2003-254S:\Our Documents\Or~linances\03XPublic Transit Grant Ordinance.doc
ORDINANCE NO. ~00~- ~¢
AN ORDINANCE AUTHORIZING THE CITY MANAGER OR HIS DESIGNEE, TO FILE AN
APPLICATION, EXECUTE GRANTS AND SUBSEQUENT AMENDMENTS WITH THE U.S.
DEPARTMENT OF TRANSPORTATION FEDERAL TRANSIT ADMINISTRATION AND
THE TEXAS DEPARTMENT OF TRANSPORTATION FOR GRANTS AUTHORIZED BY 49
U.S.C. §5307 AND OTHER APPLICABLE LAWS; AND PROVIDING AN EFFECTIVE DATE.
WHEREAS, the Secretary of Transportation is authorized to award grants for mass
transportation programs; and
WHEREAS, the City is a recipient of US Department of Transportation Federal Transit
Administration funds authorized by Congress under 49 USC §5307 and the City is authorized to
make application for such fimds in accordance with 49 USC §5301, et seq., the National Capital
Transportation Act of 1969, as amended, the Transportation Efficiency Act for the 21st century of
1998, as amended, and other applicable laws; and
WHEREAS, the Grant Agreement, which incorporates the Federal Transit Administration's
Master Agreement, if approved, will impose certain obligations upon the City of Denton, including
providing local share project costs; and
WHEREAS, the estimated total amount of the eligible project cost is approximately
$1,000,000.00; and
WHEREAS, the U.S. Department of Transportation requires, in accordance with the
provisions of Titles VI and VII of the Civil Rights Act of 1964, as amended, that the applicant give
an assurance that it will comply with Title VI of the Civil Rights Act of 1964 and the Department of
Transportation requirements thereunder and other applicable federal laws and regulations; and
WHEREAS, it is the goal of the applicant that disadvantaged business enterprises be
utilized to the fullest extent possible in connection with the project, and that defmite procedures
shall be established and administered to ensure that disadvantaged businesses shall have maximum
construction contracts, supplies, equipment, contracts, or consultant and other services to the extent
allowed by law; and
WHEREAS, The State of Texas is authorized under Tex. Trans. Code Ch. 455, to assist
the City in procuring federal aid for establishing and maintaining public and mass transportation
projects; NOW, THEREFORE,
THE COUNCIL OF THE CITY OF DENTON HEREBY ORDAINS:
SF. CTIOlXl 1 The City Manager, or his designee, is authorized to file applications and
execute grants and subsequent amendments on behalf of the City of Denton, Texas, with the U.S.
Department of Transportation and the Texas Department of Transportation to aid in the financing of
public transportation pursuant to 49 U.S.C. §5307.
,qRt2TTON 2 The City Manager, or his designee, is authorized to execute and file an
assurance or any other document required by the U.S. Department of Transportation effectuating
the purpose of Titles VI and VII of the Civil Rights Act of 1964.
,qRCTION 3 The City Manager, or his designee is authorized to furnish such additional
information, assurances, or certifications as the U.S. Department of Transportation may require in
connection with the program of projects.
,ql~I2TION 4 The City Manager, or his designee, is authorized to set forth and execute
disadvantaged business enterprise policies.
,~RCTION 3, The City Manager, or his designee is authorized to make an application with
and then execute a Public Transportation Contract, and subsequent amendments, on behalf of the
City of Denton, Texas, with the Texas Department of Transportation to aid in the financing of
public transportation, and to execute any other certifications with the inclusion of other applicable
laws, including discretionary fired'rog, or documents which are necessary to implement the
Contract, and to expend the necessary funds as may be required by the condition of the grant.
SF. CTION fi This ordinance shall become effective immediately upon its passage and
approval.
PASSED AND APPROVED this the /q'~dayof ~2//Z2LLd~ ,2003.
EULINE BROCK, MAYOR
ATTEST:
JENNIFER WALTERS, CITY SECRETARY
APPR/OVED AS TO LEGAL FORM:
HERBERT L. PROUTY, CITY ATTORNEY
BY:
PAGE 2
City of Denton
STATE/LOCAL PUBLIC TRANSPORTATIONGRANT AGREEMENT
GRANT AGREEMENT NO,: URB 0401(18)
STATE PROJECT NO, 514 18F7047
SERVICE AREA: City of Denton
THE STATE OF TEXAS
THE COUNTY OF TRAVIS §
STATE/LOCAL URBAN PUBLIC
TRANSPORTATION GRANT AGREEMENT
THIS GRANT AGREEMENT is made by and between the State of Texas, acting through the Texas
Department of Transportation, hereinafter called the "State," and the City of Denton, hereinafter
called the "Recipient."
WITNESSETH
WHEREAS, Transportation Code, Chapter 455, authorizes the State to assist the Recipient in
procuring aid for the purpose of establishing and maintaining public and mass transportation projects
and to administer funds appropriated for public transportation under Transportation Code, Chapter
456; and,
WHEREAS, the Recipient, as a 49 U.S.C. Section 5307 urban provider, submitted an application for
state financial assistance to be used to provide transportation services as described in Attachment A;
and,
WHEREAS, the Texas Transportation Commission has approved the request Minute Order Number
109328;
NOW, THEREFORE, in consideration of the premises and of the mutual covenants hereinafter set
forth, the State and the Recipient hereto agree as follows.
AGREEMENT
ARTICLE '1. GRANT PERIOD
This grant agreement becomes effective when fully executed by both parties or on September 1,
2003, whichever is later. This grant agreement shall terminate on August 31, 2004 unless terminated
or otherwise modified as hereinafter provided.
ARTICLE 2. PROJECT DESCRIPTION
The Recipient shall commence, carry out and complete the public transportation project described in
Attachment A, Approved Project Description, with all practicable dispatch, in a sound, economical and
efficient manner. The Recipient shall carryout the public transportation project described in
Attachment A, Approved Project Description in accordance with the provisions of the Project
Description, this grant agreement, federal and state law, and federal and state regulations.
If applicable, the Recipient shall begin competitive procurement procedures no later than thirty (30)
days after the effective date of this grant agreement for the purchase of the approved line item(s)
referenced in Attachment B, Approved Project Budget. No later than sixty (60) days after the
issuance of public notification, the Recipient shall publicly open all bids. The Recipient shall issue a
purchase order no later than thirty (30) days after the opening of an acceptable bid. The Recipient
shall notify the department in writing when it is necessary to exceed these deadlines.
ARTICLE 3. COMPENSATION
A. The maximum amount payable under this grant agreement without modification is $277,222
provided that expenditures are made in accordance with the amounts and for the purposes
authorized in Attachment A, Approved Project Description and Attachment B, Approved Project
Budget.
B. The State's reimbursement to the Recipient is contingent upon the availability of appropriated
funds. The State shall have no liability for any claims submitted by the Recipient or its
subcontractors, vendors, manufacturers or suppliers if sufficient federal or state funds are not
available to pay the Recipient's claims.
C. To be eligible for reimbursement under this grant agreement, a cost must be incurred within the
grant agreement period specified in Article 1, Grant Period, and be authorized in Attachment A,
Approved Project Description and Attachment B, Approved Project Budget.
D. The Recipient must submit requests for reimbursement to the State no more frequently than
monthly and no later than forty-five (45) days after the date of the invoices submitted for
reimbursement. The Recipient will use invoice statements acceptable to the State. Additional
documentation to support any cost incurred during the billing period may be required at the
discretion of the State. As a minimum, each billing must be accompanied by a summary by
budget line item which indicates the total amount authorized for each line item, previous
expenditures, current period expenditures and the balance remaining in the line item.
E. The original and one copy of the invoice is to be submitted to the following address:
District Engineer
Texas Department of Transportation
P.O. Box 133067
Dallas, Texas 75313-3067
F. The State will make payment within thirty (30) days of the receipt of properly prepared requests
for reimbursement.
G. The Recipient will submit a final billing within forty-five (45) days of the completion or termination
of the grant agreement in accordance with Article 1, Grant Period.
H. The Recipient shall pay all subcontractors and vendors for work performed within ten (10) days
after the Recipient receives payment for the work performed by the subcontractor. Also, any
retained monies on a subcontractor's work shall be paid to the subcontractor within ten (10) days
after the Recipient receives any retainage payment. The State shall not be responsib!e for the
debts of the Recipient.
The above requirements are also applicable to all sub-tier subcontractors and the above
provisions shall be made a part of all subcontracts.
Failure to comply with any of the above requirements may cause withholding of payments to the
Recipient and will be grounds for termination of this grant agreement by the State.
ARTICLE 4. AMENDMENTS
A. Except as noted below, changes in the scope, objectives, cost or duration of the project
authorized herein shall be enacted by written amendment approved by the parties hereto before
additional work may be performed or additional costs incurred. Any amendment so approved
must be executed by both parties within the grant period specified in Article 1, Grant Period.
B. The Recipient is authorized to re-budget without a formal amendment when the proposed
revision involves an increase in one category and a corresponding decrease in another,
provided however, that any such revision meets all of the following criteria:
1. Does not result in the need for additional funds; and,
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2. Does not exceed ten percent of the current total approved budget and the federal or state
funding exceeds $100,000; and,
3. Does not involve a transfer of funds from an authorized capital equipment purchase to
another category; and,
4. Does not involve a transfer of funds from training to another expense category; and,
5. Does not involve a transfer of funds from construction to a non-construction category; and,
6. Does not involve a transfer of funds from a direct to indirect cost category.
If a proposed revision meets all of the criteria listed above, the Recipient must notify the State in
writing before the revision is made, describing the revision, explaining the need, and certifying
that it complies with the above criteria.
ARTICLE 5. SUBCONTRACTS
The Recipient shall not enter into any subcontract with individuals or organizations for the purchase of
equipment and/or to provide professional services without prior authorization and consent to the
subcontract by t he State. Subcontracts i n excess o f $ 25,000 s hall contain a II required provisions
required by state or federal law. Recipients shall furnish the department notice of the intent to award
a purchase order or contract to any individuals or organizations not a part of the Recipient's
organization when the amount of the purchase meets or exceeds the threshold level in the
Government Code or Local Government Code (or $15,000 for those entities not covered by the
Government Code or Local Government Code) requiring formal competitive procurement. Purchases
shall not be split out to stay below the threshold amount. No subcontract will relieve the Recipient of
its responsibility under this grant agreement.
ARTICLE 6. AUDIT REQUIREMENTS
Recipient audit procedures shall meet or exceed the audit requirements outlined in applicable Federal
Office of Management and Budget (OMB) publications as follows:
OMB Circular A-21, Cost Principles for Educational Institutions
OMB Circular A-87, Cost Principles for State and Local Governments
OMB Circular A~122, Cost Principles for Nonprofit Organizations
OMB Circular A-133, Audits of States, Local Governments and Non-Profit Organizat!ons
ARTICLE 7. PROCUREMENT STANDARDS
Recipient procurement standards shall meet or exceed the requirements of 49 C.F.R. §18.36
including standards for competitive procurements; methods of procurement; contracting with small.
and minority firms, women's business enterprise and labor surplus area firms; contract cost and price;
awarding agency review; insurance and bonding.
The Recipient's procurement system must include but not be limited to the following procurement
standards.
A. Procurement procedures which reflect applicable state and local laws and regulations, provided
that the procurements conform to applicable federal law and the standards identified in this
section.
B. A contract administration system which ensures that contractors perform in accordance with the
terms, conditions, and specifications of their contracts or purchase orders.
C. A written Code of standards of conduct governing the performance of employees engaged in the
award and administration of contracts. No employee, officer, or agency of the Recipient shall
participate in selection or in the award or administration of a contract supported by state or
federal funds if a conflict of interest, real or apparent, would be involved.
D. A process for review of proposed procurements to avoid purchase of unnecessary or duplicative
items.
E. Use of state and local intergovernmental agreements for procurement or use of common goods
and services to foster greater economy and efficiency.
F. Use of value engineering clauses in contracts for construction projects.
G. Awards made only to responsible contractors possessing the ability to perform successfully
under the terms and conditions of a proposed procurement, giving consideration to such matters
as contractor integrity, compliance with public policy, record of past performance, and financial
and technical resources.
· H. Records sufficient to detail the significant history of procurement, including rationale for the
method of procurement, selection of contract type, contractor selection or rejection, and the
basis for the contract price.
I. Limited use of time-and-materials contracts.
J. Use of good administrative practices and sound business judgment to settle contractual and
administrative issues arising out of procurements.
K. Protest procedures to handle and resolve disputes relating to procurements and prompt
disclosure to the State of information regarding the protest.
L. Procurement transactions conducted in a manner that provides full and open competition.
M. If equipment or real property is transferred to a Recipient, that equipment or real property shall
be owned and operated in accordance with the same rules and regulations governing the
ownership and operation of equipment or real property acquired with financial assistance from
the State.
N. The equipment and program provisions survive the contract duration.
O. These standards will only apply to the project described in Attachment A, Approved Project
Description.
Upon procurement of items under this grant agreement, the Recipient shall submit to the State a list
of all bidders and subcontractors that quoted on the procured items. The Recipient shall submit the
list with their requests for reimbursements and must include names, addresses, telephone numbers,
and type(s) of work quoted.
ARTICLE 8. PROPERTY MANAGEMENT
The State must concur in the award of all purchase orders for non-expendable personal property as
defined in 49 C.F.R. Section 18.31.
ARTICLE 9. EQUIPMENT MANAGEMENT
A. Management standards include, but are not limited to:
1. Recording the State's security interest as a lien on the certificate of title of the vehicle at the
time of purchase in accordance with Transportation Code, Chapter 501.
2. Maintain equipment records that include a description of the equipment; a serial number or
other identification number; the source of equipment; who holds title; the acquisition date
and cost of the equipment; percentage of federal and state participation in the cost of the
equipment; the location, use and condition of the equipment; maintenance history for each
vehicle; and ultimate disposition data including the date of disposal and sale price.
3. Conduct a physical inventory of the equipment at least once every two (2) years and
reconcile the inventory with equipment records described in the preceding paragraph.
4. Develop a control system to ensure adequate safeguards to prevent loss, damage, or theft
of the equipment. Any loss, damage, or theft shall be investigated.
5. Develop and follow procedures to keep the equipment maintained and in good condition. At
a minimum, the Recipient shall follow the vehicle maintenance schedule recommended by
the manufacturer, showing the date the maintenance was performed. Maintenance records
shall be provided to the State upon request.
6. Request disposition instructions from the State, and if authorized to sell the equipment, use
proper sales procedures to insure the highest possible return.
B. The Recipient will comply with Title 43, Texas Administrative Code §31.53, to protect the public
investment in real property and equipment purchased in whole or in part with state or federal
funds.
C. In the event that project equipment is not used in the proper manner or is withdrawn from public
transportation services, the Recipient shall immediately notify the State. The State reserves the
right to direct the sale or transfer of property acquired under this grant agreement upon
determination by the State that said property has not been fully or properly used.
D. All vehicles purchased under this grant agreement shall comply with the Motor Vehicle Safety
Standards established by the US Department of Transportation.
E. Irrespective of coverage by insurance, unless otherwise approved in writing by the State, in the
event of loss or damage to project property, whether by casualty or fire, the fair market value will
be the value of the property immediately before the casualty or fire.
Fo The Recipient shall notify the State immediately of theft, wreck, vandalism or other destruction of
project-related facilities or equipment.
ARTICLE 10. COORDINATION
According to Title 43 of the Texas Administrative Code {}31.49, the Recipient will at all times
coordinate the provision of public transportation services with other transportation operators, both
public and private, in the area. The Recipient will furnish the State copies of any agreement resulting
from such coordination. Agreements that authorize the payment of project funds to another entity are
subject to the approval requirements described in Article 5, Subcontracts.
ARTICLE 11. LABOR PROTECTION PROVISIONS
If applicable, the Recipient shall comply with the labor protection provisions as listed below.
The Recipient agrees that the following terms and conditions shall apply for the protection of
employees in the mass passenger transportation industry in the area of the project:
A. The project shall be carried out in such a manner and upon such terms and conditions as will not
adversely affect employees in the mass passenger transportation industry within the service
area of the project.
B. All rights, privileges, and benefits (including pension rights and benefits) of employees (including
employees already retired) shall be preserved and continued.
C. The Recipient shall be financially responsible for any deprivation of employment or other
worsening of employment position as a result of the project.
D. In the event an employee is terminated or laid off as a result of the project, he or she shall be
granted priority of employment or reemployment to fill any vacant position for which he or she is,
or by training or retraining can become, qualified. In the event training is required by such
employment or reemployment, the Recipient shall provide or provide for such training or
retraining at no cost to the employee.
E. Any employee who is laid off or otherwise deprived of employment or placed in a worse position
with respect to compensation, hours, working conditions, fringe benefits, or rights and privileges
pertaining thereto at any time during his or her employment as a result of the project, including
any program of efficiencies or economies directly or indirectly related thereto, shall be entitled to
receive any applicable rights, privileges and benefits as specified in the employee protective
arrangement certified by the Secretary of Labor under Section 405(b) of the Rail Passenger
Service Act of 1970 on April 16, 1971. An employee shall not be regarded as deprived of
employment or placed in a worse position with respect to compensation, etc., in case of his or
her resignation, death, retirement, dismissal for cause, or failure to work due to disability or
discipline. The phrase "as a result of the project" as used herein shall include events occurring in
anticipation of, during, and subsequent to the project.
F. In the event any provision of these conditions is held to the invalid or otherwise unenforceable,
the Recipient, the employees and/or their representatives may invoke the jurisdiction of the
Secretary of Labor to determine substitute fair and equitable employee protective arrangements
which shall be incorporated in these conditions.
G. The Recipient agrees that any controversy respecting the project's effects upon employees, the
interpretation or application of these conditions and the disposition of any claim arising
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hereunder may be submitted by any party to the dispute including the employees or their
representative for determination by the Secretary of Labor, whose decision shall be final.
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 making of the decisions called for in the
preceding paragraph.
The Recipient will post, in a prominent and accessible place, a notice stating that the Recipient
is a recipient of Federal assistance under the Federal Transit Act and has agreed to comply with
the provisions of 49 U.S.C., Section 5333(b).
The notice shall also specify the terms and conditions set forth herein for the protection of employees.
ARTICLE 12. MONITORING
A. The State will monitor the progress of the project authorized in this agreement using appropriate
and necessary inspections, including but not limited to periodic reports, physical inspection of
project facilities, telephone conversations, letters, and conferences.
B. The State shall monitor and conduct fiscal and/or program audits of the Recipient and its
contractors t o verify t he extent o f services provided under t he terms o f t he g rant agreement.
Representatives of the State or Federal government shall have access to project facilities and
records at all reasonable times.
C. The state auditor may conduct an audit or investigation of any entity receiving funds from the
state directly under the contract or indirectly through a subcontract under the contract.
Acceptance of funds directly under the contract or indirectly through a subcontract under this
contract acts as acceptance of the authority of the state auditor, under the direction of the
legislative audit committee, to conduct an audit or investigation in connection with those funds.
ARTICLE 13. REPORTS
A. The Recipient shall submit written or electronic reports at intervals and in a format prescribed by
the State.
1. Quarterly Operating Report - No later than fifteen (15) working days after the end of the
quarter, for which the report is made, the Recipient shall submit an activity report to the
State. At a minimum, the quarterly operating report will include the number of vehicles in
operation; total one-way passenger trips; total miles traveled; total expenses, including
administrative and operating expenses; revenue, including fares and donations, operating
cost per vehicle mile; operating cost per passenger trip; and number of passengers per mile
traveled. The State may require more frequent operating reports for reasons of its own, or if
the Recipient does not provide the reports in a timely manner or if the reports indicate
unfavorable trends.
2. Status of Procurements - If the grant includes the purchase of vehicles or other capital
equipment, the Recipient shall submit a quarterly report consisting of a brief narrative
including but not limited to procurement milestones, including date of purchase order, vendor
name and location, and estimated delivery date.
3. Status of Construction - If the grant includes construction, the Recipient shall submit
quarterly narrative reports which include but are not limited to the progress of construction.
B. Regardless of the type of assistance included in the grant, the Recipient shall promptly advise
the State in writing if at any time the progress of the project will be negatively or positively
impacted, including:
1. Problems, delays or adverse conditions that will materially affect the Recipient's ability to
attain program objectives, prevent the meeting of time schedules and goals, or preclude the
attainment of project work units by established time periods. This disclosure shall be
accompanied by a statement of the action taken, or contemplated, by the Recipient and any
State assistance needed to resolve the situation.
2. Favorable developments or events that will enable the Recipient to meet time schedules and
goals sooner than anticipated or produce more work units than originally projected.
C. Every two (2) years, or more frequently when instructed by the State, the Recipient shall conduct
a physical inventory of grant-supported property as set forth in Article 9, Equipment
Management, and furnish the State a copy of the inventory.
D. The Recipient shall develop performance goals and management objectives in accordance with
Title 43, Texas Administrative Code {}31.36.
E. The Recipient shall maintain wdtten maintenance records for each grant-supported vehicle, and
shall make such records available to the State upon request. As a minimum, the Recipient shall
comply with the manufacturer's recommended maintenance schedule.
ARTICLE 14. DISPUTES AND REMEDIES
A. The Recipient shall be responsible for the settlement of all contractual and administrative issues
arising out of procurements entered in support of the grant.
B. Any dispute concerning the work hereunder, additional costs, or any other non-procurement
issue shall be submitted for resolution by informal mediation, in accordance with the
requirements of the Governmental Dispute Resolution Act, Chapter 2009, GOvernment Code,
unless the subject matter applies under Title 43, Texas Administrative Code §9.2.
C. This agreement shall not be considered as specifying the exclusive remedy for any default, but
all remedies existing at law and in equity may be availed of by either party and shall be
cumulative.
ARTICLE 15. TERMINATION
A. The State may terminate this grant agreement at any time before the date of completion
whenever it is determined that the Recipient has failed to comply with the conditions of the grant
agreement. The State shall give written notice to the Recipient at least thirty (30) days prior to
the effective date of termination and specify the effective date of termination, the reason for the
termination, and ether termination instructions. Additionally, if the State notifies the Recipient of
a major deficiency and the Recipient does not respond in the manner required by the State, the
State will, immediately terminate the contract, direct the disposition of equipment purchased with
grant funds, or both.
B. If both parties to this grant agreement agree that the continuation of the grant would not produce
beneficial results commensurate with the further expenditure of funds, the parties shall agree
upon the termination conditions, including the effective date. In the event that both parties agree
that resumption of the grant is warranted, a new grant agreement must be developed and
executed by both parties.
C. Either the State or the Recipient may terminate this agreement by giving notice in writing one to
the other for reasons of its own and not subject to the approval of the other party. In the event of
termination for convenience, neither the State nor the Recipient shall be subject to additional
liability except as otherwise provided in this agreement.
D. Upon termination of this grant agreement, whether for cause or at the convenience of the parties
hereto, title to all property and equipment remains with the Recipient subject to the obligations
and conditions set forth in this grant agreement and 49 C.F.R. 18.31 and 18.32, unless the state
or federal funding agency issue disposition instructions to the contrary.
E. In the event of termination, the State may compensate the Recipient for those eligible expenses
incurred during the grant periods that are directly attributable to the completed portion of the
grant covered by this grant agreement, provided that the grant has been completed in
accordance with the terms of the grant agreement. The Recipient shall not incur new obligations
for the terminated portion after the effective date of termination.
F. Except with respect to defaults of subcontractors, the Recipient shall not be in default by reason
of any failure in performance of this grant agreement in accordance with its terms (including any
failure by the Recipient to progress in the performance of the work) if such failure arises out of
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causes beyond the control and without the default or negligence of the Recipient. Such causes
may include but are not limited to acts of God or of the public enemy, acts of the Government in
either its sovereign or contractual capacity, fires, floods, epidemics, quarantine restrictions,
strikes, freight embargoes, and unusually severe weather. In every case, however, the failure to
perform must be beyond the control and without the fault or negligence of the Recipient.
ARTICLE 16. DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM REQUIREMENTS
REQUIREMENTS FOR PUBLIC TRANSPORTATION CONTRACTS
It is the policy of the United States Department of Transportation (USDOT) and the Texas
Department of Transportation (TxDOT) that Disadvantaged Business Enterprises (DBE) as defined in
49 C.F.R. Part 26 shall have the opportunity to participate in the performance of contracts financed in
whole or in part with Federal funds. Consequently, the DBE and the TxDOT's DBE Program
requirements of 49 C.F.R. Part 26 apply to this contract as follows:
A. The Recipient and any subcontractor will strive to meet the annual DBE goal of 8.4% by offering
DBEs, as defined in 49 C.F.R. Part 26, Subpart A, the opportunity to compete fairly for contracts
and subcontracts. DBE participation shall be reported monthly.
B. The Recipient and any subcontractor shall not discriminate on the basis of race, color, national
origin or sex in the award and performance of contracts.
C. These requirements shall be physically included in any subcontract.
D. Failure to carry out the requirements set forth above shall constitute a material breach of this
contract and may, after the notification of the State, result in termination of the contract by the
TxDOT or other such remedy as the TxDOT deems appropriate.
ARTICLE 17. CONTROL OF SUBSTANCE ABUSE
A. The Recipient will certify compliance with 49 C.F.R. Parts 40, 655 on or before September 1st of
each year, using the certification form furnished by the State.
B. Section 5307 Recipient's will submit a copy of the Management Information System (MIS)
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reports by March 15 of each year using forms furnished by the State.
C. Section 5311 Recipient's will submit required Management Information System (MIS) reports on
or before February 15th of each year using forms furnished by the State.
ARTICLE 18. PROHIBITED ACTIVITIES
A. Neither the Recipient nor any subcontractor shall use federal or state assistance funds for
publicity or propaganda purposes designed to support or defeat legislation pending before
Congress or the Texas Legislature.
B. No member of or delegate to the Congress of the United States shall share in this grant
agreement or benefit from it, except in the same manner as the general public.
C. No member, officer or employee of the Recipient during his tenure or one (1) year thereafter
shall have any interest, direct or indirect, in this grant agreement or the proceeds thereof.
D. Texas Transportation Commission policy mandates that employees of the Texas Department of
Transportation (TxDOT) shall not accept any benefits, gifts or favom from any person doing
business or who reasonably speaking may do business with the State under this grant
agreement. The only exceptions allowed are ordinary business lunches and items that have
received the advanced written approval of TxDOT's Executive Director.
E. Any persons doing business with or who may reasonably speaking do business with the State
under this grant agreement may not make any offer of benefits, gifts or favors to TxDOT
employees, except as mentioned here above. Failure on the part of the Recipient to adhere to
this policy may result in the termination of this grant agreement.
F. The Recipient will comply with Texas Government Code, Chapter 573, by insuring that no
officer, employee or member of the Recipient's governing board or of the Recipient's contractors
or subcontractors shall vote or confirm the employment of any person related within the second
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degree by affinity or third degree by consanguinity to any member of the governing body or to
any other officer or employee authorized to employ or supervise such person.
This prohibition shall not prohibit the employment of a person who shall have been continuously
employed for a period of two (2) years prior to the election or appointment of the officer,
employee, governing body member related to such person in the prohibited degree.
ARTICLE 19. OPEN MEETINGS
If applicable, the Recipient will comply with Texas Government Code, Chapter 551, which requires all
regular, special or called meetings of governmental bodies to be open to the public, except as
otherwise provided by law or specifically permitted in the Texas Constitution.
ARTICLE 20. INDEMNIFICATION
A. To the extent permitted by law, the Recipient shall indemnify and save harmless the State from
all claims and liability due to activities of its agents, employees or volunteers performed under
this agreement and which result from an error, omission or negligent act of the Recipient or of
any person employed by the Recipient.
B. To the extent permitted by law, the Recipient shall also save harmless the State from any and all
expenses, including attorney fees, which might be incurred by the State in litigation or otherwise
resisting said claim or liabilities which might be imposed on the State as a result of activities by
the Recipient, its agents, employees or volunteers.
C. The Recipient acknowledges that it is not an agent, servant or employee of the State and that it
is responsible for its own acts and deeds and for those of its agents, employees or volunteers
during the performance of the grant agreement.
ARTICLE 21. COMPLIANCE WITH LAWS
The Recipient shall comply with all federal, state and local laws, statutes, ordinances, rules and
regulations, and the orders and decrees of any courts or administrative bodies or tribunals in any
matter affecting the performance of this grant, including without limitation workers' compensation
laws, minimum and maximum salary and wage statutes and regulations, nondiscrimination laws and
regulations, and licensing laws and regulations. When required, the Recipient shall furnish the State
with satisfactory proof of compliance therewith.
ARTICLE 22. NONCOLLUSION
The Recipient warrants that it has not employed or retained any company or person, other than a
bona fide employee working for the firm, to solicit or secure this grant, and that it has not paid or
agreed to pay any company or person, other than a bona fide employee, any fee, commission,
percentage, brokerage fee, gift or any other consideration contingent upon or resulting from the
award or making of this grant, if the Recipient breaches or violates this warranty, the State shall have
the right to annul this agreement without liability or, in its discretion, to deduct from the grant price or
consideration, or otherwise recover, the full amount of such fee, commission, brokerage fee, gift, or
contingent fee.
ARTICLE 23. CIVIL RIGHTS
(1) Nondiscrimination - In accordance with Title VI of the Civil Rights Act, as amended, 42 U.S.C. §
2000d, section 303 of the Age Discrimination Act of 1975, as amended, 42 U.S.C. § 6102, section
202 of the Americans with Disabilities Act of 1990, 42 U.S.C. § 12132, and Federal transit law at 49
U.S.C. § 5332, the Recipient agrees that it will not discriminate against any employee or applicant for
employment because of race, color, creed, national origin, sex, age, or disability. In addition, the
Recipient agrees to comply with applicable Federal implementing regulations and other implementing
requirements FTA may issue.
(2) Equal Employment Opportunity - The following equal employment opportunity requirements apply
to the underlying contract:
(a) Race, Color, Creed, National Origin, Sex - In accordance with Title VII of the Civil Rights Act, as
amended, 42 U.S.C. § 2000e, and Federal transit laws at 49 U.S.C. § 5332, the Recipient agrees to
comply with all applicable equal employment opportunity requirements of U.S. Department of Labor
(U.S. DOL) regulations, "Office of Federel Contract Compliance Progrems, Equal Employment
Opportunity, Department of Labor," 41 C.F.R. Parts 60 et seq., (which implement Executive Order
No. 11246, "Equal Employment Opportunity," as amended by Executive Order No. 11375, "Amending
Executive Order 11246 Relating to Equal Employment Opportunity," 42 U.S.C. § 2000e note), and
with any applicable Federal statutes, executive orders, regulations, and Federal policies that may in
the future affect construction activities undertaken in the course of the Project. The Recipient agrees
to take affirmative a ction t o ensure t hat applicants a re employed, and t hat employees a re treated
during employment, without regard to their race, color, creed, national origin, sex, or age. Such action
shall include, but not be limited to, the following: employment, upgrading, demotion or transfer,
recruitment or recruitment advertising, layoff or termination; rates of pay or other forms of
compensation; and selection for training, including apprenticeship. In addition, the Recipient agrees to
comply with any implementing requirements FTA may issue.
(b) Age - In accordance with section 4 of the Age Discrimination in Employment Act of 1967, as
amended, 29 U.S.C. § 623 a nd Federal transit law at 4 9 U.S.C. § 5 332, t he Recipient agrees to
refrain from discrimination against present and prespective employees for reason of age. In addition,
the Recipient agrees to comply with any implementing requirements FTA may issue.
(c) Disabilities - In accordance with section 102 of the Americans with Disabilities Act, as amended,
42 U.S.C. § 12112, the Recipient agrees that it will comply with the requirements of U.S. Equal
Employment Opportunity Commission, "Regulations to Implement the Equal Employment Provisions
of the Americans with Disabilities Act," 29 C.F.R. Part 1630, pertaining to employment of persons with
disabilities. In addition, the Recipient agrees to comply with any implementing requirements FTA may
issue.
(3) The Recipient also agrees to include these requirements in each subcontract financed in whole or
in part with Federal assistance provided by FTA, modified only if necessary to identify the affected
parties.
ARTICLE 24. NONDISCRIMINATION ON THE BASIS OF DISABILITY
The Recipient agrees that no otherwise qualified person with disability(s) shall, solely by reason of
his/her disability, be excluded from participation in, be denied the benefits of, or otherwise be subject
to discrimination under the project. The Recipient shall insure that all fixed facility construction or
alteration and all new equipment included in the project comply with applicable regulations set forth at
49 CFR 27, Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving or
Benefiting from Federal Financial Assistance, and the Americans with Disabilities Act.
ARTICLE 25. PROGRAM INCOME
A. Except for income frem royalties and preceeds from the sale of real property or
equipment, the Recipient shall retain program income and apply such income to allowable
capital or operating expenses. If federally funded, Program Income from royalties and
proceeds frem sale of real preperty or equipment shall be handled as specified in
Attachment D - Federal Provisions.
B. The Recipient shall comply with standards governing the receipt and application of program
income as set forth in 49 C.F.R. §18.25, Program Income. Program income means gross income
l0
received by the Recipient directly generated by a grant supported activity, or earned only as a
result of this grant agreement during the time period specified in Article 1, Grant Period.
Program income includes income from fees for services performed, from the use or rental of real
or personal property acquired with grant funds, from the sale of commodities or items fabricated
under a grant agreement, and from payments of principal and interest on loans made with grant
funds. Except as otherwise provided in federal regulations, program income does not include
grant funds, rebates, credits discounts, refunds, and the interest earned on any of these
receipts.
ARTICLE 26. SUCCESSORS AND ASSIGNS
The Recipient binds themselves, their successors, assigns, executors and administrators in respect
to all covenants of this agreement. The Recipient shall not sign, sublet or transfer their interest in this
agreement without the written consent of the State.
ARTICLE 27. LEGAL CONSTRUCTION
In case any one or more of the provisions contained in this agreement shall for any reason be held to
be invalid, illegal or unenforceable in any respect, such invalidity, illegality or unenforceability shall not
affect any other provision thereof and this agreement shall be construed as if such invalid, illegal or
unenforceable provision had never been contained herein.
ARTICLE 28. PRIOR AGREEMENTS
This agreement constitutes the sole and only agreement of the parties hereto and supersedes any
prior understandings or written or oral agreements between the parties respecting the public
transportation grant specifically authorized and funded under this agreement.
ARTICLE 29. SPECIAL PROVISIONS FOR CONSTRUCTION AND REPAIR CONTRACTS
A. Signs - The Recipient shall cause to be erected at the site of construction, and maintained
during construction, signs satisfactory to the State and the U. S Department of Transportation
identifying the project and indicating that the Government is participating in the development of
the project.
B. Hazardous Materials - The Recipient will conduct an inspection of the building for hazardous
materials; asbestos and lead-based paint. Removal and disposal will be in accordance with
local, state and federal regulations, prior to the initiation of construction.
ARTICLE 30. NOT APPLICABLE
ARTICLE 31. SIGNATORY WARRANTY
The undersigned signatory for t he Recipient hereby represents and warrants t hat h e o r s he i s a n
officer of the organization for which he or she has executed this agreement and that he or she has full
and complete authority to enter into this agreement on behalf of the organization.
ARTICLE 32. INCORPORATION OF PROVISIONS.
Attachments A through D are attached hereto and incorporated into this contract as if fully set forth
herein.
IN TESTIMONY WHEREOF, the parties hereto have caused these presents to be executed in
duplicate counterparts.
Executed for the Executive Director and approved for the
Texas Transportation Commission for the purpose and
effect of activating and/or carrying out the orders,
established policies or work programs heretofore approved
and authorized by the Texas Transportation Commission.
By:
District Engineer, Dallas District
Typed, Printed or Stamped Name
Title:
Date:
RECIPIENT:
Recipient Name: City of Denton
0 Si~na}~re-ofAuthorized Officer
Typed, Printed or Stamped Name
Title: ~r~_~ C:~0 ~'-
Date: ~ -~'~'
12
Attachments to Grant Agreement
Attached and Incorporated into the Grant Agreement by Reference
Attachment Title
A Approved Project Description
B Approved Proiect Budget
C Disclosure of Lobbying Activities
D Federal Provisions
]3
ATTACHMENT A
APPROVED PROJECT DESCRIPTION
The application for State and Federal assistance, as submitted to the State, is hereby ~ncorporated
into this agreement as the project description, unless described below.
a) Describe the services to be provided by your agency/organization. If fixed routes are included, describe the
complementary paratransit system.
1) Fixed Route (non-commuter)
Fixed route service is provided within the city limits of Denton a long eight (8) - thirty minutes
operated with one hour headways during the hour of 6 am - 8 pm M-F and 9 am - 6 pm on Sat.
All vehicles are lift-equipped. Beginning October 1, 2003, the regular fare for this service is $1.00,
$.50 for children 6 - 18 and $.50 for seniors and persons with disabilities.
2) Complementary Paratransit to Fixed Route
This service is provided for persons with qualifying disabilities as established in the Americans
with Disabilities Act who aro unable to access the fixed route system and is operated during
the same hours as the fixed route. The service area extends % mile beyond the fixed route
boundaries. Beginning October 1,2003, the regular fare for this service is $2.00.
b) List service area, population served. Describe any unserved areas in the urban transit district, and any plans
to provide transportation to such areas.
The fixed route service area is approximately 54 square miles (the Denton urbanized area)
with a population o f 9 6,168. Within t he urbanized a rea t here are a few areas t hat a re not
served directly by the fixed route (within % mile). Persons in these areas are served using a
Dial-a-Ride system where a vehicle is dispatched to transport passengers to the closest fixed
route bus stop.
c) Describe any proposed or existing contracts that will affect the Section 5307 system
(maintenance, dispatching, etc.):
Currently, the City of Denton contracts with McDonald Transit Inc., to provide driver and
dispatching services. There is a contract with the City of Denton Parks and Recreation
Services to provide,bus stop maintenance service.
d) Explain what steps you have taken to coordinate the proposed service with each of the other transportation
providers (both public and private) in your area. Attach any agreements, letters of support, minutes of
meetings, etc., to proposal:
The City of Denton is the designated provider in the Denton urbanized area.
e) Describe any special services provided:
There are four "Dial-A-Ride" zones for residents who live on the fringe of the urbanized aroa
but do not receive direct fixed route bus service. Trips scheduled to and from these zones are
14
charged the regular fixed route fare and a free transfer to the bus that passes closest to their
location.
f) Describe any special trips provided:
The City of Denton does not provide any special trips other than for Emergency Action Plan
drills.
g) Describe any transportation provided for school children:
School children may ride the city's system for $0.50. All vehicles are marked with "Caution -
Children may be exiting."
h) Describe how transit is marketed to the general public:
No formal marketing is done for the system. Press releases are used for any type of change
or promotional issues. System Route Maps are provided on the vehicles and at various
locations throughout the city. The city's cable channel provides contact information on a five
second slide.
i) If applicable, describe how the Section 5310 program has been integrated into your system:
Not applicable
j) Describe how services are provided to Health and Human Services clients (including but not limited to
Medicaid, TANF, Welfare-m-Work clients):
No special or direct rides are provided for Health and Human Services clients. The City of Denton
does not actively seek reimbursements from Health and Human Services offices for clients who use
the LINK system.
15
Cap~tal
State and Local Small Urban (§$307) Public Transportation Grant Agreement
Attachment B
Approved Project Budget
Effective Date: September 1, 2003
Completion Date: August 3 I, 2004
Recipient: City of Denton
State Project No.: 51418F7047
Grant Agreement No.: URB 0401 (18)
ALI Code Description Total
11 .TA.O0 Preventive Maintenance 42,785
Capital Subtotal 42,785
I
I Operating Assistance I 442,968 I
Planning I
Operating I 30.09.00
Prolect Totals 485,753
M~imum Reimbursable: 277,222
State Local Toll Credits
42,785
I I ~ I
234,4371 298,5311= :; ~il
27~222 298,531
Note: Toll Credits do not effect the federal share calculation
Percentage of Budget-State Funds Only
Capital Cost 15%
Operating Cost
Planning Cost
Total
16
ATTACHMENT C
DISCLOSURE OF LOBBYING ACTIVITIES
Complete this form to disclose Iobbyinl~ activities pursuant to 31 U.S.C. 1352
1. Type of Federal Action: _B 2. Status of Federal Action: B 3. Report Type:___B
a. contract a. bid/offer/application a. initial filing
b. grant b. initial award b. material change
¢. cooperative agreement c. post award For Material Change Only:
d. loan year 2004 quarter 1
e. loan guarantee date of last report
f. loan insurance
4. Name and Address of Reporting Entity: 4. If Reporting Entity in No. 4 is Subawardee, Enter Name and
Name: City of Denton Address of Prime:
Address: 215 E. McKinney
Denton, TX 76201 Texas Department of Transportation
Prime A_._ Subawardee
Tier, if known:
6. Federal Department/Agency: 7. Federal Program Name/Description
Federal Transit Administration
CFDA Number, if applicable: 20.507
8. Federal Action Number, If knowua: 9. Award Amount, if known:
10.a. Name and Address of Lobbying Entity: N/A 10.b. Individual Performing Services (including address if
(if individnal, last name, first name, MI): difTerent fxom No. 10A) (last name, first name, MI): N/A
(attach Continuation Sheet(s) SF-LLL-A, if necessary)
11. Amount of Payment (check all that apply): N/A 12. Form of Payment (check all that apply):
a. cash
$ __ actual b. in-kind; specify: nature __
__ planned value
13. Type of Payment (check all that apply): N/A
a. retainer c. commission e. deferred
b. one-time fee d. contingent fee f. other; specify
14. Brief Description of Services Performed or to be Performed and Date(s) of Service, including officer(s), employee(s), or
Member(s) contacted, for Payment indicated in Item 11: N/A
15. Continuation Sheet(s) SF-LLL-A attached: Yes X No
16. Authorized Representative:
Information requested through this form is authorized by title
r'--!
31 U.S.C. section 1352. This disclosure of lobbying activities
is a material representation of fact u pon w rich reliance w as
placed b y the tier above when t his t ransacfion was made or ~Tit/3e:
entered int°' This discl°sure is required pursuant t° 31U.S.C. ~"/igna ~ ~-~/ ~ -. -
1352. This information will be reported to the Congress ture ~,r,,x ~'~
semi-annual and will be available for public inspection. Any
person who fails to file the required disclosure shall be subject Telephone:
to a civil penal* of not less than $10,000 and not more than
Date:
$100,000 for each such failure.
17
Section 1.
Section 2.
Section 3.
Section 4.
Section 5.
Section 6.
Section 7.
Section 8.
ATTACHMENT D
FEDERAL PROVISIONS
TABLE OF CONTENTS
Project Implementation.
A. General Requirements.
B. U.S. DOT Administrative Requirements.
C. Application of Federal, State, and Local Laws and Regulations.
D. Significant Participation by a Third Party Contractor.
E. Recipient's Responsibility to Extend Federal Requirements to Other Entities.
F. No Federal Government Obligations to Third Parties.
G. Changes in Project Performance (Le., Disputes, Broaches, Defaults or
Litigation).
H. Incorporation of Federal Transit Administration (FTA) Terms
I. State and Local Law Disclaimer
J. Federal Changes
Ethics.
A. Debarment and Suspension.
B. Lobbying Restrictions.
C. False or Fraudulent Statements or Claims.
Accounting Records.
A. Project Accounts.
B. Documentation of Project Costs and Program Income.
Reporting, Record Retention, and Access.
A. Record Retention.
B. Access to Records of Recipients and Recipients.
C. Project Close-out.
Costs Reimbursed.
Civil Rights.
A. Nondiscrimination.
B. Equal Employment Opportunity.
C. Requirements.
Bus Requirements.
A. Charter Bus
B. School Bus
Procurement.
A. Federal Standards.
B. Buy America.
C. Exclusionary or Discriminatory Specifications.
D. Bus Seat Specifications.
E. Clean Air and Clean Water.
F. Preference for Recycled Products.
G. Architectural, Engineering, Design, or Related Services.
H. Award to Other than the Lowest Bidder.
I. Rolling Stock.
J. Bonding.
K. National Intelligent Transportation Systems Architecture and Standards.
L. Fly America.
Section 9.
M. Cargo Preference Requirements.
Leases.
A. Capital Leases.
B. Leases Involving Certificates of Participation.
C. Cross-Border Leases.
Section 10. Patent Rights. A. General.
B. Federal Rights.
Section 11. Rights in Data and Copyrights. A. Definition.
B. State and Federal Restrictions.
C. Federal Rights in Data and Copyrights.
D. Special Rights in Data for Research, Development, Demonstration, and
Special Studies (Planning) Projects.
E. Hold Harmless.
F. Restrictions on Access to Patent Rights.
G. Statutory Requirements to Release Data.
Section 12. Use of Real Property, Equipment, and Supplies. A. Use of Project Property.
B. General Federal Requirements.
C. 5310 Program.
D. Maintenance.
E. Records.
F. Encumbrance of Project Property.
G. Transfer of Project Property.
H. Disposition of Project Property.
I. Misused or Damaged Project Property.
J. Obligations After Project Close-out.
Section 13. Insurance. A. Minimum Requirements.
B. Flood Hazards.
Section 14.
Section 15.
Section 16.
Section 17.
Relocation.
A. Relocation Protections.
B. Nondiscrimination in Housing.
Real Property.
A. Land Acquisition.
B. Covenant Assuring Nondiscrimination.
C. Recording Title of Real Property.
D. FTA Approval of Changes in Real Property Ownership.
Construction.
A. Drafting, Review, and Approval of Construction Plans and Specifications.
B. Supervision of Construction.
C. Construction Reports.
D. Project Management for Major Capital Projects.
E. Seismic Safety.
Employee Protections.
A. Construction Activities.
Section 18.
Section 19.
Section 20.
Section 21.
Section 22.
B. Activities Not Involving Construction.
C. State and Local Government Employees.
D. Transit Employee Protective Arrangements.
Environmental Requirements.
A. Use of Public Lands.
B. Coastal Zone Management.
C. Environmental Justice.
Energy Conservation.
State Management and Monitoring Systems.
Right of Privacy.
Not Applicable.
Section 23. Metric System.
Section 24. Substance Abuse.
A. Drug Abuse.
B. Alcohol Abuse.
Section 25. State Safety Oversight of Rail Fixed Guideway Public Systems.
Section 26. Seat Belt Use.
Section 27.
Special Requirements for Urbanized Area Formula Projects.
A. Fares and Services.
B. Audit Requirements.
C. Half-Fare Requirements.
D. Procurement of an Associated Capital Maintenance Product,
E. Transit Security.
F. Restrictions on the Use of Formula Assistance for Operations.
G. Reporting Requirements.
H. Criminal Sanctions.
Section 28. Not Applicable.
Section 29. Special Requirements for Job Access and Reverse Commute Grant
Projects.
A. General Requirements.
B. Restrictions on the Use of Grant Funds.
Section 30. Special Requirements for Over-the-Road Bus Accessibility Projects. A. General Requirements.
B. Special Requirements.
C. FTA Notice.
Section 31.
Disputes, Breaches, Defaults, or Other Litigation.
A. Notification.
B. Federal Interest in Recovery.
C. Enforcement.
D. State and FTA Concurrence.
E. Termination for Convenience.
2O
FEDERAL GENERAL TERMS AND CONDITIONS
FOR PUBLIC TRANSPORTATION PROJECTS
This document contains standard terms and conditions governing the administration of a public
transportation project supported with Federal assistance through the Texas Department of
Transportation ("State").
The State and the Recipient/Subgrantee ("Recipient") understand and agree that not every provision
of this document will apply to every Recipient or every project depending upon the nature of the
Project and the section of the statute authorizing the financial assistance.
Thus, in consideration of the mutual covenants, promises, and representations herein, the State and
the Recipient agree as follows:
Section 1. Project Implementation
A. General requirements.
1. Effective Date. The effective date of this agreement is the date of final execution by both
parties. The Recipient agrees to begin the Project in a timely manner.
2. Recipient's Capacity. The Recipient agrees to maintain or acquire sufficient legal,
financial, technical, and managerial capacity to plan, manage, and complete the Project,
and provide for the use of Project facilities and equipment, to comply with the terms of
the agreement, and all applicable Federal laws, executive orders, regulations,
directives, and published policies governing this Project.
3. Completion Dates. The Recipient agrees to complete the Project in a timely manner.
B. U.S. DOT Administrative Requirements. The Recipient acknowledges that Federal
administrative requirements differ based on the type of entity receiving Federal assistance:
1. A Recipient that is a State, a local government, or an Indian tribal government agrees to
comply with U.S. DOT regulations, "Uniform Administrative Requirements for Grants
and Cooperative Agreements to State and Local Governments," 49 C.F.R. Part 18.
2. A Recipient that is an institution of higher education or a nonprofit organization agrees
to comply with U.S. DOT regulations, "Uniform Administrative Requirements for Grants
and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit
Organizations," 49 C.F.R. Part 19.
C. Application of Federal, State, and Local Laws and Regulations. The Recipient acknowledges
that Federal laws, regulations, policies, and related administrative practices applicable to the
Project 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, unless
F'IA issues a written determination otherwise.
D. The Recipient agrees to include notice in each agreement with any third party contractor
participating in the Project that State or Federal requirements may change and the changed
requirements will apply to the Project as required, unless the State or Federal Government
determines otherwise.
E. Significant Participation by a Third Party Contractor. Although the Recipient may enter into a
third party contract in which the third party contractor agrees to provide property or services in
support of the Project, or even carry out Project activities normally performed by the Recipient,
the Recipient continues to remain responsible to the Federal Transportation Administration
(FTA) for compliance with Federal requirements.
F. Recipient's Responsibility to Extend Federal Requirements to Other Entities.
1. Entities Affected. The Recipient agrees to take appropriate measures necessary to
ensure any third party contractors comply with applicable Federal requirements.
2. Documents Affected. The Recipient agrees to require its third party contractors to
include adequate provisions to ensure compliance with applicable Federal requirements
in each lower tier subcontract and subagreement financed in whole or in part with
financial assistance.
2!
G. N o State or Federal Government Obligations to Third Parties. The Recipient agrees that,
absent the State or Federal Government's express written consent, the State or Federal
Government shall not be subject to any obligations or liabilities to any Recipient or any third
party contractor, or any other person.
H. Changes in Project Performance (i.e., Disputes, Breaches, Defaults or Litigation). The
Recipient agrees to notify the State immediately of any change in conditions (such as its legal,
financial, or technical capacity), or any other event that may significantly affect the Recipient's
ability to perform the Project.
I. Incorporation of Federal Transit Administration (FTA) Terms. The preceding provisions
include, in part, certain Standard Terms and Conditions required by DOT, whether or not
expressly set forth in the preceding contract previsions. All contractual provisions required by
DOT, as set forth in FTA Circular 4220.1D, dated April 15, 1996 and as amended August 4,
1998, are hereby incorporated by reference. Anything to the contrary herein notwithstanding,
all FTA mandated terms shall be deemed to control in the event of a conflict with other
provisions contained in this Agreement. The Recipient shall not perform any act, fail to perform
any act, or refuse to comply with any requests which would cause anyone to be in violation of
the FTA terms and conditions.
J. State and Local Law Disclaimer. The wording in the suggested clauses in the FTA Best
Practices Procurement Manual is not governed by Federal law, but is significantly affected by
State law. The language of the suggested clauses may need to be modified depending on
state law, and that before the suggested clauses are used in the Recipient's procurement
documents, the Recipient's should consult with its local attorney.
K. Federal Changes. Recipient shall at all times comply with all applicable FTA regulations,
policies, procedure and directives, as they may be amended or promulgated from time to time
during the term of any contract related to this solicitation. Recipient's failure to so comply may
constitute a material breach of the underlying contract.
Section 2. Ethics
A. Debarment and Suspension. The Recipient agrees to comply, and assures the compliance of
any third party contractor, with Executive Order Numbers 12549 and 12689, "Debarment and
Suspension," 31 U.S.C. {}6101 note, and U.S. DOT regulations, "Government wide Debarment
and Suspension (Nonprocurement)," within 49 C.F.R. Part 29.
B. Lobbying Restrictions. The Recipient agrees to:
1. Refrain from using Federal assistance funds to support lobbying,
2. Comply, and assure the compliance of each third party contractor at any tier with U.S.
DOT regulations, "New Restrictions on Lobbying,".49 C.F.R. Part 20, modified as
necessary by 31 U.S.C. {}1352.
3. Comply with Federal statutory provisions to the extent applicable prohibiting the use of
Federal assistance funds for activities designed to influence Congress or a State
legislature on legislation or appropriations, except through proper, official channels.
4. Sign the Lobbying Certification attached.
C. False or Fraudulent Statements or Claims. The Recipient acknowledges and agrees that:
1. The Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. {}{}3801 et seq.
and U.S. DOT regulations, "Program Fraud Civil Remedies," 49 C.F.R. Part 31, apply to
its activities in connection with the Project. Accordingly, by executing the agreement, the
Recipient certifies or affirms the truthfulness and accuracy of each statement it has
made, it makes, or it may make in connection with the Project covered by the
agreement, in addition to other penalties that may apply, the Recipient also
acknowledges that if it makes a false, fictitious, or fraudulent claim, statement,
submission, or certification to the State or Federal Government, the Federal
Government reserves the right to impose the penalties of the Program Fraud Civil
Section 3.
A.
Remedies Act of 1986, as amended, to the extent the Federal Government deems
appropriate.
If the Recipient makes a false, fictitious, or fraudulent claim, statement, submission, or
certification to the State in connection with an urbanized area formula project financed
with Federal assistance authorized for 49 U.S.C.. §5307, the Government reserves the
right to impose the penalties of 18 U.S.C. §1001 and 49 U.S.C. §5307(n)(1), to the
extent the Federal Government deems appropriate.
Accounting Records
Project 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. 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
FTA upon its request, and, to the extent feasible, kept separate from documents not related to
the Project.
Documentation of Project Costs and Program Income. The Recipient agrees to support all
costs charged to the Project, including any approved services contributed by the Recipient or
others, with properly executed payrolls, time records, invoices, contracts, or vouchers
describing in detail the nature and propriety of the charges. The Recipient also agrees to
maintain accurate records of all program income derived from implementing the Project,
except certain income determined by FTA to be exempt from the general Federal program
income requirements.
Section 4. Reporting, Record Retention, and Access
A. Record Retention. The Recipient agrees to maintain intact and readily accessible all data,
documents, reports, records, contracts, and supporting materials relating to the Project as the
State or the Federal Government may require during the course of the Project and for four
years thereafter.
B. Access to Records. Upon request, the Recipient agrees to permit and require its Recipients to
permit the U.S. Secretary of Transportation, the Comptroller General of the United States, and
the State, or their authorized representatives, to inspect all Project work, materials, payrolls,
and other data, and to audit the books, records, and accounts pertaining to the Project.
C. Project Close-out. Project close-out does not alter the reporting and record retention
requirements of this Agreement.
Section 5. Costs Reimbursed
The Recipient understands and agrees that Project costs eligible for participation must comply with all
the following requirements:
1. Conform with the Attachment A, Approved Project Description, the Attachment B,
Approved Project Budget, and all other terms of the 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 within the agreement time period;
6. Are satisfactorily documented;
7. Are treated consistently in accordance with accounting principles and procedures
approved by the State;
8. Are eligible under State and Federal law, regulation, rule, or guidelines for participation;
and
Unless permitted otherwise by Federal statute or regulation, comply with the: (1) U.S.
Office of Management and Budget (OMB) CircularA-87, Revised, "Cost Principles for
State and Local Governments" if the Recipient is a local government or an Indian tribal
government; (2) OMB Circular A-21, Revised, "Cost Principles for Educational
Institutions" if the Recipient is an institution of higher education; (3) OMB Circular ^-122,
Revised, "Cost Principles for Non-Profit Organizations" if the Recipient is a private
nonprofit organization; or (4) Federal Acquisition Regulation, 48 C.F.R. Chapter I,
Subpart 31.2, "Contracts with Commercial Organizations" if the Recipient is a for-profit
organization. Additionally, the Recipient shall comply with the requirements of the Single
Audit Act of 1984, P.L. 98-502, ensuring that the single audit report includes the
coverage stipulated in OMB Circular A-133.
Section 6. Civil Rights.
The Recipient agrees to comply with all applicable civil rights statutes and implementing regulations
including, but not limited to, the following:
(A) Nondiscrimination - In accordance with Title VI of the Civil Rights Act, as amended, 42 U.S.C. §
2000d, section 303 of the Age Discrimination Act of 1975, as amended, 42 U.S.C. § 6102, section
202 of the Americans with Disabilities Act of 1990, 42 U.S.C. § 12132, and Federal transit law at 49
U.S.C.§ 5332, the Subreceipient agrees that it will not discriminate against any employee or applicant
for employment because of race, color, creed, national origin, sex, age, or disability. In addition, the
Subreceipient agrees to comply with applicable Federal implementing regulations and other
implementing requirements FTA may issue.
(B) Equal Employment Opportunity ~ The following equal employment opportunity requirements apply
to the underlying contract:
(1) Race, Color, Creed, National Origin, Sex - In accordance with Title VII of the Civil Rights
Act, as amended, 42 U.S.C. § 2000e, and Federal transit laws at 49 U.S.C. § 5332, the
Subreceipient agrees to comply with all applicable equal employment opportunity requirements
of U.S. Department of Labor (U.S. DOL) regulations, "Office of Federal Contract Compliance
Programs, Equal Employment Opportunity, Department of Labor," 41 C.F.R. Parts 60 et seq.,
(which implement Executive Order No. 11246, "Equal Employment Opportunity," as amended
by Executive Order No. 11375, "Amending Executive Order 11246 Relating to Equal
Employment Opportunity," 42 U.S.C. § 2000e note), and with any applicable Federal statutes,
executive orders, regulations, and Federal policies that may in the future affect construction
activities undertaken in the course of the Project. The Subreceipient agrees to take affirmative
action to ensure that applicants are employed, and that employees are treated during
employment, without regard to their race, color, creed, national origin, sex, or age. Such action
shall include, but not be limited to, the following: employment, upgrading, demotion or transfer,
recruitment or recruitment advertising, layoff or termination; rates of pay or other forms of
compensation; and selection for training, including apprenticeship. In addition, the
Subreceipient agrees to comply with any implementing requirements FTA may issue.
(2) Age ~ In accordance with section 4 of the Age Discrimination in Employment Act of 1967,
as amended, 29 U.S.C. § 623 and Federal transit law at 49 U.S.C. § 5332, the Subreceipient
agrees to refrain from discrimination against present and prospective employees for reason of
age. In addition, the Subreceipient agrees to comply with any implementing requirements FTA
may issue.
(3) Disabilities- In accordance with section 102 of the Americans with Disabilities Act, as
amended, 42 U.S.C. § 12112, the Subreceipient agrees that it will comply with the
requirements of U.S. Equal Employment Opportunity Commission, "Regulations to Implement
the Equal Employment Provisions of the Americans with Disabilities Act," 29 C.F.R. Part 1630,
24
pertaining to employment of persons with disabilities. In addition, the Subreceipient agrees to
comply with any implementing requirements FTA may issue.
(C) Requirements. The Subreceipient also agrees to include these requirements in each subcontract
financed in whole or in part with Federal assistance provided by FTA, modified only if necessary to
identify the affected parties.
Section 7. Bus Requirements
The Recipient agrees to comply with the following:
A. Charter Service Operations. The Recipient agrees to comply with 49 U.S.C. 5323(d) and 49
CFR Part 604, which provides that recipients and Recipients of FTA assistance are prohibited
from providing charter service using federally funded equipment or facilities if there is at least
one private charter operator willing and able to provide the service, except under one of the
exceptions at 49 CFR 604.9. Any charter service provided under one of the exceptions must
be "incidental," i.e., it must not inten~ere with or detract from the provision of mass
transportation.
B. School Bus Operations. Pursuant to 69 U.S.C. 5323(f) and 49 CFR Part 605, recipients and
Recipients of FTA assistance may not engage in school bus operations exclusively for the
transportation of students and school personnel in competition with private school bus
operators unless qualified under specified exemptions. When operating exclusive school bus
service under an allowable exemption, recipients and Recipients may not use federally funded
equipment, vehicles, or facilities.
Section 8. Procurement
To the extent applicable, the Recipient agrees to comply with the following third party procurement
requirements:
A. Federal Standards. The Recipient agrees to comply with FTA Circular 4220.1D, "Third Party
Contracting Requirements," including any revision or replacement thereof, and applicable
Federal regulations or requirements, including FTA third party contracting regulations when
promulgated. The FTA Best Practices Procurement Manual provides additional procurement
guidance. Nevertheless, be aware that the FTA Best Practices Procurement Manual is focused
on procurement processes and may omit certain Federal requirements applicable to the work
to be performed.
B. Buy America. The Recipient agrees to comply with 49 U.S.C. § 5323(j) and 49 CFR Part 661,
which provide that Federal funds may not be obligated unless steel, iron, and manufactured
products used in FTA-funded projects are produced in the United States, unless a waiver has
been granted by FTA or the product is subject to a general waiver. General waivers are listed
in 49 CFR § 661.7, and include final assembly in the United States for 15 passenger vans and
15 passenger wagons produced by Chrysler Corporation, microcomputer equipment, software,
and small pumhases (currently less than $100,000) made with capital, operating, or planning
funds. Separate requirements for rolling stock are set out at § 5323(j)(2)(C) and 49 CFR §
661.11. Rolling stock not subject to a general waiver must be manufactured in the United
States and have a 60 percent domestic content.
A bidder or offerer must submit to the FTA recipient the appropriate Buy America certification
with all bids on FTA-funded contracts, except those subject to a general waiver. Bids or offers
that are not accompanied by a completed Buy America certification must be rejected as
nonresponsive. This requirement does not apply to lower tier subcontractors.
C. Exclusionary or Discriminatory Specifications. Apart from inconsistent requirements imposed
by Federal statute or regulations, the Recipient agrees to 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.
D. Bus Seat Specifications. The Recipient may use specifications conforming with the
requirements of 49 U.S.C. §5323(e) to acquire bus seats.
E. Clean Air and Clean Water. The Recipient agrees to include in third party contracts exceeding
$100,000 adequate provisions to ensure that Project participants report the use of facilities
placed or likely to be placed on EPA's "List of Violating Facilities," refrain from using violating
facilities, report violations to FTA and the Regional EPA Office, and comply with the inspection
and other applicable requirements of:
1. Section 114 of the Clean Air Act, as amended, 42 U.S.C. §7414, and other applicable
provisions of the Clean Air Act, as amended, 42 U.S.C. §7401 et seq.; and
2. Section 308 of the Federal Water Pollution Control Act, as amended, 33 U.S.C. {1318,
and other provisions of the Federal Water Pollution Control Act, as amended, 33 U.S.C.
{1251 et seq.
F. Preference for Recycled Products. To the extent applicable, the Recipient agrees to comply
with U.S. Environmental Protection Agency (U.S. EPA) "Comprehensive Procurement
Guidelines for Products Containing Recovered Materials," 40 C.F.R. Part 247, implementing
section 6002 of the Resource Conservation and Recovery Act, as amended, 42 U.S.C. {6962,
and otherwise provide a competitive preference for products and services that conserve
natural resources and protect the environment and are energy efficient.
G. Architectural, Engineering, Design, or Related Services. When procuring architectural,
engineering, or related services, the Recipient agrees to comply with the provisions of 49
U.S.C. §5325(b), either by negotiating for those services in the same manner as a contract for
architectural 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 seq., or by using an
equivalent qualifications-based requirement of the State. When, awarding contracts for
architectural, engineering, or related services, the Recipient agrees to accept undisputed
audits conducted by other governmental agencies, in accordance with 23 U.S.C. {112(b)(2)
(C) through (F). To the extent the Recipient qualifies for an exception in accordance with 49
U.S.C. {5325(b), however, this subsection does not apply.
H. Award to Other than the Lowest Bidder. In accordance with 49 U.S.C. {5325(c), a Recipient
may award a third party contract to a party other than the lowest bidder, when such an award
furthers objectives consistent with the purposes of 49 U.S.C. Chapter 53 and any
implementing regulations, directives, circulars, manuals, or other guidance FTA may issue and
is consistent with state law.
I. Rolling Stock. In acquiring rolling stock, the Recipient agrees as follows:
1. Method of Acquisition. The Recipient may award a third party contract for rolling stock
based on initial capital costs, performance, standardization, life cycle costs, and other
factors, or based on a competitive procurement process, in accordance with 49 U.S.C.
§5326(c).
2. Multi-year Options. In accordance with 49 U.S.C. {5326(b)(1), a Recipient may procure
rolling stock using financial assistance appropriated for 49 U.S.C. Chapter 53 using a
contract with an option, not to exceed 5 years after the date of the odginal contract, to
purchase additional rolling stock or replacement.
3. Pre-Award and Post-Delivery Requirements. The Recipient agrees to comply with the
requirements of 49 U.S.C. {5323(m) and FTA regulations, "Pre-Award and Post-
Delivery Audits of Rolling Stock Purchases," 49 ¢.F.R. Part 663, and any revision
thereto.
4. Bus Testing. To the extent applicable, the Recipient agrees to comply with the
requirements of 49 U.S.C. {5323(c) and FTA regulations, "Bus Testing," 49 C.F.R. Part
665, and any revision thereto.
Bonding. To the extent applicable, the recipient agrees to comply with the following bonding
requirements.
1. Construction Activities. The Recipient agrees to provide bid guarantee, contract
performance, and payment bonding to the extent deemed adequate by FTA and
applicable Federal regulations, and comply with any other bonding requirements FTA
may issue.
2. Other Activities. The Recipient agrees to comply with any other bonding requirements or
restrictions FTA may impose.
K. National Intelligent Transportation Systems Architecture and Standards. The Recipient agrees
to conform, to the extent applicable, to the National Intelligent Transportation Standards
architecture in compliance with section 5206(e)of TE^-21,23 U.S.C. §502 note, and with
FHWNFTA's "Transportation Equity Act for the 21st Century; the Interim Guidance on
Conformity with the National Intelligent Transportation Systems (ITS) Architecture and
Standards," 63 Fed. Reg. 70443 et seq., December 21, 1998, and other subsequent Federal
directives that may be issued.
L. Fly America Requirements. The Recipient agrees to comply with 49 U.S.C. § 40118 (the "Fly
America" Act) in accordance with the General Services Administration's regulations at 41 CFR
Part 301-10, which provide that recipients and Recipients of Federal funds and their
contractors are required to use U.S. Flag air carriers for U.S Government-financed
international air travel and transportation of their personal effects or property, to the extent
such service is available, unless travel by foreign air carrier is a matter of necessity, as defined
by the Fly America Act. The Recipient shall submit, if a foreign air carrier was used, an
appropriate certification or memorandum adequately explaining why service by a U.S. flag air
carrier was not available or why it was necessary to use a foreign air carrier and shall, in any
event, provide a certificate of compliance with the Fly America requirements. The Recipient
agrees to include the requirements of this section in all subcontracts that may involve
international air transportation.
M. Cargo Preference. Use of United States-Flag Vessels - The Recipient agrees: a. to use
privately owned United States-Flag commercial vessels to ship at least 50 percent of the gross
tonnage (computed separately for dry bulk carriers, dry cargo liners, and tankers) involved,
whenever shipping any equipment, material, or commodities pursuant to the underlying
contract to the extent such vessels are available at fair and reasonable rates for United States-
Flag commercial vessels; b. to furnish within 20 working days following the date of loading for
shipments originating within the United States or within 30 working days following the date of
leading for shipments originating outside the United States, a legible copy of a rated, "on-
board" commercial ocean bill-of-lading in English for each shipment of cargo described in the
preceding paragraph to the Division of National Cargo, Office of Market Development,
Maritime Administration, Washington, DC 20590 and to the FTA recipient (through the
Recipient in the case of a subcontractor's bill-of-lading.) c. to include these requirements in all
subcontracts issued pursuant to this contract when the subcontract may involve the transport
of equipment, material, or commodities by ocean vessel.
Section 9. Leases
A. Capital Leases. To the extent applicable, the Recipient agrees to comply with FTA regulations,
"Capital Leases," 49 C.F.R. Part 639, and any revision thereto.
B. Leases Involving Certificates of Participation. The Recipient agrees to obtain FTA concurrence
before entering into a leasing arrangement involving the issuance of certificates of participation
in connection with the acquisition of any capital asset.
C. Cross-Border Leases. To the extent applicable, the Recipient agrees to comply with FTA
Circular 7020.1, "Cross-Border Leasing Guidelines," April 26, 1990, in connection with the
acquisition of capital assets involving a cross-border lease.
Section 10. 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
27
United States of America or any foreign country, the Recipient agrees to notify FTA
immediately and provide a detailed report.
B. Federal Rights. The Recipient agrees that its rights and responsibilities, and those of each
third party contractor at any tier pertaining to that invention, improvement, or discovery will be
determined in accordance with applicable State and Federal laws, regulations, including any
waiver thereof. Absent a determination in writing to the contrary by the State and Federal
Government, the Recipient agrees to transmit to the State and FTA those rights due the State
and Federal Government in any invention, improvement, or discovery resulting from that third
party contract as specified in U.S. Department of Commerce regulations, "Rights to Inventions
Made by Nonprofit Organizations and Small Business Firms Under Government Grants,
Contracts and Cooperative Agreements," 37 C.F.R. Part 401 (implementing the Presidential
Memorandum [statement] on Govemment Patent Policy to the Heads of Executive
Departments and Agencies, dated February 18, 1983, 19 Weekly Comp. Pres. Doc. 252-253,
Feb. 28, 1983), irrespective of the status of the Recipient, any Recipient, 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.).
Section 11. Rights in Data and Copyrights
A. Definition. The term "subject data" used in this section means recorded information, whether or
not copyrighted, that is delivered or specified to be delivered under the agreement. Examples
include, but are not limited to: computer software, standards, specifications, engineering
drawings and associated lists, process sheets, manuals, technical reports, catalog item
identifications, and related information. The term "subject data" used in this section does not
include financial reports, cost analyses, or similar information used for Project administration.
B. State and Federal Restrictions. Except for its own internal use, the Recipient may not publish
or reproduce subject data in whole or in part, or in any manner or form, nor may the Recipient
authorize others to do so, without the written consent of the State and Federal Government,
until such time as the State and Federal Government may have either released or approved
the release of such data to the public unless the Recipient is an institution of higher learning.
C. Federal Rights in Data and Copyrights. The Recipient agrees to provide to the State and
Federal Government a royalty-free, non-exclusive and irrevocable license to reproduce,
publish, or otherwise use, and to authorize others to use, for State and Federal Government
purposes the "subject data." As used in the previous sentence, "for State and Federal
Government purposes," means use only for the direct purposes of the State and Federal
Government. Without the copyright owner's consent, the State and Federal Government may
not extend to other parties the State or Federal Government's license to:
1. Any subject data developed under the agreement or under a third party contract
financed by the agreement, whether or not a copyright has been obtained; and
2. Any rights of copyright to which a Recipient or a third party contractor purchases
ownership with Federal assistance.
D. Special Rights in Data for Research, Development, Demonstration, and Special Studies
(Planning) Projects. FTA's and the State's purpose in providing financial assistance for a
special studies (planning), research, development, or demonstration Project, is to increase
transportation knowledge, rather than limit the benefits of the Project to participants in the
Project. Therefore, unless FTA and the State determine otherwise, the Recipient of financial
assistance to support a reseamh, development, demonstration, or a special studies (planning)
Project agrees that, in addition to the rights in data and copyrights of this agreement, FTA and
the State may make available to any FTA recipient, Recipient, third party contractor, or third
party subcontractor, either FTA's or the State's license in the copyright to the subject data or a
copy of the subject data. If the Project is not completed for any reason whatsoever, all data
developed under that Project shall become subject data and shall be delivered as the FTA and
the St'ate may direct. This Subsection does not apply to adaptations of automatic daia
processing equipment or programs for the Recipient's use whose costs are financed with
Federal funds for capital Projects.
E. Hold Harmless. Except as prohibited or otherwise limited by law, the Recipient agrees to
indemnify, save, and hold harmless the State and 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 Project.
F. Restrictions on Access to Patent Rights. Nothing in this section shall imply a license to the
State and the Federal Government under any patent or be construed to affect the scope of any
license or other right otherwise granted to the Federal Government under any patent.
G. Statutory Requirements to Release Data. The Recipient understands and agrees that data and
information submitted may be required to be made available for dissemination under the Texas
Public Information (Government Code, Chapter 552) or Freedom of Information Act, or other
Federal statute(s) in accordance with implementation instructions contained in 49 C.F.R.
{}19.36, revised March, 2000, to the extent applicable, and any subsequent applicable State or
Federal requirements that may be promulgated.
Section 12. Use of Real Property, Equipment, and Supplies
Unless otherwise approved by FTA, the Recipient agrees to comply with the following requirements
with respect to real property, equipment, and supplies:
A. Use of Property. The Recipient agrees to use Project real property, equipment, and supplies
for appropriate Project purposes (which may include joint development purposes that generate
program income, both during and after the award period used to support transit activities) for
the duration of the useful life of that property, as required by FTA. Should the Recipient
unreasonably delay or fail to use Project property during the useful life of that property, the
Recipient agrees that it may be required to return the entire amount of the Federal assistance
expended on that property. The Recipient further agrees to notify FTA immediately when any
Project property is withdrawn from Project use or when Project property is used in a manner
substantially different from the representations made in the Application or the Project
Description for the Grant Agreement.
B. General Federal Requirements. A Recipient that is a State, a local government, or an Indian
tribal government agrees to comply with property management standards of 49 C.F.R. {}18.31
through 18.34, including any amendments thereto, and other applicable guidelines or
regulations the Federal Government may issue. A Recipient that is an institution of higher
education, or a private nonprofit organization, agrees to comply with 49 C.F.R. {}{}19.30
through 19.37, including any amendments thereto, and other applicable guidelines or
regulations the Federal Government may issue. Any exception to the requirements of 49
C.F.R. {}18.31 through 18.34, and to 49 C.F.R. {}19.30 through 19.37, requires the express
approval of the State and Federal Government. A Recipient that is a for-profit organization
agrees to comply with property management standards satisfactory to FTA. Nevertheless, FTA
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 established by FTA).
C. 5310 Program. The Recipient, where practical, shall make available the vehicle purchased
under this program to provide transportation to other elderly persons and persons with
disabilities beyond the Recipient's own clients when not being used for grant-related purposes.
According to FTA C 9070.1 E, the Recipient/Recipient shall also provide transportation to the
general public on an incidental basis if such service does not interfere with transportation
services for the general elderly and disabled public.
29
D. Maintenance. The Recipient agrees to maintain Project real property and equipment in good
operating order, in compliance with any guidelines, directives, or regulations the State or FTA
may issue.
E. Records. The Recipient agrees to keep satisfactory records regarding 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.
F. Encumbrance of Project Property. The Recipient agrees to maintain satisfactory continuing
control of Project real property or equipment. Thus, absent written authorization by FTA
permitting otherwise:
1. Written Transactions. The Recipient agrees to refrain from executing any transfer of
title, lease, lien, pledge, mortgage, encumbrance, third party contract, grant anticipation
note, alienation, or any other obligation that in any way would affect the Federal or State
interest in any Project real property or equipment.
2. Oral Transactions. The Recipient agrees to refrain from obligating itself in any manner
to any third party with respect to Project real property or equipment.
3. Other Actions. The Recipient agrees to refrain from taking any action that would either
adversely affect the Federal or State interest or impair the Recipient's continuing control
of the use of Project real property or equipment.
G. Transfer of Project Property. The Recipient understands and agrees as follows:
1. Recipient Request. The Recipient may transfer assets financed with Federal assistance
authorized for 49 U.S.C. chapter 53 to a public body to be used for any public purpose
with no further obligation to the Federal Government, provided the transfer is approved
by the State and Federal Transit Administrator and conforms with the requirements of
49 U.S.C. §5334(g)(1) and (2).
2. Direction. The Recipient agrees that the State may direct the disposition of, and even
require the Recipient to transfer title to, any real property, equipment, or supplies
financed with Federal assistance.
3. Leasing Project 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 asset appropriately, either through a "Lease and
Supervisory Agreement" between the Recipient and lessee, or another similar
document. Upon request, the Recipient agrees to provide a copy of any relevant
documents.
H. Disposition of Project Property. With prior FTA and State approval, the Recipient may sell,
transfer, or lease Project property and use the proceeds to reduce the gross project cost of
other eligible capital transit projects to the extent permitted by 49 U.S.C. §5334(g)(4).
Nevertheless, the Recipient agrees that the State may establish the useful life for Project
property, and that the Recipient will use Project property continuously and appropriately
throughout that useful life.
1. Project Property Whose Useful Life Has Expired. When the useful life of Project
Property has expired, the Recipient agrees to comply with FTA's and the State's
disposition requirements.
2. Project Property Prematurely Withdrawn from Use. For property withdrawn from
appropriate use before its useful life has expired, the Recipient agrees as follows:
a) Notification Requirement. The Recipient agrees to notify the State immediately when
any Project real property, equipment, or supplies are prematurely withdrawn from
appropriate use, whether by planned withdrawal, misuse, or casualty loss.
b) Calculating the Fair Market Value of Prematurely Withdrawn Project Property. The
Recipient agrees that the Federal Government retains a Federal interest in the fair
market value of Project property prematurely withdrawn from mass transportation
use. The amount of the Federal interest in the property shall be determined on the
basis of the ratio of the Federal assistance awarded by the Federal Government for
3O
the property to the actual cost of the Property. The Recipient agrees that the fair
market value of property prematurely withdrawn from use will be calculated as
follows:
1) Equipment and Supplies. Unless otherwise determined in writing by the State,
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 the State.
The fair market value of equipment and supplies shall be the value immediately
before the occurrence prompting the withdrawal of that property from use. In the
case of equipment or supplies lost or damaged by fire, casualty, or natural
disaster, the fair market value shall be calculated on the basis of the condition of
that property immediately before the fire, casualty, or natural disaster,
irrespective of the extent of insurance coverage. As authorized by 49 C.F.R.
§18.32(b), the State may use its own disposition procedures, provided that those
procedures comply with the State's laws.
2) Real Property. The Recipient agrees that the fair market value of real property
shall be determined either by competent appraisal based on an appropriate date
approved by the Federal Government, as provided by 49 C.F.R. Part 24, or by
straight line depreciation, whichever is greater.
3) Exceptional Circumstances. The State reserves the right to require the use of
another method of determining the fair market value of property. In unusual
circumstances, the Recipient may request that another reasonable valuation
method be used including, but not limited to, accelerated depreciation,
comparable sales, or established market values. In determining whether to
approve such a request, the State may consider any action taken, omission
made, or unfortunate occurrence suffered by the Recipient with respect to the
preservation or conservation of Project property withdrawn from appropriate use.
c) Obligations. Unless otherwise approved in writing by the State, the Recipient is
required to remit to the State the Federal interest in the fair market value of Project
real property, equipment, or supplies prematurely withdrawn from appropriate use. In
the case of fire, casualty, or natural disaster, the Recipient may fulfill its
responsibilities with respect to the Federal interest remaining in the damaged
equipment or supplies by either:
1) Investing an amount equal to the remaining Federal interest in like-kind
equipment or supplies that are eligible for assistance within the scope of the
Project that provided financial assistance for the damaged equipment or
supplies; or
2) Returning an amount equal to the remaining Federal interest in the damaged
property.
Misused or Damaged Project Property. If any damage to Project real property, equipment, or
supplies results from abuse or misuse of that property 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 damaged property, as the
State may require.
Obligations After Project Close-out. A Recipient that is a State, local, or Indian tribal
government agrees that Project close-out will not alter its property management obligations
and applicable State and Federal rules and regulations and other FTA requirements or
directives.
Section 13. Insurance
In addition to any other insurance requirements that may apply in connection with the Project, the
Subrecipient agrees as follows:
3]
A. Minimum Requirements. At a minimum, the Recipient agrees to comply with the insurance
requirements normally imposed by the laws, regulations, and ordinances imposed by its State
and local governments. For construction and/or repair contracts, the Recipient shall comply
with insurance requirements as established in 49 C.F.R. Part 18.
B. Flood Hazards. To the extent applicable, the Recipient agrees to comply with the flood
insurance pumhase requirements of section 102(a) of the Flood Disaster Protection Act of
1973, 42 U.S.C. §4012a(a), with respect to any Project activity involving construction or
acquisition having an insurable cost of $10,000 or more.
Section '14, Relocation
When relocation of individuals or businesses is required, the Recipient agrees to comply with the
following requirements:
A. Relocation Protections. 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 seq.; and U.S. DOT regulations, "Uniform Relocation and Real Property Acquisition for
Federal and Federally Assisted Programs," 49 C.F.R. Part 24, which provide for fair and
equitable treatment of persons displaced or whose property is acquired as a result of Federal
and federally assisted programs. These requirements apply to all interests in real property
acquired for Project purposes regardless of Federal participation in purchases.
B. Nondiscrimination in Housing. The Recipient agrees to comply with Title VIII of the Civil Rights
Act of 1968, 42 U.S.C. §§3601 et seq. and Executive Order No. 12892, "Leadership and
Coordination of Fair Housing in Federal Programs: Affirmatively Furthering Fair Housing," 42
U.S.C. §3608 note, when carrying out its responsibilities to provide housing used to meet
Federal relocation requirements.
Section 15. Real Property
For Projects involving real property., the Recipient agrees as follows:
A. 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 seq.; and
U.S. DOT regulations, "Uniform Relocation and Real Property Acquisition for Federal and
Federally Assisted Programs," 49 C.F.R. Part 24. These requirements apply to all interests in
real property acquired for Project purposes regardless of Federal participation in purchases.
B. Covenant Assuring Nondiscrimination. The Recipient agrees to include a covenant in the title
of the real property to assure nondiscrimination during the useful life of the Project.
C. Recording Title to Real Property. To the extent required by the State and FTA, the Recipient
agrees to record the State and Federal interest in the title of real property.
D. Approval of Changes in Real Property Ownership. The Recipient agrees that it will not dispose
of, modify the use of, or change the terms of the real property title, or other interest in the site
and facilities without permission and instructions from the State.
Section 16. Construction
For activities involving construction, the Recipient agrees as follows:
A. Drafting, Review, and Approval of Construction Plans and Specifications. To the extent
required by the State, the Recipient agrees to comply with State requests pertaining to the
drafting, review, and approval of construction plans and specifications.
B. Supervision of Construction. The Recipient agrees to provide and maintain competent and
adequate engineering supervision at the construction site to ensure that the complete work
conforms to the approved plans and specifications.
C. Construction Reports. The Recipient agrees to provide progress reports and such other
information as may be required by the State.
D. Project Management for Major Capital Projects. The Recipient agrees to comply with FTA
regulations, "Project Management Oversight," 49 C.F.R. Part 633, and any revision thereto,
applicable to a Major Capital Project.
E. Seismic Safety. The Recipient agrees to comply with the U.S. DOT regulations at 49 C.F.R.
Part 41, Executive Order No. 12699, "Seismic Safety of Federal and Federally-Assisted or
Regulated New Building Construction," 42 U.S.C. §7704 note, pursuant to the Earthquake
Hazards Reduction Act of 1977, as amended, 42 U.S.C. §7701 et seq., pertaining to seismic
safety in DOT assisted construction projects (specifically, 49 C.F.R. §41.117), and with any
implementing guidelines FTA may issue.
Section 17. Employee Protections
A. Construction Activities. The Recipient agrees to comply, and assures the compliance of each
contractor to any tier, with the following employee protection requirements for construction
employees:
1. Davis-Bacon Act, as amended, 40 U.S.C. §276a - 276a(7), FTA's enabling legislation
requiring compliance with the Davis-Bacon Act, at 49 U.S.C. §5333(a), and 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;
2. Contract Work Hours and Safety Standards Act, as amended, particularly with the
requirements of section 102 of the Act, 40 U.S.C. §327 - 332; and 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 with section 107 of the Act, 40 U.S.C. §333, and U.S. DOL
regulations, "Safety and Health Regulations for Construction," 29 C.F.R. Part 1926; and
3. Copeland "Anti-Kickback" Act, as amended, 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.
B. Activities Not Involving Construction. The Recipient agrees to comply, and assures the
compliance of contractors at any tier, with any applicable employee protection requirements for
nonconstruction employees of section 102 of the Contract Work Hours and Safety Standards
Act, as amended, 40 U.S.C. §327 - 332, and 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.
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 Project work involving commeme, and apply to any State or
local government employees that are public transit authority employees. Thus, the Recipient,
agrees to comply with the Fair Labor Standards Act's minimum wage and overtime
requirements for employees performing Project work.
D. Transit Employee Protective Arrangements. If transit employee protective arrangements
required by U.S. DOL apply to transit operations performed in connection with the Project, the
Recipient agrees to comply with the applicable requirements for its Project as follows:
1. Standard Transit Employee Protective Arrangements. To the extent that the Project
involves transit operations, the Recipient agrees to implement the Project in compliance
with terms and conditions the U.S. Secretary of Labor has determined to be fair and
equitable to protect the interests of any employees affected by the Project and that meet
the requirements of 49 U.S.C. §5333(b), and of the U.S. DOL guidelines, "Section
5333(b), Federal Transit Law," 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 Recipient agrees to implement the Project in
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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. The
requirements of this paragraph do not apply to Projects for the elderly and persons with
disabilities that are authorized by 49 U.S.C. §5310(a)(2) or to Projects for nonurbanized
areas that are authorized by 49 U.S.C. §5311; separate requirements for those Projects
are contained in Subsections 17.D(2) and 17.D(3) of this Agreement.
2. Transit Employee Protective Arrangements for Projects for Elderly and Persons with
Disabilities Authorized by 49 U.S.C. §5310(a)(2). To the extent that the U.S. 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 a public
body Recipient under the Project, the Recipient agrees to carry out the Project in
compliance with the terms and conditions determined by the Secretary of Labor
necessary to meet the requirements of 49 U.S.C. §5333(b), and the U.S. DOL.
guidelines, "Section 5333(b), Federal Transit Law," 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 Recipient agrees
to implement 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 this Agreement.
3. Transit Employee Protective Arrangements for Projects in Nonurbanized Areas
Authorized by 49 U.S.C. §5311. 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, U.S. DOL implementing
procedures, and any revisions thereto.
Section 18. 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 U.S.C.
§4321 et seq.; the Clean Air Act, as amended, 42 U.S.C. §7401 et seq. and scattered sections of 29
U.S.C.; the Federal Water Pollution Control Act, as amended, 33 U.S.C. §1251 et seq.; the Resource
Conservation and Recovery Act, as amended, 42 U.S.C. §6901 et seq.; and the Comprehensive
Environmental Response, Compensation, and Liability Act, as amended, 42 U.S.C. §9601 et seq.
The Recipient also recognizes that U.S. EPA, FHWA and other Federal agencies have issued, and in
the future are expected to issue, regulations, guidelines, standards, orders, directives, or other
requirements that may affect the Project. Thus, the Recipient agrees to comply, and assures the
compliance of each Recipient and each contractor, with any such Federal requirements as the
Federal Government may now or in the future promulgate. Listed below are requirements of particular
concern to FTA and the Recipient. The Recipient agrees that those laws and regulations do not
constitute the Recipient's entire obligation to meet all Federal environmental and resource
conservation requirements.
A. Use of Public Lands. The Recipient agrees that no publicly owned land from a park, recreation
area, or wildlife or waterfowl refuge of national, State, or local significance as determined by
the Federal, State, or local officials having jurisdiction thereof, or any land from a historic site of
national, State, or local significance may be used for the Project unless FTA makes the
specific findings required by 49 U.S.C. §303.
B. Coastal Zone Management. The Recipient agrees to assure Project consistency with the
approved State management program developed under the Coastal Zone Management Act of
1972, as amended, 16 U.S.C. §1451 et seq.
C. Environmental Justice. The Recipient agrees to comply with the policies of Executive Order
No. 12898, "Federal Actions to Address Environmental Justice in Minority Populations and
Low-Income Populations," 42 U.S.C. §4321 note.
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Section 19. Energy Conservation
The Recipient agrees to comply with the mandatory energy efficiency standards and policies within
the applicable State energy conservation plans issued in compliance with the Energy Policy and
Conservation Act, 42 U.S.C. §6321 et seq.
Section 20. State Management and Monitoring Systems
The Recipient agrees to comply with applicable requirements of joint FHWA/FTA regulations,
"Management and Monitoring Systems," 23 C.F.R. Parts 500 and 49 C.F.R. Part 614, to the extent
applicable.
Section 21. Privacy Act
Contracts Involving Federal Privacy Act Requirements. The following requirements apply to the
Recipient and its employees that administer any system of records on behalf of the Federal
Government under any contract:
(1) The Recipient agrees to comply with, and assures the compliance of its employees with, the
information restrictions and other applicable requirements of the Privacy Act of 1974, 5 U.S.C. §
552a. Among other things, the Recipient agrees to obtain the express consent of the Federal
Government before the Recipient or its employees operate a system of records on behalf of the
Federal Government. The Recipient understands that the requirements of the Privacy Act, including
the civil and criminal penalties for violation of that Act, apply to those individuals involved, and that
failure to comply with the terms of the Privacy Act may result in termination of the underlying contract.
(2) The Recipient also agrees to include these requirements in each subcontract to administer any
system of records on behalf of the Federal Government financed in whole or in part with Federal
assistance provided by FTA.
Section 22. Not Applicable
Section 23. Metric System
As required by U.S. DOT or FTA, the Recipient agrees to use the metric system of measurement in
its Project activities, pursuant to the Metric Conversion Act, as amended by the Omnibus Trade and
Competitiveness Act, 15 U.S.C. §205a et seq.; Executive Order No. 12770, "Metric Usage in Federal
Government Programs," 15 U.S.C. §205a note; and other U.S. DOT or FTA regulations, guidelines,
and policies. To the extent practicable and feasible, the Recipient agrees to accept products and
services with dimensions expressed in the metric system of measurement.
Section 24. Substance Abuse
A. Drug Abuse. The Recipient agrees:
1. The Recipient agrees to comply with U.S. DOT regulations, "Drug-Free Workplace
Requirements (Grants)," 49 C.F.R. Part 29, Subpart F, as modified by 41 U.S.C. §702
et seq.
2. To the extent applicable, the Recipient agrees to comply with FTA regulations,
"Prevention of Prohibited Drug Use in Transit Operations," 49 C.F.R. Part 655, including
subsequent FTA regulations when promulgated, and any guidance on the drug abuse
provisions of 49 U.S.C. §5331 that FTA or U.S. DOT may issue.
B. Alcohol Abuse. To the extent applicable, the Recipient agrees to comply with FTA regulations,
"Prevention of Alcohol Misuse in Transit Operations," 49 C.F.R. Part 655, including
subsequent FTA regulations when promulgated, and any guidance on the alcohol abuse
previsions of 49 U.S.C. §5331 that FTA or U.S. DOT may issue.
Section 25. State Safety Oversight of Rail Fixed Guideway Public Systems
To the extent applicable, the Recipient agrees to comply with 49 U.S.C. §5330, and FTA regulations,
"Rail Fixed Guideway Systems; State Safety Oversight," 49 C.F.R. Part 659, and any guidance that
FTA or U.S. DOT may issue to implement 49 U.S.C. §5330.
Section 26. Seat Belt Use
Pursuant to Executive Order No. 13043, April 16, 1997, 23 U.S.C. §402, the Recipient is encouraged
to adopt on-the-job seat belt use policies and programs for its employees when operating company-
owned, rented, or personally-operated vehicles and include this provision in third party contracts,
entered into under this Project.
Section 27. Special Requirements for Urbanized Area Formula Projects
The following requirements apply to all Projects financed with Federal assistance authorized for 49
U.S.C. {}5307:
A. Fares and Services. Before raising fares or instituting a major reduction of service, the
Recipient agrees to use its established administrative process to solicit and consider public
comment.
B. Audit Requirements. The Recipient agrees that the State or Federal Government may conduct
or require the Recipient to engage an independent entity to conduct annual or more frequent
reviews and audits required by 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 fares or 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 that generally apply to other
persons at peak hours, whether the operation of such facilities and equipment is by the
Recipient or another entity under lease or otherwise. The Recipient agrees to give the rate
required herein to any person presenting a Medicare card duly issued to that individual
pursuant to Title II or Title XVIII of the Social Security Act, 42 U.S.C. §§401 et seq., and 42
U.S.C. §§1395 et. seq.
D. Procurement of an Associated Capital Maintenance Product. In accordance with the terms of
49 U.S.C. §5326(d), the Recipient may, without prior Federal approval, procure an eligible
associated capital maintenance product by contract directly with the original supplier or
manufacturer 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.
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 FTA that such expenditures ara not necessary.
F. Restrictions on the Use of Formula Assistance for Operations. A Recipient permitted to use
Federal assistance authorized for 49 U.S.C. §5307 to support operations agrees as follows:
1. To comply with the restrictions of 49 U.S.C. §5307(b)(1) and 5307(f) in using urbanized
area formula funds for operating assistance, unless permitted otherwise by FTA.
2. Financial 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 set
forth in the Approved Project Budget and, with FTA approval, may be extended to a
later date to the extent permitted by law, provided that the applicable operating
assistance limitation is not exceeded.
G. Reporting Requirements. For each fiscal year, the Recipient agrees to conform, and assures
that any transit operator to which the Recipient provides funds authorized by 49 U.S.C. §5307
will conform, to the reporting system and the uniform system of accounts and records required
by 49 U.S.C. §5335(a) for FTA's national transit database and FTA regulations, "Uniform
System of Accounts and Records and Reporting System," 49 C.F.R. Part 630, which includes
various reports required for FTA's national transit database.
H. Criminal Sanctions. The criminal sanctions of 49 U.S.C. §1001 apply to any submission or
certificate provided for the Urbanized Area Formula Program authorized by 49 U.S.C. §5307.
Section 28. Not Applicable
Section 29. Special Requirements for Job Access and Reverse Commute Grant Projects
The Recipient agrees to comply with following requirements in administering Projects financed with
Federal assistance authorized for section 3037 of TEA-21, 49 U.S.C. §5309 note:
A. General Requirements. The Recipient agrees to comply with any applicable Federal
requirements or guidance that may be issued to implement the Job Access and Reverse
Commute Grant Program, authorized by section 3037 of TEA 21,49 U.S.C. §5309 note.
B. Restrictions on the Use of Grant Funds. The Recipient agrees that it will not use any grant
funds awarded for Section 3037 Projects to support the costs of planning or coordination
activities, in compliance with section 3037(e) of TEA-21, 49 U.S.C. §5309 note.
Section 30. Special Requirements for Over-the-Road Bus Accessibility Projects
The Recipient agrees to comply with following requirements in administering Projects financed with
Federal assistance authorized for section 3038 of TEA-21, 49 U.S.C. §5310 note:
A. General Requirements. The Recipient agrees to comply with any applicable Federal
requirements or guidance that may be issued to implement the Over-the-Road Bus
Accessibility Program authorized by section 3038 of TEA-21,49 U.S.C. §5310.
B. Special Requirements. The Recipient agrees to comply with U.S. DOT regulations,
"Transportation Services for Individuals with Disabilities (ADA)," 49 C.F.R. Part 37, Subpart H,
"Over-the-Road Buses," and joint U.S. Architectural and Transportation Barriers Compliance
Board/U.S. DOT regulations, "Americans With Disabilities (ADA) Accessibility Specifications
for Transportation Vehicles," 36 C.F.R. Part 1192 and 49 C.F.R. Part 38.
C. FTA Notice. The provisions of FTA Notice, "Over-the-Road Bus Accessibility Program Grants,"
65 Fed. Reg. 2772-2786 (January 18, 2000), and any subsequent revision thereto, supersede
conflicting provisions of this Agreement.
Section 3;I. Disputes, Breaches, Defaults, or Other Litigation
The Recipient agrees that the State and FTA has a vested interest in the settlement of any dispute,
breach, default, or litigation involving the Project. Accordingly:
A. Notification. The Recipient agrees to notify the State of any current or prospective major
dispute, breach, default, or litigation that may affect the State or Federal Government's
interests in the Project or the administration or enforcement of laws or regulations. If the
Recipient seeks to name the State or the Federal Government as a party to litigation for any
reason, in any forum, the Recipient agrees to inform the State before doing so.
B. Federal Interest in Recovery. The Federal Government retains the right to a proportionate
share, based on the percentage of the Federal share awarded for the Project, of proceeds
derived from any third party recovery, except that the Recipient may return any liquidated
damages recovered to its Project Account in lieu of retuming the Federal share to the Federal
Government.
C. Enfomement. The Recipient agrees to pursue all legal rights within any third party contract.
D. State and FTA Concurrence. The State and FTA reserve the right to concur in any
compromise or settlement of any claim involving the Project and the Recipient.
E. Termination for Convenience.
37
1. General Provision. The Recipient may terminate this contract, in whole or in part, at any
time by written notice to the Recipient when it is in the Government's best interest. The
Recipient shall be paid its costs, including contract close-out costs, and profit on work
performed up to the time of termination. The Recipient shall promptly submit its
termination claim to Recipient to be paid the Recipient. If the Recipient has any property
in its possession belonging to the Recipient, the Recipient will account for the same,
and dispose of it in the manner the Recipient directs.
2. Professional or Transit Service Contracts. The Recipient, by written notice, may
terminate this contract, in whole or in part, when it is in the Government's interest. If this
contract is terminated, the Recipient shall be liable only for payment under the payment
provisions of this contract for services rendered before the effective date of termination.
End of Agreement
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