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Res 1341 - Small City Grnt Agmt COUNCIL BILL NO. 1693 RESOLUTION NO. 1341 A RESOLUTION ENTERING INTO AN AGREEMENT WITH THE STATE OF OREGON, DEPARTMENT OF TRANSPORTATION KNOWN AS THE "SMALL CITY AND RURAL AREA OPERATING GRANT AGREEMENT" FOR FISCAL YEAR 1995-96 AND AUTHORIZING THE MAYOR AND THE CITY RECORDER TO SIGN SUCH AGREEMENT, WHEREAS, the State of Oregon acting through the Oregon Transportation Commission is authorized to enter into agreements and disburse funds for the purpose of supporting public transportation pursuant to ORS 184.670 to 184,733, and WHEREAS, the City of Woodburn has applied for operating assistance funds for Fiscal Year 1995-96 under Title 49, United States Code, Section 5311 of the Federal Transit Laws, and WHEREAS, the State of Oregon, Department of Transportation, has been designated to evaluate and select recipients of assistance and to coordinate grant application, and WHEREAS, the State of Oregon Department of Transportation, has approved the city application for $16,700 from such funds, NOW THEREFORE; THE CITY OF WOODBURN RESOLVES AS FOLLOWS: Section 1, That the City of Woodburn enter into an agreement with the State of Oregon acting by and through its Department of Transportation to secure Federal funds through Title 49, United States Code, Section 5311 of the Federal Transit Laws, for operating assistance during fiscal year 1995-96, Said agreement is attached hereto and by this reference incorporated herein. Section 2, That the Mayor and City Recorder of the City of Woodburn be authorized to sign said agreement on behalf of the City, Approved as to formY1,~ ~ City Attorney ~qJ-/1~ Date Page 1 - COUNCIL BILL NO, 1693 RESOLUTION NO, 1341 --...,..- -. ......------ ,. Passed by the Council Submitted to the Mayor February 26, 1996 February 27, 1996 Approved by the Mayor February 27, 1996 Filed in the Office of the Recorder February 27, 1996 ATTEST: m;~ Mar~nant, Recorder City of Woodburn, Oregon Page 2 - COUNCIL BILL NO. 1693 RESOLUTION NO, 1341 _.,,~..,...........-_. ---~-------.,.~. 1 . 1995-1996 SMALL CIlY AND RURAL AREA OPERAnNG GRANT AGREEMENT PARTIES 1. The State of Oregon by and through its Department of Transportation CST ATE). 2. City of Woodburn (RECIPIENT), RECITALS '-~ 1, The State of Oregon acting through the Oregon Transportation Commission is authorized to enter into agreements and disburse funds for the purpose of supporting public transportation pursuant to ORS 184.670 to 184,733. 2, The Governor of the State of Oregon in accordance with a request by the Federal Transit Administration ("FT A") has designated STATE to evaluate and select projects and to coordinate the grant application, 3, 49 U,S,C. 5311 of the Federal Transit Laws. as codified. provides for operating assistance funding in nonurbanized areas. Information concerning the federal financial assistance used to finance this grant. if any. is attad1ed in Part N of this agreement 4. REelPIENT has submitted an application which describes the area to be served, the type of transportation service. and the need for funding. AGREEMENTS 1. STATE and REelPIENT agree to be bound by the tenns and conditions of the General Provisions. Parts I. II. III, and N which are attad1ed and are by reference incorporated herein. except for: Exhibit A. Part II. Section 4.a,. Pre-Grant-Award Audit. 2, STATE and RECIPIENT agree to be bound by the tenns of the following special provisions: No special provisions A-1 .... TO". .. " 3. STATE and RECIPIENT agree to be bound by Appendices A, B, C, D, E, F, and 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 Transportation Development Branch of the Oregon Department of Transportation and those officials authorized to sign on behalf of RECIPIENT. This Agreement is approved by the Manager of the Transportation Development Branch under authority granted by the Oregon Transportation Commission. Said authority is set forth in Oregon Transportation Commission Delegation Order ,N"o. 2, which was adopted by the Oregon Transportation Commission on April 12, 1995 and which became effective on May 1, 1995. Signed this 5 day of February ,1996. STATE OF OREGON BY AND THROUGH ITS DEPARTMENT OF TRANSPORTATION /~q- Development Branch City of Woodburn CVlCYV&- ~ RECIPIENT'S Legal Counsel Nancy Kirksey n'\~ 1~,4 Title~i ty Recorder Mary Tennant A-2 .... T'. ... General Provisions Part I STATE's ObIlaations Section 1, Eliaible Proiect. Costs ina.rred to implement the project desaibed in Part N. Project Desaiption. shall be eligible for reimbursement under this Agreement Section 2. Centrad limit, a. STATE shall reimburse RECIPIENT for costs associated with project implementation, Such reimbursement shall not exceed $ .16,700 ., b. Project funds beyond those required to match this grant shall be '_l" considered to be I'lOf'li)8rticipating funds for the purpose of federal-aid matching requirements. Section 3, Reimbursement. Reimbursement to RECIPIENT shall be made on the basis of a report which shall be compiled and submitted to STATE in the format detailed in Appendix F which is by this reference incorporated herein. Said reimbursement shall be subject to the satisfactay completion of an audit of this grant. Section 4, Wrthholdina of Pavment. 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 5, Reallocation of Funds, STATE reserves the right to reallocate any portion of the amount specified in Part I. Section 2,8,. which. based upon STATE's estimates. will not be used by June 30. 1996, A-3 ... r" General Provisions Part II REeIPIENT's Obligations Section 1. Scope of Proiect. RECIPfENT shall develop and operate transportation services which substantially confonn to the description contained in Part N, Project Description. RECIPIENT shall notify STATE in'writing of changes in its service. Section 2. Use of Proiect .Funds. RECIPIENT shall request, receive. and disburse funds authorized under this Agreement for the operation of its transportation service. Section 3. Submission of Reports. RECIPIENT shall submit to STATE quarterly reports as referred to in Appendix F. STATE reserves the right to request such additional infonnation as may be necessary to comply with federal or state reporting requirements. '..~ Section 4. Audit Requirements. a. Pre-Grant-Award. RECIPIENT shall pennit STATE to conduct at STATE's own expense a prei)rant-award audit of REeIPIENT's financial and management systems, Such pre-grant-award audit will ensure that RECIPIENT's financial management procedures comply with the state and federal requirements applic- able to this Agreement. Funds available under this Agreement cannot be requested by REelPIENT until such time as the prei)rant-award audit has been completed. b. Aw1i1.. RECIPIENT shall, at RECIPIENT's own expense, submit to the audit agency assigned by the State of Oregon, Executive Department, Accounting Djyision an annual audit covering the monies expended under this Agreement and shall submit or cause to be submitted, the annual audit of any subcontractor of RECIPIENT responsible for the financial management of funds received 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, Section 5. Access to Records. RECIPIENT shall pennit 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 REelPIENT, or any subcontractor acting on RECIPIENT's behalf. RECIPIENT shall penn it the above named persons to audit the books, records, and accounts of RECIPIENT relating to the project. Further, REelPIENT 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. A-4 ... T" ......--..~--"'..--~...... '. Section 6~ Subcontracts. RECIPIENT shall submit proposed third party agreements relating to provision or operation of transit service to STATE for review. STATE shall concur, or otherwise respond to RECIPIENT, in writing within thirty (30) working days. Third party agreements should contain clauses relevant to the provisions contained in Section 9 (Compliance with Laws, Regulations, and Ordinances) and Appendix D. Section 7. Hold Harmless. RECIPIENT shall defend, save and hold harmless the State of Oregon, including the Oregon Transportation Commission, the Department of Transportation, and their members, officers, agents, and employees from all claims, suits, or actions of whatsoever nature resulting from or arising out of the activities of RECIPIENT or its subcontractors, agents or employees under this contract, including claims made under Section 13(c) of the Federal Transit Act, as amended. REtlPIENT shall not be required to indemnify the State for any such liability arising out of the negligent acts or omissions of the State of Oregon, its employees, or representatives. This provision is subject to the limitations, if applicable, set forth in Article XI, Section 10 of the Oregon Constitution and in the Oregon Tort Claims Act, ORS 30.260 to 30.300. Section 8. Purchases. RECIPIENT shall make purchases of any equipment, materials, or services pursuant to this Agreement under procedures consistent with those outlined in Office of Management and Budget and Department of Transportation (DOT) regulations "Uniform Requirements for Grants and Cooperative Agreements with State and Local Government" (49 CFR Part 18) and the DOT regulations (DOT Circular 4600.1 B) issued pursuant to it; FTA Circular 4220.1 C, "Third Party Contracting Guidelines;" Oregon Department of General Services Administrative Rules (Oregon Administrative Rules, Chapter 125); and, Oregon State Law. Section 9. Compliance with Laws. Regulations. Ordinances. a. RECIPIENT shall comply with Part II, Terms and Conditions, Federal Transit Agreement, which is attached to this Agreement as Appendix G. The amount of federal participation is shown in Appendix E of this Agreement. b. 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. c. Public Contracting Requirements, The REelPIENT specifically agrees that the provisions of ORS 279.312, 279,314, 279,316, 279,320 and 279.555 shall governing the performance of this Agreement and any subcontracts entered into under this Agreement. CT1896d44.doc A-5 .... T" d. labor Protection. The RECIPIENT will comply with the regulations issued by the U.S, Department of Transportation and Department of labor pursuant to Section 13(c) ofthe Urban Mass Transportation Act of 1964, as amended. The REelPIENT will comply with tlie Special 13(c) Warranty, Appendix C of this Agreement which is by this reference incorporated into the Agreement. The RECIPIENT will ensure that the employment of RECIPIENrs employees, or of employees of other transportation providers in its area,. is not made worse as a result of aid received under this Agreement. '.. :> 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. For Convenience: The STATE may terminate the Project 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 to continue this project becomes unavailable to RECIPIENT; or, (3) Both parties agree that continuation of the Project would not produce results commensurate with the further expenditure of funds. b. With Cause: The STATE may, by written notice to REelPIENT, terminate the Project and cancel this Agreement for any of the following reasons: (1) REelPIENT 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, (2) The commencement, prosecution, or timely completion of the Project by RECIPIENT is, for any reason, rendered improbable, impossible, or illegal; or, (3) Federal or State laws, rules, regulations or guidelines are modified, changed, or interpreted in such a way that the financial assistance A-6 ~ r " provided for in this Agreement is no longer allowable or is no longer eligible for funding proposed by this Agreement; or, (4) RECIPIENT IS in default under any provision of this Agreement. Section 3. RECIPIENT's Authorization. This Agreement shall be executed by those officials authorized to execute this Agreement on the REeIPIENT'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. ,_" Section 4. Regulations. This Agreement is based upon and is subject to the regulations issued by FT A pursuant to 49CFR 5311 of the Federal Transit Law. FT A may, from time to time, amend these regulations, particularly as they affect reporting requirements and the matching ratios for operating and administrative expense. STATE reserves the right to amend this Agreement if it is affected. STATE will provide thirty (30) 'days written notice of impending changes and will prepare a supplemental agreement incorporating the changes to be executed by the parties to this Agreement. A-7 .....0 T-- ,. ... Part IV Project Description City of Woodburn (RECIPIENT) Op~rating Assistance 1. Project Purpose: This is a federal-aid grant to sustain the transportation services provided by RECIPIENT during the period July 1 t 1995, to June 3D, 1996. 2. Performance Objectives: , .." The Ridership and Service performance objectives listed below are repeated from the RECIPIENT's application. They are advisory and will not be used as a basis of payment for this 1995 grant. Ridership Goal: 41,000 Service Hours: 5,986 Rides/Hour: 6.9 Service Mileage: 87,500 Rides/Mile: 0.47 3. Eligible Cost: Both management expense and the project's operating deficit (operating expense net of fare revenue) incurred by RECIPIENT during the period July 1, 1995, to June 30, 1996, to implement its project are eligible for reimbursement under this grant. 4. State Contribution: The STATE will reimburse.80 percent of RECIPIENT's management expenses up to the limit of the grant as set out in EXHIBIT A, General Provision, Part I, Section 2. The STATE will reimburse 50 percent of the net operating deficit of RECIPIENT's project up to the limit of the grant as set out in EXHIBIT A, General Provision, Part I, Section 2. B-1 ... r SPECIAL SECTION 13(c) WARRANTY FOR APpueA TlON TO THE SMALL URBAN AND RURAL PROGRAM The following language shall be made part of the contract of assistance with the State or other public body charged with allocation and administration of funds provided under Section 18 of the Act: A. General Application The Oregon Department of Transportation ("PUBLIC BODY") agreeS1f1at, in the absence of waiver by the Depar:tment of Labor, the terms and conditions of this warranty, as set forth below, shall apply for the protection of the transportation related employees of any employer providing transportation services assisted by the Project ("RECIPIENr), and the transportation related employees of any other surface public transportation providers in the transportation service area of the project. The PUBLIC BODY shall provide to the Department of Labor and maintain at all times during the Project an accurate, up-to-date listing of all existing transportation providers which are eligible REelPIENTs of transportation assistance funded by the Project in the transportation service area of the Project, and any labor organizations representing the employees of such providers, Certification by the PUBLle BODY to the Department of Labor that the designated REelPIENTs have indicated in writing acceptance of the terms and conditions of the warranty arrangement will be sufficient to permit the flow of Section 18 funding in the absence of a finding of non-compliance by the Department of Labor, B, Standard Terms and Conditions (1) The Project shall be carried out in such a manner and upon such terms and conditions as will not adversely affect employees of the RECIPIENT and of any other surface public transportation provider in the transportation service area of the Project. It shall be an obligation of the RECIPIENT and any other legally responsible party designated by the PUBLIC BODY to assure that any and all transportation services assisted by the Project are contracted for and operated in such manner that they do not impair the rights and interests of affected employees. The term "Project," as used herein, shall not be limited to the particular facility, service, or operation assisted by Federal funds, but shall include any changes, whether organizational, operational, technological, or otherwise, which are a result of the assistance provided, The phrase "as a result of the Project" shall when used in this arrangement, include events related to the Project occurring in anticipation of, during, and subsequent to the Project and any program C-1 ~ "f' . (2) (a) (2) (b) (2) (c) ... Appendix e of efficiencies or economies related thereto; provided, however, that volume rises and falls of business, or changes in volume and character of employment brought about by causes other than the Project (including any economies or efficiencies unrelated to the Project) are net within the purview of this arrangement. An employee covered by this arrangement, who is not dismissed, displaced or otherWise worsened in this position with regard to his employment as a result of . the Project, but who is dismissed, displaced otherwise worsened solely because of the total or partial termination of the Project, discontinuance of Project services, .or exhaustion of Project funding shall not be deemed eligible for a dism}~al or displacement allowance within the meaning of paragraphs (6) and (7)- of the Model agreement or applicable provisions of substitute comparable arrangements. Where employees of a REelPIENT are represented for collective bargaining purposes, all Project services provided by that RECIPIENT shall be provided under and in accordance with any collective bargaining agreement applicable to such employees which is then in effect, The RECIPIENT or legally responsible party shall provide to all affected employees sixty (60) days' notice of intended actions which may result in displacement or dismissals or rearrangements of the working forces, In the case of employees represented by a union, such notice shall be provided by certified mail through their representatives. The notice shall contain a full and adequate statement of the proposed changes, and an estimate of the number of employees affected by the intended changes, and number and classifications of any jobs in the RECIPIENTs employment available to be filled by such affected employees, The procedures of this subparagraph shall apply to cases where notices involve employees represented by a union for collective bargaining purposes, At the requeSt of either the RECIPIENT or the representatives of such employees negotiations for the purposes of reaching agreement with respect to the application of the terms and conditions of this arrangement shall commence immediately, If no agreement is reached within twenty (20) days from the commencement of negotiations, any party to the dispute may submit the matter to dispute settlement procedures in accordance withhparagraph (4) of this warranty, The foregoing procedures shall be complied with and carried out prior to the institution of the intended action, C-2 .,..- .. Appendix C (3) For the purpose of providing the statutorily required protections including those specifically mandated by Section 13(c) of the Act1, the PUBLIC BODY will assure, as a condition of the release of funds, that the RECIPIENT agrees to be bound by the terms and conditions of the-National (Model) Section 13(c) Agreement executed July 23, 1975, identified belovl, provided that other comparable arrange'Tlents may be substituted therefor, if approved by the Secretary of Labor and certified for inclusion in these conditions, (4) Any dispute or controversy arising regarding the application, interpretation, or enforce'Tlent of any of thE! provisions of this arrangement which cannol be settled by and between the parties to any final and binding disputes settlement procedure acceptable to the parties, or in the event they cannot agree upon such procedure, to the Department of Labor or an impartial third party designated by the Department of Labor for final and binding detennination, The compensation and expenses of the impartial third party, and any other jointly incurred expenses, shall be borne equally by the parties to the proceeding and all other expenses shall be paid by the party incurring them. In the event of any dispute as to whether or not a particular employee was affected by the Project, it shall be his obligation to identify the Project and specify the pertinert facts of the Project relied upon. It shall then be the burden of either the RECIPIENT of these conditions to prove that factors other than the Project affected the employees. The claiming employee shall prevail if it is established that the Project had an effect upon the employee even if other factors may also have affected the employee. (5) The RECIPIENT or other legally responsible party designated by the PUBLIC BODY \\;11 be financially responsible for the application of these conditions and will make the necessary arrangements so that any empl~yee covered by these arrangements, or the union representative of such employee, may file claim of violation of these ar'!'8ngements with the RECIPIENT within sixty (60) days of the 2 Such protective arrangements shall indu,de, without being limited to, such provisions as may be necessaf) br (1) the preservation of rights, privileges, and benefits (including continuation of pension rights and benefits) under existing collective bargaining agreements or otherwise; (2) the continuatil:n of collective bargaining rights; (3) the protection of individual employees against a wocseninp of their positions with respect to their employment; (4) assurances of employment to et'TlpIoyees of acquired mass transportation systems and priority of reemployment of employees 1iemWlatec or laid off; and (5) paid training and retraining programs. Such arrangements shall ndude previsions protecting individual employees against a worsening of their positions with respect 1:) their elT1Jk>yment which shall in no event provide benefits less than those established pursuant to Section 5(2)(f) of the Act of February 4, 1887 (24 Stat 379), as amended. For purposes of this warranty arrangement, paragraphs (1); (2); (5); (15); (22); (23); (24); (26); (27); ;28); and (29) of the Model Section 13(c) Agreement, executed July 23,1975 are to be omitted. C-3 ~ .,.' .....-.~,~c~......... Appendix C date he is tenninated or laid off as a result of the Project. or within eighteen (18) months of the date his position with respect to his employment is otherwise worsened as a result of the Project. In the latter case. if the events giving rise to the claim have occurred over an extended period. the 18-month limitation shall be measured from the last such event. No benefits shall be payable for any period . prior to six. (6) months from the date of the filing of any claim, . (6) Nothing in this arrangement shall be construed as depriving any employee of any rights or benefits which such employee may have under existing em~lpyment or . collective bargaining agreements, nor shall this arrangement be deemed a waiver of any rights of any union or of any represented employee derived from any other agreement or provision of federal. state or local law. (7) In the event any employee covered by these arrangements is terminated or laid off as a result of the Project. he shall be granted priority of employment or reemployment to fill any vacant position within the control of the RECIPIENT for which he is, or by training or retraining within a reasonable period. can become qualified. In the event training or retraining is required by such employment or reemployment, the RECIPIENT or other legally responsible party designated by the PUBLIC BODY shall provide or provide for. such training. or retraining at no cost to the employee, (8) The RECIPIENT will post. in a prominent and accessible place. a notice stating that the RECIPIENT has received federal assistance under the Federal Transit Act and has agreed to comply with the provisions of Section 13(c) of the Act. This notice shall also specify the terms and conditions set forth herein for the protection of employees. The RECIPIENT shall maintain and keep on file all relevant books and records in sufficient detail as to provide the basic information necessary to the proper application. administration. and enforcement of these arrangements and to the proper determination of any claims arising thereunder. (9) Any labor organization which is the collective bargaining representative of employees covered by these arrangements, may become a party to these arrangements by serving written notice of its desire to do so upon the RECIPIENT and the Department of Labor, In the event of any disagreement that such labor organization represents covered employees. or is otherwise eligible to become a party to these arrangements, as applied to the Project. the dispute as to whether such organization shall participate shall be determined by the Secretary of Labor. (10) In the event the Project is approved for assistance under the Act. the foregoing terms and conditions shall be made part of the contract of assistance between the C-4 "P 'T' . ... Appendix C federal government and the PUBUe BODY or RECIPIENT of federal funds; provided, however, that this arrangement shall not merge into the contract of assistance, but shall be independently binding and enforceable by and upon the parties thereto, and by any covered employee or his representative, in accordance with its terms, nor shall any other employee protective agreement merge into this arrangement, but each shall be independently binding and enforceable by and upon the parties thereto, in accordance with its terms, C. Warver , ~l" As a part of the grant approval process, either the RECIPIENT or other legally responsible party designated by the PUBUe BODY may in writing seek from the Secretary of Labor a waiver of the statutorily required protections. The Secretary will waive these protections in cases, where at the time of the requested waiver, the Secretary determines that there are no employees of the RECIPIENT or any other surface public transportation providers in the transportation service area who could be potentially affected by the project. A 3O-day notice of proposed waiver will be given by the Department of Labor and in the absence of timely objection, the waiver will become final at the end of the 3O-day notice period. In the event of timety objection, the Department of Labor will review the matter and determine whether a waiver shall be granted. In the absence of waiver, these protections shall apply to the Project. C-5 .. T'" Appendix 0 Provisions To Be Included In REelPIENrs Subcontracts 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 tenns. These provisions should provide for such sanctions and penalties as may be appropriate. - . This provision applies ~o all contracts for more than $25,000. 2. Tennination for cause and for convenience by the RECIPIENT inclucfihg the manner by which it will be effected and the basis for settlement. This provision applies to all contracts for more than $10,000. 3. 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 atter RECIPIENTs make final payments 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, 7. Public Contracting Generally. Public contracts are governed by the provisions of ORS ehapter 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, ORS 279.316 concerning hours of labor. ORS 279,320 concerning payments for medical care and providing workers' compensation. 0-1 ... '!If" _r .. ",,,_~,,.~_"~~"'H_'''_~'_''~'''~~'~_'_"'_'''''''''''''''''' ... Appendix E Federal Financial Assistance The information belaw will assist auditors prepare a report in compliance with Office of Budget and Management Circular A-128 requirements. Financing for this grant is divided between state and federal funds as follows: State Funds FT A Section 18 Total $ 0 J 16.700 $ 16,700 ;;. .." Federal oroaram title Non-Urban Area Formula Grant Program 49 CFR Section 5311 Federal Cataloaue Number: 20.509 Federal Grant Number: OR-18-X012 Federal fundina aaencv U,S. Department of Transportation Federal Transit Administration Region X Suite 3142 Federal Building 915 Second Avenue Seattle, Washington 98174 E -1 ... T" -, .h,~.. ..- ........,. ''''. ".. '" '.~''''''_ _. _ . .......' .'O"'~"'; Appendix F - Reporting Forms Small City and Rural Area Operating Assistance Program MONTHLY REIMBURSEMENT REQUEST Grantee: For: OPERATING EXPENSE Reported Adjustments Current Project To Date (if any) Month Total Drivers' Salaries Fuel & Oil , " Insurance Leases Operating Contracts Other Operations Expense Mechanics' Salaries Parts & Supplies Tires Maintenance Contracts Other Maintenance Expense TOTAL OPERATING EXPENSE (month or period) REVENUE Collected To Date Adjustments (If any) Current Month Project Total Farebox Tickets & Passes Advertising Miscellaneous a: b: c: TOTAL OPERATING REVENUE OPERATING DEFICIT Grant Reimbursement (deficit x a.50) F -1 ... "t"'- ., ... , Small City and Rural Area Operating Assistance Program MONTHLY REIMBURSEMENT REQUEST ADMINISTRATIVE EXPENSE Reported To Date Adjustments (if any) Current Month Project Total Supervisors' Salaries Office Expense Contracted Services Marketing Interest Expense Other Administrative Expense TOTAL ADMINISTRATIVE EXPENSE , ~ Grant Reimbursement (total admin. expense x 0.80) MATeHING FUNDS Provided Adjustments Current Project To Date (if any) Month Total Green Thumb Older Americans Act Community Service Block Grant Other: - FederaUState Revenue Sharing Local Tax Levy Special Transportation Fund Interest Eamings Other: Volunteer Services Donated Supplies Foundation Grants TOTAl MATCHING FUNDS OPERATING ASSISTANCE GRANT F-2 ... T~ ... Small City and Rural Area Operating Assistance Program MONTHLY REIMBURSEMENT REQUEST OPERATING STATISTICS Reported This Month's Project To Date Statistics Total Days of Operation HQurs of Operation Bus Mileage '_r Passenger Trips Prepared by: Date: Comments: F-3 .,. T" ..... T UNITED STATES OF AMERICA DEPARTMENT OF TRANSPORTATION FEDERAL TRANSIT ADMINISTRATION '-~ MASTER AGREEMENT For Transit Projects financed under Federal transit legislation codified at 49 U.S.C. ~~ 5301 a~.; under Title 23, U.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 .. 'T' ."k"__'_>..._~~.~",~,~oo-""'_"_'_~_""""'--"""-~'____~"~___'.~_"''''''''''''''_''..0__'''''''."..-'<.............".- ....-~ "'* Section I. Section 2. Section 3. Section 4. Section 5. Section 6. Section 7. Section 8. Section 9. ~ TABLE OF CONTENTS Definitions.... .................. .... ........ ......... ..... ............ ...... ..... ...... ........ ... .............. I Project Implementation...:......... ......... .... ........ ............... .... ............ .................. 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 ofPerfonnance (Including Litigation)......................... 5 g. No Federal Government Obligation to Third Parties...................j.~:-............ 6 h. Infrastructure Investment..... ............ ..... ............... ....... ... ............. ............... 6 Ethics........ ................................ .............. ....... ...;....... .......... ....... .................... 6 a. Code of Ethics........ .... ........... ....... .... ............. ............... ......... .................... 6 b. Deb8.I1I1ent and Suspension........... ... ............................................ ......... ..... 7 c. Interest of Members of or Delegates to Congress ...................................... 7 d. Bonus or Conunission... ....... ........... ....................... .... ..... .... ..... ............. ...... 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 FTA 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.. .................. ... ..... ..................... ............................ ..... .......I 0 b. Funds Received or Made Available for the Project...................................... 10 c. Documentation of Project Costs and Program Income................................ II 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 Payxnents..... ............. ............ .............. ....... '" .......... ....... ... .......... ... ... .............. 11 a. Recipient's Request for Payment................................................................. II b. Payment by F'T A.... .................. ........ .......................... ........ .............. .......... 12 c. Costs Reimbursed....... ................ .............. ........ ..... ....... ............................. 14 d. Bond Interest and Other Financing Costs................................................... 15 1 T~ , --- Section 9 Section 1 (0 Section 11 Section 1: Section 1::. Section 1 ~. Section 15. Section 16 Section 1 'j 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 Govenunent to Tenninate................................................ 17 Project Completion, Non-Federal Audits, Settlement, and Closeout................. 17 a. Project Completion.. ........................... ..................... ..... ............................ ..17 b. Non-Federal Audits.............................,.................. ....................... ... .......... 17 c. Remittance of Excess Payntents.................................. ...................... .... ...... 18 d. Project Closeout............................... ....................... .......................,............ 18 Real Property, Equipment, and SuppIles............................................:..............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 Dcunaged 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 of Federal 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 1. Bus Seat Specifications... ...... ...... ........... ......... ........... ........ ......... ............ ....23 m. Acquisition of Rolling Stock.... ................. ....... .......... ..... ..... ...................... 23 :1. Acquisition of Management, Architectural, and Engineering Services........ 23 11 ... ..,..,. TABLE OF CONTENTS (CONTINUED) Section 17. o. Bonding.......................................... ............... .... ........ ..... ......... ............... ... 24 p. Liquidated Damages....:........... ........................... ........................................24 q. Seismic Safety............ .................................. ......... ..................................... 24 r. Notification of Federal Participation.................. ............ ........... ......... ..... .... 24 s. Third Party Contract Disputes or Breaches................................................. 25 Section 18. Patent Rights. ...... ................ ....... ......... ........... ........................................ ... ..... 2S a. General.................. .... .............. ............ ............ ............. ............................ 25 b. Federal Rights............ ............. ......... ..... ......... ....... ......... ........................... 25 Section 19. Rights in Data and Copyrights.............................................................~........... 26 a. Definition................................ .......... ......................................................... 26 b . Federal Restrictions.................................. ...... ............................................ 26 c. Fed.eral Rights in Data and Copyrights......................................._............... 26 d. Special Federal Rights for Planning, Research, and Development Projects.. 26 e. Hold HarnUess.~.. ................ ... ...... ... ........... .... ..... .... ................ ........ ........... .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. Iiistoric PreseIVation.. ..,......,..,...... ............,......, ...... ....... ....,.. ...............,..... 34 f Mitigation of Adverse Environmental Effects.............................................. 3 5 Section 24. Energy Conservation.................... ............. ........... ......... ............... ........ .......... 35 Section 25. State Management and Monitoring Systems.................................................... 35 Section 26. Charter Service Operations.............................................................................35 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 .... T~ .......--- TABLE OF CONTENTS (CONTINUED) Section 30. Substance Abuse........... ................................................. ...... ......... ................. 36 a. Drug Abuse........... .... .......... ......... ................. .... .................... .................... 36 b. Alcohol Abuse........ .... ..:.............. .... .... ............. .............. .................... ........37 Section 31. State Safety Oversight of Rail Fixea Guideway Public Systems........................37 Section 32. Special Requirements for Formula ASsistance Projects for Urbanized Areas.. 37 a. Fares and Services ................... ...... ............... ........... ....... ................ ...... .... 37 b. Audit Requirements ..................... ... .................... ... ................................... 37 c. FIalf-Fare Requirements...................... ............ ....... .... ............. ........ .......... 37 d. Procurement of an Associated Capital Maintenance Product.........,.1t........... 37 e. Transit Security.... ...... ............. .......... ......... ...... ........... ....... ..................... 38 f Restrictions on Use of Formula Assistance for Operations ......................... 38 g. Reporting Requirements ...........,................................................,...............38 h. Annual RepOrt 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. Elig:l'ble 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. Eliglole Project Activities ... ...................... .............................. ...... ...... ....... 39 c. Transfer of Assets ...... ......... ............. ........ ......... ................ ....... ...... ........... 39 d. Restrictions on Use of Formula 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 Sub agreements Affected.................................... 40 c. Categories of Federal Requirements................................. .......................... 40 Section 37. AInendments to the Project.............................................................................45 Section 38. Electronic Data Interchange Technology ........................................................45 Section 39. Severability...................................... ...... ... ............ .......... ...... ..... ............ ......... 45 IV .. 'T' .. 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 Federa!:transit 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 FTA. (pub. L. No. 103-272, July 5, 1994, codified the Federal Transit Act, as amended, as chapter 53 of tide 49 of the United States Code, thus requiring new citations for Federal 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 detennine which requirements of this Master Agreement apply. Any violation ofa 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 or electronically) by an authorized official of the Federal Government granting pennission to the Recipient to perform or omit an action required pursuant to the Grant Agreement or Cooperative Agreement, which action may not be performed or omitted without such pennission. Unless clearly stated otherwise, an approval, authorization, concurrence, or waiver pennitting the performance or omission of a specific action does not constitute permission to perform or omit other similar actions. Oral pennission or interpretations have no legal force or effect. Master Agreement FOnD Fr A MA(2), October 1, .1995 Page 1 .... T ... "r" " c. Approved Proiect Budget means the most recent statement, approved by the FT A, of the costs of the Project, the maximum amount of Federal 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 FTA 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 FT A 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. ,_1' e. Federal 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. EIA is the acronym for the Federal Transit Administration, one of the operating administrations of the U.S. Department of Transportation (U.S. DOn. FTA 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 FT A directives, certain U.S. DOT directives also apply to the Project. j. Grant Agreement means the instrument by which FT A 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 FI' A 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 .... "-, 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 formula 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 th~ Grant Agreement or Cooperative Agreement. m. Recipient means any entity that receives Federal assistance directly from FT A to accomplish the Project. The tenn "Recipient" includes eachFT A "Grantee" as well as each FT A Recipient of a Cooperative Agreement. Except as FT A permits otherwise, the Recipient is the entire legal entity even though only a single organization within that entity is designated as tltentecipient in the Grant Agreement or Cooperative Agreement. n. Secretary means the U.S. DOT Secretary, including his or her duly authorized designee. o. Sub agreement means an agreement by which a Recipient awards financial assistance derived from FTA to the sub recipient as defined in section I.p of this Master Agreenient. 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 FfA Recipient, rather than FfA directly. The term "subrecipient" also includes the term "subgrantee," but does not include "third party contractor" or "third party subcontractor." q. Third Partv Contract means a contract or purchase order awarded by the Recipient or subrecipient to a vendor or contractor, financed in whole or in part with Federal assistance awarded by FTA 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 Ff 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 term "transit" also includes "mass transportation" and "public transportation." t. U.S. DOT is the acronym for the United States Department of Transportation, including its operating administrations. Section 2. Proiect Implementation. a. Effective Date. The effective date of the Gra!J,l Agreement or Cooperative Agreement is the Obligation Date on which the FTA's Authorized Official signs the FTA Award in the Grant Master Agreement Form FrA MA(2), October I, 1995 Page 3 Agreement or Cooperative Agreement. The effective date of any Amendment is the Obligation Date on which the FTA's Authorized Official signs the Ff 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 tenns 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 FTA 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 FT A Award section of the Grant Agreement or Cooperative Agreement control Project impl~tation. c. Responsibility for Compliance with Federal Requirements. The Recipient agrees as follows: (I) To the extent the Recipient awards a sub agreement to another party to undertake primary responsibility for a part of the Project in direct support of either the recipient's or the subrecipient'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 subagreement, 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. ~ 5307 that has entered into a supplemental agreement with FTA and a grantee covering the' Project is not responsible to FT A 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, "Unifonn 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, "Unifonn Administrative Requirements for Grants and Master Agreement FOnD FrA MA(2). October 1. 1995 Page 4 ...~,- T" Agreements with Institutions of Higher Education, Hospitals, and Other Non-profit Organizations," 49 C.F.R Part 19. (3) A private for-profit organizati.on 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 O~ons,. 49 C.F.R Part 19. e. Application of Federal. State. and Local Laws and Regulations. (I) Federal Laws and Regulations. The Recipient acknowledges thai Federal laws, regulations, policies, and related administrative practices applicable to the ProjeCt~n 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 detennination 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 tenns, 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 FTA. (2) State or Territorial Law and Local Law. Except to the extent that a Federal statute or regulation preempts state or territorial law, 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, terrrtoriallaw 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 permit FT A and the Recipient to make appropriate and arrangements to. proceed with the Project as quickly as possible. f. Changed Conditions of Performance (Including Litigation). The Recipient agrees to notify FT A immediately of any change in local law, conditions, or any other event that may significantly affect the Recipient's ability to perform the Project in accordance with the terms 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 Government's administration or enforcement of Federal laws or regulations. Before the Recipient may name the Federal Master Agreement Form ITA MA(2), October 1, '1995 Page 5 .T. Government as a party to litigation for any reason, in any forum, the Recipient agrees to inform the FT A. g. No Federal Government Obligations 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 tJ:Urd party contractor, or any other person not a party to the Grant Agreement or Cooperative Agreement in connection with the performance 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 perl'onnance 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 permitted by state or local law or regUlations, the code or standards shall include penalties, sanctions, or other disciplinaIy actions for violations by the Recipient's officers, employees, board members, or their agents, or by contractors or subrecipients or their agents. (1) 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 subagreement 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 finn or entity selected for award: (a) the employee, officer, board member, or agent; (b) any member of his or her inunediate 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 Recipients 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 peIformed under a proposed third party contract or.subagreement may, without some restrictions Master Agreement Form FTA MA(2), October 1, 1995 Page 6 ...""' - T. .... " J on future activities, result in an unfair competitive advantage to the third party contractor or subrecipient or impair its objectivity in perfonning the contract worlc b. Debarment and Suspension. The R~ipient agrees as follows: (1) The Recipient agrees to comply with the requirements of Executive Orders Nos. 12549 and 12689, "Debannent 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 amount 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 Executive 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 subrecipient, the Recipient agrees to obtain a debarment and suspension certification from each prospective recipient containing infonnation 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 contract excee'ning $100,000, the Recipient agrees to obtain a debarment and suspension certification from each third party contractor containing information about the debannent 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 FormFI'A MA(2), October 1,1995 Page 7 . ....". e. Restrictions on Lobbying. The Recipient agrees as fonows: (I) The Recipient agrees that it will not use Federal assistance funds to support lobbying. (2) In accordance with 31 U.S.c. ~ 1352 and U.S. DOT regulations, "New Restrictions on Lobbying," 49 C.F.R Part 20, if the Recipient's Project exceeds $100,000, FTA will not make any Federal assistance available to the Recipient until FrAhas: (a) received the Recipient's certification 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 grant",~perative agreement, or any other Federal award from which funding for the Project is originally derived, consistent with 31 U.S.C. ~ 1352, and (b) ifapplicable, the Recipientts statement disclosing any lobbying with non-Federal funds that has taken place in connection with obtaining any, Federal financing ultimately supporting the Project. (3) The Recipient agrees to provide FT A a copy of each lobbying disclosute statement with the accompanying lobbying certification provided by a prospective third party contractor at any tier or subrecipient at any tier. f Employee Political Activity. To the extent applicable,S 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 Federa1loan, 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 U,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 FT A MA(2), October I, 1995 Page 8 .... ... ~ .... area fonnula project financed with Federal assistance authorized by 49 U.S.C. ~ 5307, the Govenunent 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 Govenunent deems appropriate. Section 4. Federal Financial Assistance. The Reqpient acknowledges and agrees that FTA Will provide Federal financial assistance for the Project equal to the smallest of the following amounts: (a) the maximum amount pennitted 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 "MaximumPercentage(s) of Federal Participation," included in the Grant Agreement or Cooperative Agreement. FTA's obligation to'make Federal assistance payments is limited to the amounts included in the Approved Project Budget. The amount fonning the basis upon which FTA determines 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 FrA 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 from the 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 Cost" within FT A's electronic grant making system will be the Net Project Cost. b. Other Basis for FrA Participation.. For any project not required by FTA or Federal law to be financed on the basis ofits "Net Project Cost" as defined by 49 U.S.C. ~ 5302(a)(8), FTA intends to assist the Recipient in financing all or part of the cost of the Project. Accordingly, the amount listed as "Estimated Project Cost" in the Grant Agreement or Cooperative Agreement and "Project Cost" within FrA's electronic grant making system will be the Cost of the Project recognized by FTA as fonning the basis for FTA's determination 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 FrA MA(2), October 1, 1995 Page 9 .~ 'f"" 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 Govenunent at the same time, unless the Federal Government .eKpressly 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 fonnal amendment to the Grant Agreement or Cooperative Agreement, except that a re-alloca.tion of funds among budget items or fiscal years that does not increase the total amount of the Federal financial assistance awarded maybe 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 Project. 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 FTA MA(2), October I, 1995 Page 10 .. ........._----".,.,..........~.,.~ T ~,,~,,~ c. Documentation ofProiect Costs and Prosrram Income. All costs charged to the Project. including any approved services contributed by the Recipient or others, shal1 be supported by properly executed payrolls, time records, invoices,contracts, or vouchers describing in detail the nature and propriety of the charges. Th~ 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 detennined by F'! 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 expeJlditure. Section 8. Reporting. Record Retention.. and Access. The Recipient agrees as follows: a. Reports. At a minimum, the Recipient agrees to provide to FTA those reports required by U.S. DOT's 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 pennit 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 FormFrA MA(2), October 1,1995 Page 11 ._~_'_h''''''_''_'''' .,e...',___~'."..~~~.. ....-...-.--....._....."."'..".... ><- (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 pennitted the Recipient to defer provision of the local share, a Recipient required by Federal stattlte or the Grant Agreement or Cooperative Agreement to provide a local share agrees to refrain from: (a) Requesting or obtaining Federal funds exceeding the amount justified by the local share previously provided, and (b) Taking any action that would cause the proportion ofFedera1 funds made available to the Project at any time to exceed the percentage authorized by the Grant Agreement or Cooperative Agreement; (2) Have submitted to FT A 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 Ff A makes all payments by the Automated Clearing House (ACH) method of payment, regardless of the amount involved. (1) Electronic Clearing House Operation Payments. Ifpayment 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 Gnnts 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 underthe 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 Federal law 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 Fr A MA(2), October I, 1995 Page 12 T '~ < ~ ( 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 dT8: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. , -" (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 detennine 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 Government calculated as required by U.S. Depanment of Treasury regulations, . "Rules and Procedures for Funds Transfers~" 31. C.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 extent permitted under the common law, consistent with U.S. General Accounting Office (U.S. GAO) - 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 genera1local 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(I)(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 Ff A MA(2), October I, 1995 Page 13 -.-.. G) 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, It Revised 10/92, to FT A's Accounting Division. . ..,,~ 2. Complete and submit Standard Form 270, "Request for Advance or Reimbursement, It to the designated FT A office. (b) FT A Responsibilities. Upon receipt of a payment request and adequate accompanying information, FT 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-I28 or A-I33, provided those costs also comply with aD the following requirements: (1) Conform with the Project Description, the Approved Project Budget, and all other terms of the Grant 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 perfonned 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 FTA MA(2), October 1, 1995 Page 14 ..,.. ""-,-,,,-,,,,,._<,,,,-~"'--<"~'-'-'~""-""'~-----"'---.. 'II' '-..... (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 p,rivate nonprofit organization, the standards ofOMB Circular A-I22, 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 G.F.R Chapter L Subpart 31.2, "Contracts with Commercial Organizations" apply; (7) Are satisfactorily documented; and , -'" (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 FTA 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 eligIole 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 detennination about the eligibility of any cost until an audit of the Project has been completed. If the Federal Government detennines that the Recipient is not entitled to receive any pan 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 of a later audit or other review. Unless prohibited by law, the Federal Master Agreement Form FfA MA(2), October 1,1995 Page 15 "t Govenunent 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 Costs ancluding Interest). (1) Recipient's Obligation to Pay. Upon notice by the Federal Goverrunent 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 of Interest Due. The Recipient agrees that the amount of interest due depends on whether the Federal Govenunent treats the underlying principal as a Federal claim or a debt owed to the Federal Government. Thus, Recipient ~ees to pay interest calculated as follows: (a) Federal Claims against the Recipient. The Debt Collection Act of 1982, as amended, 31 V.S.C. ~~ 3701 through 3720, exempts state governments and units ofgetiera110cal government from the obligation to pay interest on claims pursued by the Federal Govenunent 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 DOJ regulations, "Federal Claims Collection Standards," at Part 102, currently ~ 102.13. (b) Excess Payments. The Recipient agrees that a debt for any excess payment does not qualify as a "c1aim" covered by the Debt Collection Act of 1982, as amended, 31 V.S.C. ~~ 3701 through 3720, and that the interest exemption for state governments and units ofgenera1local 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 genera1loca1 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 goverrunent, 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 conunon 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 Conection 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 govenunent or a unit of genera1local 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 genera1local government, a nonprofit organization, an institution of higher education, an individual, or any Master Agreement Form Ff A MA(2), October I, 1995 Page 16 ...~ ~.~" "T.. .... 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 pennitting interest on debts at 4 C.F.R. Part 102, currently ~ 102. 13 (i)(2). g. De-obligation of Funds. The Federal Govequnent reserves the right to de-obligate unexpended Federal funds before Project closeout. Section 10. Right of the Federal Government to Tenninate. 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 performance of the Project shall provide sufficient grounds for the Federal Government to terminate the Grant Agreement or Cooperative Agreement. In general, tennination 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 termination date, to the extent those obligations cannot be canceled. However, if the Federal Government detennines that the Recipient has willfully 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 detennine. Expiration of any Project Time Period established for the Project does not, by itself: constitute an expiration or tennination of the Grant Agreement or Cooperative Agreement. 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 Government, the Recipient agrees to submit a final Financial Status Report (Standard Form 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: (1) Audit Requirements. The Recipient agrees to obtain the following audits: Master Agreement Fonn Fr A MA(2), October 1, 1995 Page 17 -..... . (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-133, and any revision or supplement thereto. The Federal Government may waive the OMB Circular A-128 audit requirement or substitute a requirement for a project audit performed 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 responsibilities. . (2) Costs. Audit costs for Project administratiOlfand management are allowable Project costs to the extent authorized by OMB Circular A-.87, Revised; OMB Circular A-21, Revised; or OMB Circular A-Ill, Revised. c. Remittance of Excess Payments. If the FT A 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.f(2)(b) of this Master Agreement promptly to the Federal Government. d. Project Closeout. Project closeout occurs when the Federal Government 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 Government's final notification or acknowledgment. Section 12. Real Property. Equipment. and Supplies. Unless otherwise approved by the Federal 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 of Property. 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 umeasonably delay or fail to 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 to notify FT A immediately 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 ITA MA(2), October I, 1995 Page 18 ...."...... ,.:::';''-, 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 th~t is an institution of higher education, a private nonprofit organization, or a for-profit organization agrees to comply 'With 49 C.F.R ~9 19.30 through 19.37, including any amendments thereto, and otqer applicable guidelines or regulations the Federal Government may issue. Exceptions to the requirements of 49 C.F.R. 99 18.31 through 18.34, and to 49 C.F.R. 99 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 establishea 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 FTA 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 ilnder 49 D.S.C.' chapter 53 toa public body to be used for any public pwpose 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. 9 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. 99 18.31 through 18.34, or 49 C.F.R. 9 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. 99 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 ~set appropriately, either through a ttLease 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 DiSJ>osition 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 property's useful life. Master Agreement Form FrA MA(2), October 1, .1995 Page 19 .... T ... (1) Proiect 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 of either 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, ~e 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. .~,. (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 ofF ederal interest in the property shall be detennined 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 FfA, 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 ocrorrence 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 prop~ immediately before the casualty or fire, irrespective of the extent of insurance coverage. As authorized by 49 C.ER ~ 18.32(b), a state may use its own disposition procedures, provided that the state's procedures comply with the laws governing that state. 2.- Real Property. The fair market value of real property shall be detennined. 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. 1. Exceptional Circumstances. The Federal Government reserves the right to require the use of another method of valuation if determined 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 limited to, accelerated depreciation, comparable sales, or established market values. In deterntWng 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 Form Fr A MA(2), October 1, 1995 Page 20 .. ~ '""", g. Misused 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 darruJged property, as the Federal Government may require. h. Obligations After Proiect Closeout. A Recipi~nt 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 Recipient that 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 ofthis Master Agreement and 49 C.F.R ~~ 19.32 through 19.37. <..l" 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 itselfin 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 Form FTA MA(2), October I, 1995 Page 21 ...... T .... Section 16. Proiect Management for Maior Capital Proiects. 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 ~ 18.36 or 49 C.F.R ~~ 19.40 through 19.48 and Appendix A; and with supplementary regulations and directives, particularly FTA Circular 4220.1C, "Third Party Contraoting Requirements," and other Ff A manuals or guidance pertaining to third party contracting. Unless stated otherwise in writing, Ff A's approval of the Project does not constitute pre-approval of any non-competitive third party contract awards associated therewith. If detennined necessary for proper Project administration, Ff 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. ~ 5323(h)(2) by refraining from using any Federal assistance awarded by FTA to support procurements using exclusionary or discriminatory specifications. c. Geosrraphic Restrictions. The Recipient agrees to refrain from using state or local geographic preferences, except those expressly mandated or encouraged by Federal statute, and as pennitted by Ff A,. such as stated in Subsection 17.n of this Master Agreement. d. Use of Federal Supply Schedules. In accordance with 40 C.FR ~ 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 D.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 detennine 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 FTA 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 Fr A MA(2), October 1, 1995 Page 22 "". T .. .. T obtain FT A concurrence before entering into a leasing arrangement involving certificates of participation for acquiring any capital asset. i. Buy America. The Recipient agr~ to comply with 49 U.S.C. ~ 5323G), 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 C<?ntract financed by the Grant Agreement or Cooperative Agreement. j. Cargo Preference--Vse of United States-Flag Vessels. The Recipient agrees to comply with U.S. Maritime Administration regulations, "Cargo Preference-U.S.-FIag Vessels," 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 conunodities 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. EPA) guidelines at 40 C.F.R Parts 247-253, which implement section 6002 of the Resource Conservation and Recovery Act, as amended, 42 V.S.C. ~ 6962. 1. Bus Seat Specifications. A State or local government recipient may use specifications conforming with the requirements of 49 V.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 V.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 U.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 D.S.C. ~ 5323(c) and FTA regulations, "Bus Testing, 49 C.F.R. Part 665, and any revision thereto. n. Acquisition of Management Architectural. and Engineering Services. In acquiring management, architectural, and engineering services, the Recipient agrees to comply with the requirements of 49 V.S.C. ~ 5325(d), by contracting for program management, construction management, a feasibility study, and preliminary engineering, design, architectural, engineering, sUlveying, mapping, or related services awarded in the same way as a contract for architectural Master Agreement Form FTA MA(2), October 1, 1995 Page 23 '9""~"-'- ,_..."..~."~.H "~~'~""<~"~""""_"'_~"____"''-'_' .... ~---=-,,-~....,..........._'''''_._.".._.._..... 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 location may be a selection criterion. This section does not apply to the extent a state has adopted or adopts by law fonna1 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(11) or 49 C.F~ ~ 19.48(c), as applicable, and with any guidance FTA 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. FrA and the Recipient recognize that liquidated damages requirements are appropriate if the parties to a contract may reasonably expect to incur damages in the fonn 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 FTA 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 U.S. DOT regulations applicable to seismic safety requirements for U.S. 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 of $500,000 or Master Agreement Form FT A MA(2), October I, 1995 Page 24 ...."~-.~ T. I', 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 all legal 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 FT A The Recipient agrees to notify Ff A 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 FfA 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 Govenunent 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 FTA immediately and provide a detailed report. b. Federal Rights. Unless the Federal Government 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 detennination 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 FfA those rights due the Federal Government in any invention resulting from that third party contract described in U.S. Department of Commerce regulations, "Rights to Master Agreement Form Ff A MA(2), October I, 1995 Page 25 .. .... . .... Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Com:ractsand Cooperative Agreements," 37 C.F.R Part 401. Section 19. Rights in Data and Copyrights. a. Definitiro.. The term "subject data" used in this section means recorded information, whether or not copyrighted, that is delivered or specified to be deliv~ed under the Grant Agreement or Cooperative .o<\greement. Examples include, but are not limited to: computer software, engineering <frawings and associated lists, specifications, standards, process sheets, manuals, technical reports, catalog item identifications, and related infonnation. The term :'JlUbject data" does not inclJde 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: (I) 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 fonn, nor may the Recipient authorize others to do so, without the'Vlontt.en consent of the Federal Government, until such time as the Federal Governmenl may have either released or approved the release of such data to the public. (2) The restriction on publication of Subsection 19.b(l) of this Master Agreement, however, does not app.iy 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 Government reserves a royalty-free, non-exclusive and irrevocable license to reproduce, pmlish, 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 fonize direct purposes of the Federal Government. WIthout the copyright:owner's consent, the Federal Government may not extend its Federal license to other parties. (1) Any 3Ubject data developed under the Grant Agreement or Cooperative Agreement, or under a third party contract or subagreement financed by the Grant Agreement or Cooperative Agreement., "\Td1ether or not a copyright has been obtained; and (2) Any rights of copyright to which a Recipient, subrecipient, or a third party contractor purchases ov.'JleI'Sbip with Federal assistance. d. Special Federal Rights for Planning. Research. and Development Proiects. When FTA provides finamJll 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 determines otherwise, the Master Agreemcn Form FTA MA(2), October 1,1995 Page 26 ....'. '" t '." Recipient ofFfA 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 of this Master Agreement, FTA may make available to any FTA recipient, sub recipient, third party contractor, or ~d 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 theJlecipient's use whose costs are financed with Federal transportation funds for capital projects. e. Hold Hannless. Unless prohibited by state law, upon request by the Federal Government, the Recipient agrees to indemnify, 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 Incorporated into Proiect. 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 Programs. 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 U.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," 49 C.F.R Part 21, and any implementing requirements FTA may issue. b. Equal Employment OpportunitJ'. The Recipient agrees to comply with the following equal employment opportunity (EEO) requirements: Master Agreement Form FfA MA(2), October 1, i995 Page 27 ... "t .... . +---"i"'-'-_""_~."'b~C"",""""~."""'''''_''''''' (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 affinnative 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 ad~ertising, layoff or tennination; rates of payor other forms of compensation; and selection for ~g, including apprenticeship. The Recipient also agrees to comply with any implementing requirements FrA may Issue. < ..~ (b) If the Recipient is required to submit and obtain Federal Government approval of its EEO 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 ofits failure to cany 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) Equal Employment Opportunity Requirements 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 ofFedera1 Contract Compliance Programs, Equal Employment Opportunity, Department of Labor, " 41 C.F.R. Parts 60 et ~., (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 Enter:prise. 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 Fr A MA(2), October I, 1995 Page 28 ... 'f 11" ~:.... assistance awarded by U.S. DOT. If the Recipient is required by U.S. DOT regulations to have a DBE program, the DBE 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 cany put 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 U.S.C. ~ 1001, and the Program Fraud Civil Remedies Act, 31 D.S.C. 9~ 3801 et~. d. Access Requirements for Persons with Disabilities. The Recipient agrees to comply with all applicable requirements of the Americans with Disabilities Act of 1990 (ADA), 42'U.S.C. SS 12101 et ~.; section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. ~ 794; 49 U.S.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, II 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. DOJ regulations, "Nondiscrimination on the Basis of Disability in State and Local Government Services," 28 C.F.R Part 35; (5) U.S. DOJ 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 Handicapped," 41 C.F.R Subpart 101-19; (7) U.S. Equal Employment Opportunity Commission, "Regulations to Implement the Equal Employment Provisions of the Americans with Disabilities Act," 29 C.F.R Part 1630; (8) U.S. Federal Communications Commission 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) FTA regulations, "Transportation for Elderly and Handicapped Persons," 49 C.F.R Part 609. (10) Any implementing requirements FfA may issue. Master Agreement Form Ff A MA(2), October 1; 1995 Page 29 ... .,.~ Section 21. Employee Protections. a. Construction Activities. For construction activities exceeding $2,000 perfonned 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 U.S.C. ~ 5333(a), the Davis-Bacon Act, 40 U.S.C. ~~ 276a through 276a(7), 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 W ol'bHours and Safety Standards Act)," 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 U.S. 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 ITA 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 U.S.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.RdPart 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. ~~ 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 detenninations 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. Master Agreement Form FrA MA(2), October I, 1995 Page 30 ~ "t. c_ .,.,...._,~ ,~.~~~__~h...~.~__...~......,.._..,.__~_~"'~.___........_____1""--......_.~.. ->~_."..._~."".._..__~__~__w"-.................. ....,;,~_._.,....,~=.-.. . (b) In -accordance with section 107 of the Contract Work Hours and Safety Standards Act, as amended, 40 D.S.C. ~ 333, the Recipient agrees and assures that no laborer or mechanic working on a construction contract shall be required to work in surroundings or under working conditions that are unsanitary, hazardotJ.s, or dangerous to his or her health and safety, as determined 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: (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 ITA 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 NonconstIUction Contracts Subject to the Contract Work Hours and Safety Standards Act)," 29 C.F.R. Part 5. (2) The requirements of this Subsection 21.b(l) 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 Fr A MA(2), October 1, i 995 Page 31 ... ..,... . 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 U.S.C. ~~ 206 and 207, apply to employees performing work involving,commeree, 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 overti~e requirements for employees performing work in connection with the Project. d. Transit Employee Protective Arrangements. The Recipient agrees to comply with the following requirements applicable to transit operations performed in connection with the Project: , _l" (1) Standard Transit Emplovee 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 fair and equitable to protect the interests of employees affected by the Project and to meet the requirements of 49 U.S.C. ~ 5333(b), and U.S. 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 U.S.C. ~ 5310(a)(2) or to fonnula assistance projects for nonurbanized areas authorized by 49 U.S.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 Arrangements for Projects Authorized by 49 U.S.C. & 5310(a)(2) for the Elderly and Persons with Disabilities. If the Secretary of Transportation has determined or determines in the future that employee protective arrangements required by 49 U.S.C. ~ 5333(b) are necessary or appropriate for public body subrecipients under'the Project, the Recipient agrees to carry out the Project in compliance with the terms and conditions determined by the Secretary of Labor to meet the requirements of 49 U.S.C. ~ 5333(b), and U.S. DOL guidelines at 29 C.ER. 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 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 Projects 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. . Master Agreement Form FrA MA(2), October 1, 1995 Page 32 ... ,"," ___._,__._~.,..o-~~.__~.<"____"'~,__"",,,~_,~.~~ ..~" t o.'t . Section 22. Planning and Private Enterprise. The Recipient agrees that each Project financed under the Grant Agreement or Cooperative Agreement will be implemented in a rqanner 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 (FH\V A)/FT A regulations, "Planning Assistance and Standards," 23 C.F.R. Part 450 and 49 C.F.R. J?art 613. Section 23. Environmental Requirements. .~~ The Recipient recognizes that many Federal and state laws imposing environmental and resource conservation requirements 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. 994321 et ~.; the Clean Air Act, as amended, 42 U.S.c. ~9 7401 et~. and scattered sections of29 U.S.c.;-the Clean Water Act, as amended, scattered sections of 33 U.S.C. and 12 U.S.C.; the Resource Conservation and Recovery Act, as amended, 42 U.S.C. 996901 et gg.; and the Comprehensive Environmental Response, Compensation, 'and Liability Act, as amended, 42 U.S.C. ~9 9601 et~. 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 Ff A 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. ~9 4321 et~. in accordance with Executive Order No. 12898, "Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations," 59 Fed. ~. 7629, Feb. 16, 1994; FTA statutory requirements on environmental matters at 49 U.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 ~.; and joint FHWAlFTA 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 V.S.C. 99 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, II 40 C.F.R. Part 51, Subpart T; and' "Detennining Conformity of Federal Actions to Master Agreement Form Fr A MA(2), October 1, .1995 Page 33 ... TO.. - "."...-........_--~-"-"'"_..._.---".....---.--'--..--.~._,._--_...--.. '."......_.^.,-----.,......-----'",,~...._.,,' . State or Federal Implementation Plans," 40 C.F.R. Part 93. To support the requisite air quality confonnity finding for the Project, the Recipient agrees to implement each air quality mitigation . and control measure incorporated in the Project. The Recipient agrees that any Project identified in an applicable State Implementation PI.an (SIP) as a Transportation Control Measure, will be whoDy consistent with the description of the design concept and scope of the Project described in the SIP. (b) u. S. EP A also imposes requirements implementing the Clean Air Act, 'as amended, that IAY apply to transit operators, particularly operators of large transit bus fleets. Thus, the Recir:ent should be aware that the following U.S. EP A regulations, among others, may apply to its PrJject: "Control of Air Pollution from Motor Vehicles and Motor Vehicle Engines, " 40 C.F.R. Part 85; "Control of Air Pollution from New and In-Use Motor Vehicles and New and In-U~ 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. (: I The Recipient agrees to report and require each third party contractor and subrecipient at any ti:r to report any violation of these requirements resulting from any Project implementation activily ofa third party contractor, subrecipient, or itself to FTA and the appropriate U.S. EPA Regiooal Office. c. ~ Water. The Recipient agrees as follows: (1 J The Recipient agrees to comply with all applicable standards, orders, or regulations issued pursumt 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 ti~ to report any violation of these requirements resulting from any Project implementation acti~. ofa third party contractor (at any tier), subrecipient (at any tier), or itself to FTA and the appropriate U.S. EP A Regional Office. d. Use of Public Lands. The Recipient agrees that no publicly owned land from a park, recremion area, or wildlife or waterfowl refuge of national, state, or local significance as detemined by the Federal, state, or local officials having jurisdiction thereot: or any land from a historit 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. Hi.ctoric PreseIVation. The Recipient agrees to assist the Federal.Government in complying with so..'"tion 106 of the National Historic Preservation Act, 16 U.S.C. ~ 470t: involving historic and ard1aeologica1 preservation as follows: (1) The Recipient agrees to consult with the State Historic Preservation Officer about investipuions 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 Counci on Historic Preservation regulations, "Protection of Historic and Cultural Properties, II 36 C.F R Part 800, and notifying FTA of those properties so affected. Master Agreement Form FrA MA(2), October 1,1995 Page 34 ... lIf' ~.....,~~_."'_..- .. " (2) The Recipient agrees to comply with all Federal requirements to avoid or mitigate adverse effects on those historic properties. f Mitiszation 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. commitments 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 injts 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 F ederaI 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 D.S.C. ~~ 6321 et seq. Section 25. State Management and Monitoring Systems. To the extent applicable, the Recipient agrees to comply with the requirements of joint FHW A/FT A 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 performing work in connection with the Project will engage in charter service operations, except as permitted by 49 U.S.C. ~ 5323(d) and FfA 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 performing 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 pennitted by Master Agreement Form FrA MA(2), October 1, 1995 Page 35 .. 'T" .........~._-- 49 U.S.C. ~ 5323(t) 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 incorporated 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 FrA, the Recipient agrees to use the metric system of measurement in its Project activities, as may be required by 49 U.S.C. ~~ 205a et ~.; Executive Order No. 12770, "Metric Usage in Federal Government Programs, " 15 U.S.C. ~ 205a note; and other regulations, guidelines, and policies issued by . U.S. DOT or FI'A To the extent practicable and feasible, the Recipient agrees tQ ~t 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 infonnation restrictions and other applicable requirements of the Privacy Act of 1974, 5 U.S.C. ~ 552, (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. Acknowled2Itlent 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 termination of the Grant Agreement or Cooperative Agreement. Section 30. 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)," 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 Fr A regulations, "Prevention of Prohibited Drug Use inTransit Operations, II 49 C.F.R Part 653. Master Agreement Form FTAMA(2), October 1,1995 Page 36 ... T' " ."....".._~._.,_~__...~.---......e'_.'_~~_"....._.,......_..............-....-.-....-~"_~.,~................""'--"0-- .."._..,,,.,...._.~.--,-,,- ._.."-~-.",,..'...; . b. Alcohol Abuse. 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 suprecipient at any tier, and their employees with 49 U.S.C. ~ 5331, and FT A regulations, "Prevention of Alcohol Misuse in Transit Operations," 49 C.ER. 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 or" gbidance 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 VrbaI1ized 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. seTVlce. 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 XVllI 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 V.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. Master Agreement Form Fr A MA(2), October 1, .1995 Page 37 .. ... ~~--",."....;,._..._.--...-_,.._".............~.~...."_.----"...<<"......, ,,< e. Transit Security. Each fiscal year, the Recipient agrees to spend at least one (1) percent of its funds authorized by 49 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 U.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. Rej)orting Requirements. For each fiscal year, the Recipient agrees to confonn, and assures that any transit operator to which the Recipient provides funds derived fr6m 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 V.S.C. ~ 5335(a) for FTA's national transit database and FT A regulations, "Vnifonn 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 FonnulaProgram authorized by 49 U.S.C. ~ 5307 is subject to 49 U.S.C. ~ 1001. Section 33. Special Requirements for Formula Assistance Projects 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 U.S.C. ~ 531 0(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 Ff 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.Parts 18 or 19 conflict with the provisions ofFTA Circular 9070.1C or any revision thereto, U.S. DOT regulations will apply. Master Agreement Form FrA MA(2), October 1, 1995 Page 38 ^~.,w_~....,_________~~." ,......",C>;"",h_ ... " -t .. c. Eligible Project 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 ~cilities and equipment acquired with financial assistance authorized for 49 U.S.C. ~ 5311 to any recipient eligible to receive assistarice 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. . .."" Section 34. Special Requirements for Formula Assistance Projects for Nonurbanized Areas. a. State Procedures. In general, the Recipient agrees to administer the Project in accordance with ITA Circular 9040.1 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. However, to the extent that u.s. DOT regulations at 49 C.F.R Parts 18 or 19 conflict with the tenus ofFTA Circular 9040.1 C or any revision thereto, U. S. DOT regulations will apply. b. Eligible Project Activities. Federal financial assistance provided under the Grant Agreement or Cooperative Agreement may be used for transit projects in areas other than urbanized areas. These projects must be eligible for Federal financial assistance authorized for 49 D.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 U.S.C. ~ 5311. c. Transfer of Assets. In addition to the authority to transfer Project assets provided by 49 D.S.C. ~ 5334(g), the Recipient may also transfer facilities and equipment acquired with financial assistance authorized for 49 V.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. Fonnula 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 D.S.C. ~ 5311, unless the state's chief executive officer has certified to FT A that the state's intercity bus service needs are being adequately met. Master Agreement Form FrA MA(2), October 1, 1.995 Page 39 ... ,,"' , .... r-""'. '..........>- .. 4 Section 35. Special Requirements for Research. Development. Demonstration. and Special Studies Proiects. 1. Proiect Report. The Recipient agrees to prepare and make available a comprehensive report -In the results of the Project, the conclUSions reached, and the methods used. J. Proiect Identification. The Recipient agrees t1ult-each tangible product resulting from the Grant Agreement or Cooperative Agreement shall be labeled with an appropriate sign or iesignation stating that the Project has been financed with Federal assistance provided by the ::.S. Department of Transportation, Federal Transit Administration. Unless waived by FTA, this ~equirement applies to all equipment, hardware, construction, reports, data, or any.similar items :=roduced under the Grant Agreement or Cooperative Agreement. Section 36. Extension of Master Agreement Requirements to Other Parties. l. Parties Affected. The Recipient agrees to take appropriate measures necessary to ensure that ~ach third party contractor at every tier and each subrecipient at every tier performing Project ',;.-ork or activities will be responsible for compliance with those Federal requirements described in Section 36 of this Master Agreement, as appropriate. :-. Third Party Contracts and Subagreements Affected. To the extent applicable, Federal :-equirements extend to third party contractot8 and their contracts at every tier and subrecipients md their subagreements at every tier. Accordingly, the Recipient agrees to include, and to :-equire its third party contractors and subrecipients to include, appropriate clauses in each third ;arty contract and each subagreement financed in whole or in part with financial assistance ;-rovided by FTA under the Grant Agreement or Cooperative Agreement. ~. Cat~ories of Federal Requirements. Listed below are sever3I major categories of third party rontracts and subagreements. followed by the more significant Federal requirements applicable to ilat category. Note, however. that neither the list of categories nor the list ofFederil" requirements is all-inclusive: (1) All FTA Assisted Third Party Contracts and.Subagreements. (a) Adequate Provisions. The third party contract or subagreement must contain &:iequate provisions to define a sound and complete agreement. (b) No Federal Government Obligations to Third Parties. The disclaimer of Federal C'()vemment obligations or liabilities in connection with the Project required by Subsection 2.g of os Master Agreement must be included. (c) Program Fraud. and FaIse or Fraudulent Statements and Related Acts. The program f:-md requirements of Subsection 3.g of this Master Agreement must be included. Naster Agreement Form Ff A MA(2), October 1, 1995 Page 40 .... "f . " (d) Prohibitions Against Exclusionary or DiscriminatolV 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 from 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 inclusidn. (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 bv41 U.S.C. & 403(1). 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.F.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 Fr A MA(2), October 1. 01995 Page 41 ...~ . T' , ~ T I' a. 4 (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 ofthis Master Agreement must be included. , .." (5) Participation by a Specific Source or Delivery ofa Specific Product. In addition to other sources used and products delivered, the following are of special concern to ITA: (a) Disadvantaged Business EnteIl'rise. 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) Reqyc1ed 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 Form FTA MA(2), October 1, 1995 Page 42 ... "r.. ,~"," ....,.._,..~-=,,=--~--~,~-_...............---+-~'-,~~._-~"-...~'-"'.,...'"'...,~."'--,""-... ....~.,,,-.-....."'_..,," - " .. (8) Nonconstruction Activities. (a) Equal Employment Opportunity. Except in a third party contract to acquire standard commercial supplies or raw m~terials, 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 of$2,500 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. '-' (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) Orne 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) Pla.nnii1g. 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 FrA MA(2), October 1,1995 Page 43 '~'''"'_-1''"",,,-,~-------'''''''''''''-~-''''"'' ",'-~"'.-'-"-~-"-'''.'''" . .. 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. ~. Acquisition of Rolling Stock. In acquiring rolling stock, the requirements of Subsection 17.m of this Master Agreement must be included. J. 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, FI' 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, FI' 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, FT A 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 subagreements, 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 FrA MA(2), October 1, 1-995 Page 44 ... ,. ~,~,~""~<--;",._",,,,,,,,,~,~,,~",~,~"~'''''''''',,'''h"-~...<,""_._,...._.,.~~.._.."~"...~_",~""",_,_..._.._~,_",...",__."..., .. -, . ~. 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 fonnal 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 Agreement,-jJ.S 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. ITA 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 confonn to the requirements of applicable law. . ***** Master Agreement Form Ff A MA(2), October 1. ! 995 Page 45 ~,"",_",,,,;,,,,,,,,,,,,,,,_-'-"v~___''''''.4'--'''''''~;'_''''''"'''''''._~''';~-~'''''''''''''''-'''-'''---'''.,._,""-~..,......,,- ....... ... .< ... @ ... "t Friday November 24, 1995 '_ll' ..Part IV : ..Department of . Transportation ::" . Federal transit Administration . Grants and Cooperative. Agreements; Fiscal Year .1996 Annual List of ..certlflcations and Assurances; Notice .. ..... ........~""""--"...............~.-....-"..,-'."'~- ..,..---..--... .~-~...........- -.. ...., "8'!!l.fj Fecleralllegister I Vol. 50, No. 226 I Friday, November 24, i995 I Notices D. . (fMEHT OF TRANSPORTAnON Federal Tnnslt Administration Fiscal Year 1996 Annual Ust of Cer1Iflca1Ions end Assurances for Federal Transit Administration Grants and Cooperative Agreements AGENCY: Federal Transit Administration. DOT. ACTION: Notice. SUMMARY: This Notice contains ITA's comprehensive compilation of the fiscal year 1996 certifications and assurances to be used in connection with all Federal assistance programs administered by ITA during fiscal year 1996. (See Appendix A.) These certifications and assurances include all annual certifications required by 49 U.S.c. 5307(d)(1) for ITA's Urbanized Area Formula Program as wen as other certifications and assurances needed for compliance with various other Federal statutes and regulations affecting FT A's assistance programs. EFFECTIVE DATE: November 24.1995. FOR FURTHER INFORMATION CONTACT: Linda Watkins Sorkin, Office of the Chief Counsel, Federal Transit Administration. (202) 366-1936; or contact ITA staff in the appropriate Regional Office listed below. Region 1: Boston States served: Maine, New Hampshire, Vermont, Connecticut, Rhode Island, and Massachusetts. Telephone' 617- 494-2055 Region Z: New York States served: New York. New Jersey. and Virgin Islands. Telephone' 212- 264-8162 Region 3: Philadelphia States served: "Pennsylvania, Delaware, Maryland, Virginia, West Virginia, and District of Columbia. Telephone .215-656-6900. Region 4: Atlanta States served: Kentucky, North Carolina. South Carolina, -Georgia, Florida, Alabama. Mississippi. Tennessee. and Puerto Rico. Telephone' 404-347- 3948 Region 5: Chicago States served: Minnesota. Wisconsin. Michigan. nlinois.lndiana. and Ohio. Telephone #I 312-353-2789 Region 6: DalluIFLWorth States served: Arkansas. Louisiana. Oklahoma. Texas. and New Mexico. Telephone' 817-860-9663 .. , Region 7: Kansas Oty States served: Missouri. Iowa. Kansas. and Nebraska. Telephone' 816-523- 0204 Region 8: Denver States served: Colorado, Utah. Wyoming. Montana. North Dakota. South Dakota. Arizona 1. and Nevada 1. Telephone' 303-844-3242 Region 9: San Francisco States served: Califomia, Hawaii. Guam. American Samoa. and the Northern Mariana Islands. Telephone #I 415- 744-3133 Region 10: Seattle States served: Idaho. Oregon. Washington..and Alaska. Telephone' 206-220-7954 SUPPLEMENTARY INFORMATION: Before ITA may award a Federal grant or cooperative agreement. the applicant must provide to ITA all certifications and asswances required by Federal laWs and regulations for the applicant or its project. This Notice provides the text of certifications and assurances that may be required by law for the various Federal assista.Dce programs administered by ITA including the Capital Program. the Urbanized Area Formula Program; the Nonurbanized Area Formula Progtam, the . Metropolitan PJanning Program. the Rural ~ Aai.stance Program. the Elderly and Persons With Disabilities Program, the Human Resource Program, the National Training Institute Program. . the State Planning and Research Program. and the National P~ and Research Program,all codified at 49 . U.S.c. chapter 53. When administering Federa1.mllfmce programs authorized by other Federal statutes, such as ntJe 23. United States Code, ITA uses these same certifications and assurances during Federal fiscal year 1996. This Notice also provides the applicant with a single Signature Page on which the applicant and its attomey certifies compliance with all certifications and assurances applicable to each grant or COOperative agreement for which the applicant wishes to apply in Federal Fiscal Year 1996. (See Appendix B.) ITA is expanding the use of the two electronic programs for applicants introduced last year. The On.Line Program is offered to applicants through the Grant Management Information System (GMIS). This is a computerized I TransportIIlioD projecta for tti- atata are administaracl by R.tliOD 8 but anposrapbically in Resioo II. system designed to assist the ITA grantee or recipient of a cooperative agreement in managing its ITA assisted projects and their budgets. All applicants are encouraged to participate in the Qn.Line Program, which includes the opportunity to certify compliance electronically for all certifications and assurances selected among those in Appendix A. The Electronic Grant Making and Management initiative (EGMM) pilot program initiated in Federal Fiscal Year. 1995 has proved so successful in reducing time and paper that EGMM win continue to be offered to more applicants. ~plicants may contact their Regioba! Office shown above for more information. This 1996 Annual Certifications and Assurances document contains changes to the previous year's Federal Register . publication. Specifically. the separate Category selection for Procurement has been eliminated. In its place. paragraph "H" has been added to Category I. This affects each applicant which is now required by FT A Circular 4220.1C. -rhird Party Contracting Requirements" dated October I, 1995. to self-certify its procurement system's compliance. Three additional changes have been made to the Annual Certifications and Assurances. One is the Urbanized Area Formula Program certification requirement for sole souroe purchases of associated capital maintenance items. which has been added as paragraph C. . in Category XL ITA has also redrafted the previous transit security and intercity bus expenditure requirements to remove the need for the Applicant to indicate whether or not it will expend the percentage of funds at issue. with the result that the applicant is no longer required to indicate which option it has selected. This decision can be made at a later date and documentation may then be made available to ITA when requested. See paragraph A(10) of Category XI and paragraph P of Category xm. These changes eliminate previous options under Categories XI and xm. now permitting the applicant to signify compliance with all Categories by placing a single "X" in the appropriate space at the top of the Signature Selection Page in Appendix A. ITA directs your attention to FI' A Circular 9300.1. "Capital Program Grant Application Instroctions." .which was published on September 29.1995. That circular contains a previous draft version of the Annual Certifications and Assurances which includes some but not all of the most cunent and valid changes. Therefore the provisions of this Notice supersede conflicting statements in that circular. Note especially that the Applicant must use the most cunent . , T .........,--~-----~.,'-_...."',,"'--'^~,.""""~,.."" Federal Register I Vol. 50, No. 226 I Friday, November 24, 1995 I Notices 58177 " .ture Pages shown in this Federal KegIster document or provided concurrently through the EGMM initiative discussed above. ~.ckpuund Last year, with the publication of the Federal fiscal year 1995 counterpart of this Notice, certifications and assurances for Federal assistance programs adminichored by ITA were for the first time consolidated into one document. This marked the.beginning of an effort to assist applicants in reducing time and paper work in certifying compliance with-v.arious Federal laws and regulations. It coiricided with the On-Une Program and the EGMM initiative desai.bed above, which also reduced the time and .paper required to process an application. This publication of certifications and assuranoes.thereforecontinues to supersede the requinunents of ITA Crcular 9100.1B, dated July I, 1988, "Standard.Assurances lor Urban Mass Transportation Administration Applications," which was.rescinded. Other FT ^ ciro1lars affected.by this Notice will'be-revised.accordingly. These-mmual certifications and usurancenvith the Signature Page also .continue to supersede a Statement of ... .,.. Continued VaUdity now no longer required. However, the applicant's Attorney Affirmation continues to be required as indicated on the Signature Page at the end of Appendix B. FT A intends to continue publishing this document annually with any changes Or additions'specifically highUghted, in conjunction with its publication of the Fl'(\ annual -apportionment Notice, which allocates funds to accordance with the latest U.S. Department of Transportation (U.s. DOT) annual appropriations act. Procedures Following is a detailed compilation of Certifications and Assurances (Appendix A), followed by a Signature Page (Appendix B). The Signature Page is to be' signed by the applicant's authorized representative and its attomey (the attorney's current affirmation may be on file in some instances), and sentio the appropriate Fl'A Regional office by: (1) the first- quarter lIpplication submission date published in Fl'A's Federal fiscal year 1996 apportionment announcement; or (2) with the lIpplicant's first Federal assistanca.applicati9D in Federal.fiscal year 1996. The Signature Page, when properly signed and submitted to FTA, assures FTA that the applicant intends to comply with the requirements for the specific program involved. Both sides of the Signature Page must be completed, first by marking where appropriate with an "X" on the category selection side, and then signifying compliance by signing the signature side. (See Appendix B.) AnJlpplicant participating in the On- Une Program or.the EGMM Program desaibedabove. may submit its Signature Page (both the selection side and the signat~9de) electronically. The applicant sli6iild not hesitate to consult with the appropriate Regional Office or Headquarters Office before submitting its certifications and assurances. a.f_ms "9 U.s.G. chapter 53. Title 23 U.S.G..42 U.s.G. 4151. Title VI and Title vn of the Civil Rights Act. FfA regulations under 49 CFR. and FfA Circulars. Iauecl: November 17. 1995. Gonloo J. Liuton. i\dministMlor. " KIJNQ CODE ..'W7.... ..- ~-,-..<...""..-... S8118 Federal Register I Vol. 60, No. 226 I Friday, November 24, 1995 I Notic~ . - - Appendix A -FEDERAL FISCAL YEAR 1996 CERTIFICATIONS AND ASSURANCES FOR FEDERAL TRANSIT ADMINISTRA TION 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 subrecipjents 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,.o,ther side of the Signature Page document. Categories II through 'XIII will apply to som~ but not all applicants. The categories correspond .to the following descriptions or circumstances mandating submission or specific certifications, assurances, or agreements: I. CERTIFICA nONS AND ASSURANCES REOUIRED OF EACH APPLICANT Each.Applicant for Federal assistance awarded by ITA must make all certifi~tions and assurances in this Category L Accordingly, ITA may not award any Federal assistance until the Applicant provides assurance of compliance by selecting Category I on the Si~nature Page at the end of this document. A. Authority of Applicant and Its RCJlresentative The authorized representative of the Applicant and legal counsel who sign these cenifications, 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: (I) Execute and file the application for Federal assistance on behalf of the Applicant, (2) Execute and file the required cenifications, assurances, and agreements on behalf of the Applicant .binding the Applicant, and . q) Execute grant and cooperative agreements with Fr A on behalf of the Applicant. B. Standard Assurances The Applicant assures that it will comply with all applicable Federal statutes, regulations, executive orders, FT A 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 continuil\g obligation to comply with the terms and conditions of the grant or cooperative agreement issued for its approved project with FT A. 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 FT A issues a written determination otherwise. ITA Ccruficallons and Assurances (or Fiscal Year 1996 -.-----...,.........,- ,,"' ~ -- _.......-......-...-.,~~..--~-'.......,......- -".~_.----"'" ~ ... 'f' ~ Federal Register I Vol. 50, No. 226 I Friday,.November 24, 1995 I Notices 58179 Appencfix A C. Debarment. Suspension and Other Responsibility Matters - Primary Covered Transactio~ As required by U.S. DOT regulations on Govemmentwide Debannent and Suspension (Nonprocurement) at 49 CFR 29.510:' (I) The Applicant (Primary Panicipant) certifies to the best of its knowledge and belie( that it and its principals: (a) Are not presently debarred, suspended, proposed for debarment. declared ineligible. or voluntarily excluded from covered trartsactions 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 aiminal offense in connection with "obtaining. attempting to obtain, or performing a public (Federal, state, or local) tl'ansaction or contract under a public transaction; violation ofFederaJ 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 defauh. (2) The Applicant also cenifies that it: later, it becomes aware of any infonnation contradicting the statements of paragraphs (a) through (d) above, it will promptly provide that infonnation to FT A. (3) If the Applicant (Primary Panicipant) is unable to certify to the statements within paragraphs (I) and (2) above, it shaU indicate so on its Signature Page and provide a written explanation to FT A. D. Drull-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: (I) 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 prograInto inform its employees about: (a) the dangers of drug abuse in the workplace; (b) the Applicant's policy ofrnaintaining 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 perfonnance of the grant or cooperative agreement be given a copy of the statement required by paragraph (] ); (4) Notifying each of its employees in the statement required by paragraph (]) 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 ofthC? statement, and (b) notify the employer (Applicant) IT A Certifications and Assurances for Fiscal Year 1996 2 "r ,.."..."."..;"...,."...."'..~,O>..,.,~,"""'""~~"'--"......__;~ ...... t. ~ -quo Federal Register I Vol. 60, No. 226 I Friday, November 24, 1995 I Notices Appendix A - in writing of his or her conviction for a violation of a aiminaJ drug statute OCCUrring in the workplace no later than 5 calendar days after that conviction; (5) Notifying Ff A 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, cohsl'stent with the requirements of the Rehabilitation Act of 1973, as amended, or (b) by requiring that employee to panicipate 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 (I), (2), (3), (4), (5), and (6) above. The Applicant has or will provide to FT A a list identifYing its headquaners location and each workplace it maintains in which project .activities supported by FT A are conducted. E. Intenzovemmental Review Assurance The Applicant assures that each application for Federal assistance submitted to FT A has been or wiU be submitted, as required by ea~ 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 regul~tions, "Intergovernmental Review of Depanment of Trans po nation Programs and Activities," 49 CFR pan 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 t"egulations. "Nondiscrimination in Federally-Assisted Programs of the Depanment ofTransponation - Effectuation of Title VI of the Civil Rights Act," 49 CFR pan 21 at 2 J .7, the Applicant assures that it will comply with aJI requirements of 49 CFR pan 21; FT A Circular 4702. J. "Title VI Program Guidelines for Federal Transit Administration Recipients"; and other applicable directives, so that no person in the United Stat~s, on the basis of race, color, natiOnal origin, creed, sex, or age will be excluded from panicipation in be denied the benefits of, or otherwise be subjected to discrimination in any program or activity (p.snicuJarly in the level and quality of transponation services and transponation-related benefits) for which the Applicant receives Federal assistance awarded by the U.S. DOT or FT A as follows: (1) The Applicant assures that each project will be conducted, property acquisitions will be undenaken, and project facilities will be operated in accordance with aJl applicable requirements of 49 U.S.c. 5332 and 49 CFR pan 21, and understands that this assurance extends to its entire facilitv and to facilities operated in connection with the project - . fT A Ccnificalions and Assurances for Fiscal Y car 1996 3 i -~ .-...~-"-",>.-..~..<..._~-._--~...~._~--._.;"._,~~..~..._"-,._~--"'-_.. '....--~_._-.,..._'-'._, Federal Register I Vol. 50, No. 226 I Friday, November 24, 1995 I Notices 58181 Appendix A (2) The Applicant assures that it will take appropriate action to ensure that any transferee receiving propeny financed with Federal assistance derived fromFT A will comply)Vith the applicable requirements of 49 U.S.c. 5332 and 49 CFR part 2 I. (3) The Applicant assures that it will promptly take the necnsary actions to effectuate this assurance., including notifying the public that complaints of disaimination in the provision of transponation-reJated services or benefits may be,filed with U.S. DOT or FT A. Upon request by U.S. DOT or FT A, 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 &J:1Y changes in its.49 U.S.C 5332 and Title VI implementing. procedures as U.S. DOT or FTA may request. (5) As required by 49 CFR 21. 7(a)(2), the Applicant will include appropriate clau~jn each third. party contract or subagreement to impose the requirements of 49 CFR part 21 and 49 USe. 5332, and include appropriate provisions imposing those requirements in deeds and instruments recording the transfer of real property, structures, improvemems. G. Assurance of Nondiscrimination on the Basis ofDisabiJity 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 CPR 27.9, implementing the Rehabilitation Act of J973, as amended, and the Americans with Disabilities Act of J 990, the Applicant assures that, as a condition to the approval or extenSion of any Federal assistance awarded by FT A to construct any facility, obtain any rolling stoclc or other equipment, undenake studies, conduct research, or to participate in or obtain any benefit from any program administered by FT ~'oo otherwise qualified person with a disability shaD be, .soleJy by reason of that disability, excluded from participation in, denied the benefits ot: or otherwise subjected to discrimination in any program or activity receiving or benefitiog from Federal assistance administered by the FT A 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 ofJ973, as amended, and the Americans with Disabilities Act of J 990, and any later amendments thereto, at 49 CFR parts 27, 37, and 38, and any applicable regulations and dir~ves isan:d by other Federal departlnents or agencies. H. Procurement Com~liance The Applicant cenifies that its procurements and procurement system will comply with all applicable requirements imposed by Federal laws, executive orders, or regulations and the requirements ofFT A Circular 4220. J C, -Third Party Contracting Requirements, - and other implementing guidance or manuals FT A may issue. The Applicant certifies that it will include in its contracts financed in whole or in pan with FT A assistance all clauses required by Federal laws, executive orders, or regulations, and will ensure that each subrecipient and contractor will also ' include in its subagreemems and contracts financed in whole or in pan with FT A assistance all applicable clauses required by Federal laws, executive orders, or regulations. ITA Cenifications and Assurances for Fiscal Year 1996 .. l "......~,._._~'~~_..._.~-~~_.,~~.........._---.".....~-",.-~..--- "8:(,82 Federal Register I Vol. 50, No. 226 I Friday; November 24, 1995 I Notices Appendix A ~ II. LOBBYING CERnFICA nON REOUIRED 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. FT A may not provide Federal assistance for an application exceeding $100,000 until the Applicant provides this certification by sdecting Category II on the Signature Page. A. As required by V.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: (J) 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 penaining 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 agency, a Member of Congress, an officer.or employee of Congress, or an employee ofa Member of Congress in connection with any application to FT A for Federal assistance, the Applicant assures that it will complete and submit Standard Form-LU., "Disclosure Form to Repon 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 submissjon of this certification is a prerequisite for providing Federal assistance for a transaction covered by 3 I V.S.C. 1352. The Applicant also understands that any person who fails to file a required certification shan be subject to a civil penalty of nOl less than $10,000 and not more than $100,000 for each such failure. m. PUBLIC HEARING CERDFlCA nON REOUIRED FOR EACH PROJECT {EXCEPT URBANIZED AREA FORMULA PROJECTS) mAT WILL SUBSTANTIALLY AFFECT A COMMUNIlY OR ITS TRANSIT SERVICE An Applicant for Capital Program assistance or other Federal assistance (except Urbanized Area Fonnula Program assistance), that will substantially affect a community or . its transit service must provide the following certification. FfA ma.j not award that Federal assistance until the Applicant provides this certification b, selecting Category fir 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 opponunity 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; FT A Cenificalions and Assurances for Fiscal Y car 1996 s .. i .. -= Federal Register I Vol. 50, No. 226 I Friday.' November 24, 1995 I Notices 58183 Appel.dix A B. Held that. hearing and provided FT A a transcript or detailed repon summarizing the issues and responses, unless no one with.a significant economic. social, or environmental interest requests a hearing; C. Considered the economic, social, arid environmental effects of the project; and D. Detennined the project to be. consistent with official plans for developing the urban area. IV. CERTIFICATION OF PRE-AWARD AND POST-DELIVERY ROLLING STOCK . i VIEWS REOUIRED FOREACH APPLI ANT EEKING TO PURCHASE ROLLING STOCK FINANCED W11l1 FEDERAL ASSISTANCE A W ARDE~,I!Y FTA An Applicant seeking FTA.assistance to purchase rolling stock must make the following ceniflcation. ITA may not provide assistance for any rolling stock acquisition until the . Applicant provides this cenification by selecting Category IV on the Signature Page. .As required by.49 U.S.C...5323(1), and implementing FT A regulations at 49 CPR 663.7, the Applicant certifies that it will complywiththe.requirements of 49 CFR pan 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-de1i.very reviews, and will maintain on file the certifications required by 49 CFR. pan 663. subparts B, C. and D. .An Applicant "eeking FTA assistance to acquire DeW. buses.must make the following certification. ITA 'may aot.provide "USistaace for the acquisition of aew buses until the I\pplicant provides -tbis certification by selecting Category V on tbt Signature Page. V. BUS TESnNG CERnFlCA nON REQUIRED FOR NEW BUSES As required by FT A regulations. "Bus T-esting, ~ 8149 CFR 665,7, the Applicant certifies that before.expending any Federal,assistanceto .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 pan 665): A. The model of the bus will have been 1ested at a bus testing facility approved byFT A; and B. It will have received a .copy of the test repon prepared on the bus model. VI. CHARTER BUS AGREEMENT .An Applicant seeking ITA assistance to acquire buses must enter into the following charter bus agreement. ITA may not provide assistance.for .bus projects until the Applicant enten into this agreement by selecting Category VI on the Signature Page. A. As required by 49 U.S.c. S323(d) and FT A regulations, "Chaner Service," at 49 CFR 604.7, the Applicant agrees that it and its recipients will: (J) provide-au.ner service that uses equipment IT A Ccnificallons and Assurances for Fiscal Year J 996 6 T .._-."_.."'"...._~~"4'.'o"....,..~,~_...,.,. ..... ., 1 Federal Register I Vol. 60. No. 226 I Friday. November 24, 1995 I Notices Appendix A - or facilities acquired with Federal assistance authorized for 49 U.S.C: 5307, 5309, or S3 I I or Title 23 V.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 eFR 604.9 applies, and (2) comply with the provisions of 49 CFR part 604 before they pTOvide any chaner service using equip~ent or facilities acquired with Federal assistance authorized for the above statutes. B. The Applicant understands that the requirements of 49 CFR pan 604 will apply to any chaner service provided. the definitions in 49 CFR part 604 apply to this agreement. and violation'ofthis agreement may require corrective measures and the imposition of penalties, including debarment from the receipt offunher Federal assistance for transponation. '.l" VU. SCHOOL BUS AGREEMENT An AppJi~nt seeking FTA assistance to acquire transportation facilities and equipment must agree as follows. FT A may not provide assistance for transportation facilities until the Applicant en ten into this Agreement by selecting Category VII on the Signature Page. A. As required by 49 V.S.C. 5323(f) and FfA regulations, "School Bus Operations," at 49 CFR 60S. 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 pan 60S before providing iny 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 Ff A for transponation projects. . B. The Applicant understands that the requirements of 49 CFR pan-60S will apply to any school bus service it provides, the definitions of 49 CFR part 60S apply to this school bus agreement, and a violation of this agreement may require correcti~e measures and the imposition of penalties,. including debarment nom the .receipt of funher Federal assistance for transponation. VIII. CERTIFICATION REOUIREDFOR THE DIRECT AWARD OF FTA ASSISTANCE TO AN APPLICANT FOR ITS DEMAND RESPONSIVE SERViCE An Applicant seeking Federal assistance direcdy to support its demand responsive service must provide the following certification. FT A may not award Fedrral assistance directly to an Applicant to support its demand responsive service until the Applicant provides this certification by selecting Category VIU on the Signature Page. As required by U.S. DOT regulations, "Transponation 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 provid~ in the most integrated setting feasible and is equivalent ITA Cenificalions and Assurances for Fiscal Year 1996 7 .. . T" ..... Federal Register / Vol. 60. No. 226 / Friday. November 24. 1995 / Notices 58185 .'\-..... Appendix A wi:h respect to: (I) respons~ 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, an.: (7) constraints on capacity or service availability. IX. SUBSTANCE ABUSE CERTIFICATIONS REOUIRED BY JANUARY 1.1996 All Applicant ~uired by Federalngulationstoprovide1be fOllowing substance abuse certifications, must do so by January 1, 1996. FT A may not provide Federal assistance nDtiJ an Applicant required to provide tbe following certifICations by January I, 1996 bas sdetted Category IX on tbeSignature Page. '_" A Alcohol Testim! Certification As :-equired 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, 1.996. established am: 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 Ack:inistration (FRA), !he Applicant <also certifies that it has for those employees an alcohol mis:se prevention program complying with the requirements ofFRA'S1"egUlations, "Control of AJc..~ol and Drug Use; 49 CFR part 219. B. -~ti-Drue Pm2nlm Certification As r:quired byU A regulations, "Prevention of Prohibited Drug.Use in Transit Operations," at 4 9 . CFR. 653.83. thel\ppJicant certifies that.rit has or will have. before January I. 1996. established and mp1emented 811 anti-dn1g program -and bas condu~'employee training complying -with the reqtir.ements of 49 CFR Pan--6S3;..and ifthe-Applicam has'employees requlated by FRA. the Appicant also. certifies that it-'nas for those employees an,anti-drug program complying with the requrememsofFRA!s regulations, "Control-of Alcohol ana Drug Use, .. 49-CFR part 219. x.. ASSURANCES REOUIRED.FOR.PROJECTSINVOLVlNG REAL PROPERTY Th~ .-\pplic:ant must provide tlte following assurances in connection with each application for Federal assistance to acquin (purchase or lease) real property. .FTA.may not award ~maJ assistance (or a project involving real property until the Applicant prov.ides tbese assurances shown by selectiog Category Xon tbe Signature Page. A ~ocation and Real Property Acquisition Assurance As r~uired by U.S. DOT regulations, "Uniform Relocation Assistance and Reat"Propeny Acqusttion for Federal and Federally Assisted Programs," at 49 CFR 24.4, and sections 210 FT A C:nifications and Assurances for Fiscal Year 1996 8 .. 'f .".,".....,.. -~".........-"~.<'''._.,'''~...~<~,...__................~~_.._.~._.,_"'_."..~_.v",---._.,."........._ .Federal Register I Vol. 60, No. 226 I Friday, November 24, 1995 I Notices Appendix A and 305 of the Uniform Relocation Assistance and Real Propeny 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 Relocation Act, 42 U.s.C. 4601 et ~., and U.S. DOT regulations, "Uniform Relocation Assistance and Real Propeny Acquisition f9r Federal and Federally Assisted Programs, " 49 CPR pan 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 CPR pan 24; (2) The Applicant will provide (air aod reasooable relocation payments and assistance required by 42 U.S.e. 4622: 4623, and 4624; 49 CFR pan 24; and any applicable ITA procedures, to or for f.unilies, individuals, Partnerships, corporations or associations displaced as a result of ariy J>rojec1 financed with ITA assistance; . (3) The Applicant will provide relocation assistance programs offering the services described in 42 U:S.e. 4625 to such displaced families, individuals, partnerships, COrporations or associations in the manner provided in 49 CPR pan 24 and ITA 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.e. 4625(c)(3); (5) The Applicant Will carry out the relocation process in such a manner as to provide displaced persons with uniform atfd 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 propeny, the Applicant will be guided to the greatest extent practicable under state law, by the real propeny acquisition policies of 42 U.S.c. 4651 and 4652; . (7) The Applicant will payor reimburse propeny owners for necessary expenses as specified in 42 U.S.c. 4653 and 4654, understanding that ITA wiD participate in the Applicant's COsts of providing those payments and that assistance for the project as rcq'uired by 42 U.S.c. 4631; (8) The Applicant will execute such amendments to third party contracts and subagreements financed with ITA assistance and execute, furnish, and be bound by such additional documents as ITA may determine necessary to effectuate or implement the assurances provided herein; and (9) The Applicant agrees to make'this document.pan of and incorporate it by reference in any third pany contract or subagreement, or any supplements and amendments' thereto, relating to any project financed by IT A involving relocation or land acquisition and provide in any affected document that these relocation and land acquisitio~ provisions shall supersede any COnflIcting provisions. . - B. Flood Insurance Coverage As required by section ]02(a) of the Flood Disaster PrC?tection Act ofJ~73, 42 U.S.c. 40]2a(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 undenaken thereon within any special flood hazard area as identified by the Federal Insurance Administrator The Applicam understands that such insurance is available in the panicipating area through the U.S. Federal Emergency Management Agency's National Flood Insurance Program . FTA Cenifications and Assurances for .Flscal Year 1996 9 l ..", -.^.----.....,.,.-..~-~..,."..~-"".,....""..--..,,,...'.....,.,_..,...."..~,,",...__w~'.m"_"~w Federal Register I Vol. 60, No. 226 I Friday, 'November 24, 1995 I Notices 58187 "" Appendix A C. Seismic Assurance As required by U.S. DOT regulations, .Seismic Safety,. 49 CFR 4 I. ) ) 7(d), the Applicant assures that before it accepts delivery of any bUilding financed with Federal assistance provided by FT A, the Applicant wi)) obtain a cenificate of compliance with the sei mc design and construction requirements of 49 CFR pan 41. XI. CERTIFICA nONS REOUIRED FOR THEURBAN~EDAREAFORMULAPROGRAM E,ach Applicant to ITA for Urbanized Aru Formula Program assistance authorized for 49 U.S.c. 5307 must provide the foUowing certifications in connection with its application. ITA 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 Reauired bv Statute As required by 49 V.S.C. 5307(d)(J)(A) through (1), the Applicant certifies that: (1) It has or will have the legal, financial, and technical capacity to cany 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 wi)) 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 herselfunder title II or titJe.XVID of the Social Security Act (42 V.S.C. 401 ~~. or 42 V.S.C. 1395 ~ sg.), will I?e charged during non-peak hours for transportation using or involving a facility or equipment of a project financed with Federal assistance authorized for 49 V.S.C. 5307 riot mor.ethan50 percent of the peak hour fare; (5) In carrying out a procurement financed with Federal assistance authorized for the Vrbanized Area Fonnula Program at 49 V.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 V.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 Vrbanized Area Fonnula Program at 49 U.S.c. 5307 and the program of projects it proposes to undenake with those funds~ (b) develop, in consultation with inter~ted panies, including private transportation providers. a proposed program of projects for activities to . be financed; (e) publish a proposed program of projects in a way that affected citizens, private transportation providers, and local elected officials have the opponunity 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 FT A unifications and Assurances for Fiscal Y car 1996 10 .. T ~~M"'.__"""",,,,~,,~,_,,~__,,,,,,__~ ........ T ._".....~__.______~--........,; .".,-,.~__~.,~,_ ".~ Federal Register I Vol 60, No. 226 I Friday, Nov~ber 24, 1995 I Notices Appendix A assisted by another Federal Government source; (f) consider comments and views received, especially those of private transponation 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 wilJ provide fne amount offunds required by 49 U.S.e. 5307( e) and applicable Fr A . policy (specifying Federal and local shares of project costs)~ (8) It wilJ comply with: (a) 49 V.S.C. 5301(a) (requirements to develop transponation systems that maximize'mobility and minimize fuel consumption 'and air pollution); (b) 49 V.s.e. 5301(d) (requirements for transportation of the elderly and persons with disabilities)~ (c) 49 V.S.c. 5303 through 5306 (planning requirements)~ and (d) 49 V.S.e. 53 10(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 raisil}&fares or implementing a major reduction of transponation~ and .. (J 0) As required by 49 V.S.C. 5307(d)(J)(J), it wilJ expend at least one percent of the amount of Federal assistance it receives for this fiscal year apponioned by 49 V.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), increased camera surveiUance 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. Cenification Required for Capital Leasing As required by FTA regulations. "Capital Leases," 49 CFR at 639.15(b)(J) and 639.21, to the extent that the Applicant uses Federal assistance authorized for 49 U.S.e. 5307 to acquire any capital asset by lease, the Applicant cenifies that: (I) It will not use Federal assistance authorized for 49 V.S.C. 5307 to finance the cost ofleasing any capital asset until it undenakes calculations demonstrating that.it is more cost-effective to lease the capital asset than to purchase or construct similar assets; (2) It wiU 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 FT A 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 Cenification Required for Sole Source Purchase of Associated Caphal Maintenance Item As required by 49 V.S.C. S32S(c), to the extent that the Applicant procures an associated capital maintenance item under the authority of 49 US.c. 5307(b)(J), the Applicant cenifies that it will use competition to procure an associated capital maintenance item unless the manufacturer or supplier of that item is the only source 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 FT A inspection. FT A Ccnlfications and Assurances for Fiscal Year 1996 II .. T -......"""......,....~._<~,.'"t".,.......",.___~-.........._____....~"""_~....""_,...,..,_,_.._._. Federal Ilegister I Vol. 60, No. 226 I Friday,' November 24, 1995 I Notices 58189 Appendix A Xu. CERTIFICATIONS AND 'ASSURANCES FOR mE ELDERLY AND PERSONS WITH DISABILITIES PROGRAM An Applica.t that intends to administer, on behalf of the .tate, the EJderty and Penons with Disabilities Program niust provide the foUowinc certifications. . ITA may not .ward . assistance for this program until tbe Applicant provides tbese certificatioas and assurances . by selec:ting Category XII on the Signature Page. Based on its own knowledge and, as necessary, on infonnation submitted by the subrccipient, the Applicant administering on behalf of the state the Elderly and Persons with Disabilities Program authorized by 49 V.S.C. 53 I 0 cenifies and assures that the foUowing requirements &r:I conditions will be fulfiJJed: A. The state organization serving as th~ Applicant and each subrccipient 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 subrccipient either is recognized under state law as a private nonprofit organization with the legal capability to contract with the state to cany out the proposed project, or is I 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.e. 53)0 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 conuniUed 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 assi~ce awarded for this project. F. The state assures that its Elderly and Persons with Disabilities Formula Program is included in the Statewide Transponation Improvement Progi-am as rcq~Rld by 23 t' S.C. US; and all projects in urbanized areas reconunended for approval are included in the annual element of the metropolitan Transponation Improvement Program in which the subrccipient is located. G. The subrecipient has. to the maximum extent feasible, coordinated with other transponation 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 Nondiscnmination Assurance. (Category I. G. -Certifications and Assurances Required of Each Applicant -) 1. The subrecipient will comply with applicable requirements of U.S. DOT regulations on panicipation of disadvantaged business emerprises in U.S. DOT programs. . J. The state wiJl comply with all existing Federal requirements regarding transponation oftbe elderly and persons with disabilities. The subrecipient has provided to the state an Assurance of Nondiscrimination on the Basis of Disability, as set fonh in the Certifications and Assurances required of each Applicant for FT A assistance. (Category I, F .Certifications and Assurances Required of Each Applicant. -) Ifnon-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 IT A Ccnlfications and Assurances for Fiscal Y car J 996 12 T .'"^"~"""""'~"~'-"""''''''''.-'--f. "'" Federal Register I Vol. 60, No. 226 I Friday, November 24, 1995 I Notices Appendix A subrecipient a "Certification of Equivalent Service," which states that. tt\" 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 Requir.ed for the Direct Award ofFT A Assistance to an Applicant for its Demand Responsive Service.") This "Cenification 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: (I) response time, (2) fares, (3) geographic service area, (4) hours and days of service, (S) 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 cenified to the state that it will comply with applicable provisioh5"of 49 CFR pan 60S pertaining to school bus operations. (See Category VII, "School Bus Agreement. It) 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 FHW AIFT A regulations, "Environmental Impact and Related Procedures, " at 23 CFR 771.1 I 7( c). The state certifies that financial assistance will not be provided for any project that does not qualifY for a categorical exclusion descnbed in 23 CFR 771. I 17(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 EnvironDlnltaJ Protection Agency's Clean Air Conformity regulations at 40 CFR parts S I and 93, until FT A makes the required conformity finding. . M. The subrecipient has submitted (or will submit) all certifications and assurances currentJy required, including, but not limited to: a nonprocurement suspension and debannent certification; a bus testing certification for new models; a pre-award and post-delivery review certification; and a lobbying certification for each application exceeding Sloo.ooo. 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 FT A's authority to conduct audits to verifY compliance with the foregoing requirements and stipulations. XIII. CERTIFlCA nONS AND ASSURANCES FOR THE NONURBAN~EDAREAFORMULAPROGRAM An Applicant that intends to administer, on behalf of the state. the Nonurbanized Area Formula Program must submit the following certifications and assurances. ITA may not award Non urbanized Area Fonnula Program assistance to tbe Applicant until tbe Applicant provides these certifications and assurances shown by se ,<<ting Category xm on the Signature Page. Based on its own knowledge and, as necessary, on info~tion submitted by the subrecipient, the Applicant administering on behalf of the state the Nonurbanized Area Fonnula Program ITA Certifications and Assurances fOT Fiscal Y caT 1996 13 .. T <^' ',.. --.._"........--~'~"--"~.;.~-~.....-t~..',..~_ - Federal Register I Vol. 60, No. 226 I Friday, 'November 24, 1995 I Noti~ 58191 Appendix A autho~ 'by 49 U.S.c. 53 I I 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 V.S.C. 531 I; 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 Pro~ is included in th~ ~tatewide Transportation Improvement Program as required by 23 V.S.C. J35;'and to the extent applicable, projects are included in a metropolitan TransPOrtation Improvement Program. E. The state has.provided for a fair and equitable distribution ofF~eraJ assistance authorized for 49 U.S.C. 53 J J 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 subrecipi~t will comply with applicable requirements of U.S. DOT regulations on panicipation 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 fom in the Certifications and Assurances required of each .AppliCGnt for FT J... assistance in Category I of this document. H non-accessible vehicles are being purchased for use by . public entity in demand responsive service for the general public, the state will obtain from the subrecipient a "Cenification ofEquivaJent 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 , "Certihcations and Assurances Required of Each Applicant.") This "Certification of Equivalent Service" mu~t 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: (I) 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 ofFT A Assistance to an Applicant for its Demand ~ponsive Service. ") 1. The subr~pient has complied with the transit employee protective provisions of 49 U.S.c. 5333(1)), by one of the following actions: (J) signing the Special Warranty for the J\"(jflurbani2ed Area Fonnula Program, (2) agreeing to alternative comparable arrangements approved by the Department of Labor (DOL), or (3) obtaining a waiver from DOL; and the state bus certified the subrecipient's compliance to DOL. K. The subrecipient has cenified to the state that it will comply with 49 CFR pan 604 in the provision of any charter service provided with equipment or facilities acquired with FT A FT A Ccnifications and Assurances for Fiscal Year 1996 14 .. 1 """'~'~"'_"""''''''_'''''''''.'~''o~~_~~,_--...~"",~... .,...... Federal Kegister I VoL 50, No. 226 I Friday, November 24, 1995 I Notices Appendix A assistance, and wiD also comply with applicable provisions of 49 CPR pc.rt 605 pertaining to school bus operations. (See Category VI, -Charter Bus Agreement,. and 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 FHW AIFT A regulations, "Environmental Impact and Related Pr~ures,. at 23 CPR 771.1 17(c). The state certifies that financial assistance will not be provided for any project that-does not qualify for a categoricaI exclusion described in 23CFR 77].] ]7(c) until FTA has made the required environmental finding. The state funher cenifies that no financial assistance will be provided for a project requiring a conformity finding in accordance with the EnvironmentaJ Protection Agency', Clean Air Conformity regulations at 40 CFR partsS] and 93. until FTA makes the requirtd conformity finding. . . M. The subrecipient has submitted (or will submit) all cenifications and assurances currently Tequired. including but not limited to: a nonprocurement suspension and debarment.cenification; a bus testing certification for new bus models; a pre-award and post-delivery review cenification; a lobbying .certification for each application exceeding $] 00.000; and ifrequired by FT A., an antHlrug program certification and an alcohol testing cenification. N. The state will enter into a written agreement with each subrecipient stating the terms and conditions of assistance bywhich the project will be undertaken and completed. O. The state recognizes FT A's authority to conduct audits to verifY compliance with the foregoing requirements and stipulations. P. As required by 49 V.S.C. S3] ] (f), it will expend not less than fifteen percent of the Federal assistance authorized for 49 U.S. C. 531] (f) it receives during this fiscal year to carry out a program to develop and suppon intercity bus tranSponation, unless the chief executive officer of the state or his or her duly authorized designee cenifies that the intercity bus service needs of the state are being adequately met. . Selection and Signature Pages follow ## ITA Certifications and Assurances for Fiscal Year 1996 IS .. T <. '"'"-'"'-"_~""__,..~...w.d...~..".~_.. .....