however, reserves the right to require an Attorney's
signature on line "b."
1995-1996 Capital Assistance Grant Agreement
G-2
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Due to its length the" 1995/96 Community Transportation Grant Capital Assistance
Agreement" has not been included in the agenda package.
Copies will be available for inspection at the Council meeting if desired.
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