2002-249.. S:\Our Documents\Ordinances\02~Public Transit Grant Ordinance.doc
NOTE: Amend~eg~ ~p, ~ tO G~nt Agreement is attached.
ORDINANCE NO. ~'-~
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 funds 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 certa'm 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
utihzed 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:
SECTION 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.
SEC2IDJ:L~ 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.
.qF. CTION 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.
SECTION 4 The City Manager, or his designee, is authorized to set forth and execute
disadvantaged business enterprise policies.
~ql~.CTI(3N 5. 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 funding, 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.
SECTION 6. This ordinance shall become effective immediately upon its passage and
approval.
PASSED AND APPROVED this the ~/9~'~ dayof ~-ff,~.~ ,2002.
EULINE BROCK, MAYOR
ATTEST:
JENNIFER WALTERS, CITY SECRETARY
HERB~UTY, CITY ATTORNEY
BY: ~ - ~5
PAGE 2
~
RECIPIENT: City of Denton
STATE/LOCAL PUBLIC TRANSPORTATION GRANT AGREEMENT
GRANT AGREEMENT NO.: 51318F1007
STATE PROJECT NO. URB 0301(18)
City of Denton
STATE/LOCAL URBAN PUBLIC
TRANSPORTATION GRANT AGREEMENT
THE STATE OF TEXAS
THE COUNTY OF TRAVlS §
THIS GRANT AGREEMENT is made by and between the State of Texas, acting through the Texas
Department of Transportation, hereinafter called the "State," and 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 by Minute Order
Number 108566;
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,
2002, whichever is later. This grant agreement shall terminate on August 31, 2003, unless terminated
or otherwise modified as hereinafter provided:
ARTICLE 2. PROJECT DESCRIPTION
A. 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.
B. 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 $232,929.00
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.
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.
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.
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.
The original and one copy of the invoice is to be submitted to the following address:
Jay R. Nelson, P. E.
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.
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.
The Recipient shall pay all subcontractors for work performed within ten (10) days after the
Recipient receives payment for the work performed by the subcontractor. Aisc, 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 responsible 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.
AR'I:ICLE 4. AMENDMENTS
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. 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,
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 pumhase 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 pumhase of
equipment and/or to provide professional services without prior authorization and consent to the
subcontract by the State. Subcontracts in excess of $25,000 shall contain all 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 pumhase' 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.
3
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 Organizations
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 minodty 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. 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.
A. A contract administration system which ensures that contractors perform in accordance with the
terms, conditions, and specifications of their contracts or purchase orders.
B. 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. A process for review of proposed
procurements to avoid purchase of unnecessary or duplicative items.
C. Use of state and local intergovernmental agreements for procurement or use of common goods
and services to foster greater economy and efficiency.
D. Use of value engineering clauses in contracts for construction projects.
E. 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.
F. 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.
G. Limited use of time-and-materials contracts.
H. Use of good administrative practices and sound business judgment to settle contractual and
administrative issues arising out of procurements.
I. Protest procedures to handle and resolve disputes relating to procurements and prompt disclosure
to the State of information regarding the pretest.
J. Procurement transactions conducted in a manner that provides full and open competition.
K. These standards will only apply to the project described in Attachment ^, 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. 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.
2. 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.
3. 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.
4. 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 perfo~'med. Maintenance records
shall be provided to the State upon request.
5. Request disposition instructions from the State, and if authorized to sell the equipment, use
proper sales procedures to insure the highest possible return.
6. 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. 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.
All vehicles purchased under this grant agreement shall comply with the Motor Vehicle Safety
Standards established by the US Department of Transportation.
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 oF fire.
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:
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.
All rights, privileges, and benefits (including pension rights and benefits) of employees (including
employees already retired) shall be preserved and continued.
The Recipient shall be financially responsible for any deprivation, of employment or other
worsening of employment position as a result of the project.
In the event an employee is terminated or laid off as a result of the project, he or she shall be
granted priodty 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 fer subh training or retraining
at no cost to the employee.
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.
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. 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 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 to verify the extent of services provided under the terms of the grant agreement.
Representatives of the State or Federal government shall have access to project facilities and
records at all reasonable times.
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 thirty (30) 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
unlinked 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 ara 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. 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.
c. The Recipient shall develop performance goals and management objectives in accordance
with Title 43, Texas Administrative Code §31.36.
D. The Recipient shall maintain written 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
.~. The Recipient shall be responsible for the settlement of all contrectual and administrative
issues arising out of procurements entered in support of the grent.
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 Administretive 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 grent 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 other 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, within ten (10) working days, exemise its contract termination
rights, direct the disposition of equipment pumhased with grant funds, or both.
B. If both parties to this grant agreement agree that the continuation of the grent 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 grent is warranted, a new grent agreement must be
developed and executed by both parties.
(2. 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 grent 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 grent agreement and 49 C.F.R. 18.31 and 18.32,
unless the state or federel funding agency issue disposition instructions to the contrery.
E. In the event of termination, the State may compensate the Recipient for those eligible
expenses incurred during the grant pedods that are directly attributable to the completed
portion of the grent 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. Except with
respect to defaults of subcontractors, the Recipient shall not be in default by reason of any
failure in performance of this grent 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
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, rites, 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. HISTORICALLY UNDERUTILIZED BUSINESS (HUB) PARTICIPATION FOR PUBLIC
TRANSPORTATION CONTRACTS
A. 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 25 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 and Sectio~n 1101(b) of TA~21, 23
U.S.C. {}101 note apply to this contract as follows:
B. The Recipient and any subcontractor will strive to meet the annual DBE goal of 6.03% 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
C. 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.
D. These requirements shall be physically included in any subcontract.
E. 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 or the U.S. DOT deems apprepdate, including
referring the matter for enforcement under 18 U.S.C. §1001 and/or the Program Fraud Civil
Remedies Act, 31 U.S.C. {}{}3801 et seq..
ARTICLE 17. CONTROL OF SUBSTANCE ABUSE
Section 5307 Recipient's will submit a copy of the Drug and Alcohol Management Information System
(DAMIS) reports by February 15th of each year using forms furnished by the Federal Transit
Administration.
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. 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.
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.
C. Texas Transportation Commission policy mandates that employees of the Texas Department of
Transportation (TxDOT) shall not accept any benefits, gifts or favors 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.
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.
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
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
ail 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, brekerege fee, gift, or
contingent fee.
ARTICLE 23. NOT APPLICABLE
ARTICLE 24. NOT APPLICABLE
l0
ARTICLE 25. PROGRAM INCOME
A. Except for income f~om royalties and proceeds from the sale of real property or
equipment, the Recipient shall retain program income and apply such income to allowable
capital or operating expenses.
I~. 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
received by the Recipient directly generated by a grant supported activity, or earned only as a
result of this grant agreement dudng the time period specified in Article 1, Grant Period.
C. 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 wdtten 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 unenfomeability 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.
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 3'1. SIGNATORY WARRANTY
The undersigned signatory for the Recipient hereby represents and warrants that he or she is an
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
~..~*Ct I~nginoer, Dallas District
Jay R. Nelson, R E.
Typed, Printed or Stamped Name
Title: District EnRineer
Date:
RECIPIENT:
Recipient Name: City of Denton
By:
- ~t~re of Authorized Officer
Typed, Printed ~ Stampe'~ Name
Title:
Date:
APPROVED AS TO FO~M:
cmr ATTO
C,TY .
12
Attachments to Grant Agreement
Attached and Incorporated into the Grant Agreement by Reference
Attachment Title
A Approved Project Description
B Approved Project Budget
C Disclosure Of Lobbying Activities
D Federal Provisions
E Not Applicable
F Not Applicable
G Not Applicable
H Not Applicable
ATTACHMENT A
APPROVED PROJECT DESCRIPTION
The application for State and Federal assistance, as submitted to the State, is hereby incorporated
into this agreement as the project description, unless described below.
14
State and Local Urban Public Transportation Grant/lgreement
Effective Date: September 1, 2002
Project Completion Date: August 31, 2003
Recipient City of Denton
State Contract Number: 51318F1007
State Project Number: URB 0301(18)
Attaclttnent B
Approved Project Budget
Original Budget
Category ALI Code Description
Capital 11.7A.00 Preventive Maintenance
Catcgo~y Total
Planning Planning
Operating 30.09.00 Operating Assistance
ProJectTotals
$132,929.00
$0.00
$0.00
$0.00
$132,929.00
$0.00
$1,202,570.00
75.23% $100,000.00 $32,929.00 $0.00
0.00% $0.00 $0.00 $0.00
0.00% $0.00 $0.00 $0.00
0.00% $0.00 $0.00 $0.00
75.23% $I 00,000.00 $32,929.00 $0.00
0.00% $0.00 $0.00 $0.00
49.86% $599,570.00 $200,000.00 $403,000.00
$1,335,499.00
$699,570.00 $232,929.00 $403,000.00
Maximum Relmburseable Amount: $232~929.00
ATTACHMENT C
DISCLOSURE OF LOBBYING ACTIVITIES
Complete this form to disclose Iobbyin~ activities pursuant to 31 U.S.C. 1352
1. Type of FederalAction: _B 2. Status of FederalAction: B 3. RepodType:
a. contract a. bid/offer/application a. initial filing
b. grant b. initial award b. material change
For Material Change Only:
c. cooperative agreement c. post award year 2003 quarter lsat
d. loan date of last rcpor~
e. loan guarantee
£. loan insurance
4. Name and Address of Reporting Entity: 5.If Repealing Entity in No. 4 is Subawardee, Enter Name
Name: City of Denton and Address of Prime:
Address:
__ Prime X__ Subawardee
Tier, if known:
6. Federal Department/Agency: 7. Federal Program Name/Description
Federal Transit Administration
CFDA Number, if applicable: 20.509
8. Federal Action Number, If known: 9. Award Amount, if known:
10.a. Name and Address of Lobbying Entity: 10.b. ]adi~idual Pefformln~ Services (iacludlng address if
(if individual, last name, first name, MI): different from No. IOA) (last name, ftrst name, MI):
(attach Continuation Sheet(s) SF-LLL-A, if
necessary)
11. Amount of Payment (check All that apply): 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):
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:
15. Continuation Sheet(s) SF-LLL-A attached: Yes No
16. Information requested through this form is Authorized Representative:
authorized by title 31 U.S.C. section 1352. This
disclosure of lobbying activities is a material
representation of fact upon which reliance was placed~ ?~
by the tier above when this transaction was made or Title:
enteredinto. Thisdisclosureisrequiredpursuantto31 ~.~_ '~ ~h
U.S.C. 1352. This information will be reported to the Signature,'~rx-'
Congress semi-annual and will be available for public ~
inspection. Any person who fails to file the required Telephone:
disclosure shall be subject to a civil penalty of not less
than $10,000 and not more than $100,000 for each such Date:
failure.
16
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, Breaches, Defaults or
Litigation).
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.
Not Applicable.
Procurement.
A. Federal Standards.
B. Exclusionary or Discriminatory Specifications.
C. Bus Seat Specifications.
D. Clean Air and Clean Water.
E. Preference for Recycled Products.
F. Architectural, Engineering, Design, or Related Services.
G. Award to Other than the Lowest Bidder.
]7
H. Rolling Stock.
I. Bonding.
J. National Intelligent Transportation Systems Architecture and Standards.
.Section 9.
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 t3.
Insurance.
A. Minimum Requirements.
B. Flood Hazards.
Section 14.
Relocation.
A. Relocation Protections.
B. Nondiscrimination in Housing.
Section 15.
Real Property.
A. Land Acquisition.
B. Covenant Assuring Nondiscrimination.
]g
C. Recording Title of Real Property.
D. FTA Approval of Changes in Real Property Ownership.
Section 16.
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.
Section 17. Employee Protections. A. Construction Activities.
B. Activities Not Involving Construction.
C. State and Local Government Employees.
D. Transit Employee Protective Arrangements.
Section 18.
Environmental Requirements.
A. Use of Public Lands.
B. Coastal Zone Management.
C. Environmental Justice.
.Section 19. Energy Conservation.
.Section 20. State Management and Monitoring Systems.
Section 21. Not Applicable.
Section 22. 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
Projects.
A. General Requirements.
B. Restrictions on the Use of Grant Funds.
and Reverse
Commute
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.
Grant
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
FTA issues a written determination otherwise.
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.
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.
E. 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.
F. No State or Federal Government Obligations to Third Parties. The Recipient agrees that,
absent the State or Federal Government's express wdtten 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.
G. 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.
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, "Governmentwide 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. §380i 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
Remedies Act of 1986, as amended, to the extent the Federal Government deems
appropriate.
2. 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
22
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.
Section 3. Accounting Records
A. 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 cleady identified, readily accessible and available to
FTA upon its request, and, to the extent feasible, kept separate from documents not related to
the Project.
B. 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 propedy 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
^. 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;
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 Cimular A-21, Revised, "Cost Principles for Educational
Institutions" if the Recipient is an institution of higher education; (3) OMB Circular A-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 dghts 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
requirements apply to the underlying contract:
The following equal employment opportunity
(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 futura 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 ara treated dudng
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.
24
(2) Age - In accordance with section 4 of the Age Discrimination in Employment Act of
1967, as amended, 29 U.S.(:;. § 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.(:;. § 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,
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 FT^, modified only if
necessary to identify the affected parties.
Section 7. Not Applicable
.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. 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.
C. Bus Seat Specifications. The Recipient may use specifications conforming with the
requirements of 49 U.S.C. §5323(e) to acquire bus seats.
D. 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.
E. 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.
F. 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.
G. 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 F-FA
may issue and is consistent with state law.
H. Rolling Stock. In acquiring roiling 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 original 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 C.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.
I. B~onding. 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.
· 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 TEA-21, 23 U.S.C. {}502 note,
and with FHWNFTA's 'q'ransportation 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.
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. Cress-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 cress-border lease.
Section 10. Patent Rights
A. General. If anY invention, improvement, or discovery of the Recipient or any of its third
pa~y contractors is conceived or first actually reduced to practica in the course of or under
the Project, and that invention, improvement, or discovery is patentable under the laws of
the United States of America or any foreign country, the Recipient agrees to notify FTA
immediately and provide a detailed report.
B. Federal Rights. 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 Govemment Grants, Contracts and Cooperative Agreements," 37 C.[=.R. Part
401 (implementing the Presidential Memorandum [Statement] on Government 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
27
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
Govemment 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 research, 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 State may direct. This Subsection does not apply
to adaptations of automatic data 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, adsing 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 Mamh, 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 govemment 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, er 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 9070.1E, 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.
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.
29
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
30
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 proper[y, 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.
I. 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.
J. 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
Subecipient agrees as follows:
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 Proje,ct 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.
32
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.
33
C=
4
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.
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.
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
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 eldedy 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) ara 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 ara
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
34
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 Pdblic 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.
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 FHWNFTA regulations,
"Management and Monitoring Systems," 23 C.F.R. Parts 500 and 49 C.F.R. Part 614, to the extent
applicable.
Section 21. Not Applicable
Section 22. Not Applicable
Section 23. Metric System
35
As required by U.S. DOT or FTA, the Recipient agrees to use the metdc 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, "Metdc 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.
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 provisions 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, Apdl 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 eldedy
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 XVlII 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 are 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 opera'or 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.
37
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 31. 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:
^. 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 Govemment'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 retui'ning the Federal share to the Federal Government.
C. Enforcement. The Recipient agrees to pursue all legal rights within any third party contract.
ID. 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.
38
Subreceipent:: Cityof Denton
State Project No: 51318F1007
PTN Grant Agreement No.: URB 0301 (18)
Sen/ice Area: CITY OF DENTON
STATE/LOCAL PUBLIC TRANSPORTATION GRANT AGREEMENT
AMENDMENT No. I
THIS AMENDMENT 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, the State and the Subrecipient executed a contract on September 1,2002 to effectuate their agreement to
provide for the expenditure of funds pursuant to the previsions of 49 U.S.C., Section 5307, for a transportation project in
urbanized areas of the state; and,
WHEREAS, it has become necessary to amend that grant agreement;
NOW THEREFORE, in consideration of the premises and of the mutual covenants and agreements of the parties hereto,
the State and the Recipient do agree as follows:
AGREEMENT '
Article '1. Description of Amended Items
The State has awarded additional federal funds under Minute Order 109027; Attachment B, hereto attached, is the
revised project budget and shall ~eplace the budget page as amended and fully executed on September 1,2002 and is
included with the above-mentioned Grant Agreement.
The Recipient has requested to reprogram state funds originally programmed in FY 2002 into the FY 2003 grant
agreement and the State has approved the request.
All other provisions of the original grant agreement are unchanged and remain in full force and effect.
Article 2. Signatory Warranty
The signatories to this amendment warrant that each has the authority to enter into this agreement on behalf of the
organization they represent.
IN WITNESS WHEREOF, THE STATE AND THE SUBRECIPIENT have executed duplicate counterparts to effectuate
this agreement.
RECIPIENT
By:
Name of Subrecipient
Printed Name
Title
J2.- I¢ · Oz-
Date
THE STATE OF TEXAS
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
Cem~ission.
Printed Name
District Engineer
Title
/'/°~//") -~ Date
Page 1 of 2
Amendment 1
State and Local Urban Public Transportation Grant Agreement
Attacbment B
Approved Project Budget
Amendment ~
Effective Date: September 1, 2002
Project Completion Date: August 31, 2003
Recipient City of Denton
State Contract Number: 51318F1007
StateProJectNumber: URB 0301(18)
Category ALI Code Description
Capital I 1.7A.00 Preven6ve Maintenance
Catago~y Total
Planning 11.73.00 Project Adminisa'afion
Operating 30.09.00 Operating Assistance
Project Totals
$132,929.00 75.23% $100,000.00 $32,929.00 $0.00
$0.00 0.00% $0.00 $0.00 $0.00
$0.00 0.00% $0.00 $0.00 $0.00
$0.00 0.00% $0.00 $0.00 $0.00
$132,929.00 75.23% $100,000.00 $32,929.00 $0.00
$0.00 0.00% $0.00 $0.00 $0.00
$1,202,570.00 49.86% $599,570.00 $200,000.00 $403,000.00
$1,035,499.00 $699,570.00 $232,929.00 $403,000.00
Capital 11.7A.00 Preventive Maintenance
Planning I 1.73.00 Project Adminislrafion
Operating 30.09.00 Operating Assistance
Pro, eot Totals
Capital
Planning Planning
Operating 30.09.00 Operating Assistance
Project Totals
Budget Revision
$38,199.39 0.00% $0.00 $38,199.39 $0.00
$0.00 0.00% $0.00 $0.00 $0.00
$0.00 0.00% $0.00 $0.00 $0.00
$0.00 0.00% $0.00 $0.00 $0.00
$38,199.39 0.00% $0.00 $38,199.39 $0.00
$0.00 0.00% $0.00 $0.00 $0.00
$92,322.00 14.13% $13,047.00 $79,275.00 $0.00
$130,521.39 $13,047.00 $117,474.39 $0.00
Revised Project Budget
$171,128.39 58.44% $100,000.00 $71,128.39 $0.00
$0.00 0.00% $0.00 $0.00 $0.00
$0.00 0.00% $0.00 $0.00 $0.00
$0.00 0.00% $0.00 $0.00 $0.00
$171,128.39 58.44% $100,000.00 $71,128.39 $0.00
$0.00 0.00% $0.00 $0.00 $0.00
$1,294,892.00 47.31% $612,617.00 $279,275.00 $403,000.00
$1,466,020.39
$712,617,00 $350,403.39 $403,000.00
Maximum Relmburseable Amount: $350.403.39
Page 1