HomeMy WebLinkAbout5H - Subrecipient Grant Agreement for the Operation of the JARC Grant Funds
MEETING DATE:
AGENDA #:
PREPARED BY:
AGENDA ITEM:
DISCUSSION:
4646 Dakota Street S.E.
Prior Lake, MN 55372-1714
CITY COUNCIL AGENDA REPORT
DECEMBER 21, 2009
5H
JANE KANSIER, BUILDING AND TRANSPORTATION SERVICES
DIRECTOR
CONSIDER APPROVAL OF A RESOLUTION AUTHORIZING THE MAYOR
AND CITY MANAGER TO ENTER INTO A SUBRECIPIENT GRANT
AGREEMENT WITH THE METROPOLITAN COUNCIL FOR THE
OPERATION OF THE JOBS ACCESS REVERSE COMMUTE (JARC)
GRANT FUNDS
Introduction
The purpose of this agenda item is to receive City Council approval of a
Subrecipient Agreement with the Metropolitan Council for the operation of a
reverse commute route with the Jobs Access Reverse Commute (JARC) grant
funds. The purpose of this agreement is to memorialize the terms under which
the Metropolitan Council will grant the JARC funds to the City.
Historv
The City of Prior Lake, in partnership with the City of Shakopee, applied for a
Jobs Access Reverse Commute (JARC) grant. We were awarded $436,000 to
create the BlueXpress Reverse Commute project, which will provide a
transportation alternative to workers in the central cities to available jobs in
suburban Shakopee and Prior Lake. The project involves the purchase of a
coach bus and the operation of at least three addition'al reverse routes to and
from downtown Minneapolis.
The City and the Metropolitan Council previously entered into a Cooperative
Agreement for the purchase of the new coach bus. That agreement spelled
out the manner in which the City would reimburse the Metropolitan Council for
the local match for the purchase of the bus. The City has also entered into a
Memorandum of Understanding with the City of Shakopee to set out the terms
for Shakopee's reimbursement to the City.
Since the City is the official applicant of this grant, we must enter into a
subrecipient agreement with the Metropolitan Council to arrange for our share
of the bus operation. The difference between this subrecipient agreement and
the previous cooperative agreement is the involvement of the Federal Transit
Administration (FTA). The City is not receiving any money from the FTA for
the purchase of the bus. The money goes directly to the Metropolitan Council,
and the City is reimbursing the Metropolitan Council for the local match.
However, the grant dollars for the operation of the reverse commute will be
funneled to the City through the Metropolitan Council. These are direct FT A
dollars, which generates the need for the subrecipient agreement.
www.cityofpriorlake.com
Phon~ 952.,147.9800 j J;a~952A4 7.4245
Current Circumstances
The BlueXpress Reverse Commute project will provide a transportation
alternative to workers in the central cities to available employers and jobs in
suburban Shakopee and Prior Lake. The project involves the purchase of a
coach bus and the operation of at least three additional reverse routes to and
from downtown Minneapolis.
The objectives of this project include:
· Offer additional reverse routes from downtown Minneapolis during the
peak morning and evening hours.
· Provide flexibility in the timing of the reverse route to coincide with the
shift hours of the employers.
· Increase the employment pool for Scott County employers.
The Unified Transit Management Plan for the Communities of Scott County,
adopted in 2005 and updated in 2008, lists improved access to major Scott
County employment centers among the recommended service improvements.
It states, "a number of employment opportunities in Scott County draw
employees from outside of the local area. Currently, the Mystic Lake Casino is
providing its own bus service to and from the Minneapolis area to provide
employees and prospective employees a one-seat ride to their place of
employment. In addition to the casino and other entertainment venues in the
County, other employers also have a need for improved employee access."
The proposed reverse commute project will begin to fill this gap in transit
service.
ISSUES:
The Subrecipient Agreement will enable the City to receive funds from the FTA
for the operation of the reverse commutes. The agreement is consistent with
the grant application.
FINANCIAL
IMPACT:
The City of Shakopee and the City of Prior Lake will share equally in the cost
of the local match for the operation of the reverse commute. The funds for this
match have been included in the 2010 budget, and will be taken from the
Transit fund. The Finance Director has reviewed this source to ensure the
funds are available.
ALTERNATIVES:
1. Adopt a resolution approving a Subrecipient Agreement with the
Metropolitan Council for the operation of a reverse commute with JARC
Grant funds.
2. Deny the proposed resolution.
3. Other action as directed by the City Council.
The staff recommends alternative #1.
RECOMMENDED
MOTION:
Reviewed by:
/
A motion and second to adopt a resolution approving a Subrecipient
Agreement with the Metropolitan Council for the operation of a reverse
commute with JARC Grant funds.
e~b-
WHEREAS,
WHEREAS,
WHEREAS,
WHEREAS,
WHEREAS,
4646 Dakota Street S.E.
Prior Lake, MN 55372-1714
RESOLUTION 09-xxx
Motion By:
Second By:
The City of Prior Lake and the Metropolitan Council have a shared interest in planning and
providing efficient transit services to the residents of Scott County; and
The City of Prior Lake and the Metropolitan Council have, through prior undertakings, jointly
participated in completing a Unified Transit Management Plan ("UTMP") that recommends
various transit capital and service improvements in Scott County; and
Based on recommendations in the UTMP, the Metropolitan Council, acting in its role as the Twin
Cities Metropolitan Planning Organization submitted an application to the Federal Transit
Administration ("FTA") for grant funds under the FTA's Job Access Reverse and Commute grant
program (JARC) pursuant to 49 U.S.C. Section 5316. The Council's application included the
operation of a reverse commute bus that would be used by Prior Lake for public transit service;
and
For the operation of the reverse commute, Prior Lake has agreed to provide the local match for
the JARC grant; and
The City of Prior Lake and the Metropolitan Council desire to enter into this Subrecipient
Agreement to set forth the terms and conditions pertaining to the operation of the reverse
commute.
NOW THEREFORE, BE IT HEREBY RESOLVED BY THE CITY COUNCIL OF PRIOR LAKE, MINNESOTA as
follows:
1. The recitals set forth above are incorporated herein.
2. The Mayor and City Manager are authorized to execute the Subrecipient Agreement.
3. The City funding source for this purchase shall be as follows:
o Transit Services Account # 603-49804-425.
PASSED AND ADOPTED THIS 21ST DAY OF DECEMBER, 2009.
YES
NO
Hau~en
Erickson
I Hedberg
I LeMair
I Millar
Haugen
Erickson
Hedberg
LeMair
Millar
Frank Boyles, City Manager
www.cityofpriorlake.com
. '
Phone 952.447.9800 / Fax 952.447.4245
SUBRECIPIENT AGREEMENT
Address:
Subrecipient: City of Prior Lal<c
City of Prior Lake
clo Jane Kansier, Building and Transportation Director
4646 Dakota Street SE
Prior Lake, MN 55372
SG-2009-0S3
Workscope:
Grant will fund the creation of the BlueXpress reverse commute project. The project
will operate three additional reverse routes to and from downtown MinneapoIls to job
sites In Shalwpee a'nd Prior Lake
Project Activity
Period:
October 1, 2009 though September 30, 2011
FTA 5316 Funds:
$60,000,00
Council Action
Local Match:
$60,000.00
Item No.:
Federal Grant No.:
MN-37-XOll-Ol
Date:
CFDA No.:
20.516
AGREEMENT
THIS AGREEMENT is made and entered into by and between the Metropolitan Council ("Council")
and the City of Prior Lake (f1Subrecipient") each acting by and through its duly authorized officers.
WHEREAS:
1. The Council, acting in its role as the Twin Cities Metropolitan Planning Organization submitted an
application to the Federal Transit Administration (FTA) for grant funds under the FTA's Job Access
Reverse and Commute grant program (JARC) pursuant to 49 U .S:C. Section 5316. The CouncWs
application included the Subrecipient's project as described herein.
2. The FTA's JARC program is authorized under the provisions set forth in the Safe, Accountable,
Fiexible, Efficient TranspOltation Equity Act: A Legacy for Users, (SAFETEA-LU), enacted on
August 10,2005, as codified at 49 V.S.C. 5316. These provisions authorize the Secretary to make
grants to recipients for access to jobs and reverse commute projects carried out by the recipient 01' a
subrecipient.
3. The goal of the JARC program is to improve access to transpOltation services to employment and
employment related activities for welfare recipients and eligible low-income individuals and to
transpOlt residents of urbanized areas and nonurbanized areas to suburban employment opportunities.
Toward this goal, the FT A provides financial assistance for transportation services planned,
designed, and carried out to meet the transpOliation needs of eligible low-income individuals, and of
reverse commuters regardless of income.
4. The Council received JARC grant funds fi'om the FTA pursuant to grant number MN~37-XOl1,
which included Subrecipient's project.
5. The purpose of this agreement is memorialize the terms under which the Council will grant the JARC
funds to the Subrecipient for the purchase of the coach bus under the MCI contract.
NqW, THEREFORE, the Council and the Subrecipient agree as follows:
I. SUBRECIPIENT WORKSCOPE; APPROVED BUDGET AND MATERIAL
REPRESENTATIONS
1.01 Workscope. The Subrecipient agrees to perfonn and complete in a satisfactory and
propel' manner the W orkscope specified on Exhibit A ("ITA Grant Application Information") in
accordance with the terms and conditions of this Agreement. The Workscope details the activities to be
completed by the Subrecipient and a proposed schedule fOl" the completion of the Workscope. All
Workscope activiti'es must be consistent with the approved Workscope and the approved budget detailed
below. Any proposed change in the scope of work must be submitted to the Council's Project Manager
for written approval. A change in the scope of work is not effective until the Subrecipient receives
written approval from the Council's Project Manager.
1.02 Approved Budget. The Subrecipient agrees to complete the Workscope in accordance
with the approved budget specified on Exhibit A. The Approved Budget details the cost associated with
each scope of work activity. Any request for re-budgeting in excess of twenty percent (20%) of the
Approved Budget must be in writing and approved in writing by the Council's Project Manager. Re-
budgeting of project funds among the existing Approved Budget lines ofthe W orkscope are allowable
without prior approval if the amount ofpl'Oject funds to be transferred is less than twenty percent (20%)
of the Approved Budget. However, re-budgeting between operating and capital line items is not
allowable due to differing match requirements.
1.03 Material Representations. The Subrecipient agrees that alll'epl'esentatiol1s contained
in its application for grant assistance are materialrepresentatiolls of fact Up01~ which the Council relied in
awarding this grant and are incorporated by reference into this agreement.
II. AUTHORIZED USE OF GRANT AND MATCmNG FUNDS; ELIGIBILITY OF COSTS
2.01 Authorized Use of Grant and Matching Funds. The Subrecipient is only authorized
to use the grant funds awarded under this agreement for costs directly incurred for the performance of the
Workscope during the Project Activity Period as specified in Section 6.01, and in accordance with the
Approved Budget.
2.02 Eligibility of Costs. All expenses are subject to FTA regulations including:
. FT A lv/aster Agreement (htto:/lwww.fta.dot.gov/documents/14-Master.pdt)
. Uniform Administrative Requirements for Grants and Cooperative Agreements to
State and Local Governments, 49 CFR Part 18
(htto://www.access.!:t'oo.gov/nara/cfr/waisidx 06/49cfr18 06.html)
. Grant Management Guidelines, FTA Circular 50IO.IC
(http://www.fta.dot.gov/laws/circularsllegJeg_4114.html)
. Third Party Contracting Requirements, FT A Circular 4220.1E,
(httD://www.fta.dot.!:t'ovllaws/circulars/lel! reg 4063.html) (See also paragraph
10.05)
. JARC Program Guidance, FfA Circular C 9050.1
The Subrecipient acknowledges that the federal requirements in this article and throughout this
Agreement are subject to change and agrees that the most recent of these requirements shall govern this
Agreement at any patiicular time.
III. GRANT AMOUNT, MATCH AND PAYMENT
3.oi Estimated Project Amount. The total estimated cost of the Workscope is $120.000.00.
consisting of the Maximum Federal Grant Amount and the Subrecipient's required match.
3.02 Maximum Federal Grant Amount. The Council awards to the Sub recipient a grant of
up to $60.000.00 for the Workscope. In no event will the Council's obligation under this agreement
exceed the lesser of the following:
A. The Maximum Federal Grant Amount; or
B. 50% oftlle total Workscope expenditures.
The Council shall bear no responsibility for cost overruns that may be incurred by the
Subrecipient in perfonnance of the Workscope. If it appears likely that additional funds will be needed
to complete the Workscope, the parties will me~t to discuss the possibility of amending this Agreement.
3.03 Subl'ecipient Match. The Subrecipient has an obligation under this agreement to share
in the costs of the project by providing at least an eighty percent (50%) match from sources other than
from FT A funds, Le., not less than $60.000.00 against the Maximum Grant Amount. The eligibility and
use of matching funds shall be governed by applicable federal law, regulations and guidance. If the final
expenses for the Workscope are less !han the Estimated Project Amount, then local match shall be
reduced to fifty percent (50%) of the final Workscope amount. If the final expenses for the Workscope
exceed the Estimated Project Amount, the Subrecipient is responsible for providing the funds to cover
the final costs and expenses.
3.04 ReimbUl'sement. Expenses will be reimbursed by the Council based on submission of
an invoice from the Subrecipient using the form attached hereto as Exhibit B. Invoices should be
submitted in triplicate on the approved form with the following attachments on each copy:
A. Copies of all receipts for expenses paid during the period; and
B. Monthly DBE report for each third p8liy contract using the approved form attached
hereto as Exhibit C.
The Subrecipient shall submit any additional data and/or information requested by the Council to
support the Subrecipient's reimbursement request and shall submit any additional data and/or
information that may be required by the federal government for reporting to the FT A. The Subrecipient
must submit invoices at least quarterly or provide a written explanation as to why there are 110 expenses
in a given qUal1er.
Upon the Council's review and approval of the Subrecipient'~ reimbursement request, the
Council wiII distribute to the Subrecipient the approved reimbursement amount. The Council may deny
pmt or all of any reimbursement request if it believes that it is not a supportable Workscope expense. No
reimbursement will be made which would cause the distribution of grant funds to exceed, cumulatively,
through such payment, the limits in Article III. The Council may withhold payment if the Subrecipient is
not current in its repOliing requirements under Article V. Distribution of any funds or approval of any
report is not to be construed as a Council waiver of any Subrecipient noncompliance with this
Agreement.
3.05 Repayment of Unauthorized Use of Grant Funds. Upon a finding by the Council that
the Subrecipient has made an unauthorized or undocumented use of grant funds, and upon a demand for
repayment issued by the Council, the Subrecipient agrees to promptly repay such amounts to the Council.
3.06 Reversion of Unexpended Grant Funds. All funds granted by the Council under this
agreement that have not been expended for Workscope activities taking place during the Project Activity
Period shall reveli to the Council.
3.07 Gl'ant Contingent OIl Federal Funding. The Subrecipient acknowledges and agrees
that the Council's payment of funds under this Agreement is contingent on the Council receiving grant
funds from the FTA. If, for any reason, the FTA reduces the amount of the Council's FTA Grant, or
otherwise fails to pay any part of the cost or expense of the Workscope in this agreement, the
Subrecipient agrees to pay those costs and expenses. The Subrecipient and its contractors and
subcontractors fmiher agree to pay any and all lawful claims arising out of or incidental to the
performance of the Workscope covered by this Agreement in the" event that the FTA does not pay the
same and, in all events, agree to hold the Council harmless fi'om those claims and fl'Om any claims arising
out of this Agreement. Notwithstanding any other provisions of this Agreement, in the event the FTA
rescinds funding for the FT A Grant, the Council may immediately terminate this Agreement by written
notice to the Subrecipient.
IV. ACCOUNTING AND RECORDKEEPING REQUIREMENTS
4.01 Documentation of Worl<scope Costs. All costs charged to the Workscope, whether
paid with grant funds or charged as the Subrecipient's match, must be suppOlied by proper
documentation, including properly executed payrolls, time records, invoices, contracts, receipts for
expenses, or vouchers, evidencing in detail the nature and propriety of the charges.
4.02 Establishment and Maintenance ofWorI<scope Information. The Subrecipient
agrees to establish and maintain accurate, detailed, and complete separate books, accounts, financial
records, documentation, and other evidence relating to: (a) Subrecipient's performance under this
Agreement, and (b) to the receipt and expenditure of all grant funds and the Subrecipient's match under
this Agreement. These documents shall include the property records required by Article VIII of this
Agreement. The Subrecipient shall establish and maintain all such information in accordance with
generally accepted accounting principles and practices and shall retain intact all Workscope information
until the latest of:
A. Six (6) years following the term of this Agreement; or
B. If any litigation, claim, or audit is commenced during either such period, when all such
litigation, claims or audits have been resolved.
4.03 Audit. The accounts and records of the parties relating to this Agreement shall be
audited in the same manner as all other accounts and records of the Subrecipient are audited. During the
time of maintenance ofinfonnation under paragraph 4.02, authorized representatives oft11e Council, the
Legislative Auditor andlor State Auditor in accordance with Minnesota Statutes, section 16C.05,
subdivision 5, the United States Secretary of Transportation, the FTA Administrator, and the United
States Comptroller General will have access to all such books, records, documents, accounting practices
and procedures, and other information for the purpose of inspection, audit, and copying during normal
business hours. The patties will provide proper facilities for such access and inspection.
V. REPORTING AND MOr'll1 ORING REQUIREMENTS
5.01 Quarterly Milestone Progress Reports. The Subrecipient shall submit quarterly
milestone progress repOlts to the Council. The Council shall provide the Subrecipient with an electronic
version ofthe milestone progress repOlt that the Subrecipient must complete. Each quarterly progress
repOlt must include a detailed summary ofthe completed Workscope activities and a report on the
Workscope schedule, Both the Council and the Subrecipient must approve each quarterly milestone
progress report. The quatterly progress reports are due as follows:
. January 15 for quarter October 1 " December 31
· April 15 fOl' quartel' January 1- March 31
. July 15 fOl' quarter April 1 - June 30
· September 15 for quartel' July 1- September 30
5.02 Final Reports. Upon completion of the Workscope and not later than sixty (60)
calendar days after the end of the Project Activity Period, the Subrecipient must submit a final progress
repOlt and a final financial status repOlt of expenditUl'es for the full Workscope and containing a final
accounting of the grant and matching expenditures. The final repOlt must include inventOlY of
Workscope property as required by Article VIII of this Agreement.
5.03 Content of Reports; Copies. The Subrecipient agrees to report completely and to
provide the Council with any additional or follow-up information as may be requested by the Council.
The Subrecipient agrees to provide copies of the reports specified in paragraphs 5.01 and 5.02 to
organizations and individuals upon request during the term of this Agreement as required by the
Minnesota Government Data Practices Act.
5.04 Monthly DBE Reporting Requirements. The Subl'ecipient shall provide the Council
with monthly reports on all DBE activity (see section 10.05 E) on third party agreements in the form
attached hereto as Exhibit C and based on the procurement process established for the Subrecipient in
the "Federal Procurement Basics" which is attached hereto as Exhibit D.
5.05 Other Monitoring Activities. To assist the Council in monitoring compliance with this
Agreement, the Subrecipient agrees to attend Subrecipient meetings as requested by the Council and to
permit site visits by Council staff, dming business hours, upon reasonable notice. The Subrecipient
agrees to submit to the Council a copy of any promotional information regarding the Workscope
disseminated by the Subrecipient during the term of this Agreement.
5.06 Changed Conditions. The Subrecipient agrees to notifY the Council immediately of any
change in conditions, law, ordinance, or regulation, or any other event that may affect the Subrecipient's
ability to perform the WOI'kscope in accordance with the terms ofthis Agreement.
5.07 Special Repol'ting Requirements. The Council is required to report to the FT A
regarding the Workscope activities. Accordingly, the Subrecipient agrees to provide the Council with
any additional or follow-up information reasonably requested by the Council, in order to meet the
Council's FTA reporting requirements. Specific repOlting requirements are included in Exhibit I.
VI. PROJECT ACTIVITY PERIOD; TERM; TERMINATION
6.01 Project Activity Period. The Subrecipient agrees to complete all Workscope activities
during the period fi'om October 1,2009 to September 30, 2011 ("Project Activity Period"). Grant funds
may not be used to reimburse costs for any Workscope activities taking place before the beginning or
after the end of the Project Activity Period.
6.02 Term. The term of this agreement shall extend from the effective date ofthis Agreement
to the end of the Project Activity Period.
6.03 Termination by Council for Convenience. The Council may terminate this Agreement
at any time and for any reason by providing Subrecipient written notice of such termination at least thirty
(30) calendar days prior to the effective date of such termination. Upon such termination Subrecipient
shall be entitled to compensation for Workscope activities in accordance with this Agreement which
were incurred prior to the effective date ofthe termination, but not exceeding the limits in paragraph
3.02.
6.04 Termination by Council for Noncompliance. If the Council finds that there has been a
failure to comply with the provisions of this Agreement, the Council may terminate the Agreement at any
time following seven (7) calendar days written notice to the Subrecipient and upon failure of the
Subrecipient to cure the noncompliance within the seven-day period. Noncompliance includes failure to
make reasonable progress toward completion of the Workscope. At the Council's optioH, the Council
may cease payment of invoices during any period in which the Subrecipient is not in compliance with
this agreement. Ifthe Council finds that the Subrecipient's noncompliance is willful and unreasonable,
the Council may terminate or rescind this Agreement and require the Subrecipient to repay the grant
funds in full or in a portion determined by the Council. Nothing herein shall be construed so as to limit
the Council's legal remedies to recover grant funds.
6.05 Effect ofWor)<scolle Closeout or Termination. The Subrecipient agrees that
Workscope closeout or termination of this agreement does not invalidate continuing obligations imposed
on the Subrecipient by this Agreement. Project closeout or termination ofthis Agreement does not alter
the Council's authority to disallow costs and recover funds on the basis of a later audit or other review,
and does not. alter the Subrecipient's obligation to return any funds due to the Council as a result of later
refunds, corrections, or other transactions.
VII. CONTACT PERSONS; GRANT MANAGER
7.01 Contact Persons. The authorized contact persons for receipt of notices, reports,
invoices, and approvals under this agreement are the foHowing:
The Council:
Name: Cole Hilliker
Title: Planner
Mailing Address: 390 Robert Street NOIth, St. Paul, MN 55101
Phone: 651 ~602-17 48
E-mail: cole.hiniker@metc.state.mn.us
The Subl'ecipicllt:
Name: Jane Kansier
City of Prior Lake
Mailing Address: 4646 Dakota Street SE, MN 55372
Phone:
E-mail:
or such other person as may be designated in writing for itself by either party,
7.02 Council Grant Manager. For purposes of administration of this Agreement, the contact
person listed in paragraph 7.01, or such other person as may be designated in writing by the Council's
Regional Administrator shall be the Grant Manager. Nothing, however, in this Agreement will be
deemed to authorize the Council's Grant Manager to execute amendments to this agreement on behalf of
the Council.
7.03 Subrecipient Grant Manager'. For purposes of administration of this Agreement, the
contact person listed in paragraph 7.01, or such other person as may be designated in writing by the
Subrecipient, shall be the Grant Manager. The Subrecipient Grant Manager shall coordinate Workscope
activity with the Council Grant Manager and complete the project manager training provided by the
Council to ensure compliance with all federal requirements.
VIII. GRANT PROPERTY
The title, acquisition, use, management, and disposition of all propelty acquired or constructed
with grant funds under this agreement shall be governed by applicable federal law, rule, and gllidance
including, withollt limitation, the provisions of:
· Uniform Administrative Requirementsjor Grants and Cooperative Agreements to State and
Local Governments 49 C.F.R. Pmis 18.31, 18.32, and 18.33
(www.access.gpo.gov/nara/cfrlwaisidx~9S/49cfrlS_9S.htmi)
· FTA Circular 5010.1C (http://www.fta.dot.gov/laws/circularsllegJeg_4l14.html)
The listed documents are incorporated by reference into this Agreement. Copies of these documents are
available at the internet websites indicated or, upon request by the Suhrecipient, from the Council.
IX. GENERAL CONDITIONS
9.01 Amendments. The terms of this Agreement may be changed only by mutual agreement
of the parties. Such changes shall be effective only upon the execution of written amendments signed by
authorized officers of the paliies to this Agreement.
9,02 Assignment Prohibited. The Subrecipient shall not assign, subgrant or transfer any
WOl'kscope activities without receiving the express written consent of the Council. The Council may
condition such consent on compliance by the Subrecipient with terms and conditions specified by the
Council.
9.03 Indemnification. The Subrecipient aSSllmes liability for and agrees to defend,
indemnifY and hold harmless the Council, its members, officers, employees and agents, fi'om and against
all losses, damages, expenses, liability, claims, suits, or demands including, without limitation, attorney's
fees, arising out of. resulting from, 01' relating to the performance of the Grant Project by Subrecipiellt or
Subrecipient's employees, agents, or subcontractors.
9.04 Wol'lcscope Data. The Subrecipient agrees that the results of the Workscope, the rep0l1s
submitted, and any new information or technology that is developed with the assistance of this grant is in
the public domain and may not be copyrighted or patented by Subrecipient. The Subrecipient shall
comply with the Minnesota Government Data Practices Act, Minnesota Statutes, Chapter 13, in
administering data under this Agreement.
9.05 Nondiscl'imiuatioll. The Subrecipient agrees to comply with all applicable laws relating
to nondiscrimination and affirmative action. In particular, the Subi'ecipient agrees not to discriminate
against any employee, applicant for employment, or participant in this Workscope because of race, color,
creed, religion, national origin, sex, marital status, status with regard to public assistance, membership or
activity in a local civil rights commission, disability, sexual orientation, or age; and fmiher agrees to take
action to ensure that applicants and employees are treated equally with respect to aU aspects of
employment, including selection for training, rates of pay, and other forms of compensation. In
undertaking the Workscope activities, the Subrecipient agrees to comply with Minnesota Statutes, section
363A.12 regarding non-discrimination in the provision of public services if applicable.
9.06 Aclmowledgment. The Subrecipient shall appropriately acknowledge the grant
assistance made by the Council and the FTA under this agreement in any promotional materials, repOlts,
and publications relating to the Workscope.
9.07 Compliance with Law; Obtaining Permits, Licenses, and Authorizations. The
Subrecipient agrees to conduct the Workscope in compliance with all applicable provisions offederal
and state laws, rules or regulations. The Subrecipient is responsible for obtaining and complying with all
federal or state permits, licenses, and authorizations necessary for performing the Workscope.
9.08 WorlcCl'S Compensatioll; Tax 'Withholding. The Subrecipient represents that it is
compliance with the workers compensation coverage requirements of Minnesota Statutes, section
176.181, subdivision 2, and that it, and any of its contractors or material suppliers, if any, under this
contract, are in compliance with the tax withholding on wages requirements ofMinllesota Statutes,
section 290.92.
9.09 Jurisdiction, Venue, and Applicable Law. Venue for all legal proceedings arising out
ofthis agreement, or breach of this agreement, shall be in the state or federal court with competent
jurisdiction in Ramsey County, Minnesota. All matters relating to the performance ofthis agreement
shall be controlled by and detennined in accordance with the laws ofthe State of Minnesota.
9.10 Incorporation of Exhibits. All Exhibits attached to this Agreement will be deemed
incorporated into this Agreement.
X. GENERAL FEDERAL REQUIREMENTS
10,01 Federal Requirements. The requirements in this Alticle X are in addition to and,
unless inconsistent and irreconcilable, do not supplant requirements found elsewhere in this Agreement.
If any requirement in this 81iicle is inconsistent with a provision found elsewhere in this Agreement and
is irreconcilable with such provision, the requirement in this article shall prevail. When performing work
or expending funds for Project activities, the Subrecipient agrees to comply with aU applicable terms and
conditions referenced herein. The Subrecipient aclmowledges that federal requirements in this
article X al'e subject to change and agrees that the most recent of these requirements shall govern
this Agreement at any particular time.
10.02 IncOI'pomtion of Specific Federal Requirements. Specifically, and without limitation,
the Subrecipient agrees to comply with the federal requirements set forth in Exhibit E and agrees to
require, unless specifically exempted, sub-recipients (if authorized) and third party contractors at every
tiel' to comply with the same, These requirements include, but are not limited to, the following:
Debarment and Suspension. The Subrecipient agrees to comply, and assures the compliance of
each subrecipient, lessee, or third party contractor at any tier, with Executive Orders Nos. 12549 and 12689,
"Debarment and Suspension," 31 U.S.C. ~ 6101 note, and U.S. DQT regulations, "Government wide
Debannent and Suspension (Nonprocurement)," 49 C.F.R. Part 29. The Subrecipient agrees to, and assures
that its subrecipients, lessees, and third party contractors will review the "Excluded Parties Listing System"
at htto:lleols.e:ov/ before entering into any third subagreement, lease or third party contract. [U.S. DOT
issued a new amendment to these regulations adopting the optional lower tier coverage for tiers lower than
the first tier below a covered nonprocurement transaction. See, 71 Fed. Reg. 62394, October 25,2006.]
Integrity Certification. By signing this Agreement, the Subrecipient certifies that neither it nor
its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded from pat1icipation in this contract by any Federal depaliment or agency. This certification is a
material representation of fact upon which the COUNCIL relies in entering this contract. Ifit is later
detennined that the Subrecipient knowingly rendered an erroneous certification, in addition to other
remedies available to the Federal Govermnent , the department or agency with which this transaction
originated may pursue available remedies, including suspension and/or debarment. The Subrecipient shall
provide.to the COUNCIL immediate written notice ifat any time the Subrecipient learns that its
certification was erroneous when submitted or has become erroneous by reason of changed circumstances.
Certification of Restrictiolls on Lobbying; Disclosure. The provisions of this section apply only
if the amount of this contract (including the value of allY amendments thereto) is equal to, or exceeds
$100,000.
The Subrecipient certifies that no federal appropriated funds have been paid or will be paid by or on behalf
ofthe Subrecipient for influencing or attempting to influence an officer or employee of any federal agency,
a member of Congress, an officer or employee of Congress, or an employee of a member of Congress in
connection with the awarding of any federal contract, the making of any federal grant, the making of any
federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any federal contract, grant, loan, or cooperative agreement. The cel1ification
of this compliance ("Lobbying Restriction CeI1ification") submitted by the Subrecipient il.l connection with
this project is incorporated in, and made a part of, this contract.
The Subrecipient further certifies that, if any funds other than federal appropriated fimds have been paid or
will be paid to any person for influencing or attempting to influence an officer or employee or any federal
agency, a member of Congress, an officer or employee of Congress, or an employee of a member of
Congress in cOlmection with the projects funded by the funds allocated to the Subrecipient in this
agreement, the Subrecipient shall complete and submit to the Council, Standard FOlm-LLL, "Disclosure
Form to Report Lobbying," in accordance with its instructions.
The Subrecipient certifies that it will require the language ofthis certification be included in the award
documents for any subcontracts equal to or in excess of$100,000.00 under this agreement, and that all
subcontractors shall cel1ify and disclose accordingly to the SubreCipinet. All certifications and disclosures
shall be forwarded to the Council by the Subrecipinet.
The certifications referred to in this section (including the "Lobbying Restriction Cel1ification" submitted
by the Subrecipient in connection with this project and incorporated ill, and made a part of, this contract)
are material representations of fact upon which the Council relies when this contract is made
10.03 Federal Certifications and Assurances (C & A); Execution and Incorporation. The
Subrecipient agrees to comply with and to certify compliance with the current Federal Annual List of
Certifications and Assurancesfor Federal Transit Administration Grants alld Cooperative Agreements
(tiC & A 'J attached hereto and incorporated 11erein as Exhibit F. The Subrecipient lUust celtify
compliance with the applicable provisions by signing the appropriate certification(s) and returning the
signed certification(s) as pmt of the execution of this Agr~ement. During the term oftl1is Agreement, the
Subrecipient shall annually execute the most current C & A document and provide the same to the
Council.
10.04 Compliance with Federal Requirements; Incorporation of Specific Documents by
Refel'ellce. The Subrecipient agrees to comply with all federal statutes, rules, FT A Circulars, Executive
Orders, guidance, and other requirements that may be applicable to this grant. In pa11icular, and without
limitation, the Subrecipient agrees to comply with the tenns and conditions ofthe following documents
when perfonning work or expending funds for Workscope activities:
. FTA Master Agreement (www.fta.dot.gov/library/legallagree.htm)
. Uniform Administrative Requirements for Grants and Cooperative Agreements to State and
Local Govemments, 49 CFR Pa11l8
(www.access.gpo.gov/naralcfr/waisidx_98/49cfr18_98.html)
· Grant iYIanagement Guidelines, ITA Circular 5010. I C
(www.fta.dot.gov/library/policy/SOlO.lC/cover.htm)
The listed documents are incorporated by reference into this agreement. Copies of these documents are
available at the internet websites indicated or, upon request by the Subrecipient, from the Council.
10.05 Compliance with Federal Procurement Requirements. Subrecipient will comply
with all applicable federal law, rules, and guidance relating to such procurement including, without
. limitation, the provisions of Third Party Contracting Requirements, FT A Circular 4220.lE, which
document is incorporated by reference into this agreement. A copy of this document is available at the
FTA internet website, www.fta.govlindicated or, upon request by the Subrecipient, from the Council.
The "Federal Procurement Basics" is attached hereto as Exhibit D to provide the Subrecipient process
for procurements under this Agreement.
A. Certification of Subrecipient's Procurement System. Subrecipient certifies that its
procure~ent system complies with the standards described in the previous paragraph.
B. Council Approval of Contracts. The Subrecipient shallllot execute any third party
contract or otherwise enter into a binding agreement until it has first received written
approval from the Council's Project Manager.
C. Subrecipient Contract Initiation Memo. SlIbrecipient shall use the Contract Initiation
Memo attached hereto as Exhibit G for all procurements of$50,000 or more, It is
understood, that no procurement shall be split in order to fall beneath this threshold.
D. Inclusion ofProvisiOlls in Lowel' Tiel' Contracts. The Subrecipient agrees to include
adequate provisions to ensure compliance with applicable federal requirements in each
lower tier third party contract financed in whole or in part with financial assistance under
this agreement including all applicable provisions of this Agreement.
E. Disadvantaged Business Enterprise Requirements. For all work performed under this
grant agreement, Subrecipient will comply with the Council's Disadvantaged Business
Enterprise (DBE) Program. In pmticular, Subrecipient agrees to comply with the
requirements of the Council's "Disadvantaged Business Enterprise (DBE) Program"
document which is attached to and incorporated into this Agreement as Exhibit H.
On a monthly basis, the subrecipient will submit a repOlt that includes all DBE activity
011 their third party agreements, SlIhrecipient invoices will not be reimbursed until this
repolt is submitted.
10.06 No Federal Obligation. This grant is financed by federal funds. However, payments to
the Subrecipient will be made by the Council. The United States is not a party to this agreement and no
reference in this agreement to the United States, USDOT, FT A, or any representatives ofthe federal
government makes the United States a party to this agreement. The Subrecipient shall include this clause
in any contracts or agreements under this Agreement.
IN WITNESS WHEREOF, the parties have caused this agreement to be executed by their duly
authorized officers 011 the dates set forth below. This agreement is effective upon final execution by both
parties.
SUBRECIPIENT
Date
By
Name
Title.
Date
By
Name
Title
Approved as to form:
METROPOLITAN COUNCIL
Date
By
Regional Administrator
Approved as to form:
Metropolitan Council
Office of General Counsel
LIST OF EXHIBITS
Exhibit
A
B
C
D
E
F
G
H
I
Description
FT A Grant Application Information
Subrecipient lnvoice Form
DBE Reporting Form
Federal Procurement Basics
Specific Federal Requirements
Certifications and Assurances
Sub recipient Contract Initiation Memo
Disadvantaged Business Enterprise (DBE) Program
FTA Annual Reporting Requirements
J-XHIBI A'
~ Metropolitan Council
Grant Application
!r#r9i~~ti!~!i~Ii~L. .
Project Title
Project Start Date
Council Project Manager
J
BlueXpress Reverse Commute
10/1/2009
Project End Date
9/30/2011
Cole Hiniker
For Subrecipient projects, complete below
Subrecipient Project Manager
Jane Kansier, Building and Transportation Services Director
Funding sources - FTA awards require a match of 20% in most cases; Subrecipients usually provide their own n
Award Amount
Local Match (RTC)
Local Match (Other)
Total Funding
$ 436,000.00
$
$ 184,000.00
$620,000.00
Source: City of Prior Lake and City of Shakopee Transit Operations
Budget.
:Projeq.t .g~,$,(::tiptl~n :~: I~'i t!l~,sB~ce ~~IQ.Wl p-Iea~e provide detatled, information a~out t~e propo ' . ";::,ftf(c~jt'i"~!$!(~
Incluc:je .all pr9j~9t ~Qtivitie$. 'C!ate~ ahd -(:feliv~r~bJes.. " 2' , . , \f<i',:i.} Ni;:.i;;;.i!
The BlueXpress Reverse Commute Project will provide a transportation alternative to low and moderate
income workers in the central cities to available jobs in suburban Shakopee and Prior Lake. The project
involves the purchase of a coach bus and the operation of an additional route to and from downtown
Minneapolis. Objectives of this project include: (1) Offer an additional reverse route from downtown
Minneapolis during the peak morning and evening hours; (2) Provide flexibility on the timing of the reverse
route to coincide with the shift hours of the employers; (3) Increase the employment opportunities for fow to
moderate income residents of the central cities; and (4) Increase the employment pool for Scott County
employers. In the Prior Lake and Shakopee areas, these employers include manufacturers such as Seagate
Technologies, and entertainment facilities such as Mystic Lake Casino and Canterbury Park.
m
Use only those categories that apply and add any not listed that you need
Personnel (Salary)
Fringe Benefit % of salary) % of salary)
Indirect Cost (% of salary)
Consultant *
Planning
Engineer & Design
Construction Mgmt
Contractor *
Construction - NEW
Construction - Rehab I Renovation
Services (Bus Operations)
Lease/Rental Costs ·
Bus Purchase. (specify type) 45 ft. Coach
Spare Parts*
3rd Party Bus Inspection.
Staff Travel ·
Local
Non-local
Staff Training*: Tuition
60,000.00
60,000.00
120,000.00
376,000.00
124,000.00
500,000.00
Insurance *
Real Estate*
Acquisition
Appraisal
ROW
Equipment ($5000 or more)
List by Type
Project supplies & Material.
Total of consumable items andlor have a unit
cost ullder $5,000. List each ill Budget Items.
Computer Hardware*
Computer Software.
Other Costs
Itemize other categories
Grand Total Project Cost
$
436,000.00 $
184,000.00 $
620,000.00
Milestone Information
Provide milestone informationfor each budRct itemfrom the BudRet PaRe.
Use this format for bus purchases. This is the required FTA format for this activity and you should not change
Milestone descriptions.
Budget Item -
Bus Only
Item Description or Purpose
Bus Purchase
Total Budget Amount
$ 500,000.00
Amestone Descriution
Il'lilestone Dates
1
2
3
4
5
6
7
8
9
10
RFP/IFB Issued
Contract Award Date
First Bus Delivery
All Bus Delivered
Contract Complete Date
May, 2009
July, 2009
March, 2010
March, 2010
October, 2011
Use the Milestone format below for all other budget items that need Milestones. Copy it for each Milestone
which you need to identify and change the Milestone descriptions as needed to relate to the progress if
different than the standard below.
Budget Item # 1
Item Description or Purpose
Ooeration of Reverse Commute Servic
Total Budget Amount
$ 165,657.00
/'I'lilestone Descriution
Milestone Dates
1
2
3
4
5
6
7
8
9
10
RFPIIFB Issued
Contract Award Date
Contract Complete Date
5/8/2007
6/15/2007
6/14/2010
I::XHIB I B
Subrecipient Invoice
Remitto:
Address:
Federal Grant No.:
Grant period:
Met Council Contract No.:
Is this tho FINAL Invoice? Yes
No
Invoice fI Dates covered by invoIce:
A ttach itemized detail and copies of receipts for all non-recurring expenditures
l Approvea Income I Income J Income I unrecogmzea I
'lk~"'7Sii'i~~~~:~~:;':;~:!1!.,-~s~~;r~:lrc:.;;,!~gr~e~~:'~';~"';""l~~~~~':'''~~~-li.~.:J~;:J.:~~=~~;~~,:~;..~~i
".~~~!YL~~~1:~=n~~w~~~~~~~W~~~~~..lY,~li~~~l&gJ;~~~~{~-;:~':t::"7!~~~!...~~~!~-~!lt~~~i-~'iffiH~
$
$
$
Total Income $ $ $ $
APprovega~~a~~.expense L APpr~~~:u~~aget I In~~~;en:~~iS I Ye~c~~~ate J R:::~~~Q
'~.'~"~r.s-wl!S.i!l!.'ll....o;.a;:.!!;E~::\!!iilijl!"!;-'-=4""'''k~~~''!!i~_~I>i!!,"",5\i1;;2_~~ll''o!l@.~0l1='::'''''~'~"^"'~F'i"'_i1!t,!e;
~':;'~ct~J:~~b~~~"il-,~~.ii.tfl~df~~;:~~&'i~~m=r:.~I'~~~~~~~a~\.~~~~~~~~~~~~rn~~~~
$
$
$
$
$
$
$
S
$
$
$
$
S
$
Total Expenditures
$
" $
$
$
Amount or Reimbursement requested:
(total expense less match)
Certification: I certiry the expenditures renected In this Invoice are (rue and correct and have been made ror the purpose of
and In accordance with applicable terms and conditions of the award, I have examined the expenditures reflected on thIs bill
and determined that each reflects a reasonable price based on market prices offered by the vendors to the general public.
Appropriate documentation to support these authorized expenditures Is on file and available for review. These expenditures
are not reimbursable (rom other sources and have not been previously claimed.
Authorized Signature:
Date:
. Copies of invoices (or all non-recurring expenses should be Included as attachments to this invoice.
3/612008, Subrecipicnllnvoic..KIs, Im'oice
I::X ;1811 C
DBE Proaress/Proiect Reoort
Proiect #:
ProjeCt Title:
Prime Contractor:
DBE Progress Report #:
Tvpeof Services:
ccmtract#
OrfglnalContractAmount $
Contract Chal)ge Orders; $
CO.ntractOQllarSi:;xpended: $
Coht~.actDoliiusRematning: $
ContraetAwardDate:
Amount Billed to Date:
Percent Billed to Date:
'. . Payment Claim #:
ufilizationGoal:'.
Repprting Perio~: FJ()-"1.,'
. ()riginal . .'
. QO!'\tract. ;. ,
. Amount. :.
.\%',
'tq.u
DB'E$ubcontrador
: ;.Cu-trent:- .' Amclljnf', AntQuilt
C,9n.tta~f .' 'SllI,ed: ." l3iUed
>~mbu'nl Th.I~.,Claim. ToDate
:i-'~-'-' :. ~
,.:.....: .
...." .' .":-;;:,'
. ~. ~: ~: .
'.' .: ".".~::.. t>.e.E";';Tolats;: .".. . .
'ContraGtOBE<%;pfTot~LCurr~ntC:QiitraqteaAmo,i.ldt:
Bifli:1doDBE:%'ofTolaIG.onttaoEAmotiot'BIJ[eo:
,
Affirmative Action Status/Labor Force Breakdown bv Hour~
SKILLED:
-- '
Male : female'
- Blk Female' Hisp'iiiilcM818: 'Hisnai'ifCJ:'emale;"..AslaoMiile'.AsianF,emaleNl'Male N1female
: .~
YNSKILLED:
:tvlale . ~Female 'elk Male .BlkFeolale -Hisbahic'Male,~ ;HtslJaoiC:F.emaJe'. :'Asiah:Miile- "A!3ianFemale :All.Male N1Femafe
- -
Explanation if DBE Goal Not Being Met or Other Comments:
Signature:
Title:
Date:
OBE Progress-Project Report
Revised 9/6100
=Xl-.IBII D
FederallProcurement Basics
These procurement basics represent the minimum requirements to be used by recipients
and subreclpients when purchasing goods and services with Federal funds. Recipients and
subl'eeipients may follow their own l)rOcUrement requirements as long as fheh'
requirements are more restrictive tban these basics.
Mlcro-pul"chases (procurements under $2,500) require:
I. Micro-purchases may be made without obtaining competitive quotations if the recipient or
subrecipient determines that the price to be paid is fair and reasonable.
2. Micro purchases of construction services valued at greater than $2,000 require the application
of Davis-Bacon Act federal prevailing wage rates.
3. AU micro purchases for architectural and engineering services require compliance with the
Brooks Act.
4. Minimal documentation is required: (a) a determination that the price is fair and reasonable
and (b) how this determination was derived.
Purchases gl'eater than $2,500 and less than $25,000 requir~:
l. An Independent Cost Estimate (ICE): a documented analysis of the estimated cost of the item
or services, based on historic costs, vendor information, or other reasonable methods,
2. Use of the Disadvantaged Business Enterprise (DDE) directory to obtain at least one quote
from a DBE firm, if one is available for the required good or service.
3. At least three written or verbal quotes.
4. A documented price analysis, using the ICE as a basis of comparison.
S. The FTA clauses must be attached to the purchase order. Subreceipients can direct questions
10 the Council Project Manager.
Purchases greater than $25,000 and less tban $50,000 I'equire the same process as above,
except the quotes must be written.
Purchases of $50,000 lIud greatcr require approval from Council staff. Contact the Council's
Project Manager for further guidance.
I. A Contract Initiation Memo (CIM) or Subrecipiellt Contract Initiation Memo (SCIM) is
required for all purchases ofthis value.
2. The Subrecipient Project Mangers work through the Council Project Manager for
approvals/reviews.
3, Completed CIMs or SCIMs are forwarded by the Council Project Manager for required
approvals from the Council's Grants, Purchasing and Office of Diversity and Equal
Opportunity (ODEO). Once approved, the solicitation can be Issued
4. Draft. solicitation documents are forwarded by the Council's Project Manager to the Council's
Purchasing and ODEO for approval.
RevheJJanuary 10. Z008
5. The solicitation is issued.
6. Solicitation responses are forwarded by Council's Project Manager to Council's Purchasing
and ODEO for approval and DBE compliance check beforc the award of a contract.
1. Copies of executed Metropolitan Council and Subrecipient contracts are kept by Council's
Project Manager and Council Purchasing.
8. Metropolitan Council and Subrecipient contract changes require prior review and approval by
the Council's Project Manager, Council Purchasing and ODEO.
Contract Changes
1. Every change order and contract amendment requires that a cost or price analysis be
performed to determine if the price change is fair and reasonable.
2. A change order valued at greater than 10% of the original value oflhe purchase order is
considered to be a separate purchase, and must be supported by an appropriate competitive
process or be authorized as a sole source purchase.
3. An amendment to a non-construction contract valued at greater than 10% of the original value
ofilie contract is considered to be a separate purchase, and must be supported by an
appropriate competitive process or be authorized as a sole source purchase.
4. Construction change orders valued at less than 5% or the original value ofthe construction
contract are considered to be minor adjustments to the contract.
5. Change orders that increase the total amount of the construction contract by no more than 5%
ofthe original contract value or $50,000 (whichever is greater), may be authorized by staff
with appropriate Construction Change Order Signature Authority.
6. Change orders that increase the total amount of the construction contract by more than 5% of
the original contract value or $50,000 (whichever is greater) must be approved by the policy
board.
7. Use of sole source procurement for change orders and contract amendments must be done
with care 011 an exception basis only and must be justified for each occurrenc~. Sole source
authorization must be obtained prior to ordering the goods or services except in a declared
public emergency.
Rel'/sedJanua,y 10,2008
I::XH 811 I::
SPECIFIC FEDERAL REQUIREMENTS
(For the purposes of this exhibit, the term "CONTRACTOR' shall refer to the "Grantee")
1. Fly America Requirements. The CONTRACTOR agrees to comply with 49 U.S.C. 40118
(the "Fly America Acf') in accordance with the General Services Administration's regulations at 41 CPR
Part 301-10, which prov ide that recipients and subrecipients of Federal funds and their contractors are
required to use U.S. Flag air carriers for U.S. Government-financed international air travel and
transportation of their personal effects or properly, to the extent such service is available, unless travel by
foreign air carrier is a matter of necessity, as defined by the Fly America Act. The CONTRACTOR shall
submit, if a foreign air carrier was used, an appropriate certification or memorandum adequately
explaining why service by a U.S. flag air carrier was not available or why it was necessary to use a
foreign air carrier and shall, in any event, provide a certificate of compliance with the Fly America
requirements. The CONTRACTOR agrees to include the requirements of this section in all subcontracts
that may involve international air transportation.
2. Energy Conservation. The CONTRACTOR agrees to comply with mandatory standards and
policies relating to energy efficiency which are contained in the state energy conservation plan issued in
compliance with the federal Energy Policy and Conservation Act.
3. Access to Records and Re}lorts. The CONTRACTOR agrees to provide the COUNCIL, the
FTA Administrator, the Comptroller General of the United States, and any oftheir authorized
representatives access to any books, documents, papers and records ofthe CONTRACTOR which are
directly pertinent to this contract for the purposes of making audits, examinations, excerpts, and
transcriptions.
CONTRACTOR also agrees, pursuant to 49 C.F.R. 633.17, to provide the FT A Administrator or the
Administrator's authorized representatives, including any project management oversight (PMO)
contractor, access to CONTRACTOR's records and construction sites pertaining to a major capital
project, defined at 49 V.S.C. 5302(a)(I), which is receiving federal financial assistance through the
programs described at 49 U.S.C. 5307, 5309, or 5311.
The CONTRACTOR agrees to permit any of the foregoing parties to reproduce such documents by any
means whatsoever or to copy excerpts and transcriptions as reasonably needed. In addition to any
requirements for maintenance of project records and documents in other sections ofthis Contract,
CONTRACTOR agrees to maintain such records and documents until the FT A Administrator, the
Comptroller General, or any of their duly authorized representatives have disposed of all litigation,
appeals, claims or exceptions arising from the performance ofthis Contract
4. Federal Changes. The CONTRACTOR shall comply with the required PTA clauses set forth
in this contract and with all applicable fTA regulations, policies, procedures and directives including,
without limitation, those listed directly or by reference in the agreement between the COUNCIL and
FTA. The CONTRACTOR's failure to comply with applicable FTA regulations, policies, procedures,
and directives, as they may be amended or promulgated from time to time during the term ofthis contract,
shall constitute a material breach of this contract.
5. Recovered Matel'ials. The CONTRACTOR agrees to comply with all the requirements of
Section 6002 of the Resource Conservation and Recovery Act (RCRA), as amended (42 V.S.C. 6962),
including but not limited to the regulatory provisions of 40 CFR part 247, and Executive Order 12873, as
they apply to the procurement of the items designated in Subpart B of 40 CFR part 247.
6. No Obligation by the Federal Government. The COUNCIL and CONTRACTOR
acknowledge and agree tbat, notwithstanding any concurrence by the federal government in or approval
of the solicitation or award ofthis Contract, absent the express written consent by the federal government,
the federal government is not a party to this Contract and shall not be subject to any obligations or
liabilities to the COUNCIL, CONTRACTOR, or any other party (whether or not a party to the Contract)
pertaining to any matter resulting from this Contract.
The CONTRACTOR agrees to include the preceding clause in each subcontract under this Contract,
modified only to identify the subcontractor that will be subject to the provisions.
7. Program Fraud and False or Fraudulent Statements or Related Acts. The
CONTRACTOR acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986, as
amended, 31 U.S.C. Section 3801 et seq., and USDOT regulations, "Program Fraud Civil Remedies," 49
CPR part 31, apply to its actions pertaining to this contract. Upon execution of this contract, the
CONTRACTOR certifies or affirms the truthfulness and accuracy of any statement is has made, it makes,
it may make, or causes to be made, pertaining to the contract or the FTA-assisted project for which this
contract work is being perfonned. In addition to other penalties that may be applicable, the
CONTRACTOR further acknowledges that if it makes, or causes to be made, a false, fictitious, or
fraudulent claim, statement, submission, or certification, the Federal Govemment reserves the right to
impose the penalties ofthe Program Fraud Civil Remedies Act of 1986 on the CONTRACTOR to the
extent the Federal Government deems appropriate.
The CONTRA CTOR also acknowledges that if it makes, or causes to be made, a false, fictitious, or
fraudulent claim, statement, submission, or certification to the Federal Government under a contract
connected with a project that is financed in whole or in part with Federal assistance originally awarded by
FTA under the authority of 49 U.S.C. Section 5307, the Federal Government reserves the right to impose
the penalties of 18 U.S.C. Section 1001 and 49 U.S.C. Section 5307(11)(1) on the CONTRACTOR, to the
extent the Federal Government deems appropriate.
The CONTRACTOR agrees to include the above language in each subcontract under this contract,
modified only to identify the subcontractor that will be subject to the provisions.
8. Civil Rights. The following requirements apply to this Contract:
A. Nondiscrimination. In accordance with Title VI of the Civil Rights Act, as amended, 42
U.S.C. ~ 2000d, section 303 ofthe 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. 9 5332, the CONTRACTOR agrees that it will
not discriminate against any employee or applicant for employment because of race,
color, creed, national origin, sex, age, or disability. In addition, the CONTRACTOR
agrees to comply with applicable federal implementing regulations and other
implementing requirements FTA may issue.
B. Equal Employment Opportunity. The following equal employment oPPOlwnity
requirements apply to this Contract:
1. Race, COIOl', Creed, National Origin, Sex. In accordance with Title VII ofthe
Civil Rights Act, as amended, 42 U.S.C. ~ 2000e, and federal transit laws at 49
V.S.C. ~ 5332, the CONTRACTOR agrees to comply with all applicable equal
employment opportunity requirements of U.S. Department of Labor (U.S. DOL)
regulations, "Office of Federal Contract Compliance Programs, Equal
Employment Opportunity, Department of Labor," 42 C.F.R. Parts 60 el seq..
(which implement Executive Order No. 11246, "Equal Employment
Opportunity." as amended by Executive Order No. 11375, "Amending Executive
Order 11246 Relating to Equal Employment Opportunity," 42 U.S.C. ~ 2000e
note), and with any applicable Federal statutes, executive orders. regulations, and
Federal policies that may in the future affect construction activities undertaken in
the course of this Contract. The CONTRACTOR agrees to take affirmative
action to ensure that applicants are employed. and that employees are treated
during employment, without regard to their race, color, creed. national origin,
sex. or age. Such action shall include, but not be limited to, the following:
employment, upgrading, demotion or transfer, recruitment or recruitment
advertising, layoff or termination; rates of payor other forms of compensation;
and selection for training. including apprenticeship. In addition, the
CONTRACTOR agrees to comply with any implementing requirements FTA
may issue.
2. Age. In accordance with section 4 of the Age Discrimination in Employment Act
of 1967, as amended, 29 V .S.C. ~~ 623 and Federal transit law at 49 V.S .C. ~
532, the CONTRACTOR agrees to refrain from discrimination against present
and prospective employees for reason of age. In addition, the CONTRACTOR
agrees to comply with any implementing requirements FTA may issue.
3. Disabilities. In accordance with section 102 of the Americans with Disabilities
Act, as amended, 42 V.S.C. ~ 12112, the CONTRACTOR agrees that it will
comply with the requirements of U.S. Equal Employment Opportunity
commission, "Regulations to Implement the Equal Employment Provisions of the
Americans with Disabilities Act," 29 C.F.R. Part 1630, pertaining to employment
of persons with disabilities. In addition, the CONTRACTOR agrees to comply
with any implementing requirements FTA may issue,
C. Inclusion ill Subcontracts. The CONTRACTOR agrees to include the requirements of
this Section 15.08 in each subcontract under this contract. modified only to identifY the
subcontractor that will be subject to the provisions.
9. Disadvantaged Business Enterprise ("DBE").
A. Nondiscrimination. Pursuant to 49 CFR section 26.13, the CONTRACTOR, sub-
recipient or subcontractor shal1 not discriminate on the basis ofrace, color, national
origin, or sex in the performance of this contract. The CONTRACTOR shall carty out
applicable requirements of 49 CFR part 26 in the award and administration ofDOT~
assisted contracts. Failure by the CONTRACTOR to carry out these requirements is a
material breach of this contract, which may result in the termination of this contract or
such other remedy, as the COUNCIL deems appropriate. The CONTRACTOR shall
include this requirement in all subcontracts pursuant to this contract. '
n. Prompt Payment. 'lne CONTRACTOR agrees to pay subcontractors within ten
(10) calendar days ofthe CONTRACTOR's receipt of payment from the COUNCIL for
undisputed services provided by the subcontractor. The CONTRACTOR agrees to pay
subcontractors all undisputed retainage payments within ten (10) calendar days of the
CONTRACTOR's receipt of payment of retain age from the COUNCIL. The
CONTRACTOR shall not postpone or delay any undisputed payments owed subcontractors
without good cause and without prior written consent ofthe COUNCIL. The
CONTRACTOR agrees to include in all suboontracts a provision requiring the use of
appropriate alternative dispute resolution mechanisms to resolve payment disputes. The
CONTRACTOR will not be reimbursed for work performed by subcontractors unless and
until the CONTRACTOR ensures that subcontractors are promptly paid for work they have
performed. Failure to comply with the provisions ofthis section may result in the
COUNCIL rmding CONTRACTOR in noncompliance with the DBE provisions ofthis
contract and the imposition of Administrative Sanctions described in paragraph 6 below.
10. Incorporation of ITA Terms. Specific provisions in this contract include, in part, certain
standard terms and conditions required by USDOT, whether or not expressly set forth in the contract
provisions. All contractual provisions required by USDOT, as set forth in 49 CFR section 18.36 and FTA
Circular 4220.1 D, dated April 15, 1996, are hereby incorporated by reference. Notwithstanding anything
to the contrary in this contract, all FfA mandated terms shall be deemed to control in the event ofa
conflict with other provisions contained in this contract. The CONTRACTOR shall not perform any act,
fail to perform any act, or refuse to comply with any COUNCIL requests which would calise the
COUNCIL to be ill violation of the ITA tenus and conditions.
11. National Intelligent Transportation Systems Architecture and Standards. To the extent
applicable, the CONTRACTOR agrees to conform to the National I ntelligent Transportation Systems
(ITS) Architecture and Standards as required by section 5206(e) ofTEA-21, 23 U.S.C. ~ 502 note, and to
comply with FTA Notice, "ITA National ITS Architecture Policy on Transit ProJects" 66 Fed. Reg. 1455
et seq., January 8, 200 I, and other Federal requirements that may be issued.
12. Clean Water. The provisions ofthis section 15.11 apply only Ifthe amount of this contract
(including the value of any amendments thereto) exceeds $100,000.
The CONTRACTOR agrees to comply with all applicable standards, orders, or regulations issued
pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. Section 1251 et seq. The
CONTRACTOR agrees to report each violation to the COUNCIL and understands and agrees that the
COUNCIL will, in turn, report each violation as required to assure notification to ITA and the
appropriate Environmental Protection Agency (EPA) Regional Office. The CONTRACTOR also agrees
to include these requirements in each subcontract exceeding $100,000 financed ill whole or in part with
Federal assistance provided by FTA.
13. Certification of Restrictions on Lobbying; Disclosure. The provisions oHhis Section
15.12 apply only if the amount of this contract (including the value of any amendments thereto) is equal
to, or exceeds $100,000.
The CONTRACTOR certifies that no federal appropriated funds have been paid or will be paid by or on
behalf of the CONTRACTOR for influencing or attempting to influence an officer or employee of any
federal agency, a member of Congress, an officer or employee of Congress, or an employee ofa member
of Congress in connection with the awarding of any federal contract, the making of any federal grant, the
making of any federal loan, the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative
agreement. The certification of this compliance ("Lobbying Restriction Certification") submitted by
CONTRACTOR in connection with this project is incorporated in, and made a part of, this contract.
The CONTRACTOR further certifies that, if any funds other than federal appropriated funds have been
paid or will be paid to any person for influencing or attempting to influence an officer or employee or any
federal agency, a member of Congress, an officer or employee of Congress, or an employee of a member
of Congress in connection with the projects funded by the funds allocated to the CONTRACTOR in this
agreement, the CONTRACTOR shall complete and submit to the COUNCIL, Standard Fonn-LLL,
"Disclosure Form to Report Lobbying," in accordance with its instructions.
The CONTRACTOR certifies that it will require the language of this certification be included in the
award documents for any subcontracts equal to or in excess of $1 00,000.00 under this agreement, and that
all subcontractors shall certify and disclose accordingly to the CONTRACTOR. All certifications and
disclosures shall be forwarded to the COUNCIL by the CONTRACfOR.
The certifications referred to in this section (including the "Lobbying Restriction Certification" submitted
by CONTRACTOR in connection with this project and incorporated in, and made a part of, this contract)
are material representations of fact upon which the COUNCIL relies when this contract is made.
14. Cleltn Air. The provisions ofthis section 15.13 apply onl)' lethe amount ofthis contract
(including the value of any amendments thereto) exceeds $100,000.
The CONTRACTOR agrees to comply with all applicable standards, orders, or regulations issued
pursuant to the Clean Air Act, as amended, 42 D.S.C. section 7401 et seq. The CONTRACTOR agrees to
report each violation to the COUNCIL and understands and agrees that the COUNCIL will, in turn, report
each violation as required to assure notificatioll to FT A and the appropriate Environmental Protection
Agency (BPA) RegionalOffice. The CONTRACTOR also agrees to include these requirements in each
subcontract exceeding $100,000 financed in whole or in part with Federal assistance provided by FTA.
15. Integrity Certification. The provisions of this section 15.14 apply only ifthe amount ofthis
contract (including the value of any amendments thereto) exceeds $100,000.
By signing this contract, the CONTRACTOR cel1ifies that neither it nor its principals is presently
debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from
participation in this contract by any Federal department or agency. This certification is a material
representation of fact upon which the COUNCIL relies in entering this contract. Ifit is later determined
that the CONTRACTOR knowingly rendered an erroneous certification, in addition to other remedies
available to the Federal Government, the department or agency with which this transaction originated
may pursue available remedies, including suspension and/or debarment. The CONTRACTOR shall
provide to the COUNCIL immediate written notice if at any time the CONTRACTOR learns that its
certification was erroneous when submitted or has become erroneous by reason of changed
circumstances.
t::XH I B II I-
FEDERAL FISCAL YEAR 2008 CERTIFICATIONS AND ASSURANCES FOR
FEDERAL TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS
PREFACE
In accordance with 49 Us. C. 5323(n), the following certifications and assurances have been
compiledfor Federal Transit Administration (FTA) assistance programs. FTA requests each
Applicant to provide as many certifications and assurances as needed for all programs for which
the Applicant intends to seek FTA assistance during Federal Fiscal Year 2008. Twenty10ur (24)
Categories oj certifications and assurances are listed by numbers 01 through 24 in the
TEAM-Web "Recipients" option at the "Cert's & Assurances" tab of" View/Modify Recipients. "
Category OJ applies to all Applicants, Categ01Y 02 applies to all applicationsfor Federal
assistance in excesS oJ$100, 000. Categories 03 through 24 will apply to and be requiredJor
some, but not all, Applicants and projects. FTA 's annual certifications and assurances permit the
Applicant to select a single certification which can cover all the programsJor which it
anticipates submitting an application. FTA requests the Applicant to read each certification and
assurance carefully and select all certifications and assurances that may apply to the programs
for which it expects to seek Federal assistance.
FTA and the Applicant understand and agree that not eVeJY provision of these certifications and
assurances will apply to evelY Applicant or every project for which FTA provides Federal
financial assistance through a Grant Ag1'eement or Cooperative Agreement. The type of project
and the section of the statute authorizing Federal financial assistance for the project will
determine which provisions apply. The terms of these certifications and assurances reflect
applicable requirements ofFTA 's enabling legislation currently in effiet.
The Applicant also understands and agrees that these certifications and assurances are special
pre-award requirements specifically prescribed by Federal law or regulation and do not
encompass all Federallmvs, regulations, and directives that may apply to the Applicant or its
project. A comprehensive list of those Federallmvs. regulations. and directives is contained in
the current FTA Master Agreement MA(l4)Jor Federal Fiscal Year 2008 at the FTA website
hftv://www.lia,dots!Ol-JdocumentsIJ 4-Mastcr.Ddf, The certifications and assurances in this
document have been streamlined to remove most provisions not covered by statutory or
regulatory certification or assurance requirements.
Because many requirements of these certifications and assurances wil/1'equire the compliance of
the subrecipient oj an Applicant, we strongly recommend that each Applicant, including a State,
that will be implementing projects through one or more subrecipients, secure sufficient
documentationfl'Ol1l each subrecipient to ensure compliance, not only with these certifications
and assurances. but also with the terms of the Grant Agreement or Cooperative Agreement for
the project, and the Master Agreement or an altemative Master Agreement Jar its project, if
applicable, incorporated therein by reference, Each Applicant is ultimately responsible for
compliance with the provisions of the certifications and assurances applicable to itself or its
project irrespective of participation in the project by any subrecipient.
01. ASSURANCES REQumED FOR EACH APPLICANT
Each Applicantfor FTA assistance must provide all assurances in this Categ01Y "01. II Except to
the extent that FTA expressly determines othenvise in writing, FTA may not award any Federal
assistance until the Applicant provides the following assurances by selecting Category "0 J. /I
A. Assurance of Authority of tile Applicant and Its Representative
The authorized representative ofthe Applicant and the attorney who sign these certifications,
assurances, and agreements affinn that both the Applicant and its authorized representative have
adequate authority under applicable State, local, or Indian tribal law and regulations, and the
Applicant's by-laws or internal rules to:
(I) Execute and file the application for Federal assistance on behalf of the Applicant;
(2) Execute and file the required certifications, assurances, and agreements on behalf of the
Applicant binding the Applicant; and
(3) Execute grant agreements and cooperative agreements with FTA 011 behalf of tile Applicant.
B. Standard Assurances
The Applicant ensures that it will comply with all applicable Federal statutes and regulations in
carrying out any project supported by an FTA grant or cooperative agreement. The Applicant
agrees that it is under a continuing obligation to comply with the terms and conditions of the
grant agreement or cooperative agreement issued for its project with ITA. The Applicant
recognizes that Pederallaws and regulations may be modified from time to time and those
modifications may affect project implementation. The Applicant understands that Presidential
executive orders and Federal directives, including Federal policies and program guidance may be
issued concerning matters affecting the Applicant or its project. The Applicant agrees that the
most recent Federal laws, regulations, and directives will apply to the project, unless FTA issues
a written determination otherwise.
c. Intergovernmental Review Assurance
Except ifthe Applicant is all Indian tribal government seeking assistance authorized by
49 U.S.C. 5311(c)(I), the Applicant ensures that each application for Federal assistance it
submits to FT A has been submitted or will be submitted for intel'governmental review to the
appropriate State and local agencies as determined by the State. Specifically, 'the Applicant
ensures that it has fhlfillcd or will fulfill the obligations imposed on PTA by U.S. Department of
Transportation (U.S. DOT) regulations, "Intergovernmental Review of Department of
Transportation Programs and Activities," 49 CFR part 17. This assurance does not apply to
Applicants for Federal assistance derived from FTA's Tribal Transit Program, 49 U.S.C.
5311(c)(I).
D, Nondiscrimination Assurance
As required by 49 V.S.C. 5332 (which prohibits discrimination on the basis of race, color, creed,
national origin, sex, or age, and prohibits discrimination in employment or business opportunity),
by Title VI ofthe Civil Rights Act of 1964, as amended, 42 V.S.C. 2000d, and by U.S. DOT
regulations, "Nondiscrimination in Federally-Assisted Programs of the Department of
Transportation--Ef(ectuation of Title VI ofthe Civil Rights Act," 49 CFR part 21 at 21.7, the
Applicant ensures that it will comply with all requirements imposed by or issued pursuant to
49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR palt 21, so that no person in the United States, on
the basis of race, color, national origin, creed, sex, or age will be excluded from participation in,
be denied the benefits of, or otherwise be subjected to discrimination in any program or activity
(particularly in the level and quality oftransportation services and transportation-related
benefits) for which the Applicant receives Federal assistance awarded by the U.S. DOT or FTA.
Specifically, during the period in which Federal assistance is extended to the project, or project
property is used for a purpose for which the Federal assistance is extended or for another purpose
involving the provision of similar services or benefits, or as long as the Applicant retains
ownership or possession of the project property, whichever is longer, the Applicant ensures that:
(1) Each project will be conducted, property acquisitions will be undertaken, and project
facilities will be operated in accordance with all applicable requirements imposed by or
issued pursuant to 49 U.S.C. 5332, 42 U.s.C. 2000d, and 49 CFR part 21, and understands
that this assurance extends to its entire facility and to facilities operated in connection with
the project.
(2) It will promptly take the necessary actions to effectuate this assurance, including notifYing
the public that oomplaints of discrimination in the provision oftransportation-related
services or benefits may be filed with U.S. DOT 01' FT A. Upon request by U.S. DOT or
FT A, the Applicant ensures that it will submit the required information pertaining to its
compliance with these provisions. .
(3) It will include in each subagreement, property transfer agreement, third party contract, third
party suboontract, or participation agreement adequate provisions to extend the requirements
imposed by or issued pursuant to 49 U.S.C. 5332,42 U.S.C. 2000d and 49 CFR part 21 to
other parties involved therein including any subrecipient, transferee, third party contractor,
third party subcontractor at any level, successor in interest, or any other palticipant in the
project.
(4) Should it transfer real property, stl1lctures, or improvements financed with Federal
assistance provided by FTA to another party, any deeds and instruments recording the
transfer of that property shall contain a covenant running with the land assuring
nondiscrimination for the period during which the property is used for a purpose for which
the Federal assistance is extended or for another purpose involving the provision of similar
services or benefits.
(5) The United States has a right to seekjudiciat enforcement with regard to any matter arising
under the Act, regulations, and this assurance.
(6) It will make any changes in its Title VI implementing procedures as U.S. DOT or FTA may
request to achieve compliance with the requirements imposed by or issued pursuant to
49 U.S.C. 5332, 42 V.S.C. 2000d, and 49 CFR part 21.
E. Assurance of Nondiscrimination on the Basis of Disability'
As required by U.S. DOT regulations, "Nondiscrimination on the Basis of Handicap in Programs
and Activities Receiving or Benefiting fi-om Federal Financial Assistance," at 49 CFR 27.9, the
Applicant ensures that, as a condition to the approval or extension of any Federal assistance
awarded by ITA to construct any facility, obtain any rolling stock or other equipment, undertake
studies, conduct research, or to participate in or obtain any benefit from any program
administered by FT A, no otherwise qualified person with a disability shall be, solely by reason
of that disability, excluded from participation in, denied the benefits of, or othcnvise subjected to
discrimination in any program or activity receiving or benefiting from Federal assistance
administered by the ITA or any entity within U.S, DOT. The Applicant ensures that project
implementation and operations so assisted will comply with all applicable requirements of
U.S, DOT regulations implementing the Rehabilitation Act of 1973, as amended, 29 U,S.C. 794,
et seq., and the Americans with Disabilities Act of 1990, as amended, 42 U.S.C. 12101 et seq.,
and implementing U.S. DOT regulations at 49 CFR parts 27,37, and 38, and any other
applicable Federal laws that may be enacted or Federal regulations that may be promulgated.
F. U.S. Office of Management and Budget (OMB) Assurances
Consistent with OMB assurances set fOlth in SF.424B and SF-424D, the Applicant ensures that,
with respect to itself 01' its project, the Applicant:
(1) Has the legal authority to apply for Federal assistance and the institutional, managerial, and
financial capability (including funds sufficient to pay the non~Federal share of project cost)
to ensure proper planning, management, and completion of the project described in its
application;
(2) Will give FTA, the Comptroller General ofthe United States, and, if appropriate, the State,
through any authorized representative, access to and the right to examine all records, books,
papers, or documents relatcd to the award; and will establish a proper accounting system ill
accordance with generally accepted accounting standards or agency directives;
(3) Will establish safeguards to prohibit employees from using their positions for a purpose that
constitutes or presents the appearance of personal or organizational conflict of interest or
personal gain;
(4) Will initiate and complete the work within the applicable project time periods following
receipt ofFT A approval;
(5) Will comply with all applicable Federal statutes relating to nondisCl'imination including, but
not limited to:
(a) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, which prohibits discrimination on the
basis ofrace, color, or national origin;
(b) Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. 1681 through
1683, and 1685 through 1687, and U.S. DOT regulations, "Nondiscrimination on the
Basis of Sex in Education Programs or Activities Receiving Federal Financial
Assistance," 49 CFR part 25, which prohibit discrimination on the basis of sex;
(c) Section 504 of the Rehabilitation Act of 1973, as amended, 29 D.S.C. 794, which
prohibits discrimination on the basis of disability;
(d) The Age Discrimination Act of 1975, as amended, 42 D.S.C. 6101 through 6107, which
prohibits discrimination on the basis of age;
(e) The Drug Abuse Office and Treatment Act of 1972, as amended, 21 U.S.C. 1101 e/ seq.,
relating to nondiscrimination on the basis of drug abuse;
(f) The Comprehensive Alcohol Abuse and Alcoholism Prevention Act of 1970, as
amended, 42 V.S.C. 4541 et seq. relating to nondiscrimination on the basis of alcohol
abuse or alcoholism;
(g) The Public Health Service Act of 19]2, as amended, 42 U.S.C. 201 et seq., relating to
confidentiality of alcohol and drug abuse patient records;
(h) Title VIII of the Civil Rights Act, 42 U.S.C. 3601 et seq., relating to nondiscrimination
in the sale, rental, or financing of housing; and
(i) Any other nondiscrimination statute(s) that may apply to the project;
(6) To the extent applicable, will comply with, or has complied with, the requirements of
Titles II and ill of the Uniform Relocation Assistance and Real Property Acquisition
Policies Act of 1970, as amended, (Uniform Relocation Act) 42 U.S.C. 4601 et seq., which,
among other things, provide for fair and equitable treatment of persons displaced or persons
whose property is acquired as a result of Fedel'al or federally assisted programs. These
requirements apply to all interests in real property acquired for project purposes and
displacement caused by the project regardless of Federal participation in any purchase. As
required by sections 210 and 305 ofthe Uniform Relocation Act, 42 U.S.C. 4630 and 4655,
and by U.S. DOT regulations, "Uniform Relocation Assistance and Real Property
Acquisition for Federal and Federally Assisted programs,u 49 CPR 24.4, the Applicant
ensures that it has the requisite authority under applicable state and local law to comply with
the requirements of the Uniform Relocation Act, 42 U,S.C. 4601 et seq., and U.s. DOT
regulations, "Uniform Relocation Assistance and Real Property Acquisition for Federal and
Federally Assisted Programs," 49 CPR part 24, and will comply with that Act or has
complied with that Act and those implementing regulations, including but not limited to the
following:
(a) The Applicant will adequately infonn each affected person ofthe benefits, policies, and
procedures provided for in 49 CFR part 24;
(b) The Applicant will provide fair and reasonable relocation payments and assistance as
required by 42 V.S.C. 4622,4623, and 4624; 49 CPR part 24; and any applicable ITA
procedures, to or for families, individuals, partnerships, corporations, or associations
displaced as a result of any project financed with ITA assistance;
(c) The Applicant will provide relocation assistance programs offering the services
described in 42 U.S.C. 4625 to such displaced families, individuals, partnerships,
corporations, or associations in the manner provided in 49 CFR part 24;
(d) Within a reasonable time before displacement, the Applicant will make available
comparable replacement dwellings to displaced families and individuals as required by
42 D.S.C. 4625(c)(3);
(e) The Applicant will carry out the relocation process in such manner as to provide
displaced persons with unifonn and consistent services, and wiII make available
replacement housing in the same range of choices with respect to such housing to all
displaced persons regardless of race, color, religion, or national origin;
ef) In acquiring real property, the Applicant will be guided to the greatest extent practicable
under state law, by the real property acquisition policies of 42 U.S.C. 4651 and 4652;
(g) The Applicant will payor reimburse property owners for necessary expenses as
specified in 42 D.S.C. 4653 and 4654, with the understanding that ITA will provide
Federal financial assistance for the Applicant's eligible costs of providing payments for
those expenses, as required by 42 U.S.C. 4631;
(h) The Applicant will execute such amendments to third party contracts and subagreements
financed with ITA assistance and execute, furnish, and be bound by such additional
documents as Ff A may determine necessary to effectuate or implement the assurances
provided herein; and
(i) The Applicant agrees to make these assurances part of or incorporate them by reference
into any third party contract or subagl'eement, or any amendments thereto, relating to
any project financed by ITA involving relocation or land acquisition and provide in any
affected document that these relocation and land acquisition provisions shall supersede
any conflicting provisions;
(7) To the extent applicable, will comply with the Davis-Bacon Act, as amended, 40 D.S.C.
3141 ef seq., the Copeland "Anti-Kickback" Act, as amended, 18 U.S.C. 874, and the
Contract Work Hours and Safety Standards Act, as amended, 40 D.S.C. 3701 et seq.,
regarding labor standards for federally assisted projects;
(8) To the extent applicable, will comply with the flood insurance purchase requirements of
section 102(a) of the Flood Disaster Protection Act of 1973, as amended, 42 U.S.C.
40I2a(a), requiring the Applicant and its subrecipients in a special flood hazard area to
palticipate in the program and purchase flood insurance if the total cost of insurable
construction and acquisition is $10,000 or more;
(9) To the extent applicable, will comply with the Lead-Based Paint Poisoning Prevention Act,
42 D.S.C. 4831(b), which prohibits the use oflead-based paint in the construction or
rehabilitation of residence structures;
(I 0) To the extent applicable, will not dispose of, modifY the use of, or change the tenns of the
real property title or other interest in the site and facilities on which a construction project
supported with FT A assistance takes place without permission and instructions from ITA;
(11) To the extent required by ITA, will record the Federal interest in the title of real property,
and will include a covenant in the title of real property acquired in whole or in part with
Federal assistance funds to ensure nondiscrimination during the useful life ofthe project;
(12) To the extent applicable, will comply with ITA provisions concerning the drafting, review,
and approval of constnlctiotl plans and specifications of ariy construction project supported
with ITA assistance. As required by U.S. DOT regulations, "Seismic Safety," 49 CFR
4] .II7(d), before accepting delivery of any building financed with ITA assistance, it will
obtain a certificate of compliance with the seismic design and construction requirements of
49 CFR part 41;
(13) To the extent applicable, will provide and maintain competent and adequate engineering
supervision at the construction site of any project supported with ITA assistance to ensure
that the complete work conforms with the approved plans and specifications, and will
furnish progress reports and such other information as may be required by ITA or the slate;
(14) To the extent applicable, will comply with any applicable environmental standards that may
be prescribed to implement the following Federal laws and executive orders:
(a) Institution of environmental quality control measures under the National Environmental
Policy Act of 1969, as amended. 42 D.S.C. 4321 through 4335 and Executive Order
. No. 11514, as amended, 42 D.S.C. 4321 note;
(b) Notification of violating facilities pursuant to Executive Order No. 11738, 42 V.S.C.
7606 note;
(c) Protection of wetlands pursuant to Executive Order No. 11990,42 V.S.C. 4321 note;
(d) Evaluation offload hazards in floodplains in accordance with Executive Order
No. 11988,42 U.S.C. 4321 note;
(e) Assurance of project consistency with the approved state management program
developed pursuant to the requirements of the Coastal Zone Management Act of 1972,
as amended, 16 U.S.C. 1451 through 1465;
(f) Conformity of Federal actions to State (Clean Air) Implementation Plans under
section 176(c) of the Clean Air Act of 1955, as amended, 42 V.S.C. 7401 through
7671q;
(g) Protection of underground sources of drinking water under the Safe Drinking Water Act
of 1974, as amended, 42 D.S.C. 300fthrough 300j-6;
(h) Protection of endangered species under the Endangered Species Act of 1973, as
amended, 16 U,S.C. 1531 through 1544; and
(i) Environmental protections for Federal tl'anspOltation programs, including, but not
limited to, protections for parks, recreation areas, or wildlife or waterfowl refuges of
national, state, or local significance or any land from a historic site of national, State, or
local significance to be used in a transpoltation project as required by 49 U.S.C. 303(b)
and 303(c);
U) Protection of the components ofthe national wild and scenic rivers systems, as required
under the Wild and Scenic Rivers Act of 1968, as amended, 16 U.S.C. 1271 through
1287; and
(k) ProvisIon of assistance to FTA in complying with section 106 ofthe National Historic
Preservation Act of 1966, as amended, 16 U,S.C. 470f; with the Archaeological and
Historic Preservation Act of 1974, as amended, 16 U.S.C. 469 through 469c ; and with
Executive Order No.1 1593 (identification and protection of historic properties),
16 V.S.C. 470 note;
(15) To the extent applicable, will comply with the requirements of the Hatch Act, 5 U.S.C. 1501
through 1508 and 7324 through 7326, which liniit the political activities of State and local
agencies and their officers and employees whose primary employment activities are
financed in whole or part with Federal funds including a Federal loan, grant agreement, or
cooperative agreement except, in accordance with 49 U.S.C. 5307(k)(2) and 23 V.S.C.
142(g), the Hatch Act does not apply to a nonsupervisory employee of a public
transportation system (or of any other agency or entity performing related functions)
receiving PTA assistance to whom that Act does not otherwise apply;
(16) To the extent applicable, will comply with the National Research Act, Pub. L. 93-348,
July 12, 1974, as amended, 42 D.S.C. 289 et seq., and U.S, DOT regulations, "Protection of
Human Subjects," 49 CFR part 11, regarding the protection of human subjects involved in
research, development, and related activities supported by Federal assistance;
(17) To the extent applicable, will comply with the Laboratory Animal Welfare Act of 1966, as
amended, 7 D.S.C. 2131 et seq., and U.S. Department of Agriculture regulations, "Animal
Welfare," 9 CFR subchapter A, parts I, 2, 3, and 4, regarding the care, handling, and
treatment of warm blooded animals held or used for research, teaching, or other activities
supported by Federal assistance;
(18) Will have performed the financial and compliance audits as required by the Single Audit
Act Amendments of 1996.31 V.S.C. 7501 et seq.. OMB Circular A~133, "Audits of States,
Local Governments, and Non-Profit Organizations," Revised, and the most recent
applicable OMB A.133 Compliance Supplement provisions for the U.S. DOT; and
(19) To the extent applicable, will comply with all applicable provisions of all other Federal
laws, regulations, and directives governing the project, except to the extent that FTA has
expressly approved otherwise in writing.
02. LOBBYING CERTIFICATION
An Applicant that submits or intends to submit an application to HAfor Federal assistance
exceeding $100,000 is required to provide the following certification. FTA may not mvard
Federal assistance exceeding $100,000 until the Applicant provides this certification by selecting
CategOlY "02. "
A. As required by 31 U.S.C. 1352 and U.S. DOT regulations, IINew Restrictions on Lobbying,"
at 49 CFR 20.110, the Applicant's authorized representative certifies to the best of his or her
knowledge and be!iefthat for each application to FTA for Federal assistance exceeding
$100,000:
(1) No Federal appropriated funds have been or will be paid by or on behalfofthe
Applicant to any person to influence or attempt to influence an officer' or employee of
any Federal agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress regarding the award of Federal assistance, or the
extension, continuation, renewal, amendment, or modification of any Federal assistance
agreement; and
(2) If any funds other than Federal appropriated funds bave been or will be paid to any
person to influence or attempt to influence an officer or employee of any Federal
agency, a Member of Congress, an officer or elnployee of Congress, or an employee of a
Member of Congress in connection with any application for Federal assistance, the
Applicant ensures that it will complete and submit Standard Form-LLL, "Disclosure
Form to Repolt Lobbying," including information required by the instructions
accompanying the form, which form may be amended to omit such information as
authorized by 31 U.S.C. 1352.
(3) The language of this certification shall be included in the award documents for all
subawards at all tiers (including subcontracts, subgrants, subagreements, contracts under
grants, loans, and cooperative agreements).
B. The Applicant understands that this certification is a material representation of fact upon
which reliance is placed by the Federal Government and that submission of this certification
is a prerequisite for providing Federal assistance for a transaction covered by 31 V.S.C.
1352. The Applicant also understands that any person who fails to file a required
certification shall be subject to a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.
03. PROCUREMENT COMPLIANCE
In accordance with 49 CFR 18.36(g)(3)(ii), each Applicant that is a State, local, or Indian tribal
government that is seeking Federal assistance to acquire property or services in support of its
project is requested to provide the following certification by selecting Categ01Y "03. " FTA also
requests other Applicants to provide the following certification. An Applicant for FTA assistance
to acquire properly or services in support of its project that fails to pmvide this certification may
be determined Ineligible for mvard of Federalasslstance for the project, if FTA determines that
its procurement practices and procurement system fail to comply with Federal laws, regulations
and directives governing procurements financed with FTA assistance.
The Applicant certifies that its procurements and procurement system will comply with all
applicable third party procurement provisions of Federal laws, regulations, and directives, except
to the extent ITA has expressly approved othenvise in writing.
04. PROTECTIONS FOR PRlV ATE TRANSPORTATION PROVIDERS
Each Applicant that is a State, local, or Indian tribal government that is seeking Federal
assistance authorized under 49 U.s.C. chapter 53 to acquire any propeJ'ty or an interest in the
property of a private provider of public transportation or to operate public transportation
equipment ol'facilities in competition with. or in addition to, transportation service provided by
an existing private provider of public transportation is required to provide the following
certification. FT A may not award Federal assistance for such a project until the Applicant
provides this certification by selecting Category "04."
As required by 49 U.S.C. 5323(a)(1), the Applicant certifies that before it acquires the property
or an interest in the property ofa private provider of public transportation or operates public
transportation equipment or facilities in competition with. or in addition to, transportation service
provided by an existing public transportation company, it has or will have:
A. Detennined that the assistance is essential to carrying O\lt a program of projects as required
by 49 U.S.C. 5303,5304, and 5306;
B. Provided for the participation of private companies engaged in public transportation to the
maximum extent feasible; and
C. Paid just compensation under state or local law to the company for any fi'anchise or property
acquired.
OS. PUBLIC HEARING
An Applicant seeking Federal assistance authorized under 49 u.s. C. chapter 53 for a capital
project that will substantially affect a community or a community's public transportation service
is required to provide the following certification. FTA may not award Federal ass/stance for that
type of project until the Applicant provides this certification by selecting CategOlY "05. II
As required by 49 U.S.C. 5323(b), the Applicant certifies that it has, or before submitting its
application, it will have:
A. Provided an adequate opportunity for public review and comment on the project preceded by
adequate prior public notice of the proposed project, including a concise description of the
proposed project, published in a newspaper of general circulation in the geographic area to be
served;
B. Held a public hearing on the project if the project affects significant economic, social, or
environmental interests after providing adequate notice as described above;
C. Considered the economic, social, and.cnvironmental effects of the proposed project; and
D. Determined that the proposed project is consistent with official plans for developing the
urban area.
06. ACQUISITION OF ROLLING STOCK FOR USE IN REVENUE SERVICE
An Applicant seeking Federal assistance authorized under 49 U.S.C, chapter 53 to acquire any
rolling stock for use in revenue service is required to provide the following certification. FT A
may not award any Federal assistance to acquire such rolling stock until the Applicant provides
this certification by selecting Categ01Y "06. "
As required by 49 U.S.C. 5323(m) and implementing FTA regulations at 49 CFR 663.7, the
Applicant certifies that it will comply with the requirements of 49 CFR part 663 as modified by
amendments authorized by section 3023(k) ofSAFETEA-LU when procuring revenue service
rolling stock. Among other things, the Applicant agrees to conduct or cause to be conducted the
requisite pre-award and post-delivery reviews, and maintain on file the certifications required by
49 CFR part 663, subparts B, C, and D.
07. ACQUISITION OF CAPITAL ASSETS BY LEASE
An Applicant that intends to request the use of Federal assistance to acquire capital assets by
lease is required to provide the following certifications, FTA may not provide Federal assistance
to SUppOl't those costs until the Applicant provides this certification by selecting Category "07."
As required by FTA regulations, "Capital Leases," at 49 CFR 639.l5(b)(1) and 639.21, if the
Applicant acquires any capital asset by lease financed with Federal assistance authorized for
49 U.S.C, chapter 53, the Applicant certifies as follows:
(1) It will not use Federal assistance authorized to finance the cost ofleasing any capital asset
until it performs calculations demonstrating that leasing the capital asset would be more
cost-effective than purchasing or constructing a similar asset; and It wiII complete these
calculations before entering into the lease or before receiving a capital grant for the asset,
whichever is later; and
(2) It will not enter into a capital lease for which FTA can provide only incremental Federal
assistance unless it has adequate financial resources to meet its future obligations under the
lease if Federal assistance is not available for capital projects in the subsequent years.
08. BUS TESTING
An Applicant for Federal assistance appropriated or made available for 49 U.S.c. chapter 53 to
acquire any new bus model or any bus model with a new major change in configuration Or
components is required to provide the following certification. l'T A may not provide Federal
assistance for the acquisition of any new bus model or bus model with a major change until the
Applicant provides this certification by selecting Category "08. JI
As required by 49 V.S.C. 5318 and ITA regulations, "Bus Testing," at 49 CFR 665.7, the
Applicant certifies that, before expending any Federal assistance to acquire the first bus of any
new bus model or any bus model with a new major change in configuration or components, or
before authorizing final acceptance of that bus (as described in 49 CFR part 665), the bus model:
A. Will have been tested at FT A's bus testing facility; and
B. Will have received a copy ofthe test report prepared on the bus model.
09. CHARTER SERVICE AGREEMENT
An Applicant seeking Federal assistance authorized under 49 u.s. C. chapter 53 (except
49 US.c. 53/0.5316,01' 5317). ar under 23 US.C. 133 or 142 to acquire ar operate any public
transpartatlon equipment orfacilities is required to enter ;nta the fallowing Charter Service
Agreement. FTA may not provide Federal assistance authorized under 49 V.S.C. chapter 53
(except 49 U.S.C. 53/0. 5316, or 5317). or under 23 U.S.C.133 ar 142 for such projects until rhe
Applicant enters (nto this Charter Service Agreement by selecting Categ01Y "09. It
A. As required by 49 V.S.C. 5323(d) and (g) and FTA regulations at 49 CFR 604.7, the
Applicant understands and agrees that it and each subrecipient, lessee, and third party
contractor at any tier may provide charter service for transportation projects that uses
equipment or facilities acquired with Federal assistance authorized under the Federal transit
laws (except 49 U.S.C. 5310,5316, or 5317), or under 23 V.S.C. 133 or 142 only in
compliance with those laws and ITA regulations, "Charter Service," 49 CPR part 604, the
terms and conditions of which are incorporated herein by reference.
B. The Applicant understands and agrees that:
(1) The requirements of 49 CFR part 604 will apply to any charter service it or its
subrecipients. lessees, or third party contractors provide,
(2) The definitions of 49 CFR part 604 will apply to this Chalter Service Agreement, and
(3) A violation of this Chalter Service Agreement may require corrective measures and
imposition of penalties, including debannent from the receipt of further Federal
assistance for transportation.
10. SCHOOL TRANSPORTATION AGREEMENT
An Applicant that is seeking Federal assistance authorized under 49 u.S.C. chapter 53 or ltnd~;
23 US.C.133 ar 142 to acquire or operate public transportation facilities and equipment is
required to enter into the following School Transportation Agreement. FT A may not provide
Federal assistance authorized under 49 U.S.C. chapter 53 or under 23 U.S.C.133 or 142for
such projects until the Applicant enters into this agreement by selecting Category "10. "
A. As required by 49 V.S.C. 5323(f) and (g) and ITA regulations at 49 CFR 605.14. the
Applicant understands and agrees that it and each subrecipient, lessee, or third party
contractor at any tier may engage in school transportation operations in competition with
private school transportation operators that uses equipment or facilities acquired with
Federal assistance authorized under the Federal transit laws or under 23 V.S.C. 133 or 142,
only in compliance with those laws and ITA regulations, <<School Bus Operations,"49 CFR
part 605, the terms and conditions ofwhich are incorporated herein by reference.
B. The Applicant understands and agrees that:
(1) The requirements of 49 CFR part 605 will apply to any school transportation service it
or its subrecipients, lessees, or third party contractors provide,
(2) The definitions of 49 CFR pal1 605 will apply to this School Transportation Agreement,
and
(3) A violation of this School Transportation Agreement may require corrective measures
and imposition of penalties, including debarment from the receipt of further Federal
assistance for transportation.
11. DEMAND RESPONSIVE SERVICE
An Applicant that operates demand responsive service and applies for direct Federal assistance
authorizedfor 49 U.S.c. chapter 53 fo acquire non-rail public transportation vehicles is
required to provide the following certification. FTA may not alVaI'd direct Federal assistance
authorizedfor 49 U.S. C. chapter 53 to an Applicant that operates demand responsive service to
acquire non-rail public transportation vehicles until the Applicant provides this certification by
selecting Categ01Y 1/11"
As required by U.S. DOT regulations, "Transportation Sc~vices for Individuals with Disabilities
(ADA)," at 49 CFR 37.77(d), the Applicant certifies that its demand responsive service offered
to individuals with disabilities, including individuals who use wheelchairs, is equivalent to the
level and quality of service offered to individuals without disabilities. Viewed in its entirety, the
Applicant's service for individuals with disabilities is provided in the most integrated setting
feasible and is equivalent with respect to: (I) response time, (2) fares, (3) geographic service
area, (4) hours and days of service, (5) restrictions on trip purpose, (6) availability of information
and reservation capability, and (7) constraints on capacity or service availability.
12. ALCOHOL MISUSE AND PROI-llBITED DRUG USE
If the Applicant is required to provide the following certification concerning its activities to
prevent alcohol misuse and prohibited drug use in its public transportation operations. FTA may
not provide Federal assistance to that Applicant until/( provides this certification by selecting
Categ01y"12"
As required by FTA regulations, "Prevention of Alcohol Misuse and Prohibited Drug Use in
Transit Operations," at 49 CFR part 655, subpart I, the Applicant ce11ifies that it has established
and implemented an alcohol misuse and anti-drug program, and has complied with or will
comply with all applicable requirements ofFTA regulations, "Prevention of Alcohol MiSllse and
Prohibited Drug Use in Transit Operations," 49 CFR part 655.
13. INTEREST AND OTHER FINANCING COSTS
An Applicant that intends to request the use of Federal assistance for reimbursement of interest
or other financing costs incurred for its capital projects financed with Federal assistance under
the Urbanized Area Formula Program, the Capital Investment Program, or the Alternative
Transportation in Parky and Public Lands Program is required to provide the following
certification. FTA may not provide Federal assistance to support those costs until the Applicant
provides this certification by selecting Categ01Y "13. "
As required by 49 U.S.C. 5307(g)(3), 5309(g)(2)(D)(iii), 5309(g)(3)(B)(iii), 5309(i)(2)(C), and
5320(h)(2)(C), the Applicant certifies that it will not seek reimbursement for interest and other
financing costs unless it is eligible to receive Federal assistance for those expenses and its
records demonstrate that it has used reasonable diligence in seeking the most favorable financing
terms underlying those costs, to the extent FT A may require.
14. INTELLIGENT TRANSPORTATION SYSTEMS
An Applicant for FTA assistancefor an Intelligent Transportation Systems (ITS) project, defined
as any project that in whole or in part finances the acquisition of technologies o/' systems of
technologies that provide or significantly contribute to the provision of one or more ITS user
services as defined in the "Nat;onaIITS Architecture" is requested to provide the following
assumnce. FTA strongly encourages any Applicantfor FTAjinancial assistance to support an
ITS project to provides this assurance by selecting Category "14. " An Applicant for FTA
assistance for an ITS project that fails to provide this assurance, without providing other
documentation assuring the Applicant's commitment to comply with applicable ITS standards
and protocols. may be determined ineligible for award of Federal assistance for the ITS project.
As used in this assurance, the term Intelligent Transportation Systems (ITS) project is defined to
include any project that in whole or in part finances the acquisition of technologies or systems of
technologies that provide or significantly contribute to the provision of one or more ITS user
services as defined in the "National ITS Architecture."
A. As provided in SAFETEA-LU section 5307(c), 23 U.S.C. 512 note, "the Secretary shall
ensure that intelligent transpOltation system projects carried out using funds made available
from the Highway TlUst Fund, including funds made available under this subtitle to deploy
intelligent transportation system technologies, conform to the national architecture,
applicable standards or provisional standards, and protocols developed under
subsection (a)." To facilitate compliance with SAFETEA-LU section 5307(c), 23 D.S.C.
512 note, the Applicant ensures it will comply with all applicable provisions of Section V
(Regional ITS Architecture) and Section VI (Project Implementation) of FT A Notice,
"FTA National ITS Architecture Policy on Transit Projects," at 66 FR 1455 et seq.,
January 8,2001, and other FTA policies that may be issued in connection with any ITS
project it undertakes financed with funds authorized under Title 49 or Title 23, United States
Code, except to the extent that FTA expressly determines otherwise in writing.
B. With respect to any ITS project financed with Federal assistance derived from a source
other than Title 49 or Title 23, United States Code, the Applicant ensures that it will use its
best efforts to ensure that any ITS project it undertakes will not preclude interface with other
intelligent transportation systems in the Region.
15. URBANIZED AREA FORMULA PROGRAM
Each Applicantfor Urbanized Area Formula Program assistance authorized under 49 USe.
5307 is required to provide the following certifications on behalf of itself and any suhrecipients
participating in its projects. Unless FTA determines othenvise in writing. the Applicant is
ultimately responsible for compliance with its certifications and assurances even though a
subrecipient may participate in that project. Consequently, in providing certifications and
assurances that involve the compliance of its prospective subrecipients, the Applicant is strongly
encouraged to take the appropriate measures, including but not limited to obtaining sufficient
documentation from each subrecipient, to ensure the validity of all certifications and assurances
the Applicant has made to FTA.If, however a "Designated Recipient" as defined at 49 U.S.e.
5307(a)(2)(A) enters into a Supplemental Agreement with FTA and a Prospective Gtantee, that
Grantee is recognized as the Applicant for Urbanized Area Formula Program assistance and
must provide thefol/owing certifications and assurances.
Each Applicant is required by 49 U.S.c. 5307(d)(J)(J) to expend at least one (1) percent of its
Urbanized Area Formula Program assistance fOr public transportation security projects, unless
the Applicant has certified to FTA that such expenditures are not necessary. Information about
the Applicant's intentions will be recorded in the "Security" tab page of the TEAM-Web
"Project Information" window when the Applicant enters its Urbanized Area Formula Program
application in TEAM-Web. FTA may not ml'ard Urbanized Area Formula Program assistance to
any Applicant that is required by 49 U.S.C. 5307(d)(I)(K) to expend one (1) percent of its
Urbanized Area Formula Program assistance for eligible transit enhancements unless that
Applicant's quarterly report for the fourth quarter of the preceding Federal fiscal year has been
submitted to FTA and includes the requisite list or the Applicant attaches in TEAM or includes in
its quarterly report information sufficient to demonstrate that the Designated Recipients in its
area together have expended one (1) percent of the amount of Urbanized Area Program
assistance made available to them for transit enhancement projects.
FTA may not award Federal assistance for the Urbanized Area Formula Program to the
Applicant until the Applicant provides these certifications and assurances by selecting
Category "15."
As required by 49 U.S.C. 5307(d)(1), the Applicant certifies as follows:
A. In compliance with 49 D.S.C. 5307(d)(I)(A), the Applicant has or will have the legal,
financial, and technical capacity to carry Qut its proposed program of projects, including
safety and security aspects of that program;
B. In compliance with 49 D.S.C. 5307(d)(l)(B), the Applicant has or will have satisfactory
continuing control over the use of Project equipment and facilities;
C. In compliance with 49 D.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
Project equipment and facilities;
D. In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant will enSure that elderly
individuals, individuals with disabilities, or any person presenting a Medicare card issued to
himself or herself pursuant to title II or title XVIII of the Social Security Act (42 V.S.C. 401
e/seq. or 42 V.S.C. 1395 et seq.), will be charged for transportation during non-peak hours
using or involving a facility or equipment of a project financed with Federal assistance
authorized for 49 V.S.C. 5307, not more than fifty (50) percent of the peak hour fare;
E. In compliance with 49 V.S.C. 5307(d)(I)(E), the Applicant, in carrying out a procurement
financed with Federal assistance authorized under 49 U.S.C. 5307: (1) will use competitive
procurement (as defined or approved by the Secretary), (2) will not use exclusionary or
discriminatory specifications in its procurements, (3) will comply with applicable Buy
America laws, and (4) will comply with the general provisions for FTA assistance of
49 V.S.C. 5323 and the third party procurement requirements of 49 D.S.C. 5325;
F. In compliance with 49 V.S.C. 5307(d)(I)(F), the Applicant has complied with or will
comply with the requirements of 49 U.S.C. 5307(c). Specifically, the Applicant: (1) has
made available, or will make available, to the public information on the amounts available
for the Urbanized Area Formula Program, 49 U.S.C. 5307, and the program of projects it
proposes to undertake; (2) has developed or will develop, in consultation with interested
parties including private transportation providers, a proposed program of projects for
activities to be financed; (3) has published or will publish a proposed program of projects in
a way that affected citizens, private transportation providers, and local elected officials have
the opportunity to examine the proposed program and submit comments on the proposed
program and the performance of the Applicant; (4) has provided or will provide an
opportunity for a public hearing to obtain the views of citizens on the proposed program of
projects; (5) has ensured or will ensure that the proposed program of projects provides for
the coordination oftransportation services assisted under 49 U.S.C. 5336 with transportation
services assisted by another Federal Government source; (6) has considered or will consider
the comments and views received, especially those of private transportation providers, in
preparing its final program of projects; and (7) has made or will make the final program of
projects available to the public;
G. In compliance with 49 U.S.C. 5307(d)(1)(G), the Applicant has or will have available and
will provide the amount of funds required by 49 V.S.C. 5307(e) for the local share) and that
those funds will be provided from approved non-Federal sources except as pennitted by
Federal law;
H. In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will comply with: 49 U.S.C.
5301(a) (requirements for public transportation systems that maximize the safe, secure, and
efficient mobility of individuals, minimize environmental impacts, and minimize
transportation-related fuel consumption and reliance on foreign oil); 49 U.S.C. 5301(d)
(special efforts to design and provide public transportation for elderly individuals and
individuals with disabilities); and 49 U.S.C. 53.03 through 5306 (planning and private
enterprise requirements);
1. In compliance with 49 U.S.C. 5307(d)(I)(I), the Applicant has a locally developed process
to solicit and consider public comment before raising a fare or implementing a major
reduction of public transportation;
J. In compliance with 49 U.S.C. 5307(d)(I)(J), each fiscal year, the Applicant will spend at
least one (1) percent orits funds authorized by 49 V.S.C. 5307 for public transportation
security projects, unless the Applicant has certified to FT A that such expenditures are not
necessary. Public transportation security projects include increased lighting in or adjacent to
a public transportation system (including bus stops, subway stations, parking lots, and
garages), increased camera surveillance of an area in or adjacent to that system, emcrgency
telephone line or lines to contact law enforcement or sccurity personnel in an area in or
adjacent to that system, and any other project intended to increase the security and safety of
an existing or planned public transportation; and
K. In compliance with 49 U.S.C. 5307(d)(I)(K), if the Applicant is a Designated Recipient
serving an urbanized area with a population of at least 200,000, (1) the Applicant certifies
either that it has expended or will expend for transit enhancements as defined at 49 D.S.C.
5302(a)(15) not less than one (1) percent of the amount of the Urbanized Area Formula
Assistance it receives this fiscal year, or that at least one Designated Recipient in its
urbanized area has certified or will certify that the Designated Recipients within that
urbanized area together have expended or will expend for transit enhancements as defined at
49 D.S.C. 5302(a)(15) not less than one (1) percent of the amount ofthe total amounts the
Designated Recipients receive each fiscal year under 49 U.S.C. 5307, and (2) either the
Applicant has listed or will list the transit enhancement projects it has carried out with those
funds, or at least one Designated Recipient in the Applicant's urbanized area has listed or
will list the transit enhancement projects carried out with funds authorized under 49 U.S.C.
5307. Ifthe Designated Recipient's quarterly report for the fourth quarter of the preceding
Federal fiscal year includes a list of transit enhancement projects the Designated Recipients
in its urbanizcd area have implemented during that preceding fiscal year using those fimds,
the information in that quarterly report will fulfill the requirements of49 U.S.C.
5307(d)(1)(K)(ii), and thus that quarterly report will be incorporated by reference and made
part of the Designated Recipient's and Applicant's certifications and assurances.
16. CLEAN FUELS GRANT PROGRAM
Each Applicantfor Clean Fuels Grant Program assistance authorized under49 U.S.C. 5308 is
required to provide the following certifications on behalf of itself and its subrecipients. Unless
FTA determines othelwise in writing, the Applicant is ultiniately responsible for compliance with
its certificatiollS and assurances even though a subrecipient may participate In that project.
Consequently, in providing certifications and assurances that involve the compliance of its
prospective sub recipients, the Applicant is strongly encouraged to take the appropriate
measures, including but not limited to obtaining sufficient documentationfrom each
suhrecipient, to ensure the validity of all certifications and assurances the Applicant has made to
FTA. FTA may not mvard Federal ass;stancefol' the Clean Fuels Grant Program until the
Applicant provides these certifications by selecting Category "16. "
As required by 49 U.S.C. 5308(d)(1), which makes the requirements of 49 U.S.C. 5307
applicable to Clean Fuels Grant Program assistance, and 49 V.S.C. 5307(d)(1), the designated
recipient or the recipient serving as the Applicant on behalf of the designated recipient, or the
state or state organization serving as the Applicant on behalf ofthe state, certifies as follows:
A. In compliance with 49 U.S.C. 5307(d)(l)(A), the Applicant has or will have the legal,
financial, and technical capacity to carry out its proposed program of projects, including
safet)' and security aspects of that program;
B. In compliance with 49 U.S.c. 5307(d)(I)(B), the Applicant has or will have satisfactory
continuing control over the use of project equipment and facilities;
C. In compliance with 49 V.S.C. 5307(d)(1)(C), the Applicant wiII adequately maintain the
project equipment and facilities;
D. In compliance with 49 V.S.C. 5307(d)(1)(D), the Applicant will ensure that elderly
individuals, individuals with disabilities, or any person presenting a Medicare card issued to
himself or herselfpursllant to title II or title XVIII ofthe Social Security Act (42 V.S.C. 401
et seq. or 42 U.S.C. 1395 et seq.), will be charged for transportation during non-peak hours
using or involving a facility or equipment of a project financed with Federal assistance
authorized under 49 V.S.C. 5308, not more than fifty (50) percent of the peak hour fare;
E. In compliance with 49 V.S.C. 5307(d)(l)(E), the Applicant, in carrying out a procurement
financed with Federal assistance authorized under 49 V.S.C. 5308: (1) will use competitive
procurement (as defined or approved by the Secretary), (2) will not use exclusionary or
discriminatory specifications in its procurements, (3) will comply with applicable Buy
America laws, and (4) will comply with the general provisions for FTA assistance of
49 V.S.C. 5323 and the third party procurement requirements of 49 V.S.C. 5325;
F. In compliance with 49 D.S.C. 5307(d)(I)(F), the Applicant has complied with or will
comply with the requirements of 49 U.S.C. 5307(c). Specifically, the Applicant: (1) has
made available, or will make available, to the public information on the amounts available
for the Clean Fuels Grant Program, 49 U.S.C. 5308, and the projects it proposes to
undertake; (2) has developed or will develop, in consultation with interested parties
including private transportation providers, the proposed projects to be financed; (3) has
published or will publish a list of the proposed projects in a way that affected citizens.
private transportation providers, and local elected officials have the opportunity to examine
the proposed projects and submit comments on the proposed projects and the performance
of the Applicant; (4) has provided or will provide an oppOltunity for a public hearing to
obtain the views of citizens on the proposed projects; (5) has ensured or will ensure that the
proposed projects provide for the coordination of transportation services assisted under
49 U.S.C. 5336 with transportation services assisted by another Federal Government source;
(6) has considered or will consider the comments and views received, especially those of
private transportation providers, in preparing its final list of projects; and (7) has made or
will make the final list of projects available to the public;
G. In compliance with 49 D.S.C. 5307(d)(I)(G), the Applicant has or will have available and
will provide the amount of funds required by 49 U.S.C. 5308(d)(2) for the local share, and
that those funds will be provided from approved nOIlJFederal sources except as permitted by
Federal law;
H. In compliance with 49 V.S.C. 5307(d)(I)(H), the Applicant will comply with: 49 U.S.C.
5301(a) (requirements for public transportation systems that maximize the safe, secure, and
efficient mobility ofindividllals, minimize environmental impacts, and minimize
transportation-related fuel consumption and reliance on foreign oil); 49 U.S.C. 5301(d)
(special efforts to design and provide public transportation for elderly individuals and
individuals with disabilities); and 49 V.S.C. 5303 through 5306 (planning and private
enterprise requirements);
I. In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant has a locally developed process
to solicit and consider public comment before raising a fare or implementing a major
reduction of public transportation; and
J. The Applicant certifies that it will use only clean fuels to operate any vehicles financed with
Federal assistance provided for the Clean Fuels Grant Program, 49 U.S.C. 5308, and in
particular that it will use only ultra-low sulfur diesel fuel to operate "clean diesel" buses
financed with Federal assistance provided for the Clean Fuels Grant Program, 49 U.S.C.
5308.
17. ELDERLY INDIVIDUALS AND INDIVIDUALS WITH DISABILITIES
FORMULA GRANT PROGRAM AND PILOT PROGRAM
The State or State organization (State) that administers the Elderly Individuals and Individuals
with Disabilities Formula Grant Program and, if applicable, the Elderly Individuals and
Individuals with Disabilities Pilot Program on behalf of itself and its subrecipients is required (0
provide the following certifications on behalf of itself and each subrecipient. Unless FTA
determines otherwise in writing, the Stale itselfls ultimately responsible for compliance with its
certifications and assurances even though a subrecipfent may participate in that project.
Consequently, in providing certifications and assurances that Involve the compliance of its
prospective sub recipients, the State is strongly encouraged to take the appropriate measures,
including but not limited to obtaining sufficient documentation from each subrecipient, to ensure
the validity of all certifications and assurances the State has made 10 FTA. FTA may not Q\vard
Federal assistance for the Elderly Individuals and Individuals with Disabilities Formula
Program or the Elderly Individuals and Individuals with Disabilities Pilot Program until the
State pro....ides these certifications by selecting Category "17. "
A. As required by 49 D.S.C. 5310(d), which makes the requirements of 49 U.S.C. 5307
applicable to the Elderly Individuals and Individuals with Disabilities Formula Grant
Program to the extent that the Federal Transit Administrator or his or her designee
determines appropriate, and 49 V.S.C. 5307(d)(I), the State or State organization serving as
the Applicant (State) and that administers, on behalf of the State, the Elderly Individuals and
Individuals with Disabilities Program authorized by 49 U.S.C. 5310, and, if applicable, the
Elderly Individuals and Individuals with Disabilities Pilot Program authorized by
subsection 30 12(b) of SAFETEA-LD, 49 V.S.C. 5310 note, certifies and ensures on behalf
of itself and its subrecipients as follows:
(1) In compliance with 49 D.S.C. 5307(d)(l)(A), the Applicant has or will have the legal,
financial, and technical capacity to carry out its proposed program of projects, including
safety and security aspects of that program;
(2) In compliance with 49 D.S.C. 5307(d)(l)(B), the Applicant has or witl have satisfactory
continuing control over the use of project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307( d)( l)(C), the Applicant will adequately maintain the
project equipment and facilities;
(4) In compliance with 49 D.S.C. 5307(d)(I)(E), the Applicant, in carrying out a
procurement financed with Federal assistance authorized under 49 U.S.C. 5310 or
subsection 3012(b) of SAFETEA -LU: (1) will use competitive procurement (as defined
or approved by the Secretary), (2) will not use exclusionary or discriminatory
specifications in its procurements, (3) will comply with applicable Buy America laws,
and (4) will comply with the general provisions for FT A assistance of 49 U .S.C. 5323
and the third party procurement requirements of 49 U.S.c. 5325;
(5) In compliance with 49 U.S.C. 5307(d)(1)(G), the Applicant has or will have available
and will provide the amount of funds required by 49 U.S.C. 5310(c), and if applicable
by section 3012b(3) and (4), for the local share, and that those funds will be provided
from approved non-Federal sources except as permitted by Federal law; and
(6) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will comply with: 49 U.S.c.
5301(a) (requirements for public transpOliation systems that maximize the safe, secure,
and efficient mobility of individuals, minimize environmental impacts, and minimize
transportation-related fuel consumption and reliance on foreign oil); 49 U.S.C. 5301(d)
(special efforts to design and provide public transportation for elderly individuals and
individuals with disabilities); and 49 U.S.C. 5303 through 5306 (planning and private
enterprise requirements);
B. The State ensures that each subrecipient either is recognized under State law as a private
nonprofit organization with the legal capability to contract with the State to carry out the
proposed project, or is a public body that has met the statutory requirements to receive
Federal assistance authorized for49 U.S.C. 5310.
C. The private nonprofit subrecipient's application for 49 U.S.C. 5310 assistance contains
information from which the State concludes that the transit service provided or offered to be
provided by existing public or private transit operators is unavailable, insufficient, or
inappropriate to meet the special needs ofthe elderly and persons with disabilities.
D. In compliance with 49 V.S.C. 53 1 O(d) (2) (A) and section 3012(b)(2), the State certifies that,
before it transfers fUllds to a project funded under 49 U.S.C. 5336, that project will has been
or will have been coordinated with private nonprofit providers of services under 49 U.S.C.
5310;
E. In compliance with 49 V.S.C. 5310(d)(2)(C), the State certifies that allocations to
subreclpients offinallcial assistance authorized under 49 D.S.C. 5310 or subsection 3012(b)
ofSAFETEA-LU will be distributed on a fair and equitable basis; and
F. In compliance with 49 V.S.C. 531 O(d)(2)(B) and Subsection 30 12(b )(2) of SAFETEA-LU,
the State certifies that: (1) projects it has selected or will select fOf assistance under that
program were derived from a locally developed, coordinated public transit-human services
transportation plan; and (2) the plan was developed through a process that included
representatives of public, private, and nonprofit transportation and human services providers
and participation by the public.
18. NONURBANlZED AREA FORMULA PROGRAM FOR STATES
The provisions of 49 U.S. C. 5311 establishing the Nonurbanized Area Formula Program for
Slates do not impose, as a pre-condition of award, any explicit certification or assurance
requirements established specifically for Ihat program. Only a State or a State organization
acting as the Recipient on behalf of a Slate (State) may be a direct recipient of this Nonurbanized
Area Formula Program assistance. Separate certifications and assurances have been established
in Category 24 for an Indian tribe that is an Appiicantfor 1)'ibal Transit Program assistance
aulhorized by 49 U.S. C. 53 I I (c) (1).
Before FTA may award Nonurbanized Area Formula Program assistance 10 a State, the
u.s. Secretary of Transportation or his or her designee is required to make the pre-award
determinations required by 49 V.S.C. 531 J. Because certain information is needed before the
Secretary or his or her designee can make those determinations, each State is requested to
provide the following assurances on behalf of it self and its subrecipients. Unless FTA determines
othenvise in writing, the State itself is ultimately responsible for compliance with its
certifications and assurances even though a subrecipient may participate in that project.
Consequently, ill providing certifications and assurances that involve the compliance of its
prospective sub recipients, the State is strongly encouraged to take the appropriate measures,
including but not limited to obtaining Slifftcient documentation from each suhrecipient, to ensure
the validity of all certifications and assurances the State has made to FT A. A State that fails to
provide these assurances on behalf of itself and its subrecipients may be determined ineligible
for a grant of Federal assistance under 49 U.S.c. 5311 if FTA lacks sufficient informationfi'om
which to make those determinations required by Federal laws and regulations governing the
Nonurbanized Area Formula Program authorized by 49 U.S.C. 5311. The State is thus requested
to select Category U(18). ..
The State or State organization serving as the Applicant and that administers, on behalf of the
State (State) the Nonurbanized Area Formula Program for States authorized by 49 U.S.C. 5311,
ensures on behalf of itself and its subredpients as follows:
A. The State has or will have the necessary legal, financial, and managerial capability to apply
for, receive, and disburse Federal assistance authorized for 49 U.S.C. 5311; and to carry out
each project, including the safety and security aspects of that project;
B. The Statc has or will have satisfactory continuing control over the use of project equipment
and facilities;
C. The State cnsures that the projcct equipment and facilities will be adequately maintained;
D. In compliance with 49 U.S.C. 5311 (b) (2)(C) (i), the State's program has provided for a fair
distribution of Fedcml assistance authorized for 49 V.S.C. 5311 within the State, including
Indian rescrvations within the State;
E. In compliance with 49 V.S.C. 53l1(b)(2)(C)(ii), the State's program provides or will
provide the maximum feasible coordination of public transportation service to receive
assistance under 49 U.S.C. 5311 with transportation service assisted by other Federal
sources;
F. The projects in the State's Nonurbanized Area Formula Program are included in the
Statewide Transportation Improvement Program and, to the extent applicable, the projects
are included in a metropolitan Transportation Improvement Program;
G. The State has or will have available and will provide the amount of funds required by
49 V.S.C. 531 I (g) for the local share, and that those funds will be provided from approved
non-Federal sources except as pennitted by Federal law; and
H. In compliance with 49 U.S.C. 5311(f), the State will expend not less than fifteen (I5)
percent of its Federal assistance authorized under 49 V.S.C. 5311 to develop and support
intercity bus transportation within the State, unless the chief executive officer of the State,
or his or her designee, after consultation with affected intercity bus service providers,
certifies to the Federal Transit Administrator, apart from these certifications and assurances
herein, that the intercity bus service needs of the State are being adequately met.
19. JOB ACCESS AND REVERSE COMMUTE FORMULA GRANT PROGRAM
Each Applicant for Job Access and Reverse Commute (JARC) Formula Grant Program
assistance authorized under 49 US. C. 53 J 6 is required to provide the following certifications on
behalf o/itself and any subreciplent that may be implementing its project. Unless FTA
determines othenvise in writing. the Applicant itself Is ultimately responsible for compliance
wUh its certifications and assurances even though a subrecipient may participate in that project.
Consequently, in providing certifications and assurances that involve the compliance of its
prospective subrecipients. the Applicant is strongly encouraged to take the appropriate
measures, including but not limited to obtaining sufficient documentatlonfrom each
subrecipient, to ensure the validity of all certifications and assurances the Applicant has made to
FTA. FTA may not award Federal assistance for the JARC Formula Grant Program until the
Applicant provides these certifications by selecting Category "19. "
A. As required by 49 U.S.C. 5316(f)(l), which makes the requirements of49 D.S.C. 5307
applicable to Job Access and Reverse Commute (lARC) formula grants, and 49 U.S.C.
5307(d)(l), the Applicant for JARC Formula Program assistance authorized under
49 U.S.C. 5316, certifies on behalf of itself and its subrecipients, if any, as follows:
(1) In compliance with 49 V.S.C. 5307(d)(l)(A), the Applicant has or will have the legal,
financial, and technical capacity to carry out its proposed program of projects, including
safety and security aspects of that program;
(2) In compliance with 49 D.S.C. 5307(d)(I}(B), the Applicant has or will have satisfactory
continuing control over the use of project equipment and facilities;
(3) In compliance with 49 D.S.C. 5307(d)(J)(C), the Applicant will adequately maintain the
project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(I)(D), the Applicant will ensure that elderly
individuals and individuals with disabilities, or any person presenting a Medicare card
issued to himself or herself pursuant to title II or title XVIII of the Social Security Act
(42 U.S.C. 401 et seq. or 42 D.S.C. 1395 et seq.), will be charged for transportation
during non-peak hours using or involving a facility or equipment of a project financed
with Federal assistance authorized under 49 D.S.C. 5316 not more than fifty (50)
percent of the peak hour fare;
(5) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in carrying out a
procurement fiminced with Federal assistance authorized under 49 U.S.C. 5316: (1) will
use competitive procurement (as defined or approved by the Secretary), (2) will not use
exclusionary or discriminatory specifications in its procurements, (3) will comply with
. applicable Buy America laws, and (4) will comply with the general provisions for
FTA assistance of 49 U.S.C. 5323 and the third party procurement requirements of
49 U.S.C. 5325;
(6) In compliance with 49 D.S.C. 5316(t)(1) and 49 D.S.C. 5307(d)(I)(F), the Applicant
certifies that (1) with respect to financial assistance authorized under 49 U.S.C.
5317(c)(1)(A), it will conduct in cooperation with the appropriate MPO an areawide
solicitation for applications, and make awards on a competitive basis and (2) with
respect to financial assistance authorized under 49 U.S.C. 5316, it will conduct a
statewide solicitation for applications, and make awards on a competitive basis; and that
these activities will be carried out in a manner that complies with or will comply with
49 U.S.C. 5307(c);
(7) In compliance with 49 D.S.C. 5307(d)(l )(G), the Applicant has or will have available
and will provide the amount of funds required by 49 U.S.C. 5316(g) for the local share,
and that those funds will be provided from approved non-Federal sources except as
pennitted by Federal law;
(8) In compliance with 49 V.S.C. 5307(d)(1)(H), the Applicant will comply with: 49 U.S.C.
5301(a) (requirements for public transportation systems that maximize the safe, secure,
and efficient mobility ofindividuals, minimize environmental impacts, and minimize
transportation-related fuel consumption and reliance on foreign oil); 49 U.S.C. 5301(d)
(special efforts to design and provide public transportation for elderly individuals and
individuals with disabilities); and 49 U.S.C. 5303 through 5306 (planning and private
enterprise requirements); and
(9) In compliance with 49 D.S.C. 5307(d)(1)(I), the Applicant has a locally developed
process to solicit and consider public comment before raising a fare or implementing a
major reduction of public transportation;
B. In compliance with 49 V.S.C. 5316(d), the Applicant certifies tbat (I) with respect to
financial assistance authorized under 49 U.S.C. 5316(c)(I)(A), it will conduct in
cooperation with the appropriate MPO an areawide solicitation for applications, and make
awards 011 a competitive basis and (2) with respect to financial assistance authorized under
49 D.S.C. 5316(c)(1)(B) or 49 U.S.C. 5316(c)(l)(C), it will conduct a statewide solicitation
for applications, and make awards on a competitive basis;
C. In compliance with 49 D.S.C. 5316(f)(2), the Applicant certifies that any allocations to
subrecipients offillancial assistance authorized under 49 D.S.C. 5316 will be distributed on
a fair and equitable basis;
D. In compliance with 49 U.S,C. 5316(g)(2), the Applicant certifies that, before it transfers
funds to a project funded under 49 V.S.C. 5336, that project will has been or will have been
coordinated with private nonprofit providers of services;
E In compliance with 49 D.S.C. 5316(g)(3), the Applicant certifies that: (1) the projects it has
selected or will select for assistance under that program were derived from a locally
developed, coordinated public transit~human services transportation plan; and (2) the plan
was developed through a process that included representatives of public, private, and
nonprofit transportation and human services providers and participation by the public; and
F. In compliance with 49 D.S.C. 5316(c)(3), before the Applicant uses funding apportioned
under 49 U.S.C. 5316(c)(1)(B) or (C) for projects serving an area other than that specified in
49 U.S.C. 5316(2)(B) or (C), the Applicant certifies that the chief executive officer of the
State, or his or her designee will have certified to the Federal Transit Administrator, apart
from these certifications herein, that all ofthe objectives of 49 U.S.C. 5316 are being met in
the area from which such funding would be derived.
20. NEW FREEDOM PROGRAM
Each Applicantfor New Freedom Program assistance authorized under 49 U.S.c. 5317 must
provide the following certifications on behalf of itself and any subrecipient that may be
implementing its project. Unless FTA determines otherwise in writing, the Applicant itself is
ultimately responsible for compliance with its certifications and assurances even though a
subrecipient may participate in that project. Consequently, in providing certifications and
assurances that involve the compliance of its prospective subrecipients, the Applicant is strongly
encouraged to take the appropriate measures, including but not limited to obtaining sufficient
documentation from each subrecipient, to ensure the validity of all certifications and assurances
the Applicant has made to FTA. FTA may not mvard Federal assistancefor the New Freedom
Program until the Applicant provides these certifications by selecting Categ01Y "20. If
A. As required by 49 V.S.C. 5317(e)(l), which makes tbe requirements of49 V.S.C. 5310
applicable to New Freedom grants to the extent the Federal Transit Administrator or his or
her designee determines appropriate, by 49 U.S.C. 53) O(d)(l), which makes the
requirements of 49 U.S.C. 5307 applicable to Elderly Individuals and Individuals with
Disabilities Formula grants to the extent the Federal Transit Administrator or his or her
designee determines appropriate, and by 49 V.S.C. 5307(d)(I), the Applicant for New
Freedom Program assistance authorized under 49 V.S.C. 5317 certifies and ensures on
behalf of itself and its subrecipients, if any, as follows:
(I) III compliance with 49 U.S.C. 5307(d)(l)(A), the Applicant has or will bave the legal,
financial, and technical capacity to carry out its proposcd program of projects, [ncluding
safety and sccurity aspects of that program;
(2) In compliance with 49 U.S.C. 5307(d)(I)(B), the Applicant has or will have satisfactory
continuing control over the use of project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(I)(C), the Applicant will adequately maintain the
project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in carrying out a
procurement financed with Federal assistance authorized under 49 V.S.C. 5317: (1) will
use competitive procurement (as defined or approved by the Secretary), (2) will not use
exclusionary or discriminatory specifications in its procmements, (3) will comply with
applicable Buy America laws, and (4) will comply with the general provisions for FTA
assistance of 49 U.S.C. 5323 and the third party procurement requirements of 49 U.S.C.
5325;
(5) In compliance with 49 U.S.C. 5307(d)(1)(G), the Applicant has or will have available
and will provide the amount of funds required by 49 U .S.C. 5317(g), and if applicable
by section 30 12b(3) and (4), for the local share, and that those funds will be provided
from approved non-Federal sources except as pennitted by Fcderallaw; and
(6) In compliance with 49 U.S.C. 5307(d)(I)(H), the Applicant will comply with: 49 U.S.C.
5301(a) (requirements for public transportation systems that maximize the safe, secure,
and efficient mobility of individuals, minimize environmental impacts, and minimize
transportation~related fuel consumption and reliance on foreign oil); 49 V.S.C. 5301(d)
(special efforts to design and provide public transportation for elderly individuals and
individuals with disabilities); and 49 U.S.C. 5303 through 5306 (planning and private
enterprise requirements);
B. In compliance with 49 U.S.C. 5317(d), the Applicant certifies that (1) with respect to
financial assistance authorized under 49 V.S.C. 53l7(c)(I)(A), it will conduct in
cooperation with the appropriate MPO an areawide solicitation for applications, and make
awards on a competitive basis and (2) with respect to financial assistance authorized under
49 U.S.C. S317(c)(I)(B) or 49 U.S.C. 5317(c)(1)(C), it will conduct a statewide solicitation
for applications, and make awards on a competitive basis;
C. In compliance with 49 U.s.C. 5317(f)(2), the Applicant certifies that, before it transfers
funds to a project funded under 49 U.S.C. 5336, that project will has been or will have been
coordinated with private nonprofit providers of services;
D. In compliance with 49 D.S.C. 5317(e)(2), the Applicant certifies that any allocations to
subrecipients of financial assistance authorized under 49 D.S.C. 5317 will be distributed on
a fair and equitable basis; and
E. In compliance with 49 D.S.C. 5317(f)(3), the Applicant certifies that: (1) projects it has
selected or will select for assistance under that program were derived from a locally
developed, coordinated public transit-human services transportation plan; alid (2) the plan
was developed through a process that included representatives of public, private, and
nonprofit transportation and human services providers and participation by the public.
21. ALTERNATIVE TRANSPORTATION IN
PARKS AND PUBLIC LANDS PROGRAM
Each State, tribal area, 01' local government authority thaf is an Applicant for Alternative
Transportation in Parks and Public Lands Program assistance (Applicant) authorized by
49 U.S.c. 5320, is required to provide thefollowing certifications. FTA may not mvard
assistance for the Alternative Transportation in Parks and Public Lands Program assistance to
the Applicant until the Applicant pravides these certifications by selecting Category "21. "
A. As required by 49 U .S.C. 5320(i), which makes the requirements of 49 U.S.C. 5307
applicable to the Alternative Transportation in Parks and Public Lands Program assistance
to the extent the Federal Transit Administrator or his or her designee determines
appropriate, and 49 U.S.C. 5307(d)(1), the Applicant certifies as follows:
(1) In compliance with 49 D.S.C. 5307(d)(1)(A), the Applicant has orwilI have the legal,
financial, and technical capacity to carry out its proposed project, including safety and
security aspects of that project;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has 01' will have satisfactory
continuing control over the use of project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
project equipment and facilities;
(4) In compliance with 49 D.S.C. 5307(d)(1)(E) in carrying out a procurement financed
with Federal assistance authorized under 49 V.S.C. 5320, the Applicant: (1) will use
competitive procurement (as defined or approved by the Secretary), (2) will not use
exclusionary or discriminatory specifications in its procurements, (3) will comply with
applicable Buy America laws, and (4) will comply with the general provisions for ITA
assistance of 49 U.S.C. 5323 and the third party procurement requircmentsof 49 U.S.C.
5325;
(5) In compliance with 49 U.S.C. 5307(d)(1)(F) and with 49 D.S.C.5320(e)(2)(C), the
Applicant has complied with or will comply with the requirements of 49 D.S.C. 5307(c).
Specifically, it: (1) has made available, or will make available, to the public information
on the amounts available for the Alternative Transportatior in Parks and Public Lands
Program, 49 U.s.C. 5320, and the projects it proposes to undertake; (2) has developed or
will develop, in consultation with interested parties including private transportation
providers, projects to be financed; (3) has published or will publish a list of projects in a
way that affected citizens, private transportation providers, and local elected officials
have the opportunity to examine the proposed projects and submit comments on the
proposed projects and the performance of the Applicant; (4) has provided or will provide
an opportunity for a public hearing to obtain the views of citizens on the proposed
projects; (5) has ensured or will ensure that the proposed projects provide for the
coordination of transportation services assisted under 49 U.S.C. 5336 with transportation
services assisted by another Federal Government source; (6) has considered or will
consider the comments and views received, especially those of private transportation
providers, in preparing its final list of projects; and (7) has made or will make the final
list of projects available to the public;
(6) In compliance with 49 V.S.C. 5307(d)(1)(H), the Applicant will comply with: 49 V.S.C.
5301(a) (requirements for public transportation systems that max.imize the safe, secure,
and efficient mobility of individuals, minimize environmental impacts, and minimize
transpoltation-related fuel consumption and reliance on foreign oil); 49 V.S.C. 5301(d)
(special efforts to design and provide public transportation for elderly individuals and
individuals with disabilities); and 49 V.S.C. 5303 through 5306 (planning and private
enterprise requirements).
(7) In compliance with 49 D.S.C. 5307(d)(1)(I), the Applicant has a locally developed
process to solicit and consider public comment before raising a fare or implementing a
major reduction of public transportation.
B. In compliance with 49 D.S.C.5320(e)(2)(A), (B), and (0), the Applicant ensures that it will:
(I) Comply with the metropolitan planning provisions of 49 V.S.C. 5303;
(2) Comply with the statewide planning provisions of 49 V.S.C. 5304; and
(3) Consult with the appropriate Federal land management agency during the planning
process.
22. TRIBAL TRANSIT PROGRAM
Each Applicantfor Tribal Transit Program assistance must provide all certifications and
assurance set forth below. Except to the extent that FTA determines otherwise in writing, FTA
may not award any Federal assistance under the Tribal Transit Progral1luntil the Applicant
provides these certifications and assurances by selecting Categ01Y "22. ..
In accordance with 49 D.S.C. 5311(c)(1) that authorizes the SecretalY of Transportation to
establish terms and conditions for direct grants to Indian tribal governments, the Applicant
ccl1ifies and ensures as follows:
A. The Applicant ensures that:
(1) It has or will have the necessary legal, financial, and managerial capability to apply for,
receive, and disburse Federal assistance authorized for 49 U.S.C. 5311; and to carl)' out0each project, including the safety and security a.spects ofthat project;
(2) It has or will have satisfactory continuing control over the use of project equipment and
facilities;
(3) The project equipment and facilities will be adequately maintained; and
(4) Its project will achieve maximum feasible coordination with transportation service
assisted by other Federal sources.
B. In accordance with 49 CFR 18.36(g)(3)(ii), the Applicant certifies that its procurement
system will comply with the requirements of 49 CFR 18.36, or will infonn FT A promptly
that its procurement system does not comply with 49 CFR 18.36.
C. To the extent applicable to the Applicant or its Project, the Applicant celtifies that it will
comply with the certifications, assurances, and agreements in Category 08 (Bus Testing),
Category 09 (Charter Bus Agreement), Category 10 (School Transportation Agreement),
Category 11 (Demand Responsive Service), Category 12 (Alcohol Misuse and Prohibited
Drug Use), and Category 14 (National Intelligent Transportation Systems Architecture and
Standards) of this document.
D. If its application exceeds $100,000, the Applicant agrees to comply with the certification in
Category 02 (Lobbying) of this document.
23. INFRASTRUCTURE FINANCE PROJECTS
Each Applicant for Infrastructure Finance assistance authorized under 23 U.S. C. chapter 6, is
required to provide the following certifications. FTA may not award lnfi'astmcwre Finance
assistance to the Applicant until the Applicant provides these certifications by selecting
CalegOlY "23. "
A. As required by 49 V.S.C. 5323(0), which makes the requirements of 49 U.S.C. 5307
applicable to Applicants seeking Infrastructure Finance assistance authodzed under
23 U.S.C. chapter 6, and by 49 V.S.C. 5307(d)(1), the Applicnnt certifies as follows:
(1) In compliance with 49 V.S.C. 5307(d)(1)(A), the Applicant has or will have the legal,
financial, and technical capacity to carry out its proposed program of projects, including
safety and security aspects of that program;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory
continuing control over the use of project equipment and facilities;
(3) In compliance with 49 D.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
project equipment and facilities;
(4) In compliance with 49 U.S.C. 5301(d)(l)(D), the Applicant will ensure that elderly
individuals and individuals with disabilities, or any person presenting a Medicare card
issued to himself or herself pursuant to title II or title XVIII of the Social Security Act
(42 U.S.C. 401 et seq. or 42 D.S.C. 1395 et seq.), will be charged for transportation
during non-peak hours using or involving a facility or equipment of a project financed
with Federal assistance authorized under 23 U.S.C. chapter 6 not more than fifty (50)
percent of the peak hour fare;
(5) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in carrying out a
procurement financed with Federal assistance authorized under 23 U.S.C. chapter 6:
(1) will use competitive procurement (as defined or approved by the Secretary), (2) will
not use exclusionary or discriminatory specifications in its procurements, (3) will
comply with applicable Buy America laws, and (4) will comply with the general
provisions for FTA assistance of49 U.S.C. 5323 and the third party procurement
requirements of 49 V.S.C. 5325;
(6) In compliance with 49 U.S.C. 5307(d)(1)(F), the Applicant has complied with or will
comply with the requirements of 49 U.S.C. 5307(c). Specifically, it: (1) has made
available, or will make available, to the public information on the amounts available for
Infrastructure Finance assistance, 23 U.S.C. chapter 6, and the projects it proposes to
undertake; (2) has developed or will develop, in consultation with interested parties
including private transportation providers, the proposed projects to be financed; (3) has
published or will publish a list of projects in a way that affected citizens, private
transpOliation providers, and local elected officials have the opportunity to examine the
proposed projects and submit comments on the proposed projects and the pcrformance
of the Applicant; (4) has provided or will provide an opportunity for a public hearing to
obtain the views of citizens on the proposed projects; (5) has ensured or will ensure that
the proposed projects provide for the coordination of transportation services assisted
under 49 U.S.C. 5336 with transportation services assisted by another Federal
Government source; (6) has considered or will consider the comments and views
received, especially those of private transportation providers, in preparing its final list of
projects; and (7) has made or will make the final list of projects available to the publiCi
(7) In compliance with 49 U.S.C. 5307(d)(I)(G), the Applicant has or will have available
and will provide the amount of funds required for the local share, and that those Rmds
will be provided from approved non-Federal sources except as pennitted by Federal law;
(8) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will comply with: 49 U.S.C.
5301(a) (requirements for public transportation systems that maximize the safe, secure,
and efficient mobility of individuals, minimize environmental impacts, and minimize
transportation-related 11.1cl consumption and reliance on foreign oil); 49 U.S.C. 5301(d)
(special efforts to design and provide public transportation for elderly individuals and
individuals with disabilities); and 49 U.S.C. 5303 through 5306 (planning and private
enterprise requirements);
(9) In compliance with 49 V.S.C. 5307(d)(l)(1), the Applicant has a locally developed
process to solicit and consider public comment before raising a fare or implementing a
major reductioll of public transportation;
(10) To the extent that the Applicant will be using funds authorized under 49 U.S.C. 5307
for the project, in compliance with 49 U.S.C. 5307(d)(1)(J): each fiscal year, the
Applicant will spend at least one (1) percent of those funds authorized under 49 U.S.C.
5307 for public transportation security projects (this includes only capital projects in the
case of a Applicant serving an urbanized area with a population of200,000 or more),
unless the Applicant has certified to FTA that such expenditures are not necessary.
Public transportation security projects include increased lighting in or adjacent to a
public ttanspol1ation system (including bus stops, subway stations, parking lots, and
garages), increased camera surveillance of an area in or adjacent to that system,
emergency telephone line or lines to contact law enforcement or security personnel in an
area in or adjacent to that system, and any other project intended to increase the security
and safety of an existing or planned public transportation; and
(11) To the extent that the Applicant will be using funds authorized under 49 U.S.C. 5307
for the project. in compliance with 49 U.S.C. 5309(d)(I)(K}: (1) an Applicant that serves
an urbanized area with a population of at least 200,000 will expend not less than one
(1) percent of the amount it receives each fiscal year under 49 U.S.C. 5307 for transit
enhancements, as defined at 49 D.S.C. 5302(a), and (2) if it has received transit
enhancement funds authorized by 49 U.S.C. 5307(k)(1), its quarterly report for the
fourth quarter of the preceding Federal fiscal year includes a list of the projects it has
implemented during that fiscal year using those funds, and that report is incorporated by
reference and made part of its certifications and assurances.
B. As required by 49 D.S.C. 5323(0), which makes the requirements of 49 U.S.C. 5309
applicable to Applicants seeking Infrastructure Finance assistance authorized under
23 U.S.C. chapter 6, and by 49 U.S.C. 5309(g)(2)(B)(iii), 5309(g)(3)(B)(iii), and
5309(i)(2)(C), the Applicant certifies that it will not seek reimbursement for interest and
other financing costs incurred in connection with the Project unless it is eligible to receive
Federal assistance for those expenses and its records demonstrate that it has used reasonable
diligence in seeking the most favorable financing terms underlying those costs, to the extent
FTA may require.
24. DEPOSITS OF FEDERAL FINANCIAL ASSISTANCE
TO STATE INFRASTRUCTURE BANKS
The State organization that administers the Slate Infrast1'ucture Bank (SIB) Program on behalf of
a State (State) and that is also an Applicantfor Federal assistance authorized under 49 U.S.C.
chapter 53 that it intends to deposit in its SIB is requested to provide the following assurances on
behalf ofitse/f. its SIB. and each subrecipient. Unless FTA determines otherwise in writing, the
State itselfis ultimately responsible for compliance with its certifications and assurances even
though the SIB and a subrecipient may participate in that project. Consequently, in providing
certifications and assurances that involve the compUance of its SIB and prospective
subrecipients, the State is strongly encouraged to take the appropriate measures, including but
not limited to obtaining sufficient documentation from the SIB and each subrecipient, to ensure
the valldityofall certifications and assurances the State has made to FTA. FTA may not award
Federal assistance for the SIB Program to the State until the State provides these assurances by
selecting Category "24. "
The State organization, serving as the Applicant (State) for Federal assistance for its State
Infrastructure Bank (SIB) Program authorized by section 1602 of SAt<~ 1 ~A~LU, now codified
at 23 V.S.C. 610, or by section 1511 of TEA-21 , 23 U.S.C. 181 note, or by section 350 ofthe
National Highway System Designation Act of 1995, as amended, 23 U .S.C. 181 note, agrees and
ensures the agreement of its SIB and the agreement of each recipient of Federal assistance
derived from the SIB within the State (subrecipient) that each public transportation project
financed with Federal assistance derived from SIB will be administered in accordance with:
A. Applicable provisions of section 1602 of SAFETEA-LU, now codified at 23 U.S.C. 610, or
by section 1511 ofTEA-21, 23 V.s.C. 181 note, or by section 350 of the National Highway
System Designation Act of 1995, as amended, 23 U.S.C. 181;
B. The provisions of the FHWA, FRA, and FTA or the FHWA and FTA cooperative
agreement with the State to establish the State's SIB Program; and
C. The provisions of the FfA grant agreement with the State that provides Federal assistance
for the SIB, except that any provision of the Federal Transit Administration Master
Agreement incorporated by reference into that grant agreement will not apply ifit conflicts
with any provision of section 1602 ofSAFETEA-LU, now codified at 23 V.S.C. 610. or
section 1511 ofTEA-21, 23 U.S.C. 181 note, or section 350 of the National Highway
System Designation Act of 1995, as amended, 23 V.S.C. 181 note, or Federal guidance
pertaining to the sm Program, the provisions ofthe cooperative agreement establishing the
SIB Program within the State, or the provisions ofthe FT A grant agreement.
D. The requirements applicable to projects of 49 V.S.C. 5307 and 5309, as required by
49 V.S.C. 5323(0); and
E. The provisions of any applicable Federal guidance that may be issued as it may be amended
from time-to-time, unless Ff A has provided written approval of an alternative procedure or
course of action.
##
Selection and Signature Pagers} follow.
FEDERAL FISCAL YEAR 2008 CERTIFICATIONS AND ASSURANCES FOR
FEDERAL TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS
(Signature page allema/lve to providing Certifications and Assurances in TEAM-Web)
Name of Applicant:
The Applicant agJ'ccs to comply with applicable provisions of Categories 01 - 24.
OR
The Applicant agrees to comply with applicable provisions of the Catcgories it has selccted:
Category Descrintioll
01. Assurances Required For Each Applicant.
02. Lobbying.
03. Procurement Compliance.
04. Protectiolls for Private Providers of Public Transportation.
05. PublieHearing.
06. Acquisition of Rolling Stock for Use in Revenue SelVice.
07. Acquisition of Capital Assets by Lease.
08. Bus Testing.
09. Charter Service Agreement.
10. School Transportation Agreement.
II. Demand Responsive SelVice.
12. Alcohol Misuse and Prohibited Dmg Use.
13. Interest and Other Financing Costs.
14. Intelligent Transportation Systems.
15. Urbanized Area Fonnula Program.
16. Clean Fuels 9rant Program.
17. Elderly Individuals and Individuals with Disabilities Formula Program and Pilot Program.
18. Nonurbanized Area Fonnula Program for States.
19. Job Access and Reverse Commute Program.
20. New Freedom Program.
21. Alternative Transportation in Parks and Public Lands Program.
22. Tribal Transit Program.
23. Infrastructure Finance Projects.
24. Deposits of federal Financial Assistance 10 a State Infrastructure Banks.
FEDERAL FISCAL YEAR 2008 FfA CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE
(Required of all Applicantsfor ITA assistance and ail FTA Grantees wit" an active capital or 10l"111111a project)
AFFIRMATION OF APPLICANT
Nal!'e of Applicant:
Name and Relationship of Authorized Representative:
BY SIGNING BELOW, on behalf oftlle Applicant, I declare that the Applicant has duly authorized me to make
these certifications and assurances and bind the Applicant's compliance. Thus, the Applicant agrees to comply with
all Federal statutes, regulations, executive orders, and directives, and with the certifications and assurances as
indicated on the foregoing page applicable to each application it makes to the Federal Transit Administration (FTA)
in Federal Fiscal Year 2008.
FTA intends that the certifications and assurances the Applicant selects on the other side of this document, as
representative of the certifications and assurances in this document, should apply, as provided, to each project for
which the Applicant seeks now, or may later, seek FT A assistance during Federal Fiscal Year 2008.
The Applicant affirms the truthfulness and accuracy oCthe certifications and assurances it has made in the
statements submitted herein with this document and any other submission made to ITA, and acknowledges that the
Program Fraud Civil Remedies Act of 1986, 31 U.S.C. ~80I et seq., and implementing U.S. DOT regulations,
"Program Fraud Civil Remedies," 49 CPR part 31 apply to any certification, assurance or submission made to FT A.
The criminal fraud provisions of 18 U.S.C. 1001 apply to any certification, assurance, or submission made in
connection with a Federal public transportation program authorized in 49 D.S.C. chapter 53 or any other statute
In signing this document, I declare under penalties of perjury that the foregoing certifications and assurances, and
any other statements made by me on behalf of the Applicant are true and correct.
Signalllre
Date:
Name
Aulhorized Representative of Applicant
AFFIRMATION OF APPLICANT'S ATTORNEY
For (Name of Applicant):
As the undersigned Attorney for the above named Applicant, I hereby affion to the Applicant that it has authority
under State, local, or tribal goverrunent law, as applicable, to make and comply with the certifications and
assurances as indicated on the foregoing pages. I further affirm that, in my opinion, the certifications and assurances
have been legally made and constitute legal and binding obligations on the Applicant. .
I further affirm to the Applicant that, to the best of my knowledge, there Is no legislation or litigation pending or
Imminent thalmight adversely affect the validity of these certifications and assurances, or of tile perfonnance ofthe
project.
Signature
Date:
Name
Attorney for Applicant
Bach Applicant for ITA financial assistance and each fT A Grantee with an acllve <:apital or fornlula pcoject must proyjde an Affirmation of
Applicant's Attorney pertaining to the Applicant's legal capacity. The Applicant may enter its signature in lieu oftbe Attomey's 5ignaturc.
provided tile Applicant has on file this Affinnalion. signed by the at10mcy and dated this Federal fiscal year.
l::XHIBII G
~ Metropolitan Council
Subrecipient
Contract Initiation Memo
Section 1 - Pro. ect Information -to be completed by the SUbreclpient Project Manager
Subrecipient
Project Manager:
Phone:
Project Title:
Proposed ServIces:
Period of
Performance:
Date:
Me Project #:
Estimated Cost:
From
To:
Subcontracting:
Indicate whether or not there as a reasonable Yas No
opportunity for subcontracting of this procurement 0 0
Subreclplent Project Manager - I have accurately completed the information in Sections 1,2, and 3 of
tbis SCIM. If this will be a federally funded purchase, I have completed and filed an Independent Cost Estimate.
Date:
Signature
Council Project Manager Approval
I have reviewed the infonnation in Sections 1,2, and 3 and approve the initiation of this contract.
Date:
Signature
Title
Se~ti 00'2. -Fu n.'(:ii rig. - JObeCOIlJPIf~te~!lY tl1~C()undn'?rojedt:Man~gei:CheG.kon9 'box~niy:'
o This contract will be FTA-assisted (complete the Grant Approval section, below)
o This contract will be USDOT-assisted by an agency other than FTA (i.e. FAA or FHW A)
o This contract will be Minnesota PF A-eligible
o This contract will NOT be assisted with grant funds from any source
o This contract has special funding:
Subreciplent Project Identification within the Subrecipient Accounting system and approved
Project Budget budget
Met Council
Project Budget
Account
Fund
Org
Program
Subclass
Project
COmnients:
Grant Approval -:-
to be completed for all FTA-asslsted contracts
Federal Grant Number:
Coundl Grants ManaQer SfQnalure
Date
Funding Approval- Subrecipient financial officer.
Signature Date
Title (To be signed by appropriate aul/lorized Subretipient stafT)
4/10/08
Section 3 - Solicitation and Selection Process - to be completed by Subreciplerit Project
Manager
1. Type(s) of contractor and subcontractors involved in this contract: (Please list by specialty, skill or industry)
2. Proposed means of publicizing the availability oflhe contract
o State Register
o Construction Bulletin
o Trade Publication(s): (Please list)
o Community Organization(s):
o Other: (Please Explain)
3. Proposed process to select contractor
o Sole Source 0 Other: (Please explain)
o Sealed bids
o Council staff
evaluation committee
S~~tio ,14 L. DiyersitY:- tC)becompleted by'cour1clidffice:hfDiver~ilianciEq~~1I6pport(jiiity. staff
o I wish to review the solicitation documents prepared for this procurement prior to advertisement and
distribution
o I wish to be involved in the selection process for this procurement
The following diversity business subcontracting goal(s) or preference apply to this contract:
o DBE Goal of % 0 MlWBE Goal of % 0 TOB Goal of %
o MBE Ooal of % 0 SBRA Goal of %
o WBE Ooal of _ % 0 TOB Preference of %
Reviewed by:
'$~Btio'n'5';~.AuthoritatiQn' "
, '" ,. ... By Sl.IbreclpientinaccoJ'dancewlthits'9fgsnizationalstruclure.
I authorize the initiation ofthe contracting process for this procurement.
Date:
Date:
Signature of Authorized Signer
Title of Authorized Signer
Distribution :... exe~llted original filed in Subreceipient Jecord~:copies provll;led to:
Council Project Manager 0 Council Office of Diversity 0 Council Grants Manager 0
Council Procurement Manager 0
4110/08
eXHIBIT H
METROPOLITAN COUNCIL
DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
SUBRECIPIENT REQUIREMENTS
1.0 POLICY STATEMENT
2.0 OBJECTIVES
3.0 DBE PROGRAM DEFINITIONS
4.0 RESPONSIBILITY FOR DBE PROGRAM IMPLEMENTATION
4.1 Duties of The Metropolitan Council DBE liaison Officer
4.2 Duties of the Subrecipient
5.0 DBE DIRECTORY
6.0 DETERMINING, MEETING AND COUNTING OVERALL ANNUAL DBE GOALS FOR
FEDERALLY-ASSISTED CONTRACTS
7.0 RECORD KEEPING, MONITORING AND ENFORCEMENT
7.1 Bidders List
7.2 Monitoring Payments to DBEs
7.3 Reporting to the Metropolitan Council
METROPOLITA'N COUNCIL AND SUBRECIPIENT
DISADVANTAGED BUSINESS ENTERPRISE (DBE)
PROGRAM PROCESS
1.0 POLICY STATEMENT
In accordance with 49 CFR sections 26.3. 26.7, 26.21, and 26.23, Subreciplent hereby affirms
the Metropolitan Council's policy to utilize businesses owned and controlled by socially and
economically disadvantaged individuals in the procurement of goods and services, and the
award of contracts. Sub recipient will, in accordance with authority granted by DOT regulations,
other federal, state and local laws and ordinances, act affirmatively to create a "level playing
field" for Disadvantaged Business Enterprises (DBEs) to achieve the goal of equal opportunity.
Subrecipient recognizes that creating a "level playing field" for DBEs can only be achieved
through the energetic implementation of the Metropolitan Councils plan and the commitment of
all SUbrecipient's employees, committees and contractors to the goals of equal opportunity.
This policy statement will be circulated throughout Subreclpient's organization, and to the OBE
and non-OBE business communities that perform work on these DOT-assisted contracts.
In addition, Subrecipient will not:
1. Exclude any person from participation In, deny any person the benefits of, or otherwise
discriminate against anyone in connection with the award and performance of any
contract covered by this program on the basis of race, color, sex, or national origin.
2. In administering the DBE program, directly or through contractual or other arrangements.
use criteria or methods of administration that have the effect of defeating or substantially
impairing the accomplishment of the objectives of the program with respect to individuals
of a particular race,color, sex, or national origIn.
2.0 OBJECTIVES
In accordance with 49 CFR section 26.1, the objectives of the Metropolitan Council's DBE
program are:
1. To ensure nondiscrimination In the award and administration of DOT-assisted contracts
in the Metropolitan Council's financial assistance programs.
2. To create a level playing field on which DBEs can compete fairly for DOT-assisted
contracts.
3. To ensure that the Metropolitan Council's DBE program is narrowly tailored in
accordance with applicable law.
4. To ensure that only firms that fully meet program eligibility standards are permitted to
participate as DBEs.
2
5. To remove barriers to the participation of DBEs in DOT~assisted contracts.
6. To assist in the development of firms that can compete successfully in Uw marketplace
outside the DBE program.
7. To utilize the flexibility accorded by Federal financial assistance to establish and provide
opportunities for DBEs.
These objectives are passed on to Subrecipient. Subrecipient accepts these objectives as their
own.
3.0 PROGRAM DEFINITIONS
In accordance with 49 CFR section 26.5, the following definitions apply to the Metropolitan
Council's DBE pass through program.
AFFIRMATIVE ACTION Specific and positive activities undertaken by the Metropolitan Council
and its contractors to eliminate discrimination and its effects, to ensure nondiscriminatory results
and practices in the future, and to involve disadvantaged business enterprises fully in contracts
and programs funded by the DOT.
ALASKA NATIVE A citizen of the United States who is a person of one-fourth degree or more
Alaskan Indian (including Tsimshian Indians not enrolled in the Metlaktla Indian Community),
Eskimo, or Aleut blood, or a combination of those bloodlines. The term Includes, in the absence
of proof of a minimum blood quantum, any citizen whom a Native village or Native group
regards as an Alaska Native if their father or mother is regarded as an Alaska Native.
ALASKA NATIVE CORPORATION Any Regional Corporation, Village Corporation, Urban
Corporation, or Group Corporation organized under the laws of the State of Alaska in
accordance with the Alaska Native Claims Settlement Act, as amended (43 U.S.C. 1601, et
seq.).
APPLICANT One who submits an application, request, or plan to be approved by the MnUCP
as a condition of eligibility for DOT financial assistance.
COMMERCIALLY USEFUL FUNCTION Work pertormed by a DBE firm in a particular
transaction that in light of industry practices and other relevant considerations, has a necessary
and useful role in the transaction, i.e., the firm's role is not a superfluous step added in an
attempt to obtain credit toward goals. If, in the MnUCP's judgement, the firm (even though an
eligible DBE) does not pertorm a commercially useful function in the transaction, no credit
toward the goal may be awarded.
COMPLIANCE The condition existing when a recipient Of contractor has correctly implemented
the requirements of the program.
CONTRACT A legally binding relationship or any modification thereof obligating the seller to
furnish supplies or services, including construction, and the buyer to pay for them. For purposes
of this part, a lease is a contract.
3
CONTRACTING OPPORTUNITY Any decision by the Metropolitan Council or its contractors to
institute a procurement action to obtain a product or service commercially (as opposed to
intergovernmental actions).
CONTRACTOR One who participates. through a contract or subcontract (at any tier), in a OOT-
assisted highway, transit, or airport program covered by this part; and includes lessees.
DBE DIRECTORY The MnUCP's list of Certified and Denied Firms which is used by the
Metropolitan Council and its contractors to identify DBE potential prime and subcontractors and
suppliers.
DBE LIAISON OFFICER The official designated by the head of the department element to have
overall responsibility for promotion of DBE participation.
DEPARTMENT OR DOT The U.S. Department of Transportation, including the Office of the
Secretary, the Federal Highway Administration (FHA), the Federal Transportation Agency
(FTA), and the Federal Aviation AdminIstration (FAA).
DISADVANTAGED BUSINESS ENTERPRISE (DBE) A for-profit small business concern:
o That is at least 51% owned by one or more individuals who are both socially and
economically disadvantaged; or in the case of a corporation, in which at least 51% of
the stock is owned by one or more such Individuals; and
o Whose management and daily business operations are controlled by one or more of
the socially and economically disadvantaged individuals who own it.
DOT-ASSISTED CONTRACT Any contract or modification of a contract between the
Metropolitan Council and a contractor (at any tier) that is funded for in whole or in part with DOT
financial assistance, including letters of credit or loan guarantees, except a contract solely for
the purchase of land.
EQUAL OPPORTUNITY The requirements of non-discrimination in employment with regard to
race. religion, creed. color, national origin, ancestry. physical handicap, medical condition, age,
marital status, or sex.
GOAL The annual percentage of DOT-assisted dollars intended to be awarded to DBEs. The
annual overall DBE goal is achieved through a combination of race-neutral and race-conscious
measures. including contract-specific goals.
GOOD FAITH EFFORTS Efforts to achieve a DBE goal or other requirement of the program,
which by their scope, intensity, and appropriateness to the objective. can be expected to fulfill
the program requirement.
4
INDIAN TRIBE Any Indian tribe, band, nation, or other organized group or community of
Indians, Including any ANC, which is recognized as eligible for the special programs and
services provided by the United States to Indians because of their status as Indians, or is
recognized as such by the State in which the tribe, band, nation, group, or community resides.
See definition of "tribally-owned concern" in these definitions.
JOINT DEVELOPMENT The planning and implementation of an income producing real estate
development which is adjacent to or physically. related to an existing or proposed public
transportation facility (e.g. transit station, Park and Ride, or bus facility).
JOINT VENTURE An association of a DBE firm and one or more other firms to carry out a
single for profit business enterprise, for which the parties contribute their property, capital,
efforts, skills, and knowledge, and in which the DBEs responsible for a distinct, clearly defined
portion of the work of the contract and whose share in the capital, contribution, control,
management, risks, and profits of the joint venture are commensurate with Its ownership
interest.
LESSEE A business or person that leases, or is negotiating to lease, property from a recipient
or the department on the recipient's or department's facility for the purpose of operating a
transportation-related activity or for the provision of goods or services to the facility Of to the
public on the facility.
LEVEL PLAYING FIELD The objective of the DOT and Metropolitan Council DBE program;
wherein an environment is created to achieve the level of participation by DBEs that would
reasonably be expected in the absence of discrimination.
MANUFACTURER A business that operates, or maintains a factory or establishment that
produces on the premises the materials or supplies obtained by the contractor.
MINORITY A person who is a U.S. citizen or lawful permanent resident of the U.S. and who Is
a:
a. "Black American", which Includes persons having origins in any of the black racial
groups of Africa.
b. "Hispanic American", which includes persons of Mexican, Puerto Rican, Cuban,
Central or South American, or other Spanish or Portuguese culture or origin,
regardless of race.
c. "Native American", which includes persons that are American Indians, Eskimos,
Aleuts or Native Hawaiians.
d. "Asian-Pacific American". which includes persons whose origins are from Japan,
China, Taiwan, Korea. Vietnam, Laos, Cambodia, the Philippines, Samoa, Guam,
the U.S. Trust Territories of the Pacific, and the Northern Marianas: or
e. "Asian-Indian American", which includes persons whose origins are from India,
Pakistan, and Bangladesh.
5
NATIVE HAWAIIAN Any Individual whose ancestors were natives, prior to 1778, of the area
which now comprises the State of Hawaii.
NATIVE HAWAIIAN ORGANIZATION Any community service organization serving Native
Hawaiians in the State of HawaII which is a not~for-profit organization chartered under the State
of Hawaii, is controlled by Native Hawaiians. and whose business activities will principally
benefit such Native Hawaiians.
NONCOMPLIANCE The condition existing when a recipient or contractor has not correctly
Implemented the requirements of the program.
OPERATING ADMINISTRATION OR OA Any of the following parts of the DOT: the Federal
Aviation Administration (FAA). Federal Highway Administration (FHWA), and Federal Transit
Administration (FTA). The "Administrator" of an operating administration includes his or her
designees.
PRE-BID/PRE-PROPOSAL CONFERENCE A meeting held, prior to the bid/proposal closing
date of a particular project. at which prospective bidders/proposers are advised of Metropolitan
Council specification requirements, which Include DBE provisions.
PRE-BIO/PRE-CONSTRUCTION CONFERENCE A meeting held prior to solicitation at which
the prospective prime contractors are advised of its federal compliance obligations and other
technical & administrative requirements.
PRIMARY RECIPIENT A recipient who received DOT financial assistance and passes some or
all of thIs assistance on to another recipient.
PROGRAM Any undertaking by a recipient to use DOT financial assistance, and Includes the
entire activity any part of whIch receives DOT financial assistance.
RECIPIENT The entity. public or private, to which DOT financial assistance is awarded, via the
programs of the F AA, FHWA, or FT A, or who has applied for such assistance.
RELATIVE AVAilABILITY The percentage of available OBE firms in light of local
circumstances and the number of total available firms.
SUBRECIPIENT The entity. public or private. to which DOT financial assistance is awarded via
a Recipient forthe programs of the FAA. FHWA. or FTA..
TRIBALLY-OWNED CONCERN Any concern that at least 51% owned by an Indian tribe as
defined in these definitions.
U.S. DOT REGULATIONS (49 CFR part 23 and part 26) Federal rules and regulations
published in the Federal Register dated March 31, 1980; amended April 27, 1981; July 21,
1983; October 21. 1987; and March 4, 1999;_ by the Department of Transportation. Office of the
Secretary; entitled "Participation by [Minority Business Enterprise] in Department of
Transportation Programs" and codified at Title 49. Code of Federal Regulations. Part 23.
6
4.0 RESPONSIBILITY FOR DBE PROGRAM IMPLEMENTATION
1. The Chair of the Metropolitan Council has overall responsibility for the Council's DBE
program, and performs the role of providing policy leadership regarding the involvement
of DBEs In the activities of the Metropolitan Council.
2. The Regional Administrator has responsibility for establishing and maintaining a program
to promote the Metropolitan Council's DBE program. This responsibility will be carried
out in conjunction with the Metropolitan Council DBE Liaison Officer.
3. In accordance with 49 CFR section 26.25, the Metropolitan Council has designated its
Director, Office of Diversity and Equal Opportunity as its DBE Liaison Officer, responsible
for implementing all aspects of the DBE program. The Council DBE Liaison Officer shall
have direct and independent access to, and direct communication with, the Regional
Administrator concerning DBE program matters.
4. Subrecipient shall designate an employee who has responsibility for establishing and
maintaining the Metropolitan Council's DBE pass through agreement and program. This
person is referred to as the "Subreclpient DBE Liaison Officer." The Subrecipient DBE
Liaison Officer's responsibilities will be carried out in conjunction with the Council DBE
Liaison Officer.
5. Subrecipient shall notify the Council DBE Liaison Officer of the person designated as the
Subreciplent DBE liaison Officer.
6. The Subreclplent DBE Liaison Officer shall work directly with the Metropolitan Council
DBE Liaison Officer to ensure the program's success.
4.1 Duties of Metropolitan Council DBE Liaison Officer
The responsibllities of the Council DBE liaison Officer include:
1. Providing compliance and goal achievement Information. This includes:
a. SUlveying the DBE community and conducting outreach in order to
increase business opportunities to DBEs.
b. Analyzing Subrecipient's contract opportunities available for DBEs. Utilizing
the DBE directory to search for potential DBE vendors.
c. Providing maximum opportunity to DBEs by initiating Informal competitive
procurement procedures for DBEs to compete for contracts within their
respective areas that do not require solicitation of formal, public bids or
proposals.
d. For contracts with DBE goals:
1. Ensuring that DBEs maintain current DBE certification by verifying
their status with the DBE Directory.
7
2. Ensuring that DBEs are utilized in accordance with the terms of the
contract.
3 Ensuring that potential DBE utilization problems are immediately
resolved.
4. If applicable, ensuring that the prime contractor/proposer continues
to outreach to DBEs for additional business opportunities that result
during the performance of the contract.
5. Granting or denying all requests for DBE substitution.
6. Subrecipient will package individual contracts in a manner to
maximize the ability of DBEs to compete favorably and ensuring that
RFPs, RFIQs, and IFBs do not contain unnecessary requirements
that could unduly restrict or eliminate DBEs from competing. The
Council will monitor all contracts for compliance.
2. Monitoring contractor/Sub recipient compliance with DBE commitments, maintaining
accurate records, demonstrating DBE, efforts and accomplishments, and determining
compliance. This includes:
a. The Subrecipient will provide periodic reports to the Metropolitan Council DBE
Liaison Officer concerning DBE compliance or nonwcompliance of contractors
and staff with the requirements of this program. The Council DBE Liaison
Officer will assist in preparing those reports.
b. Attending meetings of the Subreciplent's board or council at which time these
matters are considered; and responding to queries from the board or council
members.
c. Compiling DBE statistical and narrative reports.
3. Participating in prebid and preproposal meetings with potential prime and DBE
contractors/proposers.
4. Evaluating bids and proposals for compliance with DBE requirements. including bidder's
good faith efforts.
5. Monitoring contractor's compliance with DBE utilization goals.
6. Coordinating dispute resolution through process established in partnering workshops with
contract representatives, vendors and others regarding DBE program.
7. Conducting compliance reviews.
8. Conducting on-site verification and interviews.
8
9. Consulting with the Metropolitan Council DBE Liaison Officer.
4.2 Duties of Subreclplent DBE Liaison Officer
1. Assist the Metropolitan Council DBE Liaison Officer in any and all efforts to ensure
compliance with the USDOT rules and regulations.
5.0 DBE Directory
1. In accordance with 49 CFR section 26.31, the Minnesota Uniform Certification Program
maintains a current directory of DBE firms certified to do work with the Metropolitan
Council. The directory includes the following minimum information for each firm:
a. Name.
b. Address.
C. Phone number/fax number/e-mail.
d. Types of work certified to perform.
e. NAICS, ethnlcity & certification dates
2. The DBE directory is available to the public electronically, on the Internet, and in print
format. Electronic formats will be updated as appropriate; and the entire directory will be
updated at least annually.
3. The DBE Directory shall selVe as a source list to help in identifying DBEs with capabilities
relative to contracting solicitations. The directory will be available to bidders and
proposers during normal business hours to assist in their efforts to meet DBE
requirements. The directory will be categorized by type of firm to facilitate identifying
businesses with capabilities relative to a particular specification.
6.0 DETERMINING, MEETING AND COUNTING OVERALL ANNUAL DBE GOALS FOR
FEDERALL V-ASSISTED CONTRACTS
Pursuant to 49 CFR section 26.45. the Metropolitan Council will establish an annual overall DBE
goal through a two-step process consisting of (a) establishing a base figure; and (b) adjusting
the base figure. In accordance with 49 CFR Part 26, the Metropolitan Council will pass through
it's established goal to Subrecipient. .
1. The contractor will submit monthly progress reports to the Subreclpient DBE Liaison
Officer, in conformance with the currently approved schedule, reflecting Its DBE
participation. A DBE Proaress Proiect Reoort (Exhibit C) shall be submitted to comply
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with this reporting requirement. Failure to submit this report in a timely manner will result
in the imposition of administrative sanctions.
2. The Subrecipient DBE Liaison Officer will review the contractor's monthly progress
reports to monitor and determine whether the utilization of DBE firms is consistent with
the commitment of the contractor as stated in its bId or proposal. The reports are
forwarded to the Metropolitan Council DBE Liaison Officer.
3. The dollar amount of Change Orders or any other contract modifications that increase or
decrease the work area in which DBEs participation has been committed to in the bid, will
be commensurately added to or subtracted from the total contract base figure used to
compute actual dollars paid to DBEs. Revised total contraQt dollar values shall be
reflected in the monthly progress report submitted to Metropolitan Council and referenced
above.
7.0 RECORD KEEPING, MONITORING AND ENFORCEMENT
7.1 Bidders List
1. Pursuant to 49 CFR section 26.11 (e), the Subreciplent will create and maintain a bidder's
list, consisting of firms bidding on prime contracts and bidding or quoting subcontracts on
DOT-assisted projects. The Bidders List will include the following minimum information
for each firm:
a. Firm name;
b. Firm address;
c. Firm's status as a DBE or non-DBE;
d. The age of the firm; and
e. The annual gross receipts of the firm.
7.2 Monitoring Payments to DBEs
1. In accordance with the requirements of Section 7.3 of this program, Subrecipient will
require all prime contractors to submit on a monthly basis, evidence of actual payments
to each DBE listed on the contract.
2. This evidence shall take the form of the DBE Prooress/Proiect Report.
3. Both the Council and Subreclpient will review and monitor the amount actually paid to
each DBE and non-DBE in accordance with the requirements of Section 7.3 of this
program.
7.3 Reporting
1. Together the Council and Subrecipient shall submit a monthly report describing the
activities undertaken toward progress achieved in meeting the goal of greater DBE
participation in its procurement and financial assistance programs during the preceding
federal quarter. These reports shall discuss at least the following:
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a. A brief description of any problems encountered in the general area of DBEs, or
specific contracts or projects.
b. Specific efforts to identify and award contracts to DBEs.
c. A summary of the extent to which percentages have been met.
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