2022/12/20 Care-A-Van Transit Systems, Inc. MOU City of Menifee and Care-A-Van Transit Systems1
Memorandum of Understanding between the
City of Menifee and Care-A-Van Transit Systems, Inc.
I. Introduction
This Memorandum of Understanding (“MOU”) is hereby entered into by the City of
Menifee, hereinafter referred to as the “City”; and the Care-a-Van Transit Systems, Inc.,
hereinafter referred to as “Service Provider”.
II. Background
This MOU between the City and Service Provider is committed for the purpose of
providing a senior and disabled persons transportation program within the City of
Menifee (“Specialized Transit Program”). Services provided under this MOU shall
comply with the funding requirements as outlined in Riverside County Transportation
Commission Ordinance No. 02-001 (Measure A) and the Federal Transit Administration
(FTA) 49 U.S.C Section 5310 Enhanced Mobility for Seniors and Individuals with
Disabilities grant program administered by the California Department of Transportation
(Caltrans) (collectively, the “Program Transit Regulations”).
III. Purposes
The purpose of this MOU is to provide a description of services to be provided by Service
Provider in support of the Specialized Transit Program. In general, Service Provider
shall:
A. Provide transit that is reliable, accessible, affordable, safe, to all seniors and disabled
persons that wish to participate in the Specialized Transit Program;
B. Provide door-to-door service with safe, reliable, courteous transportation for elderly
and disabled that have difficulty getting to public bus stops; and
C. Direct participants toward resources and helping them preserve their quality of life.
IV. Authority
Nothing in this MOU alters or supersedes the authorities and responsibilities of either the
City and Service Provider on any matter under their respective areas.
A. The authorities of the City to enter into this MOU include, but are not limited to:
1. The Program Transit Regulations.
2. Federal, state, and local laws, regulations, and policies and
amendments thereto.
3. Internal policies and procedures governing the City.
V. Service Provider Responsibilities
A. Provide transportation services for the Specialized Transit Program deemed
necessary by this MOU and as outlined in Service Provider’s scope of services
attached hereto as Exhibit “A”.
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B. Provide services to all qualified seniors and disabled persons who desire to utilize
services under the in Specialized Transit Program.
C. Maintain high levels of customer service to ensure that services provided are
reliable, accessible, affordable, and safe for all participants
D. Maintain, for Service Provider, its employees, and agents, professional licenses
required by local, state, and federal laws at all times while performing services under
this MOU. Service Provider shall remain part of the California Department of Motor
Vehicle (DMV) Employer Pull Notice (EPN) Program as required by the California
Highway Patrol (CHP) and Caltrans.
E. Provide a signed certification stating that criminal background checks, fingerprinting,
and drug screening has been conducted and that no employee has been convicted
of any serious or violent felonies, as specified in California Penal Code Sections
1192.7 (c) and 667.5 (c), respectively. Service Provider shall also provide a list of
the full, legal names of employees providing services to the City.
F. Ensure all drivers maintain up-to-date training certifications as required for the
Specialized Transit Program, their license, state, federal and/or local law including
but not limited to: training on vehicle safety inspection, new driver orientation, and
4hr ride along training with a lead driver, sensitivity training and wheelchair lift
training, Relias defensive driving training, and cultural competency training.
G. Solely maintain any vehicles, equipment, staffing, and materials necessary to
provide services, and dedicate no less than three vehicles to program.
H. Provide a dispatcher service to prepare and schedule driver trip sheets, maintain trip
manifests, process appointments and/or appointment change requests, provide
phone messaging services for the program phone line, process service requests,
maintain a written and computer-generated log of all service requests, update client
information, log all driver hours, log all mileage and passenger information for
reporting purposes, respond to all calls and service requests promptly and with
courtesy, and monitor and respond to a variety of calls including two-way radios and
mobile phones, verify and monitor unit locations, record all service calls, and
prepare, prioritize and relay transportation requests including in emergency
situations.
I. Retain a program coordinator to manage day-to-day transportation operations,
maintain service levels, market the Specialized Transit Program, and identify
opportunities to increase Service Provider’s capacity for transportation service.
J. Monthly Project Invoices, Annual Report, Annual Ridership Survey, and other
relevant program reports furnished by the Service Provider as required by the
Riverside County Transportation Commission (RCTC), and which pertain to the
Menifee Transportation Program, shall be provided monthly to the City via electronic
copy. Examples of monthly reports have been attached hereto as “Exhibit E Program
Reports.”
K. Assist in marketing all portions of the Specialized Transit Program.
VI. City Responsibilities:
A. Provide support services for the Specialized Transit Program as outlined in the City’s
scope of services attached hereto as Exhibit “B”.
B. Establish and maintain a concierge service and an emergency transportation
voucher program for Menifee seniors and disabled persons.
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VII. City and Service Provider Responsibilities:
A. Cooperate in the exchange of program information, best practices, and
measurement Service Provider’s compliance with this MOU.
B. Identify information gaps which, if filled, will benefit the cooperation between the City
and Service Provider and provide opportunities to enhance the Specialized Transit
Program.
C. Conduct program coordination meetings, as necessary.
D. Conduct training, conferences, seminars, and education programs, together or in
partnership with other cities and service providers, as appropriate.
E. Jointly develop and implement mutually acceptable processes for intake, referral,
and training of staff on the services of the Service Provider.
F. Evaluate the Specialized Transit Program periodically and modify it based on
changing requirements and/or agreed upon needed improvements.
VIII. Program Compliance:
During the City’s program compliance review for compliance with the Program Transit
Regulations, Service Provider shall cooperate with the City to permit the City to
determine Service Provider’s conformity with the terms of this MOU. If any services
performed or products provided by Service Provider are not in conformity, the City shall
have the right to require Service Provider to correct the non-conformity at no additional
cost to the City. When the services to be performed or the products to be provided are
of such nature that the non-conformity cannot be corrected, the City shall have the right
in its sole discretion, to:
A. Require Service Provider to immediately take all necessary steps to ensure future
performance in conformity with the terms of the MOU ; and/or
B. Terminate this MOU for default and charge to Service Provider any costs incurred
by the City because of Service Provider’s failure to perform. In the event Service
Provider does not comply with the program compliance review and is non-
responsive, then they City may terminate the MOU.
IX. Implementation, Amendment, and Termination:
A. This MOU is effective upon signature and dated by the final approving party as
indicated below.
B. This MOU shall expire on June 30, 2027 unless terminated, extended, or
renewed in writing as provided herein.
C. The MOU may be extended or renewed by mutual agreement of the parties. The
terms or conditions of any extension, or renewal will be in writing and require the
signature of the City and Service Provider.
D. This MOU may be amended through in writing signed by both the City and
Service Provider. Copies of the amendment must be provided to the City and
Service Provider.
E. Either party may terminate this MOU prior to the expiration date by providing
thirty (30) calendar days written notice of termination to the other party.
X. Records
A. Any records or documents generated as a result of this MOU shall become part
of the official record maintained and controlled by the party that originated
creation of the document or that has ownership of the information.
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B. Any requests for release of records associated with the implementation of this
MOU to anyone outside of the City and Service Provider must be processed
based on applicable laws including the Freedom of Information Act and Privacy
Act, and the California Public Records Act.
XI. Indemnification
Service Provider agrees to indemnify and hold harmless the City from any and all
liabilities for injury to persons and damage to property, including third party claims,
arising out of any negligent act or omission of Service Provider, its officers, employees,
agents or volunteers in connection with this MOU.
In the event Service Provider and/or the City is found to be comparatively at fault for any
claim, action, loss or damage which results from their respective obligations under this
MOU, Service Provider and/or the City shall indemnify the other to the extent of its
comparative fault.
XII. Insurance
A. Service Provider shall procure and maintain for the duration of the contract insurance
against claims for injuries to persons or damages to property which may arise from or in
connection with the performance of the work hereunder by the Service provider, his
agents, representatives, employees, or subservice providers.
Coverage shall be at least as broad as:
1. Commercial General Liability (CGL): Insurance Services Office (ISO) Form CG 00 01
covering CGL on an “occurrence” basis, including products and completed operations,
property damage, bodily injury and personal & advertising injury with limits no less than
$5,000,000 per occurrence. If a general aggregate limit applies, either the general
aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or
the general aggregate limit shall be twice the required occurrence limit.
2. Automobile Liability: Insurance Services Office Form CA 0001 covering Code 1 (any
auto), with limits no less than $5,000,000 per accident for bodily injury and property
damage.
3. Workers’ Compensation insurance as required by the State of California, with
Statutory Limits, and Employers’ Liability insurance with a limit of no less than
$1,000,000 per accident for bodily injury or disease.
If the service provider maintains broader coverage and/or higher limits than the
minimums shown above for all policies, the City requires and shall be entitled to the
broader coverage and/or higher limits maintained by the service provider. Any available
insurance proceeds in excess of the specified minimum limits of insurance and coverage
shall be available to the City.
B. Self-insured retentions must be declared to and approved by the City. At the option of
the City, either: the service provider shall cause the insurer shall to reduce or eliminate
such self-insured retentions as respects the City, its officers, officials, employees, and
volunteers; or the Service provider shall provide a financial guarantee satisfactory to the
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City guaranteeing payment of losses and related investigations, claim administration,
and defense expenses. The policy language shall provide, or be endorsed to provide,
that the self-insured retention may be satisfied by either the named insured or City.
C. Other Provisions
Additional Insured
The City, its officers, officials, employees, and volunteers are to be covered as additional
Insureds on the CGL policy with respect to liability arising out of work or operations
performed by or on behalf of the Service provider including materials, parts, or
equipment furnished in connection with such work or operations and automobiles
owned, leased, hired, or borrowed by or on behalf of the Service provider. General
liability coverage can be provided in the form of an endorsement to the Service provider’s
insurance at least as broad as one of the following ISO ongoing operations Forms: CG
20 10 or CG 20 26 or CG 20 33 (not allowed from subservice providers), or CG 20 38;
and one of the following ISO completed operations Forms: CG 20 37, 2039 (not allowed
from subservice providers), or CG 20 40.
Primary Insurance
For any claims related to this project, the Service provider’s insurance coverage shall
be primary insurance coverage at least as broad as ISO CG 20 01 04 13 as respects
the City, its officers, officials, employees, and volunteers. Any insurance or self-
insurance maintained by the City, its officers, officials, employees, or volunteers shall be
excess of the Service provider’s insurance and shall not contribute with it.
Notice of Cancellation
Service provider shall provide immediate written notice if (1) any of the required
insurance policies is terminated; (2) the limits of any of the required polices are reduced;
(3) or the deductible or self-insured retention is increased. In the event of any
cancellation or reduction in coverage or limits of any insurance, Service provider shall
forthwith obtain and submit proof of substitute insurance.
Acceptability of Insurers
Insurance is to be placed with insurers authorized to conduct business in the state with
a current A.M. Best rating of no less than A: VII, unless otherwise acceptable to the City.
Waiver of Subrogation
Service provider hereby agrees to waive rights of subrogation which any insurer of
Service provider may acquire from Service provider by virtue of the payment of any loss.
Service provider agrees to obtain any endorsement that may be necessary to affect this
waiver of subrogation, but this provision applies regardless of whether or not the City
has received a waiver of subrogation endorsement from the insurer. However, the
Workers’ Compensation policy shall be endorsed with a waiver of subrogation in favor
of the City for all work performed by the Service provider, its employees, agents and
subservice providers.
Verification of Coverage
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Service provider shall furnish the City with original Certificates of Insurance including all
required amendatory endorsements (or copies of the applicable policy language
effecting coverage required by this clause) and a copy of the Declarations and
Endorsement Page of the CGL policy listing all policy endorsements to City before work
begins. However, failure to obtain the required documents prior to the work beginning
shall not waive the Service provider’s obligation to provide them. The City reserves the
right to require complete, certified copies of all required insurance policies, including
endorsements, required by these specifications, at any time.
Subservice providers
Service provider shall require and verify that all subservice providers maintain insurance
meeting all the requirements stated herein, and Service provider shall ensure that City
is an additional insured on insurance required from subservice providers. For CGL
coverage subservice providers shall provide coverage with a form at least as broad as
CG 20 38 04 13.
Special Risks or Circumstances
City reserves the right to modify these requirements, including limits, based on the
nature of the risk, prior experience, insurer, coverage, or other circumstances.
IN WITNESS WHEREOF, the City and Service Provider hereto have caused their duly
authorized representatives to execute this MOU.
City:
City of Menifee
c/o Community Services Department
29844 Haun Rd
Menifee, CA 92586
Service Provider:
Care-a-Van Transit Systems, Inc.
749 N State St
Hemet, CA 92543
Signature:
Print Name:
Title:
Dated:
Signature:
Print Name:
Title:
Dated:
Attest:
Stephanie Roseen, Acting City Clerk
Approved as to Form:
Jeffrey T. Melching, City Attorney
Armando G. Villa
City Manager
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12/20/2022
Exhibit A – Care-A-Van Services
CARE-A-VAN TRANSIT SYSTEMS, INC.
Care-A-Van provides door-to door non-emergency transportation to seniors and disabled
individuals in the City of Menifee.
Eligibility
● Senior or disabled individuals in need of access to transportation
Registration Requirements
● All riders are required to submit the CDBG Eligibility Form provided in the registration
process. Care-a-van stall obtain registration information from the City.
Service Fees
● Free
● Companion/Caregiver ride for free
● Care-A-Van Transit is a non-profit organization, operations assistance is funded through
Cal Trans 5310.
How to use the service
● Contact Care-A-Van at least 72 hours prior to desired pickup time to schedule a pickup.
The caller will be asked to provide the address of the pickup and drop-off location. If the
ride is roundtrip or includes multiple stops, the rider must inform the dispatcher of their
desired time to be picked up from the drop-off location and the address of all requested
stops and pickup times.
● Response Time - Riders are asked to be prepared for pickup at least 15 minutes prior to
scheduled pickup time.
Hours of Operation
● Standard hours of operation are Monday-Friday 8:00 AM-5:00 PM. However, depending
on the need of the clients in the service area, times of operation can be modified to
include early morning, evening, and weekend hours.
● Care-a-van agrees to provide shuttle service and/or weekend services, upon request.
Requests shall be made by the City to Care-a-van no less than two weeks prior to date
services are to be provided.
Where do we go?
● Care-A-Van will dedicate, as needed, up to three (3) vehicles to the Menifee Specialized
Transit Program, including one 16-passenger bus and two modified 8-passenger vans.
Based on demand for Care-A-Van door-to-door service, the maximum number of rides
and passengers will vary depending on where and how many clients are traveling on a
particular day.
● Care-A-Van will provide transportation service to seniors and disabled individuals
anywhere within the city limits of Menifee and to and from the following Medical Centers
in Murrieta:
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Kaiser Permanente Murrieta
28150 Keller Rd.
Murrieta, CA 92563
VA Loma Linda Medical Center
28062 Baxter Rd.
Murrieta, CA 92563
Murrieta VA Cinic
25125 Madison Ave., Suite 105
Murrieta, CA 92562
● Typical transportation requests include:
Medical Appointments Places of Worship Grocery Stores
Senior Centers Community Events Food Pantries
Banks Libraries
Post Office Restaurants
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Exhibit B - City Services
Ride Voucher Component
The City of Menifee, Community Services Department will solely administer a ride voucher component of
the Specialized Transit Program to provide for emergency curb-to-curb pickup/drop-off through a third-party
service provider, such as GoGo Technologies, Inc. Vouchers issued will be valued up to $50 per round-trip
use. All costs associated with administering and providing these services will be covered by the RCTC
Measure A Grant as funding permits. Services provided under the ride voucher component will be available
to all participants of the Menifee Specialized Transit Program.
Mobility Management
The City of Menifee Community Services Department, as required by the MOU, will provide mobility
management services for the Specialized Transit Program. The City will employ one staff member to act
as a Transportation Specialist overseeing mobility management to conduct the following tasks:
• Act as direct liaison to Specialized Transit Program services
• Manage the voucher program, make travel arrangements, develop and maintain rider in-take forms,
and track voucher usage
• Maintain and provide program records, where applicable
• Develop a transportation reference and/or resource list
• Serve the general public through planning, developing and operating programs that offer supportive
transportation strategies
• Conduct outreach directly or in collaboration with others to promote, and provide education on,
available transportation options and resources
• Conduct outreach to business and community partners to build supportive community networks
• Develop and distribute information that explains how to utilize the available resources in meeting
the diverse travel needs of both the senior community and disabled residents
• Provide program participant support /services where appropriate and general contact for mobility
related queries from city residents.
• Serve as the liaison to community leaders to demonstrate how transportation enhances economic
development.
• Plan and coordinate special events, presentations, workshops, and activities related to the
program.
• Make public presentations on the benefits of mobility management for the community.
• Other services to the public may include providing Transportation Systems Educational
Workshops; Driver’s Safety Courses; Rider’s Safety Course and one-on-one assistance to plan a
public transportation route.
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Exhibit C – US DOT Master Agreement
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
FEDERAL TRANSIT ADMINISTRATION
MASTER AGREEMENT
For Federal Transit Administration Agreements authorized by
49 U.S.C. chapter 53 and Title 23, United States Code (Highways), as amended by
the Infrastructure Investment and Jobs Act of 2021, the Fixing America’s Surface
Transportation (FAST) Act, the Moving Ahead for Progress in the 21st Century Act
(MAP-21), the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy
for Users (SAFETEA-LU), the SAFETEA-LU Technical Corrections Act of 2008, or other
federal laws that FTA administers.
FTA MA(29)
February 7, 2022
http://www.transit.dot.gov
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TABLE OF CONTENTS
Table of Contents ........................................................................................................................................... i
Preface ........................................................................................................................................................... 1
Statutory Authorities.................................................................................................................................. 1
Purpose of this Master Agreement ............................................................................................................. 1
Generally Applicable Provisions ................................................................................................................... 3
Section 1. Terms of this Master Agreement and Compliance. ............................................................ 3
Section 2. Definitions ......................................................................................................................... 4
Section 3. Implementation ................................................................................................................ 12
Section 4. Ethics, Political Activity, Disqualification, and Certain Criminal Activity...................... 19
Section 5. Federal Assistance. .......................................................................................................... 27
Section 6. Non-Federal Share. .......................................................................................................... 28
Section 7. Payments to the Recipient ............................................................................................... 30
Section 8. Records and Reports Related to the Award and the Underlying Agreement.................... 41
Section 9. Record Retention and Access to Sites of Performance. ................................................... 47
Section 10. Completion, Audit, Settlement, and Closeout. ............................................................. 48
Section 11. Right of the Federal Government to Terminate ........................................................... 50
Section 12. Civil Rights.................................................................................................................. 50
Section 13. Planning. ...................................................................................................................... 59
Section 14. Private Enterprise ........................................................................................................ 60
Section 15. Preference for United States Products and Services. ................................................... 61
Section 16. Procurement ................................................................................................................. 61
Section 17. Patent Rights ................................................................................................................ 68
Section 18. Rights in Data and Copyrights ..................................................................................... 69
Section 19. Use of Real Property, Equipment, and Supplies .......................................................... 72
Section 20. Transit Asset Management .......................................................................................... 77
Section 21. Insurance. .................................................................................................................... 77
Section 22. Relocation and Real Property. ..................................................................................... 78
Section 23. Construction. ............................................................................................................... 79
Section 24. Employee Protections .................................................................................................. 80
Section 25. Early Systems Work Agreement .................................................................................. 82
Section 26. Environmental Protections ........................................................................................... 84
Section 27. State Management and Monitoring Systems................................................................ 88
Section 28. Charter Service. ........................................................................................................... 88
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Section 29. School Bus Operations ................................................................................................ 88
Section 30. Geographic Information and Related Spatial Data....................................................... 89
Section 31. Federal “$1 Coin” Requirements. ................................................................................ 89
Section 32. Public Transportation Safety ....................................................................................... 89
Section 33. Motor Carrier Safety .................................................................................................... 89
Section 34. Safe Operation of Motor Vehicles. .............................................................................. 90
Section 35. Substance Abuse. ......................................................................................................... 91
Section 36. Protection of Sensitive Security and Other Sensitive Information ............................... 92
Section 37. Special Notification Requirements for States. ............................................................. 92
Section 38. Freedom of Information. .............................................................................................. 93
Section 39. Disputes, Breaches, Defaults, and Litigation ............................................................... 94
Section 40. Amendments to the Underlying Agreement ................................................................ 95
Section 41. FTA’s Transit Award Management System (TrAMS) ................................................. 96
Section 42. Information Obtained through Internet Links .............................................................. 96
Section 43. Severability .................................................................................................................. 96
Special Provisions for Specific Programs .................................................................................................... 97
Section 44. Special Provisions for All Public Transportation Innovation, Technical Assistance or
Workforce Development Programs ..................................................................................................... 97
Section 45. Special Provisions for the State Safety Oversight Grant Program ............................... 99
Section 46. Special Provisions for the State Infrastructure Bank (SIB) Program ........................... 99
Section 47. Special Provisions for the TIFIA and RRIF Programs ............................................... 100
Section 48. Special Provisions for the Joint FTA–FRA Program ................................................. 101
Special Provision for Promoting COVID-19 Safety .................................................................................. 103
Section 49. Centers for Disease Control and Prevention Order on Requirements for Persons to
Wear Masks While on Conveyances and at Transportation Hubs. .................................................... 103
Appendix A Tribal Transit Program—Applicable Provisions ................................................................... 104
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UNITED STATES DEPARTMENT OF TRANSPORTATION
FEDERAL TRANSIT ADMINISTRATION
MASTER AGREEMENT
PREFACE
Statutory Authorities
This is the official Federal Transit Administration (FTA) Master Agreement that applies to each
Underlying Agreement (Grant Agreement, Cooperative Agreement, Loan Agreement, Loan
Guarantee Agreement, or Line of Credit Agreement) for a specific Award authorized by:
(a) Federal transit laws, 49 U.S.C. chapter 53, as amended, including the following:
(1) The Infrastructure Investment and Jobs Act of 2021, Public Law No. 117-58,
November 15, 2021, and other authorizing legislation that may be enacted;
(2) The Fixing America’s Surface Transportation (FAST) Act, Public Law No.
114-94, December 4, 2015;
(3) The Moving Ahead for Progress in the 21st Century Act (MAP-21), Public
Law No. 112- 141, July 6, 2012, as amended by the Surface Transportation
and Veterans Health Care Choice Improvement Act of 2015, Public Law No.
114-41, July 31, 2015; and
(4) The Safe, Accountable, Flexible, Efficient Transportation Equity Act: A
Legacy for Users (SAFETEA-LU), Public Law No. 109-59, August 10, 2005,
as amended by the SAFETEA-LU Technical Corrections Act of 2008, Public
Law No 110-244, June 6, 2008.
(b) Continuing Resolutions or Other Appropriations Resolutions or Acts funding the
Department of Transportation during Fiscal Year 2021.
(c) Title 23, United States Code (Highways).
(d) Other federal legislation that FTA administers, as FTA so determines.
Purpose of this Master Agreement
This FTA Master Agreement contains the standard terms and conditions that apply to the
Underlying Agreement with the Recipient, which Underlying Agreement may take the form of
an:
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(a) FTA Grant Agreement, including an FTA Grant Agreement for an award of federal
assistance under the Tribal Transit Program;
(b) FTA Cooperative Agreement; or
(c) Transportation Infrastructure Finance Innovation Act (TIFIA) or Railroad
Rehabilitation and Improvement Financing (RRIF) Loan, Loan Guarantee, Line of
Credit, Master Credit Agreement for a Project overseen by FTA, or State
Infrastructure Bank (SIB) Cooperative Agreement.
THEREFORE, in consideration of the mutual covenants, promises, and representations herein,
FTA and the Recipient agree as follows:
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GENERALLY APPLICABLE PROVISIONS
Section 1. Terms of this Master Agreement and Compliance.
(a) The Recipient must comply with all applicable federal laws, regulations, and
requirements, and should follow applicable federal guidance, except as FTA
determines otherwise in writing.
(b) To assure compliance with federal laws, regulations, and requirements, the Recipient
must take measures to assure that other participants in its Underlying Agreements
(e.g., Third Party Participants) comply with applicable federal laws, regulations, and
requirements, and follow applicable federal guidance, except as FTA determines
otherwise in writing.
(c) FTA may take enforcement action if the Recipient or a Third Party Participant
violates an applicable federal law, regulation, or requirement, or does not follow
applicable federal guidance.
(d) FTA and the Recipient agree that not every provision of this Master Agreement will
apply to every Recipient or Underlying Agreement.
(1) FTA has divided this Master Agreement into the “Preface,” “Generally
Applicable Provisions,” and “Special Provisions for Specific Programs.”
(2) This Master Agreement has an Appendix A illustrating the specific
provisions of this Master Agreement that apply to the Tribal Transit
Programs.
(3) Criteria determining which federal laws, regulations, requirements, and
guidance apply include the type of Award, the federal law authorizing federal
assistance for the Award, the federal law, regulations, or requirements
governing how the Award must be implemented, the federal guidance
pertaining to the Award, and the Recipient’s legal status as a “state,” “state
instrumentality,” a “local government,” a federally recognized Indian Tribe
(Indian Tribe), a “private nonprofit entity,” a “private for-profit entity,” or an
individual.
(e) As provided in federal laws, regulations, requirements, and guidance, FTA will
enforce only those federal laws, regulations, requirements, and guidance that apply
to the specific FTA Recipient, its Third Party Participants, or to any Project and
related activities encompassed in the Award, the accompanying Underlying
Agreement, and any Amendments thereto.
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(f) Each provision of this Master Agreement must be interpreted in context with all
other provisions of this Master Agreement and the Underlying Agreement. If a single
provision is read apart from the rest of this Master Agreement or the Underlying
Agreement, that provision might not convey the extent of the Recipient’s
responsibility to comply with the requirements of this Master Agreement and the
Underlying Agreement.
(g) This Master Agreement does not have an Expiration Date. This Master Agreement
continues to apply to the Recipient and its Underlying Agreement, until modified or
superseded by a more recently enacted or issued applicable federal law, regulation,
requirement, or guidance, or Amendment to this Master Agreement or the
Underlying Agreement.
Section 2. Definitions.
(a) List of Definitions. In addition to the definitions provided in 49 U.S.C. § 5302, as
amended, or in previous legislation if circumstances may require, the Recipient
agrees that the following definitions apply:
(1) Application means the request for federal assistance submitted that is signed
and dated by the Applicant or an official authorized to act on the behalf of the
Applicant, and includes all explanatory, supporting, and supplementary
documents filed with FTA by or on behalf of the Applicant, and has been
reviewed by FTA staff and addresses FTA’s comments and concerns. An
application for federal assistance in the form of a Grant or Cooperative
Agreement must be submitted in in FTA’s Transit Award Management
System (TrAMS).
(2) Approval, unless FTA determines otherwise in writing, means a written
statement of an authorized federal official transmitted electronically or in
typewritten hard copy expressly permitting the Recipient to take or omit an
action in connection with its Underlying Agreement, and signed by a federal
official authorized to permit the Recipient to take or omit an action that may
not be taken or omitted without the Federal Government’s permission.
Approval does not mean permission to take or omit a similar action other
than the specific action for which approval was given and does not include an
oral permission or interpretation, which has no legal force, authority, or
effect. For purposes of this Master Agreement, the definition of “approval”
also applies to “concurrence” and “waiver.”
(3) Associated Transit Improvement means, with respect to a Project or an area
to be served by a Project, an activity that is designed to enhance transit
service or use and that is physically or functionally related to transit facilities.
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(4) Award means the Scope of Work that FTA has approved when FTA agreed
to provide federal assistance. The Award also includes the requirements of all
documents, terms, and conditions incorporated by reference and made part of
the Underlying Agreement, which may be a Grant or Cooperative
Agreement.
(5) Award Budget [formerly, Approved Project Budget] means the budget for all
the Projects encompassed by the FTA Award. In contrast, Project Budget
means the budget allocated for a single Project contained within an Award
that FTA or a pass-through entity approves during the federal award process
or in subsequent amendments to the FTA Award. It may include the federal
and non-federal share or only the federal share, as determined by FTA or the
pass-through entity. For legal and other purposes, FTA reserves the right to
consider information other than that displayed electronically or on paper in
the “Award Budget” to determine the scope of the Award, eligible Project
activities, and other terms used in connection with the Award.
(6) Common Rules means any one or more of the following:
(i) U.S. DOT regulations, “Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards,” 2 CFR Part
1201, which incorporates by reference U.S. Office of Management
and Budget (OMB) regulatory guidance, “Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal
Awards,” 2 CFR Part 200;
(ii) U.S. DOT regulations, “Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local
Governments,” former 49 CFR Part 18; and
(iii) U.S. DOT regulations, “Uniform Administrative Requirements for
Grants and Agreements with Institutions of Higher Education,
Hospitals, and Other Non-profit Organizations,” former 49 CFR Part
19.
(7) Concurrence has the same meaning as the definition of Approval in this
section of this Master Agreement.
(8) Cooperative Agreement means an instrument that the Federal Government
uses to award federal assistance to the Recipient to support each specific
Project and related activities described in the Underlying Agreement in
which, consistent with 31 U.S.C. § 6305, the Federal Government takes an
active role and retains substantial control. An FTA Cooperative Agreement
consists of three parts:
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(i) The FTA Award, consisting of the amount of federal assistance FTA
is providing to support each specific Project and related activities, and
a description of each Project as set forth in the Application submitted
to FTA in TrAMS or on paper if permitted;
(ii) The Terms and Conditions incorporated by reference and made part
of the Cooperative Agreement consisting of the following documents,
irrespective of whether electronic or in typewritten hard copy,
including:
(A) The most recent “Federal Transit Administration Master
Agreement, which applies to this Cooperative Agreement;
(B) The current Certifications and Assurances applicable to the
FTA Award that the Recipient has selected and provided to
FTA; and
(C) Any Award notification containing special conditions or
requirements if issued; and
(iii) The Execution of the Cooperative Agreement by the Recipient.
(9) Designated Recipient means an entity designated, in accordance with the
planning process under 49 U.S.C. §§ 5303 and 5304, by the governor of a
state, responsible local officials, and publicly owned operators of public
transportation, to receive and apportion amounts under 49 U.S.C. § 5336 to
urbanized areas of 200,000 or more in population; or a state or regional
authority, if the authority is responsible under the laws of a state for a Capital
Project and for financing and directly providing public transportation.
(10) Disability has the same meaning as in section 3(1) of the Americans with
Disabilities Act of 1990, as amended, 42 U.S.C. § 12102.
(11) Federal Assistance means a type of federal funding that the Recipient
receives through the Underlying Agreement.
(12) Federal Award Identification Number has the same meaning as “Project No.”
in previous Grant Agreements and Cooperative Agreements with FTA.
(13) Federal Government means the United States of America and any of its
executive departments or agencies.
(14) Federal Guidance includes any federal document or publication signed by an
authorized federal official providing official instructions or advice about a
federal program that is not defined as a “federal requirement” and applies to
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entities other than the Federal Government. Federal Guidance also may apply
to the Federal Government, and may take the form of a:
(i) Federal directive;
(ii) Federal circular;
(iii) Federal order;
(iv) Federal published policy;
(v) Federal administrative practice;
(vi) Federal guideline;
(vii) Federal guidance document;
(viii) Letter signed by an authorized federal official; or
(ix) Similar document.
(15) Federal Requirement means:
(i) An applicable federal law, regulation, or executive order;
(ii) An applicable provision of the Underlying Agreement, including any
Special Condition, Requirement, Provision, or Condition of Award;
(iii) This Master Agreement;
(iv) A later Master Agreement after FTA and the Recipient have entered
into the Underlying Agreement; or
(v) Another applicable federal mandate.
(16) Federal Transit Administration (FTA) is an operating administration of the
Department of Transportation (U.S. DOT). Any reference to the “Urban
Mass Transportation Administration” (also referred to as “UMTA”) refers to
the “Federal Transit Administration” or “FTA” when appearing in any
records of the United States.
(17) Federal Transit Administrator is the head of the Federal Transit
Administration.
(18) Federally Recognized Indian Tribe means an Indian tribe that is federally
recognized by the Bureau of Indian Affairs of the U.S. Department of the
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Interior in accordance with the provisions of the Federally Recognized Indian
Tribe List Act of 1994, as amended, 25 U.S.C. § 5130.
(19) Fiscal Year, as used in this Master Agreement, means “federal fiscal year,”
which begins on October 1 of each calendar year and ends on September 30
of the next calendar year.
(20) Governor means the governor of a state, the mayor of the District of
Columbia, or the chief executive officer of a territory of the United States
and includes the designee thereof.
(21) Grant Agreement means a legal instrument that the Federal Government uses
to award federal assistance to the Recipient to support each specific Project
and related activities described in the Underlying Agreement in which,
consistent with 31 U.S.C. § 6304, the Federal Government does not take an
active role and does not retain substantial control. An FTA Grant Agreement
consists of three parts:
(i) The FTA Award, consisting of the amount of federal assistance FTA
is providing to support each specific Project and related activities, and
a description of each Project as set forth in the Application submitted
to FTA in TrAMS or on paper if permitted;
(ii) The Terms and Conditions incorporated by reference and made part
of the Grant Agreement consisting of the following documents,
irrespective of whether electronic or in typewritten hard copy,
including:
(A) The most recent “Federal Transit Administration Master
Agreement, which applies to this Grant Agreement;
(B) The current Certifications and Assurances applicable to the
FTA Award that the Recipient has selected and provided to
FTA; and
(C) Any Award notification containing special conditions or
requirements if issued; and
(iii) The Execution of the Grant Agreement by the Recipient.
(22) Indian Tribe means the Recipient or Subrecipient that receives “Tribal
Transit Program” assistance authorized by 49 U.S.C. § 5311(c)(1) to support
its Underlying Agreement.
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(23) Internal Controls means a process, implemented by a Recipient or
Subrecipient, designed to provide reasonable assurance regarding the
achievement of objectives in the following categories: (a) effectiveness and
efficiency of operations, (b) reliability of reporting for internal and external
use, and (c) compliance with applicable laws, regulations, and requirements.
(24) Local Government Authority includes (a) a political subdivision of a state; (b)
an authority of at least one state or political subdivision of a state; (c) an
Indian tribe; and (d) a public corporation, board, or commission established
under the laws of a state.
(25) Low-Income Individual, for purposes of 49 U.S.C. § 5311(j)(1)(A)(iii),
means an individual whose family income is at or below 100 percent of the
poverty line, as that term is defined in section 673(2) of the Community
Services Block Grant Act, 42 U.S.C. § 9902(2), including any revision
required under that section, for a family of the size involved.
(26) Master Credit Agreement means a conditional agreement to extend one or
more loans to a Recipient under the Transportation Infrastructure Finance
and Innovation Act (TIFIA) of 1998, as amended, 23 U.S.C. §§ 601 – 609, or
the Railroad Rehabilitation and Improvement Financing (RRIF) program,
45 U.S.C. §§ 821 – 823, and also means the type of Underlying Agreement
used for the TIFIA or RRIF loans.
(27) Non-Federal Funds or Non-Federal Share includes the following sources of
funding or in-kind property or services used to match the federal assistance
awarded for the Grant or Cooperative Agreement:
(i) Local funds;
(ii) Local in-kind property or services;
(iii) State funds;
(iv) State in-kind property or services;
(v) Other federal funds for which the federal statute authorizing a
program specifically provides that federal funds made available for
that program can be applied to the cost sharing requirements of other
federal programs.
(28) Non-Tribal Service Provider, for purposes of 49 U.S.C. § 5311(j)(2), means a
non-tribal provider of public transportation that connects residents of tribal
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lands with surrounding communities, improves access to employment or
healthcare, or otherwise addresses the mobility needs of tribal members.
(29) Project means the public transportation improvement activities eligible for
federal assistance in an application to FTA and/or in an FTA Award.
(30) Public Transportation, has the same meaning as “transit” or “mass
transportation,” and, consistent with the definition at 49 U.S.C. § 5302,
means regular, continuing shared- ride surface transportation services that are
open to the general public, or open to a segment of the general public defined
by age, disability, or low income, but does not include:
(i) Intercity passenger rail transportation provided by Amtrak or a
successor thereof as described in 49 U.S.C. chapter 243;
(ii) Intercity bus service;
(iii) Charter service;
(iv) School bus service;
(v) Sightseeing service;
(vi) Courtesy shuttle service for patrons of one or more specific
establishments; or
(vii) Intra-terminal or intra-facility shuttle services.
(31) Recipient or Direct Recipient means a non-federal entity that receives a
federal award directly from a federal awarding agency to carry out an activity
under a federal program. The term “Recipient” does not include a
Subrecipient.
(32) Scope of Work means the purpose of the Grant Agreement or Cooperative
Agreement and the activities and approaches required to carry out a Project.
The scope of work consists of various components, including the Award
Budget, beneficiaries, locations, and other aspects identified in the approved
application. FTA reserves the right to consider other information in
determining the scope of the Project or the “scope of work of a Grant
Agreement or Cooperative Agreement” when “scope” is used for other
purposes. See the latest edition of the FTA Master Agreement.
(33) Split Letter (sometimes referred to as a suballocation letter or government
subapportionment letter) means a letter in which a Designated Recipient of
Urbanized Area Formula Grant Program funding authorized by 49 U.S.C.
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§ 5307, a Designated Recipient of Formula Grants for Enhanced Mobility of
Seniors and Individuals with Disabilities authorized by 49 U.S.C. § 5310, a
Designated Recipient of the State of Good Repair Formula Grants, 49 U.S.C.
§ 5337, agrees to a reassignment or reallocation of that federal assistance to
one or more direct Recipients.
(34) Subagreement or Subgrant means an agreement through which the Recipient
awards federal assistance to its Subrecipient(s) to support or stimulate any of
the Recipient’s or Subrecipient’s Projects or related activities supported
under the Award, the accompanying Underlying Agreement, or Amendments
thereto, but does not include a third party contract, third party subcontract, or
lease.
(35) Subrecipient or Subgrantee means any entity or person that receives federal
assistance provided by an FTA Recipient instead of FTA directly, but does
not include a Third Party Contractor, Third Party Subcontractor, or Lessee.
(36) Third Party Agreement includes agreements or arrangements supported in
whole or in part with federal assistance awarded to a Recipient by FTA,
including a subagreement with a subrecipient, a third party contract, a third
party subcontract, a lease, or similar arrangement or agreement as FTA may
recognize.
(37) Third Party Contract means a legal instrument by which a Recipient or
Subrecipient purchases property or services needed to carry out the Grant
Agreement or Cooperative Agreement. This does not include an instrument
describing a transaction that meets the definition of a federal Award, Grant,
Cooperative Agreement, Subaward, or Subagreement.
(38) Third Party Participant means each participant in the Recipient’s Project,
except for FTA and the Recipient, whose work under the Project is supported
with FTA funding, eligible non-federal share dedicated to the Project, or is
dedicated as an in-kind contribution eligible for non-federal share. A Third
Party Participant may be a Subrecipient, Third Party Contractor, Third Party
Subcontractor, Lessee, or Similar Participant in the Recipient’s Project (for
example, a partner in a joint development venture).
(39) Third Party Subcontract means a subcontract entered into by the Third Party
Contractor with a Third Party Subcontractor, or a Third Party Subcontractor
with another Third Party Subcontractor at any tier, and is supported in whole
or in part with the federal assistance originally derived from FTA, or non-
federal share dedicated to the Recipient’s Underlying Agreement.
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(40) Underlying Agreement means a specific Grant Agreement, Cooperative
Agreement, or, with respect to TIFIA or RRIF assistance, a specific Loan
Agreement, Line of Credit Agreement, or Loan Guarantee Agreement that
incorporates the terms of this Master Agreement, in each case including any
amendments thereto, supported with federal assistance appropriated or made
available under the authorized program.
(41) Unique Entity Identifier has two meanings:
(i) A Recipient’s or a Subrecipient’s unique entity identifier for purposes
of the “System of Award Management” (SAM), which currently is
the DUNS Number; but
(ii) For FTA purposes, FTA assigns a separate Recipient/Vendor ID as a
“unique entity identifier,” which is a four-digit number and is
displayed on the Grant Agreement and the Cooperative Agreement
following the heading “Recipient ID.”
(42) Waiver has the same meaning as the definition of Approval in this section of
this Master Agreement.
(b) Application of Definitions. The Recipient also agrees that the definitions in
section 2(a) above apply throughout this Master Agreement.
Section 3. Implementation.
(a) Effective Date. The Effective Date of Recipient’s Underlying Agreement is the date
when the authorized FTA official signs the Underlying Agreement.
(b) Description of Each Project. The “Description of Each Project” in the “Executive
Summary” of the “FTA Award” section of the Recipient’s Underlying Agreement
often provides only a brief description of each Project and related activities to be
undertaken by the Recipient; therefore, the Recipient agrees to perform the work
described in the terms of its Underlying Agreement, including all the documents and
information incorporated by reference and made part of that Underlying Agreement.
(c) Prompt Implementation. After receiving notice that the FTA official signed the
Underlying Agreement, the Recipient agrees to undertake promptly each Project and
related activities described in the Underlying Agreement.
(d) Completion Dates. The Recipient agrees to complete each Project within the time
periods specified in the Underlying Agreement and all activities must be completed
by the Award’s end date, unless FTA agrees in writing to extend the end date. Unless
FTA determines otherwise in writing, interim milestone dates and other completion
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dates applicable to the Award are good faith estimates and are not intended to be
firm contractual requirements. However, FTA and the Recipient agree that milestone
dates and other completion dates for Full Funding Grant Agreements, Small Starts
Grant Agreements or other specific agreements in which FTA expressly states that
the milestone dates or other completion dates for the Underlying Agreement are firm
dates that may be enforced.
(e) The Recipient’s Capacity. To carry out its Underlying Agreement, the Recipient
agrees to maintain:
(1) Sufficient legal, financial, technical, and managerial capacity, and adequate
functional capacity to:
(i) Plan, manage, and complete its responsibilities outlined in the
Underlying Agreement;
(ii) Use the Project property;
(iii) Carry out the safety and security aspects of the Underlying
Agreement;
(iv) Comply with the terms and conditions of the Underlying Agreement,
the Recipient’s annual Certifications and Assurances to FTA, and
applicable federal laws, regulations, and requirements; and
(v) Follow applicable federal guidance, except as the Federal
Government determines otherwise in writing.
(2) Strong internal controls to assure that it is managing its Award in compliance
with federal laws, regulations, requirements, and the terms and conditions of
the Underlying Agreement including, but not limited to:
(i) Amendments or revisions to its Award Budget;
(ii) Salaries and wages of the Recipient’s and Subrecipient’s personnel;
(iii) Protection of personally identifiable information and other sensitive
information; and
(iv) Other matters that must be in compliance with federal laws,
regulations, requirements, and the terms and conditions of the
Underlying Agreement.
(f) U.S. DOT Administrative Requirements. The Recipient agrees to comply with the
following U.S. DOT regulations (Common Rules) to the extent applicable:
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(1) Requirements Applicable On or After December 26, 2014. The following
requirements apply to the Award, the accompanying Underlying Agreement,
and any Amendments thereto signed by an authorized FTA official on or
after December 26, 2014 as follows:
(i) U.S. DOT regulations, “Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards,” 2 CFR Part
1201, which incorporates by reference U.S. OMB regulatory
guidance, “Uniform Administrative Requirements, Cost Principles,
and Audit Requirements for Federal Awards,” 2 CFR Part 200, and
which applies to an Award, the accompanying Underlying
Agreement, and any Amendments to any Underlying Agreement with
a state, local government, Indian tribe, institution of higher education
(IHE), or nonprofit organization; and
(ii) Except as FTA determines otherwise in writing, U.S. DOT
regulations, “Uniform Administrative Requirements, Cost Principles,
and Audit Requirements for Federal Awards,” 2 CFR Part 1201, and
subparts A through E of U.S. OMB regulatory guidance, “Uniform
Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards,” 2 CFR Part 200, apply to a
private for-profit entity; notably, the Cost Principles of Part 31 of the
Federal Acquisition Regulation, which permits the payment of profits
or fees for work under procurement contracts, generally will not apply
to private for-profit entities.
(2) Requirements Applicable Before December 26, 2014. The following
requirements apply to the Award, the accompanying Underlying Agreement,
and any Amendments thereto signed by an authorized FTA official before
December 26, 2014 as follows:
(i) For a state, local government, or Indian tribal government, U.S. DOT
regulations, “Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments,” former
49 CFR Part 18;
(ii) For an institution of higher education or a nonprofit organization,
U.S. DOT regulations, “Uniform Administrative Requirements for
Grants and Agreements with Institutions of Higher Education;
Hospitals, and Other Non-Profit Organizations,” former 49 CFR Part
19; or
(iii) For a private for-profit organization, U.S. DOT regulations, “Uniform
Administrative Requirements for Grants and Agreements with
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Institutions of Higher Education, Hospitals, and Other Non-profit
Organizations,” former 49 CFR Part 19.
(g) Application of Federal, State, and Local Laws, Regulations, Requirements, and
Guidance. The Recipient agrees to comply with all applicable federal requirements
and follow applicable federal guidance. All standards or limits are minimum
requirements when those standards or limits are included in the Recipient’s
Underlying Agreement or this Master Agreement. At the time the FTA official
awards federal assistance to the Recipient in support of the Underlying Agreement,
the federal requirements and guidance that apply then may be modified from time to
time, and will apply to the Recipient or the accompanying Underlying Agreement,
except as FTA determines otherwise in writing.
(h) The Recipient’s Responsibility to Comply with Federal Requirements. Irrespective of
involvement by any other entity in the Underlying Agreement:
(1) General. The Recipient agrees to comply with all federal
requirements that apply to itself and the Underlying Agreement.
(2) Primary Responsibility for Compliance.
(i) The Recipient, as the Direct Recipient of federal assistance, agrees
that it is ultimately responsible for full compliance with federal
requirements related to itself, its Award, the accompanying
Underlying Agreement, and any Amendments thereto, even though:
(A) A Third Party Participant provides property or services to
support a Project or related activities implementing the
Award, the accompanying Underlying Agreement, any
Amendments thereto; or
(B) Another entity or person is involved with the Award, the
accompanying Underlying Agreement, or any Amendments
thereto.
(ii) FTA and the Recipient agree that if FTA makes an Award to a
Recipient other than the Designated Recipient as defined under
49 U.S.C. § 5302, the Designated Recipient is not a party to the
Award or the Underlying Agreement and is not responsible for
compliance with federal requirements related to the Underlying
Agreement. However, if FTA makes an Award to a Designated
Recipient, then that Designated Recipient is responsible for
compliance with federal requirements related to its Underlying
Agreement. FTA and the Recipient further agree to the terms of the
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Designated Recipient’s Split Letter, Suballocation Letter, or
Government Subapportionment Letter attached in TrAMS, including
the amounts allocated by the Designated Recipient to each Direct
Recipient, and the commitment to comply with the associated transit
improvement requirement as stated in that letter.
(iii) Apart from other oversight and reviews FTA may conduct, the
Recipient agrees that FTA is expressly authorized to conduct
oversight of the Recipient’s and its Subrecipients’ compliance with
federal requirements for safety and security, procurement (including
Buy America requirements), management, and finance.
(i) The Recipient’s Responsibility to Extend Federal Requirements to Third Party
Participants. In certain circumstances, the Recipient’s compliance with specific
federal requirements depends on compliance by its Third Party Participant(s) with
those federal requirements, and therefore:
(1) General. The Recipient agrees to ensure that its Third Party Participant(s)
will comply with applicable federal requirements, and follow applicable
federal guidance.
(2) The Recipient as a “Pass-Through” Entity. If the Recipient is providing a
subaward to a Subrecipient to carry out all or part of its Award, the Recipient
agrees to obtain the agreement of each Subrecipient to comply with U.S.
DOT’s administrative requirements, as set forth above.
(3) Performance of the Recipient’s Responsibilities. If a Third Party Participant
is expected to fulfill any responsibilities typically performed by the
Recipient, the Recipient agrees to ensure that the Third Party Participant will
carry out the Recipient’s responsibilities in compliance with federal
requirements, and provide enough information to each Third Party
Participant so that it understands that it will be expected to follow federal
guidance.
(4) Risk. As provided in 2 CFR Part 1201, which incorporates by reference
2 CFR Part 200, the Recipient agrees to evaluate the risk involved before
awarding a subagreement to any entity.
(5) Third Party Agreements. To comply with federal requirements, the Recipient
agrees to enter into a written Third Party Agreement with each Third Party
Participant in its Underlying Agreement and must include all appropriate
provisions stating the Third Party Participant’s responsibilities to assure the
Recipient’s capability to comply with applicable federal requirements and
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guidance and specifying the responsibilities that the Third Party Participant
will fulfill on the Recipient’s behalf.
(6) Notice to Third Party Participants. The Recipient agrees to include notice in
each Third Party Agreement that:
(i) Federal requirements that apply to the Recipient or the Award, the
accompanying Underlying Agreement, and any Amendments thereto
may change due to changes in federal law, regulation, other
requirements, or guidance, or changes in the Recipient’s Underlying
Agreement including any information incorporated by reference and
made part of that Underlying Agreement; and
(ii) Applicable changes to those federal requirements will apply to each
Third Party Agreement and parties thereto at any tier.
(j) Changed Circumstances. The Recipient agrees that changed circumstances may
occur that may impact the Recipient’s ability to comply with the terms and
conditions of the Underlying Agreement.
(1) Types of Changes. Certain circumstances can cause significant changes in
performance of a Project or related activities or adversely affect the
Recipient’s ability to carry out its Underlying Agreement, such as:
(i) A change in federal requirements or guidance;
(ii) A change in state, territorial, local, or tribal requirements;
(iii) A change in the Recipient’s circumstances, including:
(A) Its legal, financial, technical, or managerial capacity;
(B) Its continuing control of Project property; or
(C) Another similar situation; and
(iv) Any current or prospective legal matter with potentially serious
consequences, including a major dispute, default, breach, or litigation,
or knowledge that the Recipient’s principal, official, employee, agent,
or a Third Party Participant, or other person has submitted a false
claim under the False Claims Act, 31 U.S.C. § 3729, et seq., or has
committed a criminal or civil violation of law pertaining to fraud,
conflict of interest, bribery, gratuity, or similar misconduct involving
federal assistance; suspension, debarment, or other similar
administrative or enforcement action against the Recipient or any
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Third Party Participant; or any matter or situation, including any other
change or legal action that may adversely affect the Federal
Government’s interest in a Project or related activities.
(2) Notice. In the circumstances described above, the Recipient agrees to provide
immediate written notice to the:
(i) FTA Regional Counsel for the Region in which the Recipient
operates public transportation or implements the Underlying
Agreement;
(ii) FTA Headquarters Manager that administers the Underlying
Agreement; or
(iii) FTA Chief Counsel.
(k) Conflict Between Federal Requirements and State, Territorial, Local, or Tribal
Requirements. FTA and the Recipient understand that a federal requirement may
conflict with a state, territorial, local, or tribal requirement, and agree that the
Recipient must comply with each applicable federal requirement that pre-empts the
conflicting state, territorial, local, or tribal requirement.
(1) Compliance with State, Territorial, Local or Tribal Requirements. Unless
otherwise pre-empted by a federal requirement, FTA and the Recipient agree
that:
(i) FTA expects the Recipient to comply with applicable state, territorial,
local, and tribal requirements; and
(ii) FTA does not require the Recipient to take any action involving the
Underlying Agreement that would violate a state, territorial, local, or
tribal requirement that conflicts with a federal requirement.
(2) When a Conflict Arises. When a federal requirement conflicts with a state,
territorial, local, or tribal requirement:
(i) The Recipient must notify FTA immediately in writing if compliance
with the federal requirement would violate a state, territorial, local, or
tribal requirement, or require the Recipient to violate a state,
territorial, local, or tribal requirement.
(ii) The Recipient must make appropriate arrangements with FTA to
proceed with its responsibilities as set forth in the Underlying
Agreement, or terminate the Underlying Agreement expeditiously, if
necessary.
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(l) No Federal Government Commitment or Liability to Third Parties. Except as the
Federal Government expressly consents in writing, the Recipient agrees that:
(1) The Federal Government does not and shall not have any commitment or
liability related to the Underlying Agreement, to any Third Party Participant
at any tier, or to any other person or entity that is not a party (FTA or the
Recipient) to the Underlying Agreement; and
(2) Notwithstanding that the Federal Government may have concurred in or
approved any Solicitation or Third Party Agreement at any tier that may
affect the Underlying Agreement, the Federal Government does not and shall
not have any commitment or liability to any Third Party Participant or other
entity or person that is not a party (FTA or the Recipient) to the Underlying
Agreement.
Section 4. Ethics, Political Activity, Disqualification, and Certain Criminal Activity.
(a) Standards of Conduct. At a minimum, the Recipient agrees to, and assures that its
Subrecipients will, establish and maintain written Standards of Conduct covering
conflicts of interest that:
(1) Apply to the following individuals who have a present or potential financial
interest, or other significant interest, such as a present or potential
employment interest in the selection, award, or administration of a third party
contract or subcontract:
(i) The Recipient or its Subrecipients’ officers, employees, board
members, or agents engaged in the selection, award, or administration
of any third party agreement;
(ii) The immediate family members or partners of those listed above in
section 4(a)(1)(i) of this Master Agreement; and
(iii) An entity or organization that employs or is about to employ any
person that has a relationship with the Recipient or its Subrecipient
listed above in sections 4(a)(1)(i) and (ii) of this Master Agreement;
(2) Prohibit those individuals listed above in section 4(a)(1) from:
(i) Engaging in any activities involving the Recipient’s or any of its
Subrecipients’ present or potential Third Party Participants at any tier,
including selection, award, or administration of a third party
agreement in which the individual has a present or potential financial
or other significant interest; and
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(ii) Accepting a gratuity, favor, or anything of monetary value from a
present or potential Third Party Participant in the Recipient’s
Underlying Agreement, unless the gift is unsolicited and has an
insubstantial financial or nominal intrinsic value; and
(3) Establish penalties, sanctions, or other disciplinary actions for violations, as
permitted by state or local law or regulations, that apply to those individuals
listed above in section 4(a)(1) and the Recipient’s or Subrecipient’s Third
Party Participants.
(b) Bonus or Commission. The Recipient affirms that it has not paid, and agrees that it
will not pay, any bonus or commission to obtain federal assistance for any Project or
related activities supported under the Underlying Agreement.
(c) Lobbying Restrictions. The Recipient agrees that neither it nor any Third Party
Participant will use federal assistance to influence any officer or employee of a
federal agency, member of Congress or an employee of a member of Congress, or
officer or employee of Congress on matters that involve the Underlying Agreement,
including any extension or modification, according to the following:
(1) Laws, Regulations, Requirements, and Guidance. This includes:
(i) The Byrd Anti-Lobbying Amendment, 31 U.S.C. § 1352, as
amended;
(ii) U.S. DOT regulations, “New Restrictions on Lobbying,” 49 CFR Part
20, to the extent consistent with 31 U.S.C. § 1352, as amended; and
(iii) Other applicable federal laws, regulations, requirements, and
guidance prohibiting the use of federal assistance for any activity
concerning legislation or appropriations designed to influence the
U.S. Congress or a state legislature; and
(2) Exception. If permitted by applicable federal law, regulations, requirements,
or guidance, such lobbying activities described above may be undertaken
through the Recipient’s or Subrecipient’s proper official channels.
(d) Political Activity. The Recipient agrees to comply with:
(1) The Hatch Act, 5 U.S.C. chapter 15, which limits the political activities of
state and local government agencies supported in whole or in part with
federal assistance, including the political activities of state and local
government officers and employees whose principal governmental
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employment activities are supported in whole or in part with federal
assistance;
(2) U.S. Office of Personnel Management regulations, “Political Activity of
State or Local Officers or Employees,” 5 CFR Part 151; and
(3) 49 U.S.C. § 5323(l)(2) and 23 U.S.C. § 142(g), which limits the applicability
of the Hatch Act, as follows:
(i) The Hatch Act does not apply to nonsupervisory employees of a
public transportation system, or any other agency or entity performing
related functions, based upon the Award of federal assistance under
49 U.S.C. chapter 53 or 23 U.S.C. § 142(a)(2); but
(ii) Notwithstanding the preceding section 4(e)(3)(ii) of this Master
Agreement, the Hatch Act does apply to a nonsupervisory employee
if imposed for a reason other than the Award of federal assistance to
its employer under 49 U.S.C. chapter 53 or 23 U.S.C. § 142(a)(2).
(e) False or Fraudulent Statements or Claims.
(1) Civil Fraud. The Recipient acknowledges and agrees that:
(i) Federal laws, regulations, and requirements apply to itself and its
Underlying Agreement, including the Program Fraud Civil Remedies
Act of 1986, as amended, 31 U.S.C. § 3801, et seq., and U.S. DOT
regulations, “Program Fraud Civil Remedies,” 49 CFR Part 31.
(ii) By executing the Underlying Agreement, the Recipient certifies and
affirms to the Federal Government the truthfulness and accuracy of
any claim, statement, submission, certification, assurance,
affirmation, or representation that the Recipient provides to the
Federal Government.
(iii) The Federal Government may impose the penalties of the Program
Fraud Civil Remedies Act of 1986, as amended, and other applicable
penalties if the Recipient presents, submits, or makes available any
false, fictitious, or fraudulent information.
(2) Criminal Fraud. The Recipient acknowledges that 49 U.S.C. § 5323(l)(1)
authorizes the Federal Government to impose the penalties under 18 U.S.C.
§ 1001 if the Recipient provides a false, fictitious, or fraudulent claim,
statement, submission, certification, assurance, or representation in
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connection with a federal public transportation program under 49 U.S.C.
chapter 53 or any other applicable federal law.
(f) Trafficking in Persons.
(1) Legal Authorities. The Recipient agrees to comply and assures the
compliance of each Subrecipient, with federal requirements and guidance,
including:
(i) Section 106(g) of the Trafficking Victims Protection Act of 2000
(TVPA), as amended, 22 U.S.C. § 7104(g); and
(ii) The terms of this section 4(f), which have been derived from U.S.
OMB regulatory guidance, “Award Term for Trafficking in Persons,”
2 CFR Part 175, per U.S. OMB’s direction.
(2) Definitions. The Recipient agrees that for purposes of this section 4(f):
(i) Employee means either an individual who is employed by the
Recipient or a Subrecipient, and is participating in a Project or related
activities as set forth in the Underlying Agreement, or another person
who is participating in a Project or related activities as set forth in the
Underlying Agreement and is not compensated by the Recipient,
including, but not limited to, a volunteer, or an individual whose
services are contributed by the Recipient or Third Party Participant as
an in-kind contribution toward the cost sharing requirements of the
Recipient’s Underlying Agreement.
(ii) Forced labor means labor obtained by recruitment, harboring,
transportation, provision, or other means of obtaining of a person for
labor or services through the use of force, fraud, or coercion for the
purpose of subjection to involuntary servitude, peonage, debt
bondage, or slavery.
(iii) Private entity means any entity other than a state, local government,
Indian tribe, or foreign public entity, as those terms are defined in
2 CFR § 175.25, and includes a for-profit organization, or a nonprofit
organization, including any nonprofit organization of higher
education, hospital, or tribal organization other than one included in
the definition of Indian Tribe at 2 CFR § 175.25(b).
(iv) Severe forms of trafficking in persons has the meaning given at
section 103 of the TVPA, as amended, 22 U.S.C. § 7102.
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(v) Commercial sex act has the meaning given at section 103 of the
TVPA, as amended, 22 U.S.C. § 7102.
(vi) Coercion has the meaning given at section 103 of the TVPA, as
amended, 22 U.S.C. § 7102.
(3) Provisions Applicable to All Recipients. The Recipient agrees to, and assures
that its Subrecipients will:
(i) Provide Information. Inform FTA immediately of any information it
receives from any source alleging a violation of the prohibitions listed
in section 4(f)(4) of this Master Agreement; and
(ii) Subagreement Provision. Include the following provision in any
subagreement it enters into with a private entity as defined above in
section 4(f)(2)(iii) of this Master Agreement:
XXX agrees that it and its employees that participate in the
Recipient’s Award, may not:
Engage in severe forms of trafficking in persons during the period of
time that the Recipient’s Award is in effect,
Procure a commercial sex act during the period of time that the
Recipient’s Award is in effect, or
Use forced labor in the performance of the Recipient’s Award or
subagreements thereunder.
(4) Provisions Applicable to a Private Entity Recipient. If the Recipient is a
private entity, it agrees that:
(i) Prohibitions. It, its employees, its Subrecipients, and its
Subrecipients’ employees that participate in the Underlying
Agreement will not:
(A) Engage in severe forms of trafficking in persons during the
period of time that the Recipient’s Underlying Agreement is in
effect;
(B) Procure a commercial sex act during the period of time that
the Recipient’s Underlying Agreement is in effect; or
(C) Use forced labor in the performance of the Recipient’s
Underlying Agreement or subagreements.
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(ii) Termination of Federal Assistance. Section 106(g) of the TVPA, as
amended, 22 U.S.C. § 7104(g), and U.S. OMB regulatory guidance,
“Award Term for Trafficking in Persons,” 2 CFR Part 175, provide
FTA the right to unilaterally terminate the Underlying Agreement for
a violation of that Act without penalty to the Federal Government, if
FTA determines that the private entity Recipient or its Subrecipient:
(A) Has violated a prohibition described above in section
4(g)(4)(i) of this Master Agreement; or
(B) Has an employee whose conduct is determined to have
violated a prohibition described above in section 4(g)(4)(i) of
this Master Agreement because that employee’s conduct is
either:
a. Associated with the performance of the Recipient’s
Underlying Agreement; or
b. Imputed to the Recipient or Subrecipient using the
standards of due process for conduct of an individual
to an organization provided in:
i. U.S. DOT regulations, “Nonprocurement
Suspension and Debarment,” 2 CFR Part 1200;
or
ii. U.S. OMB regulatory guidance, “Guidelines to
Agencies on Governmentwide Debarment and
Suspension (Nonprocurement),” 2 CFR Part
180.
(5) Provisions Applicable to a Recipient That is Not a Private Entity. A
Recipient that is not a private entity agrees that section 106(g) of the TVPA,
as amended, 22 U.S.C. § 7104(g), and U.S. OMB regulatory guidance,
“Award Term for Trafficking in Persons,” 2 CFR Part 175, provides FTA the
right to unilaterally terminate the Underlying Agreement, without penalty to
the Federal Government, for a violation of that Act if FTA determines that:
(i) A private entity that is the Subrecipient of the Recipient is determined
to have engaged in severe forms of trafficking in persons during the
period of time that the Recipient’s Underlying Agreement is in effect;
procured a commercial sex act during the period of time that the
Recipient’s Underlying Agreement is in effect; or used forced labor in
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the performance of the Recipient’s Underlying Agreement or
subagreements thereunder; or
(ii) An employee of a private entity that is the Subrecipient has engaged
in severe forms of trafficking in persons during the period of time that
the Recipient’s Underlying Agreement is in effect; procured a
commercial sex act during the period of time that the Recipient’s
Underlying Agreement is in effect; or used forced labor in the
performance of the Recipient’s Underlying Agreement or
subagreements thereunder, and whose conduct described above is
associated with the performance of the Recipient’s Underlying
Agreement; or is imputed to the Subrecipient using the standards for
due process to impute the conduct of an individual to an organization
as provided in U.S. OMB regulatory guidance, “Guidelines to
Agencies on Governmentwide Debarment and Suspension
(Nonprocurement),” 2 CFR Part 180, and U.S. DOT regulations,
“Nonprocurement Suspension and Debarment,” 2 CFR Part 1200.
(6) Remedies Other Than Termination of Federal Assistance. The Recipient
agrees that FTA’s right to terminate federal assistance as provided in the
TVPA and in sections 4(f)(4)(ii) and 4(f)(5) are in addition to all other
remedies for noncompliance available to the Federal Government under this
Master Agreement.
(g) Federal Tax Liability and Recent Felony Convictions.
(1) Transactions Prohibited.
(i) The Recipient agrees that, prior to entering into any Third Party
Agreement with any private corporation, partnership, trust, joint-stock
company, sole proprietorship, or other business association, the
Recipient will obtain from the prospective Third Party Participant a
certification that the Third Party Participant—
(A) Does not have any unpaid Federal tax liability that has been
assessed, for which all judicial and administrative remedies
have been exhausted or have lapsed, and that is not being paid
in a timely manner pursuant to an agreement with the
authority responsible for collecting the tax liability; and
(B) Was not convicted of the felony criminal violation under any
Federal law within the preceding 24 months.
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(ii) If the prospective Third Party Participant cannot so certify, the
Recipient agrees to refer the matter to FTA and not to enter into any
Third Party Agreement with the Third Party Participant without
FTA’s written approval.
(2) Flow-Down. The Recipient agrees to require all Third Party Participants to
flow this requirement down to participants at all lower tiers, without regard to
the value of any subagreement.
(h) Debarment and Suspension. The Recipient agrees to the following:
(1) It will comply with the following requirements of 2 CFR Part 180, subpart C,
as adopted and supplemented by U.S. DOT regulations at 2 CFR Part 1200.
(2) It will not enter into any “covered transaction” (as that phrase is defined at
2 CFR §§ 180.220 and 1200.220) with any Third Party Participant that is, or
whose principal is, suspended, debarred, or otherwise excluded from
participating in covered transactions, except as authorized by—
(i) U.S. DOT regulations, “Nonprocurement Suspension and
Debarment,” 2 CFR Part 1200;
(ii) U.S. OMB regulatory guidance, “Guidelines to Agencies on
Governmentwide Debarment and Suspension (Nonprocurement),”
2 CFR Part 180; and
(iii) Other applicable federal laws, regulations, or requirements regarding
participation with debarred or suspended Recipients or Third Party
Participants.
(3) It will review the U.S. GSA “System for Award Management – Lists of
Parties Excluded from Federal Procurement and Nonprocurement Programs,”
if required by U.S. DOT regulations, 2 CFR Part 1200.
(4) It will ensure that its Third Party Agreements contain provisions necessary to
flow down these suspension and debarment provisions to all lower tier
covered transactions.
(5) If the Recipient suspends, debars, or takes any similar action against a Third
Party Participant or individual, the Recipient will provide immediate written
notice to the:
(i) FTA Regional Counsel for the Region in which the Recipient is
located or implements the Underlying Agreement;
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(ii) FTA Headquarters Manager that administers the Grant or Cooperative
Agreement; or
(iii) FTA Chief Counsel.
Section 5. Federal Assistance.
(a) Total Federal Assistance Awarded and Obligated. The Recipient agrees that FTA’s
responsibility to provide federal assistance for its Underlying Agreement is up to the
amount shown in the Underlying Agreement, as modified by any Amendments
thereto, which is equal to the smallest of: (1) the maximum amount permitted by
federal law or regulation, or (2) the “Total FTA Amount Awarded and Obligated,” as
stated in the Underlying Agreement. FTA’s responsibility to provide federal
assistance is limited to the amounts listed in the most recent Award Budget identified
in the Underlying Agreement and may not exceed the federal share of the actual
eligible expenses incurred for participation in the Award.
(b) Basis of Federal Assistance. The Recipient agrees that the “Total FTA Amount
Awarded and Obligated” stated in the Underlying Agreement and modified by any
Amendments thereto is calculated based on the Net Project Cost or on another basis
as set forth below:
(1) “Net Project Cost.” The Recipient agrees that if federal law or regulation
requires an Underlying Agreement to be financed based on its “Net Project
Cost,” as defined in 49 U.S.C. § 5302:
(i) FTA will provide federal assistance for a percentage of the portion of
the “Total Award Budget” that the Recipient cannot reasonably
finance from its revenues, which is the “Net Project Cost;”
(ii) FTA will use the amount of the “Total Award Budget” stated on the
Underlying Agreement to calculate the “Total FTA Amount Awarded
and Obligated;” and
(iii) In TrAMS, the amount stated as the “Total Award Budget” on the
Underlying Agreement is actually the “Net Project Cost,” as defined
in 49 U.S.C. § 5302.
(2) Other Basis for FTA Participation. The Recipient agrees that if federal law or
FTA permits an Underlying Agreement to be financed on a basis other than
its “Net Project Cost,” as defined in 49 U.S.C. § 5302, or under previous
authorizing legislation:
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(i) FTA will provide federal assistance for all or part of the cost of the
Underlying Agreement that is eligible for federal assistance;
(ii) In some instances, FTA has discretion to determine the amount of
federal assistance to provide for each specific Project or related
activities; and
(iii) FTA will use the amount stated in the Underlying Agreement as the
“Total Award Budget” to calculate the “Total FTA Amount Awarded
and Obligated.”
(c) Award Budget. The Recipient agrees to prepare an Award Budget that, after FTA has
provided its approval, will be incorporated by reference and made part of the
Underlying Agreement.
(1) Restrictions. The Recipient agrees that it will not incur costs eligible for FTA
participation under the Award or withdraw federal assistance for eligible
costs incurred unless those costs are consistent with the Award Budget.
(2) Amendments to the Award Budget. To the extent specified in applicable FTA
program management guidance, the Recipient agrees that it must obtain prior
FTA approval in writing before amending its Award Budget or transferring
federal assistance for the Award if the transfer is not expressly authorized by
federal law, regulation, or guidance. An Award of additional federal
assistance will require an amended Award Budget.
(3) Revisions to the Award Budget. To the extent specified in applicable FTA
program management guidance, the Recipient may revise the Award Budget
without prior FTA written approval. The Recipient agrees that all other
Award Budget revisions will require prior FTA approval in writing.
(4) Unexpended Federal Assistance. The Recipient agrees to inform FTA
promptly if it believes it will have unexpended federal assistance after the
period of performance for the Award ends.
Section 6. Non-Federal Share.
(a) Amount. The Recipient agrees to provide the amount of non-federal share specified
in the Underlying Agreement. Except to the extent that FTA has provided its written
consent permitting the Recipient to defer payment of the non-federal share required
by the Underlying Agreement, the Recipient agrees to provide its proportionate
amount of the non- federal share no later than the time it draws down the federal
share to pay eligible costs.
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(b) Duty to Obtain. The Recipient agrees to complete all proceedings necessary to
provide the non-federal share and to notify FTA of any changed circumstances
adversely affecting its ability to pay the non-federal share, including a description of
the actions it has taken or will take to ensure adequate resources to provide the non-
federal share, and a re-affirmation of its commitment to provide the non-federal
share.
(c) Permissible Sources. The Recipient agrees that the following are permissible sources
of the non-federal share for the Award:
(1) Undistributed cash surpluses;
(2) A replacement or depreciation cash fund or reserve; and
(3) New capital.
(d) Restricted Sources. Because sources of non-federal share differ among FTA’s public
transportation assistance programs, FTA will specify in an FTA circular or otherwise
whether the following sources may be used as the non-federal share for a specific
Award under that program:
(1) Program income generated by a Project or related activities supported by a
prior Grant or Cooperative Agreement, which is a form of undistributed cash
surplus;
(2) Advertising revenues;
(3) Concession revenues;
(4) Revenues from a service agreement from a state or local social service
agency or a private social service organization;
(5) Third party in-kind contributions;
(6) Proceeds from the issuance of revenue bonds pursuant 49 U.S.C. § 5323(e);
(7) Transportation development credits (formerly toll revenue credits) pursuant
to 23 U.S.C. § 120(i);
(8) Revenue from Value Capture pursuant to 49 U.S.C. § 5323(s);
(9) Federal assistance made available for the Federal Lands Highway Program
authorized under 23 U.S.C. § 204; or
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(10) Federal assistance derived from other federal programs whose enabling laws
permit their funds to be used as the non-federal share.
(e) Prohibited Sources. Except as permitted by federal laws, regulations, requirements,
or guidance, or approved in writing by FTA, the Recipient agrees that it will not
provide any non-federal share for the Underlying Agreement derived from:
(1) Farebox revenues from providing public transportation services using
facilities and equipment acquired with federal assistance for the Award;
(2) Program income derived from the use of facilities or equipment acquired
with federal assistance for the Award, except if expressly permitted by
federal laws, regulations, requirements, or FTA guidance; or
(3) Other federal funds not authorized for use as non-federal share by federal
law, regulation, requirements, or guidance.
(f) Reductions or Refunds.
(1) Reductions. The Recipient agrees that if it reduces the non-federal share of
eligible costs required for the Award, then at the same time it must reduce the
proportionate amount of federal assistance for the Award.
(2) Refunds. The Recipient agrees that if it accepts a refund of the non-federal
share of eligible costs provided through the Underlying Agreement, then at
the same time it must provide the Federal Government an amount of that
refund proportionate to the federal contribution.
Section 7. Payments to the Recipient.
(a) Conditions for Accessing Federal Assistance. To seek or obtain federal assistance for
the costs of implementing the Award, the Recipient agrees that:
(1) It must execute the Underlying Agreement and any Amendments thereto;
(2) It must receive and file a properly signed document seeking payment for the
expense, such as a voucher or other appropriate record, and a properly
detailed description of the relationship of the expense to the Award;
(3) It must identify all sources of federal assistance from which the payment is
derived;
(4) It must provide FTA with all financial and progress reports required to date;
and
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(5) If the Recipient must provide a non-federal share, unless FTA has stated
otherwise in writing that the Recipient may defer the non-federal share:
(i) The Recipient will not request or obtain more federal assistance than
justified by the eligible non-federal share it has provided;
(ii) The Recipient will not cause the proportion of federal assistance
available for the Award at any time to exceed the percentage of
federal assistance authorized and documented in the Underlying
Agreement; and
(iii) When combined with federal payments, the Recipient will be able to
demonstrate that the non-federal share will be adequate to cover all
eligible costs incurred in support of the Award.
(b) Eligible Costs. Except as the Federal Government determines otherwise in writing,
the Recipient agrees, and will obtain the agreement of each Subrecipient, to seek and
obtain federal assistance only for the eligible costs of the Award that are:
(1) Consistent with the Description of Each Project, the Award Budget, this
Master Agreement, and the Underlying Agreement and any Amendments
thereto;
(2) Necessary to carry out the Award;
(3) Reasonable for the property or services acquired for use in the Project;
(4) The actual net costs, which consist of the price paid minus reductions of the
costs incurred, such as any refunds, rebates, or other items of value, but
excluding program income;
(5) Incurred for work performed after the Effective Date of the:
(i) Award;
(ii) Pre-award authority that FTA has provided; or
(iii) Letter of No Prejudice;
(6) Satisfactorily documented;
(7) Consistent with federally approved accounting principles and procedures,
including requirements for indirect costs, consistent with the applicable U.S.
DOT Common Rules; and
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(8) Consistent with applicable U.S. DOT Common Rules and other applicable
federal law, regulations, requirements, and guidance.
(c) Ineligible Costs. The Recipient agrees that, except as the Federal Government
determines otherwise in writing, FTA will exclude ineligible costs incurred in
connection with the Award or otherwise, such as:
(1) A cost the Recipient has incurred before the Effective Date of the Award as
documented in the Underlying Agreement or any Amendments thereto that is
not accompanied by FTA’s written approval, including, but not limited to,
pre-award authority or a Letter of No Prejudice, and permitted by applicable
federal law, regulation, guidance, or the Underlying Agreement or any
Amendments thereto;
(2) A cost not included in the most recent Award Budget;
(3) A cost for property or services received in connection with any third party
agreement lacking any FTA approval or concurrence in writing that is
required;
(4) An ordinary governmental or operating cost not applicable to the Award, as
prohibited by 49 U.S.C. § 5323(h)(1);
(5) A profit or fee for services provided by the Recipient or any of its
Subrecipients in implementing the Award; or
(6) A cost that is ineligible for FTA participation as provided in applicable
federal law, regulation, requirement, or guidance.
(d) Bond Interest and Other Financing Costs – Limited Eligibility. The Recipient agrees
that bond interest and other financing costs are allowable costs to the extent
permitted by applicable federal law, regulation, requirement, or guidance. FTA’s
share of interest and financing costs that implement the Award will be limited to an
amount that does not exceed the most favorable financing terms reasonably available
at the time of borrowing, except as the Federal Government determines otherwise in
writing.
(e) Payment Procedures Based on the Type of Federal Assistance Awarded. The
Recipient agrees that:
(1) All payments in connection with the Award will be made through electronic
methods.
(2) Payment procedures for a Recipient differ based upon the type of federal
assistance that is awarded.
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(3) FTA determines which electronic system it will use to make payments to the
Recipient as follows:
(i) For Grants and other types of federal assistance, FTA will use the
Electronic Clearinghouse Operation Web System (ECHO-Web),
Automated Clearing House (ACH) payment method, except as
provided below in sections 7(e)(3)(ii) and (iii) of this Master
Agreement;
(ii) For Cooperative Agreements, FTA will use the DELPHI eInvoicing
System or DELPHI Mark View System if the Recipient is granted a
waiver (see the following section 7(g) of this Master Agreement for
more information about payments for cooperative agreements and
section 7(g) of this Master Agreement for information about
accessing and using the DELPHI eInvoicing System); and
(iii) For Grants requiring more detailed review of supporting
documentation before receiving federal assistance and as determined
by the FTA Manager for the Underlying Agreement, FTA will use the
DELPHI eInvoicing System (see the following section 7(g) of this
Master Agreement for more information about accessing and using
the DELPHI eInvoicing System).
(f) Payment Procedures Using ECHO. The Recipient agrees that if payment is made
through ECHO-Web using an ECHO Control Number, it will comply with the “FTA
ECHO-Web User Manual,” April 2016, and it will withdraw federal assistance only
to pay the eligible costs of implementing the Award.
(1) Major Withdrawals. When a single withdrawal will exceed $50,000,000, the
Recipient agrees to notify the appropriate FTA Regional or Program Office at
least three (3) days before the withdrawal is anticipated.
(2) Immediate Use. The Recipient agrees that it will not withdraw federal
assistance until needed for immediate payment of those expenses and will use
that federal assistance to pay for expenses that implement the Award no later
than three (3) days after receipt, except as an authorized official of the
Federal Government permits otherwise in writing.
(3) Limits. The Recipient agrees that it will not withdraw more than the sum of
federal assistance the Federal Government has awarded or the current
available balance for its Award, the accompanying Underlying Agreement,
and any Amendments thereto, whichever is less.
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(4) Control. The Recipient agrees to provide for the control and accountability of
all federal assistance for its Award, the accompanying Underlying
Agreement, and any Amendments thereto.
(5) Reporting. Unless an authorized FTA official determines otherwise in
writing, the Recipient agrees to report its cash payments and balances
promptly.
(6) Penalties. If the Recipient fails to comply with this section of this Master
Agreement, it agrees that it may incur or be subjected to penalties, including,
but not limited to, the following:
(i) Access to ECHO-Web. The Federal Government may revoke or
suspend the Recipient’s ECHO Control Number and access to the
ECHO-Web if the Federal Government determines that:
(A) Fraud, waste, mismanagement, or abuse exists in the
Recipient’s use and application of federal assistance;
(B) The Recipient has failed to use federal assistance it withdrew
to pay costs incurred that implement the Underlying
Agreement within three (3) days of withdrawing that federal
assistance;
(C) The Recipient has failed to return withdrawn but unspent
federal assistance to the Federal Government within a
reasonable time;
(D) The Recipient has failed to establish procedures to minimize
the time between advances of federal assistance and payments
of costs incurred that implement the Underlying Agreement;
(E) The Recipient has been awarded Federal assistance through a
Cooperative Agreement with FTA and will use the eInvoicing
or DELPHI Mark View System as its payment method instead
of the ECHO-Web System (see section 7(g)); or
(F) For Grants requiring a more detailed review of supporting
documentation before receiving federal assistance, and as
determined by the FTA Manager for the Award, the Recipient
will use eInvoicing (see section 7(g)).
(ii) Interest. The Recipient agrees to pay interest to the Federal
Government on any federal assistance withdrawn prematurely,
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irrespective of whether the federal assistance has been deposited in an
interest-bearing account.
(A) A State or State Instrumentality. If the Recipient is a state or
state instrumentality, it agrees to pay interest calculated as
provided in section 5(b) of the Cash Management
Improvement Act of 1990, as amended, 31 U.S.C. § 6503(b),
and U.S. Department of Treasury (U.S. Treasury) regulations,
“Rules and Procedures for Efficient Federal-State Funds
Transfers,” 31 CFR Part 205.
(B) Other than a State or State Instrumentality. If the Recipient is
not a state or state instrumentality, it agrees to pay
prejudgment common law interest determined by the Federal
Government, as authorized by joint U.S. Treasury and U.S.
Department of Justice (joint U.S. Treasury and U.S. DOJ)
regulations, “Standards for the Administrative Collection of
Claims,” 31 C.F.R. § 901.9(i). The Federal Government may
determine the amount of interest due, based on the amount of
interest the Recipient demonstrates it earned on its premature
withdrawals of federal assistance, the amount of interest based
on the “Treasury tax and loan account” rate prescribed under
31 U.S.C. § 3717 for debts owed to the United States, or an
amount of interest as the Federal Government otherwise
determines.
(7) ECHO System. If the Recipient is authorized to receive payments provided
through ECHO-Web, FTA does not generally review the drawdown when
made; however, FTA may review the drawdown at a later time, and subject
that drawdown to an audit under a financial oversight review, a triennial
review, or another audit.
(g) Payment Procedures for a Cooperative Agreement. A Recipient of federal assistance
through a Cooperative Agreement must use the DELPHI eInvoicing System to
obtain federal payments for costs incurred that implement the Underlying
Agreement, unless a waiver is granted.
(1) Standard Procedures. To make and receive payments through the DELPHI
eInvoicing System, the procedures below must be followed:
(i) Access to the DELPHI eInvoicing System. To access the DELPHI
eInvoicing System, the Recipient:
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(A) Must have internet access to register and submit payment
requests through the DELPHI eInvoicing System;
(B) Should contact its FTA Manager for the Underlying
Agreement to obtain the required DELPHI User access form
and approval;
(C) Must complete the required form that the FAA, Enterprise
Service Center’s (ESC) Help Desk uses to verify the
Recipient’s identity, and present it to a Notary Public for
verification;
(D) Return that form, completed and notarized, to:
DOT Enterprise Services Center
FAA Accounts Payable, AMZ-100
PO Box 25710
Oklahoma City, OK 73125;
and
(E) Should contact its FTA Manager for the Underlying
Agreement with any changes to its system profile information.
(ii) Payment Requests. The Recipient must submit each payment request
electronically through the DELPHI eInvoicing System, unless a
waiver is granted; use of the DELPHI eInvoicing System requires the
FTA Manager for the Underlying Agreement to review all supporting
documentation before authorizing payment.
(iii) Additional Information. The U.S. DOT DELPHI elnvoicing System
website at http://www.dot.gov/cfo/delphi-einvoicing-system.html
displays additional information, including the access form and
training materials a Recipient may need.
(iv) Federal Responsibilities. When FTA so requests, the Federal
Aviation Administration (FAA) will make payments to FTA
Recipients electronically. On behalf of FTA, FAA/ESC must process
payment requests to a Recipient of federal assistance documented in
its Cooperative Agreement with FTA, and will deposit that federal
assistance with the Recipient’s financial institution (Note: FTA no
longer issues paper checks).
(2) Waiver Requests. On a case-by-case basis, U.S. DOT Financial Management
officials may waive the requirement for a Recipient to register and use the
DELPHI eInvoicing System.
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(i) The Recipient’s Responsibilities. If the Recipient seeks a waiver from
the requirement to use the DELPHI eInvoicing System:
(A) It must notify U.S. DOT and FTA by downloading the waiver
request form, which can be obtained on the U.S. DOT
elnvoicing website at http://www.dot.gov/cfo/delphi-
einvoicing-system.html, and notifying its FTA Manager for
the Underlying Agreement that it has requested a waiver from
using the DELPHI eInvoicing System;
(B) It must send its waiver request to the Director of the Office of
Financial Management, U.S. Department of Transportation,
Office of the Secretary (OST), Office of Financial
Management, B-30, 1200 New Jersey Avenue SE,
Washington DC 20590-0001
DOTElectroniclnvoicing@dot.gov; and
(C) If it obtains a waiver from the use of the DELPHI eInvoicing
System, then payment will be made using the DELPHI Mark
View System, and the Recipient should submit all invoices
and any supporting documentation directly to:
a. FTAinvoices@faa.gov (Note: no more than 10 MB of
data can be transmitted at one time. For invoices
greater than 10MB, split into multiple emails and
notate in the subject Email 1 of 4, 2 of 4, etc.); or
b. DOT/FAA (FTA Account)
6500 South MacArthur Blvd.
AMZ-150, HQ Room 272
PO Box 26904
Oklahoma City, OK 73125-69041
(ii) Federal Responsibilities. FTA and U.S. DOT have the following
responsibilities:
(A) The Director, OST, Office of Financial Management, will
confirm or deny the waiver request within approximately 30
days.
(B) If the request is granted, then payments will be made after
receipt of the required FTA reporting forms, provided the
Recipient has complied with the U.S. DOT Common Rules
and this Master Agreement.
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(iii) DELPHI eInvoicing System or DELPHI Mark View System. If the
Recipient receives payments provided through the DELPHI
eInvoicing System or DELPHI Mark View System, the Recipient
must submit a request for payment with adequate supporting
documentation for FTA to determine that:
(A) It has complied and is complying with the Underlying
Agreement;
(B) It has made and is making adequate progress toward
completion of the Award; and
(C) It has satisfied FTA that the federal assistance requested is
needed for the eligible purposes of the Award in that
requisition period.
(iv) Reimbursement. After it has demonstrated satisfactory compliance
with this section, FTA may reimburse the federal share of the
Recipient’s apparent allowable costs incurred or to be incurred in the
requisition period if those apparent allowable costs are consistent with
the Award Budget, and those apparent allowable costs do not exceed
the maximum amount of federal assistance that may be paid through
the federal fiscal year of that requisition.
(h) Safeguarding Federal Assistance. The Recipient agrees to deposit all federal
assistance it receives in a financial institution and in an insured account whenever
possible, and understands that FTA encourages it to use financial institutions owned
at least fifty (50) percent by minority group members.
(i) The Recipient’s Duty to Pay Eligible Costs. When accompanied by appropriate
documentation, the Recipient agrees to pay the eligible costs incurred that implement
the Award when due, using the available federal assistance provided for the Award
and the non- federal share.
(j) Effect of Federal Payments. The Recipient agrees that any federal payment made for
a cost incurred that is supported by its Underlying Agreement does not constitute the
Federal Government’s final decision about the eligibility of the cost for payment
with federal assistance provided through the Underlying Agreement, or a waiver of
any violation of any federal law, regulation, requirement, guidance, the Underlying
Agreement or this Master Agreement.
(k) Revocation of Federal Assistance. The Federal Government may revoke the
unexpended portion of federal assistance for the Award after the Award has been
made and executed.
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(l) Final Cost Determination. The Recipient acknowledges that the Federal Government
will not make a final determination about the eligibility of any cost until the audit of
the Award and Underlying Agreement has been completed.
(m) Closeout. The Recipient agrees that closeout of the Award will not alter:
(1) The Recipient’s obligation to return any amounts it owes the Federal
Government for later refunds, corrections, or other similar actions; and
(2) The Federal Government’s right to disallow costs and recover federal
assistance based on a later audit or other review.
(n) Notification. If the Federal Government determines that the Recipient is not entitled
to any portion of federal assistance paid, the Federal Government will notify the
Recipient in writing.
(o) Recovery of Improper Payments. Unless prohibited by federal law or regulation, the
Federal Government may recover any federal assistance necessary to satisfy any
outstanding monetary claims it may have against the Recipient.
(p) Program Income. The Recipient agrees that it may use its program income derived
from a Project receiving federal assistance through the Underlying Agreement as
FTA permits. In determining the total amount of program income a Recipient has
earned from its Project, those costs incident to earning program income that have not
been charged to the Award may be deducted from the Recipient’s gross income.
(1) During the Period of Performance. The Recipient may use program income
earned during the period of performance of the Underlying Agreement as
follows:
(i) The Recipient may retain the income for other capital or operating
public transportation expenses. If the Recipient chooses not to use
program income for current or future FTA Grants or Cooperative
Agreements or for other purposes ineligible for federal participation,
then the amount of program income used for purposes ineligible for
federal participation will be deducted from the total allowable costs to
determine the net allowable costs.
(ii) For each Public Transportation Innovation, Technical Assistance,
Workforce Development Project or Enhanced Mobility of Seniors and
Individuals with Disabilities project, or related activities, the
Recipient may add program income to the Award.
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(iii) Depending on federal statutory or regulatory restrictions, the
Recipient may use the program income for the non-federal share for a
future public transportation Project that will receive federal assistance
provided by FTA.
(2) After the Award Period. Except as FTA determines otherwise in writing, the
Recipient has no obligation to the Federal Government regarding the
disposition of program income earned after the end of the period of
performance of the Award (i.e., after the ending date of the final Federal
Financial Report).
(q) Profits. The Recipient and Subrecipient may earn or keep the profits it may derive as
a result of an Award, but the Recipient agrees that any such profits must be used in a
manner consistent with the provisions of this Master Agreement or applicable federal
guidance.
(r) Excess Payments, Disallowed Costs, Refunds, Claims, Debts, Interest, Penalties,
Administrative Charges, and Other Amounts Owed to the Federal Government.
(1) The Recipient’s Responsibility to Pay. The Recipient agrees that after
receiving notice of specific amounts due, it will pay the amount it owes the
Federal Government for:
(i) Excess federal payments for disallowed costs;
(ii) Refunds due and amounts recovered from third parties or other
sources;
(iii) Federal claims or debts;
(iv) Interest assessed;
(v) Penalties;
(vi) Administrative charges; or
(vii) Other amounts it owes the Federal Government.
(2) Amount of Interest Due. The amount of interest to be assessed depends on the
procedures used to pursue payment:
(i) The Debt Collection Act. When the Federal Government uses the
procedures of the Debt Collection Act of 1982, as amended, 31
U.S.C. § 3701, et seq., to collect claims or debts owed by the
Recipient for any reason authorized under that Act (including excess
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payments and disallowed costs), the Recipient agrees that the amount
of interest it will owe will be determined by the Joint U.S. Treasury
and U.S. DOJ regulations, “Standards for the Administrative
Collection of Claims,” 31 CFR Part 900, specifically 31 C.F.R.
§ 901.9(a) – (g), or common law interest authorized by 31 C.F.R.
§ 901.9(i), as the Federal Government determines.
(ii) Other Collection Processes. When the Federal Government uses
methods or procedures other than those described in 31 U.S.C.
§ 3701, et seq., to recover money(ies) the Recipient owes the Federal
Government, the Recipient agrees that common law interest will be
due as authorized by Joint U.S. Treasury and U.S. DOJ regulations,
“Standards for the Administrative Collection of Claims,” 31 C.F.R.
§ 901.9(i), but interest for premature withdrawals of federal assistance
by states or state instrumentalities will be calculated as required under
Section 5(b) of the Cash Management Improvement Act of 1990, as
amended, 31 U.S.C. § 6503(b), and U.S. Treasury regulations, “Rules
and Procedures for Efficient Federal-State Funds Transfers,” 31 CFR
Part 205.
(s) De-obligation of Federal Assistance. The Recipient agrees that the Federal
Government may de-obligate federal assistance the Recipient has not spent both
before and after closeout of the Award.
Section 8. Records and Reports Related to the Award and the Underlying Agreement.
(a) Records. The Recipient agrees to maintain satisfactory records of each Project and
activities related in whole or in part to its Award, the accompanying Underlying
Agreement, and any Amendments thereto to the extent FTA requires, including, but
not limited to:
(1) Financial Records. Accurate financial records in its account for its Award,
the accompanying Underlying Agreement, and any Amendments thereto,
including, but not limited to, records of:
(i) Assets Received that Implement the Award. The amount of all assets it
receives to implement its Award, the accompanying Underlying
Agreement, and any Amendments thereto including, but not limited to
all federal assistance or the value of any property the Federal
Government provides that implement its Award, the accompanying
Underlying Agreement, and any Amendments thereto, and all other
funds and the value of any property or services it has received from
sources other than the Federal Government provided for, accruing to,
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or otherwise received on account of its Award, the accompanying
Underlying Agreement, and any Amendments thereto.
(ii) Costs Incurred that Implement the Award. Information about the costs
incurred to implement its Award, the accompanying Underlying
Agreement, and any Amendments thereto, including all costs incurred
for the eligible property or services, detailed descriptions of the type
of property or services acquired, including, but not limited, to
properly executed payrolls, time records, invoices, contracts,
vouchers, and other appropriate records, and detailed justifications for
those costs.
(iii) Program Income. All program income derived from the use of Project
property, except income FTA determines to be exempt from federal
program income record requirements.
(2) Other Records Needed for Reports Related to the Award. Sufficient records
as needed to prepare adequate reports related to the Award that it must
submit to the Federal Government.
(3) Formats. Formats for records must be satisfactory to FTA and include, but
are not limited to, electronic records, including any emails related to the
Award, records on paper, and records created in other formats.
(4) Availability of Records Related to the Award. Accessibility for review and
separation from other records not related to the Award to the extent feasible
must be maintained.
(b) Reports. The Recipient agrees to provide to FTA, and others if FTA so directs, all
reports related in whole or in part required by applicable federal laws, regulations,
requirements, the Underlying Agreement, or at FTA’s express direction in the
number and format as FTA specifies.
(c) National Transit Database. For each fiscal year the Recipient receives or provides to
any public transportation operator federal assistance appropriated or made available
for 49 U.S.C. § 5307 (including the Passenger Ferry Grant Program) or any
provision of 49 U.S.C. § 5311 (including the Tribal Transit Program):
(1) Reporting Requirements. The Recipient agrees to, and assures that it will
require any person that receives benefits directly from its Award (including
the public transportation operators participating in its Award), the
accompanying Underlying Agreement, and any Amendments thereto:
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(i) To facilitate compliance with 49 U.S.C. § 5335(a), which authorizes
the National Transit Database (NTD);
(ii) To conform to the NTD reporting system and the Uniform System of
Accounts and Records;
(iii) To comply with FTA regulations, “Uniform System of Accounts and
Records and Reporting System,” 49 CFR Part 630;
(iv) To report when required to the National Transit Database in
accordance with FTA regulation 49 CFR Part 630, “National Transit
Database,” and applicable FTA instructions—
(A) Any information relating to a transit asset inventory or
condition assessment conducted by the Recipient;
(B) Any data on assaults on transit workers of the Recipient;
(C) Any data on fatalities that result from an impact with a bus;
and
(D) Such other information as FTA may require; and
(v) To comply with any other applicable reporting regulations, and
requirements, and
(vi) To follow FTA guidance.
(2) Voluntary Compliance. FTA encourages any Recipient that is not required to
provide information for the NTD, to provide that information voluntarily.
(d) U.S. OMB Special Reporting Requirements.
(1) Authority. U.S. OMB has issued regulatory guidance in 2 C.F.R. § 25.220
instructing federal agencies to include special “award terms” as authorized
under federal laws, including:
(i) The Federal Funding Accountability and Transparency Act of 2006
(FFATA), Public Law No. 109-282, September 26, 2006;
(ii) Section 6202 of the Department of Defense Appropriations Act for
Fiscal Year 2008, Public Law No. 110-252, June 30, 2008, which
amended the FFATA; and
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(iii) Section 872 of the Duncan Hunter National Defense Authorization
Act for Fiscal Year 2009, Public Law No. 110-417, October 14, 2008,
which further amended the FFATA.
(2) Universal Identifier and System for Award Management (SAM). The
Recipient agrees to comply with the award terms in U.S. OMB regulatory
guidance, “Universal Identifier and System for Award Management (SAM),”
2 CFR Part 25, appendix A, which FTA has included in this Master
Agreement at the direction of U.S. OMB:
(i) Requirements for the System for Award Management (SAM). Unless
exempted from SAM as provided in 2 C.F.R. § 25.110, the Recipient
agrees to:
(A) Maintain the currency of its information in SAM until the later
of the date it submits its final financial report required under
this Master Agreement, or the date it receives its final federal
payment for the Underlying Agreement; and
(B) Review and update its information in SAM at least annually
after the initial registration, and more frequently if required by
changes in its information, another provision of an applicable
federal or federally assisted agreement, or an applicable
federal law or regulation, or U.S. OMB regulatory guidance.
(ii) Requirement for a Unique Entity Identifier [Currently, the Data
Universal Numbering System (DUNS) Number for SAM]. If the
Award includes federal assistance intended to support subawards, the
Recipient agrees to notify each potential Subrecipient and other entity
participating in the Award that:
(A) The potential Subrecipient or entity must provide its unique
entity identifier for SAM [currently, its DUNS number] to the
Recipient;
(B) The Recipient may not make any subaward to any potential
Subrecipient or entity unless that Subrecipient or entity has
provided its unique entity identifier for SAM [currently, its
DUNS number] to the Recipient; and
(C) No Subrecipient or entity, as described below in section
8(d)(4) of this Master Agreement, may receive a subaward
provided through the Underlying Agreement, unless that
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entity has provided its unique entity identifier for SAM
[currently, its DUNS number] to the Recipient.
(3) Reporting Subawards and Executive Compensation. The Recipient agrees to
comply with the award terms in U.S. OMB regulatory guidance, “Reporting
Subaward and Executive Compensation Information,” 2 CFR Part 170,
appendix A, which FTA has included in this Master Agreement at the
direction of U.S. OMB.
(4) Reporting of First-Tier Subawards. The Recipient agrees that when it takes
an action that obligates $25,000 or more in federal assistance for a subaward,
it must report each such action as provided below, but it need not report an
obligation of $25,000 or more in federal assistance, if the Recipient is exempt
from U.S. OMB’s Special Reporting Requirements as provided below.
(i) Where and when to report. The Recipient agrees to report each
obligating action described below to http://www.fsrs.gov, and the
Recipient agrees to report subaward information no later than the end
of the month after the month in which the obligation was made, (for
example, if the obligation was made on October 1, 2015, the
obligation must be reported by no later than November 1, 2015).
(ii) What to report. The Recipient agrees to report the requisite
information about each obligating action required by the submission
instructions posted at http://www.usaspending.gov.
(iii) Reporting Total Compensation of the Recipient’s Executives. The
Recipient agrees to report the total compensation for each of its five
highest compensated executives for the preceding completed fiscal
year if:
(A) The total federal assistance authorized to date for the
Underlying Agreement is $25,000 or more; and
(B) In its preceding fiscal year, the Recipient:
a. Received 80 percent or more of its annual gross
revenues from federal assistance subject to the
Transparency Act, as defined in 2 C.F.R. § 170.320
(and subawards) and/or federal procurement contracts
(and subcontracts);
b. Received $25,000,000 or more in annual gross
revenues from federal assistance subject to the
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Transparency Act, as defined in 2 C.F.R. § 170.320
(and subawards) and/or federal procurement contracts
(and subcontracts); and
c. The public does not have access to information about
the compensation of the Recipient’s executives
through periodic reports filed under Section 13(a) of
the Securities Exchange Act of 1934, 15 U.S.C.
§ 78m(a), Section 15(d) of the Securities Exchange
Act of 1934, 15 U.S.C. § 78o(d), or Section 6104 of
the Internal Revenue Code of 1986, 26 U.S.C. § 6104
(to determine if the public has access to the
compensation information, see the U.S. Securities and
Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm).
(C) The Recipient agrees to report executive total compensation
described above as part of Recipient’s registration profile at
http://www.sam.gov, and by the end of the month after the
month in which the Underlying Agreement is executed and
annually thereafter.
(D) Reporting of Total Compensation of the Subrecipient’s
Executives. Unless exempt as provided below, the Recipient
agrees to report the names and total compensation of each of
its first-tier Subrecipient’s five highest compensated
executives for the Subrecipient’s preceding completed fiscal
year if:
a. It received 80 percent or more of its annual gross
revenues from federal assistance subject to the
Transparency Act, as defined in 2 C.F.R. § 170.320
(and subawards) and/or federal procurement contracts
(and subcontracts); and
b. It received $25,000,000 or more in annual gross
revenues from federal assistance subject to the
Transparency Act as defined in 2 C.F.R. § 170.320
(and subawards) and/or federal procurement contracts
(and subcontracts);
c. The public does not have access to information about
the compensation of the Subrecipient’s executives
through periodic reports filed under Section 13(a) of
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the Securities Exchange Act of 1934, 15 U.S.C.
§ 78m(a), Section 15(d) of the Securities Exchange
Act of 1934, 15 U.S.C. § 78o(d), or Section 6104 of
the Internal Revenue Code of 1986, 26 U.S.C. § 6104
(to determine if the public has access to the
compensation information, see the U.S. Securities and
Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm).
(E) The Recipient agrees to report the Subrecipient’s executives’
total compensation described above to FTA and elsewhere as
may be determined by the Federal Government, and by the
end of the month following the month during which the
Recipient makes the subaward (for example, if a subaward is
obligated on any date during the month of October of a given
year, i.e., between October 1 and 31, the Recipient must report
any required compensation information about the Subrecipient
by November 30 of that year).
(F) Any Recipient that had gross income under $300,000 from all
sources in the previous tax year is exempt from those federal
requirements to report subawards, and the total compensation
of the five highest compensated executives of any
Subrecipient.
(5) Recipient Integrity and Performance Matters. U.S. OMB regulatory
guidance, “Recipient Integrity and Performance Matters,” 2 CFR Part 200,
appendix XII, contains mandatory provisions that may affect the Recipient’s
reporting requirements.
(e) Closeout. The Recipient agrees that closeout of its Award does not alter the record-
keeping and reporting requirements of this section of this Master Agreement.
Section 9. Record Retention and Access to Sites of Performance.
(a) Types of Records. The Recipient agrees to retain, and will require its Third Party
Participants to retain, complete and readily accessible records related in whole or in
part to the Underlying Agreement, including, but not limited to, data, documents,
reports, statistics, subagreements, leases, third party contracts, arrangements, other
third party agreements of any type, and supporting materials related to those records.
(b) Retention Period. The Recipient agrees to comply with the record retention
requirements in the applicable U.S. DOT Common Rule. Records pertaining to its
Award, the accompanying Underlying Agreement, and any Amendments thereto
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must be retained from the day the Underlying Agreement was signed by the
authorized FTA official through the course of the Award, the accompanying
Underlying Agreement, and any Amendments thereto until three years after the
Recipient has submitted its last or final expenditure report, and other pending matters
are closed.
(c) Access to Recipient and Third Party Participant Records. The Recipient agrees, and
assures that each Subrecipient, if any, will agree to:
(1) Provide, and require its Third Party Participants at each tier to provide,
sufficient access to inspect and audit records and information related to its
Award, the accompanying Underlying Agreement, and any Amendments
thereto to the U.S. Secretary of Transportation or the Secretary’s duly
authorized representatives, to the Comptroller General of the United States,
and the Comptroller General’s duly authorized representatives, and to the
Recipient and each of its Subrecipients;
(2) Permit those individuals listed above to inspect all work and materials related
to its Award, and to audit any information related to its Award under the
control of the Recipient or Third Party Participant within books, records,
accounts, or other locations; and
(3) Otherwise comply with 49 U.S.C. § 5325(g), and federal access to records
requirements as set forth in the applicable U.S. DOT Common Rules.
(d) Access to the Sites of Performance. The Recipient agrees to permit, and to require its
Third Party Participants to permit, FTA to have access to the sites of performance of
its Award, the accompanying Underlying Agreement, and any Amendments thereto,
and to make site visits as needed in compliance with the U.S. DOT Common Rules.
(e) Closeout. Closeout of the Award does not alter the record retention or access
requirements of this section of this Master Agreement.
Section 10. Completion, Audit, Settlement, and Closeout.
(a) Completion. Within one hundred twenty (120) calendar days after completion or
termination of the Award, the Recipient agrees to submit; and within ninety (90)
calendar days after completion or termination of the Award (or an earlier date as
agreed upon by the pass-through entity and subrecipient), the subrecipient agrees to
submit to the pass-through entity:
(1) Its final Federal Financial Report, either electronically or on Federal
Financial Report Standard Form 425 (SF-425);
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(2) A certification of expenses incurred that implement its Award, the
accompanying Underlying Agreement, and any Amendments thereto; and
(3) The necessary audit reports of its Award, the accompanying Underlying
Agreement, and any Amendments thereto.
(b) Audit of the Recipient. Except as the Federal Government determines otherwise in
writing, the Recipient agrees that:
(1) Audits Required. It must obtain the following audits:
(i) Annual “Single Audit.” A financial and compliance audit consistent
with the requirements of the Single Audit Act Amendments of 1996,
31 U.S.C. § 7501, et seq., and applicable U.S. DOT “Single Audit”
requirements of 2 CFR Part 1201, which incorporate by reference
2 CFR Part 200, for each Award, the accompanying Underlying
Agreement, and any Amendments to any Underlying Agreement; and
(ii) Other Audits. Other audits the Federal Government may require.
(2) Auditing Standards. It must comply with the “Audit Requirements” of 2 CFR
Part 200, subpart F, and conform to U.S. Government Accountability Office
(U.S. GAO) “Government Auditing Standards” in the conduct of audits of its
Award, the accompanying Underlying Agreement, and any Amendments
thereto.
(3) Costs of Audits. The audit costs for the administration and management of the
Award, the accompanying Underlying Agreement, and any Amendments to
any Underlying Agreement are allowable to the extent authorized by the cost
principles of 49 CFR Part 1201, which incorporate by reference 2 CFR Part
200.
(c) Amounts Owed to the Federal Government. The Recipient agrees to return to the
Federal Government any excess federal payments it receives for disallowed costs,
and the Federal Government’s proportionate part of any amounts it recovers from
third parties or other sources, including refunds due and amounts recovered from
third parties or other sources, interest assessed, penalties, and administrative charges.
(d) Closeout. The Recipient agrees that closeout of the Award occurs when FTA notifies
the Recipient that the Award is closed, and approves the final federal payment, or
acknowledges receipt of the proper refund. Closeout of the Award does not alter the
Recipient’s audit responsibilities and does not invalidate any continuing
requirements of applicable federal law, regulations, or requirements, this Master
Agreement or the Underlying Agreement.
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Section 11. Right of the Federal Government to Terminate.
(a) Justification. After providing written notice to the Recipient, the Recipient agrees
that the Federal Government may suspend, suspend then terminate, or terminate all
or any part of the federal assistance for the Award if:
(1) The Recipient has failed to make reasonable progress implementing the
Award;
(2) The Federal Government determines that continuing to provide federal
assistance to support the Award does not adequately serve the purposes of the
law authorizing the Award; or
(3) The Recipient has violated the terms of the Underlying Agreement,
especially if that violation would endanger substantial performance of the
Underlying Agreement.
(b) Financial Implications. In general, termination of federal assistance for the Award
will not invalidate obligations properly incurred before the termination date to the
extent that those obligations cannot be canceled. The Federal Government may
recover the federal assistance it has provided for the Award, including the federal
assistance for obligations properly incurred before the termination date, if it
determines that the Recipient has misused its federal assistance by failing to make
adequate progress, failing to make appropriate use of the Project property, or failing
to comply with the Underlying Agreement, and require the Recipient to refund the
entire amount or a lesser amount, as the Federal Government may determine
including obligations properly incurred before the termination date.
(c) Expiration of the Period of Performance. Except for a Full Funding Grant
Agreement, expiration of any period of performance established for the Award does
not, by itself, constitute an expiration or termination of the Award; FTA may extend
the period of performance to assure that each Formula Project or related activities
and each Project or related activities funded with “no year” funds can receive FTA
assistance to the extent FTA deems appropriate.
(d) Uniform Administrative Requirements. These termination rights are in addition to
and in no way limit the Federal Government’s rights to terminate described in 2 CFR
§ 200.340.
Section 12. Civil Rights.
(a) Civil Rights Requirements. The Recipient agrees that it must comply with applicable
federal civil rights laws, regulations, and requirements, and follow applicable federal
guidance, except as the Federal Government determines otherwise in writing.
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Therefore, unless a Recipient or a federal program, including the Indian Tribe
Recipient or the Tribal Transit Program, is specifically exempted from a civil rights
statute, FTA requires compliance with each civil rights statute, including compliance
with equity in service requirements.
(b) Nondiscrimination in Federal Public Transportation Programs. The Recipient
agrees to, and assures that it and each Third Party Participant will:
(1) Prohibit discrimination based on race, color, religion, national origin, sex
(including sexual orientation and gender identity), disability, or age.
(2) Prohibit the:
(i) Exclusion from participation in employment or a business opportunity
for reasons identified in 49 U.S.C. § 5332;
(ii) Denial of program benefits in employment or a business opportunity
identified in 49 U.S.C. § 5332; or
(iii) Discrimination identified in 49 U.S.C. § 5332, including
discrimination in employment or a business opportunity identified in
49 U.S.C. § 5332.
(3) Follow:
(i) The most recent edition of FTA Circular 4702.1, “Title VI
Requirements and Guidelines for Federal Transit Administration
Recipients,” to the extent consistent with applicable federal laws,
regulations, requirements, and guidance; but
(ii) FTA does not require an Indian Tribe to comply with FTA program-
specific guidelines for Title VI when administering its Underlying
Agreement supported with federal assistance under the Tribal Transit
Program.
(c) Nondiscrimination – Title VI of the Civil Rights Act. The Recipient agrees to, and
assures that each Third Party Participant will:
(1) Prohibit discrimination based on race, color, or national origin,
(2) Comply with:
(i) Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C.
§ 2000d, et seq.;
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(ii) U.S. DOT regulations, “Nondiscrimination in Federally-Assisted
Programs of the Department of Transportation – Effectuation of Title
VI of the Civil Rights Act of 1964,” 49 CFR Part 21; and
(iii) Federal transit law, specifically 49 U.S.C. § 5332; and
(3) Follow:
(i) The most recent edition of FTA Circular 4702.1, “Title VI
Requirements and Guidelines for Federal Transit Administration
Recipients,” to the extent consistent with applicable federal laws,
regulations, requirements, and guidance;
(ii) U.S. DOJ, “Guidelines for the enforcement of Title VI, Civil Rights
Act of 1964,” 28 C.F.R. § 50.3; and
(iii) All other applicable federal guidance that may be issued.
(d) Equal Employment Opportunity.
(1) Federal Requirements and Guidance. The Recipient agrees to, and assures
that each Third Party Participant will, prohibit discrimination based on race,
color, religion, sex, sexual orientation, gender identity, or national origin,
and:
(i) Comply with Title VII of the Civil Rights Act of 1964, as amended,
42 U.S.C. § 2000e, et seq.;
(ii) Comply with Title I of the Americans with Disabilities Act of 1990,
as amended, 42 U.S.C. §§ 12101, et seq.;
(iii) Facilitate compliance with Executive Order No. 11246, “Equal
Employment Opportunity” September 24, 1965 (42 U.S.C. § 2000e
note), as amended by any later Executive Order that amends or
supersedes it in part and is applicable to federal assistance programs;
(iv) Comply with federal transit law, specifically 49 U.S.C. § 5332, as
provided in section 12 of this Master Agreement;
(v) FTA Circular 4704.1 “Equal Employment Opportunity (EEO)
Requirements and Guidelines for Federal Transit Administration
Recipients;” and
(vi) Follow other federal guidance pertaining to EEO laws, regulations,
and requirements.
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(2) Specifics. The Recipient agrees to, and assures that each Third Party
Participant will:
(i) Affirmative Action. If required to do so by U.S. DOT regulations
(49 CFR Part 21) or U.S. Department of Labor regulations (41 C.F.R.
chapter 60), take affirmative action that includes, but is not limited to:
(A) Recruitment advertising, recruitment, and employment;
(B) Rates of pay and other forms of compensation;
(C) Selection for training, including apprenticeship, and
upgrading; and
(D) Transfers, demotions, layoffs, and terminations; but
(ii) Indian Tribe. Recognize that Title VII of the Civil Rights Act of
1964, as amended, exempts Indian Tribes under the definition of
“Employer;” and
(3) Equal Employment Opportunity Requirements for Construction Activities.
Comply, when undertaking “construction” as recognized by the U.S.
Department of Labor (U.S. DOL), with:
(i) U.S. DOL regulations, “Office of Federal Contract Compliance
Programs, Equal Employment Opportunity, Department of Labor,”
41 C.F.R. chapter 60; and
(ii) Executive Order No. 11246, “Equal Employment Opportunity in
Federal Employment,” September 24, 1965, 42 U.S.C. § 2000e note
(30 Fed. Reg. 12319, 12935), as amended by any later Executive
Order that amends or supersedes it, referenced in 42 U.S.C. § 2000e
note.
(e) Disadvantaged Business Enterprise. To the extent authorized by applicable federal
laws, regulations, or requirements, the Recipient agrees to facilitate, and assures that
each Third Party Participant will facilitate, participation by small business concerns
owned and controlled by socially and economically disadvantaged individuals, also
referred to as “Disadvantaged Business Enterprises” (DBEs), in the Underlying
Agreement as follows:
(1) Statutory and Regulatory Requirements. The Recipient agrees to comply
with:
(i) Section 11101(e) of IIJA;
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(ii) U.S. DOT regulations, “Participation by Disadvantaged Business
Enterprises in Department of Transportation Financial Assistance
Programs,” 49 CFR Part 26; and
(iii) Federal transit law, specifically 49 U.S.C. § 5332, as provided in
section 12 of this Master Agreement.
(2) DBE Program Requirements. A Recipient that receives planning, capital
and/or operating assistance and that will award prime third party contracts
exceeding $250,000 in a federal fiscal year must have a DBE program that is
approved by FTA and meets the requirements of 49 CFR Part 26.
(3) Special Requirements for a Transit Vehicle Manufacturer (TVM). The
Recipient agrees that:
(i) TVM Certification. Each TVM, as a condition of being authorized to
bid or propose on FTA-assisted transit vehicle procurements, must
certify that it has complied with the requirements of 49 CFR Part 26;
and
(ii) Reporting TVM Awards. Within 30 days of any third party contract
award for a transit vehicle purchase, the Recipient must submit to
FTA the name of the TVM contractor and the total dollar value of the
third party contract using the Transit Vehicle Award Reporting Form
on FTA’s website. The Recipient must also submit additional
notifications if options are exercised in subsequent years to ensure
that the TVM is still in good standing.
(4) Assurance. As required by 49 C.F.R. § 26.13(a):
(i) Recipient Assurance. The Recipient agrees and assures that:
(A) It must not discriminate based on race, color, national origin,
or sex in the award and performance of any FTA or U.S.
DOT-assisted contract, or in the administration of its DBE
program or the requirements of 49 CFR Part 26;
(B) It must take all necessary and reasonable steps under 49 CFR
Part 26 to ensure nondiscrimination in the award and
administration of U.S. DOT-assisted contracts;
(C) Its DBE program, as required under 49 CFR Part 26 and as
approved by U.S. DOT, is incorporated by reference and made
part of the Underlying Agreement; and
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(D) Implementation of its DBE program approved by U.S. DOT is
a legal obligation and failure to carry out its terms shall be
treated as a violation of this Master Agreement.
(ii) Subrecipient/Third Party Contractor/Third Party Subcontractor
Assurance. The Recipient agrees and assures that it will include the
following assurance in each subagreement and third party contract it
signs with a Subrecipient or Third Party Contractor and agrees to
obtain the agreement of each of its Subrecipients, Third Party
Contractors, and Third Party Subcontractors to include the following
assurance in every subagreement and third party contract it signs:
(A) The Subrecipient, each Third Party Contractor, and each Third
Party Subcontractor must not discriminate based on race,
color, national origin, or sex in the award and performance of
any FTA or U.S. DOT-assisted subagreement, third party
contract, and third party subcontract, as applicable, and the
administration of its DBE program or the requirements of
49 CFR Part 26;
(B) The Subrecipient, each Third Party Contractor, and each Third
Party Subcontractor must take all necessary and reasonable
steps under 49 CFR Part 26 to ensure nondiscrimination in the
award and administration of U.S. DOT-assisted
subagreements, third party contracts, and third party
subcontracts, as applicable;
(C) Failure by the Subrecipient and any of its Third Party
Contractors or Third Party Subcontractors to carry out the
requirements of this subparagraph 12.e(4)(ii) is a material
breach of this subagreement, third party contract, or third
party subcontract, as applicable; and
(D) The following remedies, or such other remedy as the
Recipient deems appropriate, include, but are not limited to,
withholding monthly progress payments, assessing sanctions,
liquidated damages, and/or disqualifying the Subrecipient,
Third Party Contractor, or Third Party Subcontractor from
future bidding as non-responsible.
(5) Remedies. Upon notification to the Recipient of its failure to carry out its
approved program, FTA or U.S. DOT may impose sanctions as provided for
under 49 CFR Part 26, and, in appropriate cases, refer the matter for
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enforcement under either or both 18 U.S.C. § 1001, and/or the Program
Fraud Civil Remedies Act of 1986, 31 U.S.C. § 3801, et seq.
(f) Nondiscrimination on the Basis of Sex. The Recipient agrees to comply with federal
prohibitions against discrimination based on sex, including:
(1) Title IX of the Education Amendments of 1972, as amended, 20 U.S.C.
§ 1681, et seq.;
(2) U.S. DOT regulations, “Nondiscrimination on the Basis of Sex in Education
Programs or Activities Receiving Federal Financial Assistance,” 49 CFR Part
25; and
(3) Federal transit law, specifically 49 U.S.C. § 5332.
(g) Nondiscrimination on the Basis of Age. The Recipient agrees to comply with federal
prohibitions against discrimination based on age, including:
(1) The Age Discrimination in Employment Act, 29 U.S.C. §§ 621 – 634, which
prohibits discrimination based on age;
(2) U.S. Equal Employment Opportunity Commission (U.S. EEOC) regulations,
“Age Discrimination in Employment Act,” 29 CFR Part 1625;
(3) The Age Discrimination Act of 1975, as amended, 42 U.S.C. § 6101, et seq.,
which prohibits discrimination against individuals based on age in the
administration of Programs, Projects, and related activities receiving federal
assistance;
(4) U.S. Health and Human Services regulations, “Nondiscrimination on the
Basis of Age in Programs or Activities Receiving Federal Financial
Assistance,” 45 CFR Part 90; and
(5) Federal transit law, specifically 49 U.S.C. § 5332.
(h) Nondiscrimination on the Basis of Disability. The Recipient agrees to comply with
the following federal prohibitions against discrimination based on disability:
(1) Federal laws, including:
(i) Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C.
§ 794, which prohibits discrimination based on disability in the
administration of federally assisted Programs, Projects, or activities;
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(ii) The Americans with Disabilities Act of 1990 (ADA), as amended, 42
U.S.C. § 12101, et seq., which requires that accessible facilities and
services be made available to individuals with disabilities:
(A) For FTA Recipients generally, Titles I, II, and III of the ADA
apply; but
(B) For Indian Tribes, Titles II and III of the ADA apply, but Title
I of the ADA does not apply because it exempts Indian Tribes
from the definition of “employer;”
(iii) The Architectural Barriers Act of 1968, as amended, 42 U.S.C.
§ 4151, et seq., which requires that buildings and public
accommodations be accessible to individuals with disabilities;
(iv) Federal transit law, specifically 49 U.S.C. § 5332, which now
includes disability as a prohibited basis for discrimination; and
(v) Other applicable federal laws, regulations, and requirements
pertaining to access for seniors or individuals with disabilities.
(2) Federal regulations and guidance, including:
(i) U.S. DOT regulations, “Transportation Services for Individuals with
Disabilities (ADA),” 49 CFR Part 37;
(ii) U.S. DOT regulations, “Nondiscrimination on the Basis of Disability
in Programs and Activities Receiving or Benefiting from Federal
Financial Assistance,” 49 CFR Part 27;
(iii) Joint U.S. Architectural and Transportation Barriers Compliance
Board (U.S. ATBCB) and U.S. DOT regulations, “Americans With
Disabilities (ADA) Accessibility Specifications for Transportation
Vehicles,” 49 CFR Part 38;
(iv) U.S. DOT regulations, “Transportation for Individuals with
Disabilities: Passenger Vessels,” 49 CFR Part 39;
(v) U.S. DOJ regulations, “Nondiscrimination on the Basis of Disability
in State and Local Government Services,” 28 CFR Part 35;
(vi) U.S. DOJ regulations, “Nondiscrimination on the Basis of Disability
by Public Accommodations and in Commercial Facilities,” 28 CFR
Part 36;
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(vii) U.S. EEOC, “Regulations to Implement the Equal Employment
Provisions of the Americans with Disabilities Act,” 29 CFR Part
1630;
(viii) U.S. Federal Communications Commission regulations,
“Telecommunications Relay Services and Related Customer Premises
Equipment for Persons with Disabilities,” 47 CFR Part 64, subpart F;
(ix) U.S. ATBCB regulations, “Electronic and Information Technology
Accessibility Standards,” 36 CFR Part 1194;
(x) FTA regulations, “Transportation for Elderly and Handicapped
Persons,” 49 CFR Part 609;
(xi) FTA Circular 4710.1, “Americans with Disabilities Act: Guidance;”
and
(xii) Other applicable federal civil rights and nondiscrimination regulations
and guidance.
(i) Drug or Alcohol Abuse – Confidentiality and Other Civil Rights Protections. The
Recipient agrees to comply with the confidentiality and civil rights protections of:
(1) The Drug Abuse Office and Treatment Act of 1972, as amended, 21 U.S.C.
§ 1101, et seq.;
(2) The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment
and Rehabilitation Act of 1970, as amended, 42 U.S.C. § 4541, et seq.; and
(3) The Public Health Service Act, as amended, 42 U.S.C. §§ 290dd – 290dd-2.
(j) Access to Services for Persons with Limited English Proficiency. The Recipient
agrees to promote accessibility of public transportation services to persons with
limited understanding of English by following:
(1) Executive Order No. 13166, “Improving Access to Services for Persons with
Limited English Proficiency,” August 11, 2000, 42 U.S.C. § 2000d-1 note,
(65 Fed. Reg. 50121); and
(2) U.S. DOT Notice, “DOT Policy Guidance Concerning Recipients’
Responsibilities to Limited English Proficiency (LEP) Persons,” 70 Fed. Reg.
74087, December 14, 2005.
(k) Other Nondiscrimination Laws, Regulations, Requirements, and Guidance. The
Recipient agrees to comply with other applicable federal nondiscrimination laws,
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regulations, and requirements, and follow federal guidance prohibiting
discrimination.
(l) Remedies. Remedies for failure to comply with applicable federal Civil Rights laws,
regulations, and requirements, and failure to follow guidance may be enforced as
provided in those federal laws, regulations, requirements, or guidance.
(m) Promoting Free Speech and Religious Liberty. The recipient shall ensure that
Federal funding is expended in full accordance with the U.S. Constitution, Federal
Law, and statutory and public policy requirements: including, but not limited to,
those protecting free speech, religious liberty, public welfare, the environment, and
prohibiting discrimination.
Section 13. Planning.
(a) Standard Planning Provisions. The Recipient agrees to the following:
(1) Planning Requirements and Guidance. To assure that its Underlying
Agreement is consistent with the Planning requirements that apply, the
Recipient agrees to:
(i) Comply with the Metropolitan planning requirements of 49 U.S.C.
§ 5303, and joint FHWA and FTA regulations, “Planning and
Assistance Standards” (for Metropolitan Transportation Planning and
Programming), 23 CFR Part 450 and 49 CFR Part 613, to the extent
those regulations are consistent with the metropolitan planning
requirements of 49 U.S.C. § 5303;
(ii) Comply with the statewide and nonmetropolitan planning
requirements of 49 U.S.C. § 5304, and joint FHWA and FTA
regulations, “Planning and Assistance Standards” (for statewide
transportation planning and programming), 23 CFR Part 450 and
49 CFR Part 613, to the extent those regulations are consistent with
the state planning requirements of 49 U.S.C. § 5304; and
(iii) Follow any guidance FTA issues to implement requirements of 49
U.S.C. §§ 5303 and 5304.
(2) Participation of State or Local Governmental and Private Nonprofit
Providers of Nonemergency Transportation. The Recipient agrees to comply
with 49 U.S.C. § 5323(k) by assuring that it will, as feasible:
(i) Provide the opportunity to participate and coordinate with the
Recipient in the design and the delivery of federally assisted
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transportation services, and be included in planning for the
Recipient’s federally assisted transportation services; and
(ii) Make that opportunity available to federally-assisted state or local
governmental agencies and nonprofit organizations that receive
federal assistance for nonemergency transportation, but do not receive
federal assistance for nonemergency transportation from U.S. DOT.
(b) Tribal Transit Program Planning Provisions. The Indian Tribe agrees that:
(1) Planning Requirements. The federal assistance it receives for its Tribal
Transit Program will be consistent with its documents, including any formal
plan provided to FTA in support of the development and basis of its Award
of federal assistance under the Tribal Transit Program, and are or will be
coordinated with transportation service funded by other federal sources to the
maximum extent feasible.
(2) Participation of State or Local Governmental and Private Nonprofit
Providers of Nonemergency Transportation. The Recipient agrees to comply
with 49 U.S.C. § 5323(k) by assuring that it will, as feasible:
(i) Provide the opportunity to participate and coordinate with the
Recipient in the design and the delivery of federally assisted
transportation services, and be included in planning for the
Recipient’s federally assisted transportation services; and
(ii) Make that opportunity available to federally-assisted state or local
governmental agencies and nonprofit organizations that receive
federal assistance for nonemergency transportation, but do not receive
federal assistance for nonemergency transportation from U.S. DOT.
Section 14. Private Enterprise.
(a) Protections. The Recipient agrees to protect the interests of private enterprise
affected by federal public transportation programs by:
(1) Encouraging private enterprise to participate in the planning of public
transportation and programs that provide public transportation, to the extent
permitted under 49 U.S.C. § 5306; and
(2) Providing just compensation for the Project property it acquires, including
the franchises of private providers of public transportation, as required under
49 U.S.C. § 5323(a)(1)(C).
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(b) Infrastructure Investment. The Recipient agrees to follow the infrastructure
investment recommendations of:
(1) Executive Order No. 12803, “Infrastructure Privatization,” April 30, 1992, 31
U.S.C. § 501 note (57 Fed. Reg. 19,036); and
(2) Executive Order No. 12893, “Principles for Federal Infrastructure
Investments,” January 26, 1994, 31 U.S.C. § 501 note (59 Fed. Reg. 4233).
(c) Joint Development. If joint development is involved, the Recipient agrees to follow
the latest edition of FTA Circular 7050.1, “Federal Transit Administration Guidance
on Joint Development.”
Section 15. Preference for United States Products and Services.
Except as the Federal Government determines otherwise in writing, the Recipient agrees to
comply with FTA’s U.S. domestic preference requirements and follow federal guidance,
including:
(a) Buy America. The domestic preference procurement requirements of 49 U.S.C.
§ 5323(j), and FTA regulations, “Buy America Requirements,” 49 CFR Part 661, to
the extent consistent with 49 U.S.C. § 5323(j);
(b) Cargo Preference–Use of United States-Flag Vessels. The shipping requirements of
46 U.S.C. § 55305, and U.S. Maritime Administration regulations, “Cargo
Preference – U.S.-Flag Vessels,” 46 CFR Part 381; and
(c) Fly America. The air transportation requirements of Section 5 of the International
Air Transportation Fair Competitive Practices Act of 1974, as amended, 49 U.S.C.
§ 40118, and U.S. General Services Administration (U.S. GSA) regulations, “Use of
United States Flag Air Carriers,” 41 C.F.R. §§ 301-10.131 – 301-10.143.
(d) Uniform Administrative Requirements. Compliance with FTA’s Buy America
requirements shall be deemed to satisfy 2 CFR § 200.322, “Domestic Preferences for
Procurements.”
(e) Limitation on Certain Rolling Stock Procurements. The Recipient will comply with
the limitation on certain rolling stock procurements at 49 U.S.C. § 5323(u).
Section 16. Procurement.
(a) Federal Laws, Regulations, Requirements, and Guidance. The Recipient agrees:
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(1) To comply with the requirements of 49 U.S.C. chapter 53 and other
applicable federal laws, regulations, and requirements in effect now or later
that affect its third party procurements;
(2) To comply with the applicable U.S. DOT Common Rules; and
(3) To follow the most recent edition and any revisions of FTA Circular 4220.1,
“Third Party Contracting Guidance,” to the extent consistent with applicable
federal laws, regulations, requirements, and guidance.
(b) Full and Open Competition. The Recipient agrees to conduct all its third party
procurements using full and open competition as provided in 49 U.S.C. § 5325(a),
and as determined by FTA.
(c) Exclusionary or Discriminatory Specifications. The Recipient agrees that it will not
use any federal assistance under 49 U.S.C. chapter 53 for any procurement based on
exclusionary or discriminatory specifications, as provided in 49 U.S.C. § 5325(h),
unless authorized by other applicable federal laws, regulations, or requirements.
(d) Required Clauses in Third Party Contracts. In addition to other applicable
provisions of federal law, regulations, requirements, and guidance, all third party
contracts made by the Recipient under the Federal award must contain provisions
covering the following, as applicable:
(1) Simplified Acquisition Threshold. Contracts for more than the simplified
acquisition threshold, which is the inflation adjusted amount determined by
the Civilian Agency Acquisition Council and the Defense Acquisition
Regulations Council (Councils) as authorized by 41 U.S.C. § 1908, or
otherwise set by law, must address administrative, contractual, or legal
remedies in instances where contractors violate or breach contract terms, and
provide for such sanctions and penalties as appropriate. (Note that the
simplified acquisition threshold determines the procurement procedures that
must be employed pursuant to 2 C.F.R. §§ 200.317–200.327. The simplified
acquisition threshold does not exempt a procurement from other eligibility or
processes requirements that may apply. For example, Buy America’s
eligibility and process requirements apply to any procurement in excess of
$150,000. 49 U.S.C. § 5323(j)(13).)
(2) Termination. All contracts in excess of $10,000 must address termination for
cause and for convenience by the non-federal entity including the manner by
which it will be effected and the basis for settlement.
(3) Equal Employment Opportunity. Except as otherwise provided under 41 CFR
Part 60, all contracts that meet the definition of “federally assisted
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construction contract” in 41 CFR Part 60-1.3 must include the equal
opportunity clause provided under 41 C.F.R. § 60-1.4(b), in accordance with
Executive Order No. 11246, “Equal Employment Opportunity,” 42 U.S.C.
§ 2000e note (30 Fed. Reg. 12319, 12935, 3 C.F.R. 1964–1965 Comp., p.
339), as amended by Executive Order No. 11375, “Amending Executive
Order No. 11246 Relating to Equal Employment Opportunity,” (32 Fed. Reg.
14,303) and implementing regulations at 41 CFR Part 60, “Office of Federal
Contract Compliance Programs, Equal Employment Opportunity,
Department of Labor.”
(4) Davis-Bacon Act, as amended (40 U.S.C. §§ 3141 – 3148). When required by
federal program legislation, all prime construction contracts in excess of
$2,000 awarded by non-federal entities must include a provision for
compliance with the Davis-Bacon Act (40 U.S.C. §§ 3141 – 3144, and 3146
– 3148) as supplemented by Department of Labor regulations (29 CFR
Part 5, “Labor Standards Provisions Applicable to Contracts Covering
Federally Financed and Assisted Construction”). In accordance with the
statute, contractors must be required to pay wages to laborers and mechanics
at a rate not less than the prevailing wages specified in a wage determination
made by the Secretary of Labor. In addition, contractors must be required to
pay wages not less than once a week. The non-federal entity must place a
copy of the current prevailing wage determination issued by the Department
of Labor in each solicitation. The decision to award a contract or subcontract
must be conditioned upon the acceptance of the wage determination. The
non-federal entity must report all suspected or reported violations to the
federal awarding agency. The contracts must also include a provision for
compliance with the Copeland “Anti-Kickback” Act (40 U.S.C. § 3145), as
supplemented by Department of Labor regulations (29 CFR Part 3,
“Contractors and Subcontractors on Public Building or Public Work
Financed in Whole or in Part by Loans or Grants from the United States”).
The Act provides that each contractor or subrecipient must be prohibited
from inducing, by any means, any person employed in the construction,
completion, or repair of a public work, to give up any part of the
compensation to which he or she is otherwise entitled. The non-federal entity
must report all suspected or reported violations to the federal awarding
agency.
(5) Contract Work Hours and Safety Standards Act (40 U.S.C. §§ 3701 – 3708).
Where applicable, all contracts awarded by the non-federal entity in excess of
$100,000 that involve the employment of mechanics or laborers must include
a provision for compliance with 40 U.S.C. §§ 3702 and 3704, as
supplemented by Department of Labor regulations (29 CFR Part 5). Under 40
U.S.C. § 3702 of the Act, each contractor must be required to compute the
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wages of every mechanic and laborer based on a standard work week of 40
hours. Work in excess of the standard work week is permissible provided that
the worker is compensated at a rate of not less than one and a half times the
basic rate of pay for all hours worked in excess of 40 hours in the work week.
The requirements of 40 U.S.C. § 3704 are applicable to construction work
and provide that no laborer or mechanic must be required to work in
surroundings or under working conditions which are unsanitary, hazardous or
dangerous. These requirements do not apply to the purchases of supplies or
materials or articles ordinarily available on the open market, or contracts for
transportation or transmission of intelligence.
(6) Rights to Inventions Made Under a Contract or Agreement. If the federal
award meets the definition of “funding agreement” under 37 C.F.R.
§ 401.2(a) and the recipient or subrecipient wishes to enter into a contract
with a small business firm or nonprofit organization regarding the
substitution of parties, assignment or performance of experimental,
developmental, or research work under that “funding agreement,” the
recipient or subrecipient must comply with the requirements of 37 CFR Part
401, “Rights to Inventions Made by Nonprofit Organizations and Small
Business Firms Under Government Grants, Contracts and Cooperative
Agreements,” and any implementing regulations issued by the awarding
agency.
(7) Clean Air Act (42 U.S.C. §§ 7401 – 7671q.) and the Federal Water Pollution
Control Act (33 U.S.C. §§ 1251 – 1388), as amended. Contracts and
subgrants of amounts in excess of $150,000 must contain a provision that
requires the non-federal award to agree to comply with all applicable
standards, orders or regulations issued pursuant to the Clean Air Act
(42 U.S.C. §§ 7401 – 7671q) and the Federal Water Pollution Control Act as
amended (33 U.S.C. §§ 1251 – 1388). Violations must be reported to the
Federal awarding agency and the Regional Office of the Environmental
Protection Agency (EPA).
(8) Debarment and Suspension (Executive Orders 12549 and 12689). A covered
transaction (see 2 C.F.R. §§ 180.220 and 1200.220) must not be entered into
with any party listed on the governmentwide exclusions in the System for
Award Management (SAM), in accordance with the OMB guidelines at
2 C.F.R. 180 that implement Executive Orders 12549 (31 U.S.C. § 6101 note,
51 Fed. Reg. 6370,) and 12689 (31 U.S.C. § 6101 note, 54 Fed. Reg. 34131),
“Debarment and Suspension.” SAM Exclusions contains the names of parties
debarred, suspended, or otherwise excluded by agencies, as well as parties
declared ineligible under statutory or regulatory authority other than
Executive Order 12549. The Recipient agrees to include, and require each
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Third Party Participant to include, a similar provision in each lower tier
covered transaction, ensuring that each lower tier Third Party Participant:
(i) Complies with federal debarment and suspension requirements; and
(ii) Reviews the SAM at https://www.sam.gov, if necessary to comply
with U.S. DOT regulations, 2 CFR Part 1200.
(9) Restrictions on Lobbying (31 U.S.C. § 1352). Contractors that apply or bid
for an award exceeding $100,000 must file the certification required by
49 CFR Part 20. Each tier certifies to the tier above that it will not and has
not used federal appropriated funds to pay any person or organization for
influencing or attempting to influence an officer or employee of any agency,
a member of Congress, officer or employee of Congress, or an employee of a
member of Congress in connection with obtaining any federal contract, grant
or any other award covered by 31 U.S.C. § 1352. Each tier must also disclose
any lobbying with non-federal funds that takes place in connection with
obtaining any Federal award. Such disclosures are forwarded from tier to tier
up to the non-federal award.
(10) Solid Wastes. A Recipient that is a state agency or agency of a political
subdivision of a state and its contractors must comply with section 6002 of
the Solid Waste Disposal Act, as amended by the Resource Conservation and
Recovery Act. The requirements of Section 6002 include procuring only
items designated in guidelines of the Environmental Protection Agency
(EPA) at 40 CFR Part 247 that contain the highest percentage of recovered
materials practicable, consistent with maintaining a satisfactory level of
competition, where the purchase price of the item exceeds $10,000 or the
value of the quantity acquired during the preceding fiscal year exceeded
$10,000; procuring solid waste management services in a manner that
maximizes energy and resource recovery; and establishing an affirmative
procurement program for procurement of recovered materials identified in
the EPA guidelines.
(e) Geographic Restrictions. The Recipient agrees that it will not use any state or local
geographic preference, except as permitted by federal law (for example,
Section 25019 of the Infrastructure Investment and Jobs Act of 2021, Pub. L. 117-
58), regulation, requirement, or guidance.
(f) In-State Bus Dealer Restrictions. The Recipient agrees that any state law requiring
buses to be purchased through in-state dealers will not apply to purchases of vehicles
supported with federal assistance appropriated or made available for 49 U.S.C.
chapter 53, as provided in 49 U.S.C. § 5325(i).
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(g) Organizational Conflict of Interest. The Recipient agrees that it will not enter into a
procurement that involves a real or apparent organizational conflict of interest.
(h) Project Labor Agreements. As a condition of a third party contract award, the
Recipient may require the Third Party Contractor or Subcontractor to have an
affiliation with a labor organization, such as a Project Labor Agreement, consistent
with Executive Order No. 13502, “Use of Project Labor Agreements for Federal
Construction Projects,” February 6, 2009 (74 Fed. Reg. 6985).
(i) Force Account. The Recipient agrees that FTA may determine the extent to which
Federal assistance may be used to participate in force account costs.
(j) FTA Technical Review. The Recipient agrees that FTA may review and approve the
Recipient’s technical specifications and requirements to the extent FTA believes
necessary to ensure proper administration of the Underlying Agreement.
(k) Relationship of the Award to Third Party Contract Approval. The Recipient agrees
that the terms of the Underlying Agreement do not, by themselves, constitute
approval of any non- competitive third party contract associated with the Award,
unless FTA indicates otherwise in writing.
(l) National Intelligent Transportation Systems Architecture and Standards. The
Recipient agrees to conform to the National Intelligent Transportation Systems (ITS)
Architecture requirements of 23 U.S.C. § 517(d), unless it obtains an exemption
from those requirements, and to follow FTA Notice, “FTA National ITS
Architecture Policy on Transit Projects,” 66 Fed. Reg. 1455, January 8, 2001, and all
other applicable federal guidance.
(m) Rolling Stock. The Recipient agrees that any procurement for rolling stock will
comply with 49 U.S.C. § 5325 (Contract Requirements), 49 U.S.C. § 5323(j) (Buy
America Requirements), 49 U.S.C. § 5323(m) (Pre-Award and Post Delivery
Requirements), and 49 U.S.C. § 5318(e) (Bus Testing Requirements), 49 U.S.C.
§ 5323(u) (limitation on certain rolling stock procurements), and their implementing
regulations.
(n) Bonding. The Recipient agrees to comply with the following bonding requirements
and restrictions as provided in federal regulations and guidance:
(1) Construction. As provided in federal regulations and modified by FTA
guidance, for each Project or related activities implementing the Underlying
Agreement that involve construction, it will provide bid guarantee bonds,
contract performance bonds, and payment bonds.
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(2) Activities Not Involving Construction. For each Project or related activities
implementing the Underlying Agreement not involving construction, the
Recipient will not impose excessive bonding and will follow FTA guidance.
(o) Architectural Engineering and Related Services. When procuring architectural
engineering or related services supported with federal assistance appropriated or
made available for 49 U.S.C. chapter 53 or provided in any other law requiring the
Award to be administered under 49 U.S.C. chapter 53, the Recipient agrees to
comply and assures that each of its Subrecipients will comply with 49 U.S.C.
§ 5325(b).
(p) Design-Build Projects. As provided in 49 U.S.C. § 5325(d), the Recipient may use a
design- build procurement to carry out its Design-Build Project, provided that it
complies with applicable federal laws, regulations, and requirements, and follows
federal guidance.
(q) Award to Other than the Lowest Bidder. As permitted under 49 U.S.C. § 5325(c), the
Recipient may award a third party contract to other than the lowest bidder, if that
award furthers an objective (for example, improved long-term operating efficiency
and lower long- term costs) consistent with the purposes of 49 U.S.C. chapter 53 and
any implementing federal regulations, requirements, or guidance that FTA may
issue.
(r) Award to Responsible Third Party Contractors. The Recipient agrees to award third
party contracts only to contractors able to carry out the procurement successfully, as
provided in 49 U.S.C. § 5325(j), and before awarding a third party contract, it will
consider the proposed contractor’s integrity, compliance with public policy, past
performance, and financial and technical resources.
(s) Access to Third Party Contract Records. The Recipient agrees to require, and
assures that each of its Subrecipients will require, its Third Party Contractors at each
tier to provide:
(1) The U.S. Secretary of Transportation and the Comptroller General of the
United States, the state, or their duly authorized representatives, access to all
third party contract records (at any tier) as required under 49 U.S.C.
§ 5325(g); and
(2) Sufficient access to all third party contract records (at any tier) as needed for
compliance with applicable federal laws, regulations, and requirements or to
assure proper management of Underlying Agreement as determined by FTA.
(t) Electronic and Information Technology. The Recipient agrees that reports or
information it provides to or on behalf of the Federal Government will use electronic
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or information technology that complies with the accessibility requirements of
Section 508 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794d, and
U.S. ATBCB regulations, “Electronic and Information Technology Accessibility
Standards,” 36 CFR Part 1194.
(u) Veterans Preference. As provided in 49 U.S.C. § 5325(k), to the extent practicable,
the Recipient agrees and assures that each of its Subrecipients:
(1) Will give a hiring preference to veterans, as defined in 5 U.S.C. § 2108, who
have the skills and abilities required to perform construction work required
under a third party contract in connection with a Capital Project supported
with federal assistance appropriated or made available for 49 U.S.C.
chapter 53; and
(2) Will not require an employer to give a preference to any veteran over any
equally qualified applicant who is a member of any racial or ethnic minority,
female, an individual with a disability, or a former employee.
(v) Acquisition by Lease. The Recipient agrees that if it intends to acquire Project
property through a lease it will comply, as applicable, with 49 U.S.C. chapter 53 and
section 3019 of the FAST Act.
(w) Bid Protests. The Recipient agrees to provide FTA, as part of the annual or quarterly
Milestone Progress Report, with a list of all bid protests and appeals for solicitations
or contracts in excess of $500,000. The Recipient also should be mindful of the
requirement in Section 39, Disputes, that the Recipient must promptly notify the
FTA Chief Counsel, or FTA Regional Counsel for the Region in which the Recipient
is located, of significant current or prospective legal matters that may affect the
Federal Government.
Section 17. Patent Rights.
(a) General. The Recipient agrees that:
(1) Depending on the nature of the Underlying Agreement, the Federal
Government may acquire patent rights when the Recipient or Third Party
Participant produces a patented or patentable invention, improvement, or
discovery;
(2) The Federal Government’s rights arise when the patent or patentable
information is conceived or reduced to practice with federal assistance
provided through the Underlying Agreement; or
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(3) When a patent is issued or patented information becomes available as
described in the preceding section 17(a)(2) of this Master Agreement, the
Recipient will notify FTA immediately and provide a detailed report
satisfactory to FTA.
(b) Federal Rights. The Recipient agrees that:
(1) Its rights and responsibilities and each Third Party Participant’s rights and
responsibilities in that federally assisted invention, improvement, or
discovery will be determined as provided in applicable federal laws,
regulations, requirements, and guidance, including any waiver thereof; and
(2) Unless the Federal Government determines otherwise in writing, irrespective
of its status or the status of any Third Party Participant as a large business,
small business, state government, state instrumentality, local government,
Indian tribe, nonprofit organization, institution of higher education, or
individual, the Recipient will transmit the Federal Government’s patent rights
to FTA, as specified in 35 U.S.C. § 200, et seq., and U.S. Department of
Commerce regulations, “Rights to Inventions Made by Nonprofit
Organizations and Small Business Firms Under Government Grants,
Contracts and Cooperative Agreements,” 37 CFR Part 401.
(c) License Fees and Royalties. Consistent with the applicable U.S. DOT Common
Rules, the Recipient agrees that license fees and royalties for patents, patent
applications, and inventions produced with federal assistance provided through the
Underlying Agreement are program income, and must be used in compliance with
applicable federal requirements.
Section 18. Rights in Data and Copyrights.
(a) Definition of “Subject Data.” As used in this section, “subject data” means recorded
information, whether or not copyrighted, that is delivered or specified to be delivered
as required by the Underlying Agreement. Examples of subject data include, but are
not limited to computer software, standards, specifications, engineering drawings
and associated lists, process sheets, manuals, technical reports, catalog item
identifications, and related information, but do not include financial reports, cost
analyses, or other similar information used for performance or administration of the
Underlying Agreement.
(b) General Federal Restrictions. The following restrictions apply to all subject data
first produced in the performance of the Underlying Agreement:
(1) Prohibitions. The Recipient may not publish or reproduce any subject data, in
whole, in part, or in any manner or form, or permit others to do so.
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(2) Exceptions. The prohibitions do not apply to publications or reproductions
for the Recipient’s own internal use, an institution of higher learning, the
portion of subject data that the Federal Government has previously released
or approved for release to the public, or the portion of data that has the
Federal Government’s prior written consent for release.
(c) Federal Rights in Data and Copyrights. The Recipient agrees that:
(1) General. It must provide a license to its subject data to the Federal
Government that is royalty-free, non-exclusive, and irrevocable. The Federal
Government’s license must permit the Federal Government to reproduce,
publish, or otherwise use the subject data or permit other entities or
individuals to use the subject data provided those actions are taken for
Federal Government purposes; and
(2) U.S. DOT Public Access Plan – Copyright License. The Recipient grants to
U.S. DOT a worldwide, non-exclusive, non-transferable, paid-up, royalty-
free copyright license, including all rights under copyright, to any and all
Publications and Digital Data Sets as such terms are defined in the U.S. DOT
Public Access plan, resulting from scientific research funded either fully or
partially by this funding agreement. The Recipient herein acknowledges that
the above copyright license grant is first in time to any and all other grants of
a copyright license to such Publications and/or Digital Data Sets, and that
U.S. DOT shall have priority over any other claim of exclusive copyright to
the same.
(d) Special Federal Rights in Data for Research, Development, Demonstration,
Deployment, Technical Assistance, and Special Studies Programs. In general, FTA’s
purpose in providing federal assistance for a research, development, demonstration,
deployment, technical assistance, or special studies program is to increase
transportation knowledge, rather than limit the benefits of the Award to the Recipient
and its Third Party Participants. Therefore, the Recipient agrees that:
(1) Publicly Available Report. When an Award providing federal assistance for
any of the programs described above is completed, it must provide a report of
the Underlying Agreement that FTA may publish or make available for
publication on the Internet.
(2) Other Reports. It must provide other reports related to the Award that FTA
may request.
(3) Availability of Subject Data. FTA may make available its copyright license to
the subject data, and a copy of the subject data to any FTA Recipient or any
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Third Party Participant at any tier, except as the Federal Government
determines otherwise in writing.
(4) Identification of Information. It must identify clearly any specific
confidential, privileged, or proprietary information submitted to FTA.
(5) Incomplete. If the Award is not completed for any reason whatsoever, all data
developed with federal assistance for the Award becomes subject data and
must be delivered as the Federal Government may direct.
(6) Exception. This section does not apply to an adaptation of any automatic data
processing equipment or program that is both for the Recipient’s use, and
acquired with FTA capital program assistance.
(e) License Fees and Royalties. Consistent with the applicable U.S. DOT Common
Rules, the Recipient agrees that license fees and royalties for patents, patent
applications, and inventions produced with federal assistance provided through the
Underlying Agreement are program income, and must be used in compliance with
federal applicable requirements.
(f) Hold Harmless. Upon request by the Federal Government, the Recipient agrees that
if it intentionally violates any proprietary rights, copyrights, or right of privacy, and
if its violation under the preceding section occurs from any of the publication,
translation, reproduction, delivery, use or disposition of subject data, then it will
indemnify, save, and hold harmless the Federal Government against any liability,
including costs and expenses of the Federal Government’s officers, employees, and
agents acting within the scope of their official duties. The Recipient will not be
required to indemnify the Federal Government for any liability described in the
preceding sentence, if the violation is caused by the wrongful acts of federal officers,
employees or agents, or if indemnification is prohibited or limited by applicable state
law.
(g) Restrictions on Access to Patent Rights. Nothing in this section of this Master
Agreement pertaining to rights in data either implies a license to the Federal
Government under any patent, or may be construed to affect the scope of any license
or other right otherwise granted to the Federal Government under any patent.
(h) Data Developed Without Federal Assistance or Support. The Recipient agrees that in
certain circumstances it may need to provide to FTA data developed without any
federal assistance or support. Nevertheless, this section generally does not apply to
data developed without federal assistance, even though that data may have been used
in connection with the Award. The Recipient agrees that the Federal Government
will not be able to protect data developed without federal assistance from
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unauthorized disclosure unless that data is clearly marked “Proprietary,” or
“Confidential.”
(i) Requirements to Release Data. The Recipient understands and agrees that the
Federal Government may be required to release data and information that the
Recipient submits to the Federal Government as required under:
(1) The Freedom of Information Act (FOIA), 5 U.S.C. § 552;
(2) The U.S. DOT Common Rules;
(3) The U.S. DOT Public Access Plan, which provides that the Recipient agrees
to satisfy the reporting and compliance requirements as set forth in the U.S.
DOT Public Access plan, including, but not limited to, the submission and
approval of a Data Management Plan, the use of Open Researcher and
Contributor ID (ORCID) numbers, the creation and maintenance of a
Research Project record in the Transportation Research Board’s (TRB)
Research in Progress (RiP) database, and the timely and complete submission
of all required publications and associated digital data sets as such terms are
defined in the DOT Public Access plan. Additional information about how to
comply with the requirements can be found at
http://ntl.bts.gov/publicaccess/howtocomply.html; or
(4) Other federal laws, regulations, requirements, and guidance concerning
access to records pertaining to the Award, the accompanying Underlying
Agreement, and any Amendments thereto.
Section 19. Use of Real Property, Equipment, and Supplies.
(a) Federal Interest. The Recipient agrees that the Federal Government retains a federal
interest in all real property, equipment, and supplies acquired or improved for use in
connection with a Project (Project property) until, and to the extent that, the Federal
Government removes its federal interest.
(b) FTA Requirements and Guidance for Use of Project Property. The Recipient agrees
that:
(1) Satisfactory Continuing Control. It will maintain continuing control of the
use of its Project property as satisfactory to FTA, which is defined as the
legal assurance that Project property will remain available to be used for its
originally authorized purpose throughout its useful life or until disposition.
(2) Appropriate Use. It will use its Project property for appropriate purposes
(including joint development purposes as well as uses that provide program
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income to support public transportation) for the duration of the useful life of
its Project property, which may extend beyond the duration of the Award,
and consistent with other requirements FTA may impose.
(3) Delay or Failure to Use Project Property. The Federal Government may
require it to return the entire amount of federal assistance spent on its Project
property if, during the useful life of its Project property, it has unreasonably
delayed using its Project property, or failed to use its Project property.
(4) Notification. It will notify FTA immediately when it uses any of its Project
property in a manner substantially different from the representations in its
Application or other documents submitted in support of the Award, or the
requirements of the accompanying Underlying Agreement, or it withdraws
any of its Project property from appropriate use.
(5) FTA Guidance. It will consult FTA guidance through its circulars or other
written documents for ways in which FTA property requirements should be
implemented. FTA guidance will apply unless FTA determines otherwise in
writing.
(c) General Federal Requirements. The Recipient agrees to comply with the applicable
U.S. DOT property management provisions as provided in the U.S. DOT Common
Rules and this Master Agreement. The Recipient also agrees to follow FTA’s
reimbursement provisions pertaining to premature dispositions of certain equipment,
as provided in this Master Agreement and FTA guidance.
(d) Maintenance. As provided in federal laws, regulations, requirements, and guidance,
the Recipient agrees to maintain its Project property in good operating order, and
comply with FTA regulations, “Transit Asset Management” and “National Transit
Database,” 49 CFR Parts 625 and 630.
(e) Property Records. The Recipient agrees to keep satisfactory records of its use of its
Project property, and, upon request, it will provide FTA the necessary information
required to assure compliance with this Master Agreement.
(f) Incidental Use.
(1) The Recipient agrees that any incidental use of Project property will not
exceed what is permitted under applicable federal requirements and federal
guidance.
(2) As provided in 49 U.S.C. § 5323(p), it may permit nontransit public entities
and private entities to have incidental use of its federally assisted alternative
fueling facilities and equipment, only if:
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(i) The incidental use does not interfere with public transportation
operations or violate the provisions of the Underlying Agreement and
any Amendments thereto;
(ii) It fully recaptures all the costs related to the incidental use from any
nontransit public entity or private entity that uses the alternative
fueling facilities or equipment;
(iii) It uses revenues it receives from the incidental use in excess of costs
for planning, capital, and operating expenses that are incurred in
providing public transportation; and
(iv) Private entities pay all applicable excise taxes on fuel.
(g) Reasonable Access for Private Intercity or Charter Transportation Operators. The
Recipient agrees to comply with 49 U.S.C. § 5323(r), and may not deny reasonable
access for a private intercity or charter transportation operator to federally funded
public transportation facilities, including intermodal facilities, park and ride lots, and
bus-only highway lanes. In determining reasonable access, capacity requirements of
the Recipient and the extent to which access would be detrimental to existing public
transportation services must be considered.
(h) Encumbrance of Project Property. Absent the express consent of the Federal
Government in writing, the Recipient agrees to preserve the federal interest in its
Project property, and to maintain satisfactory continuing control of its Project
property as follows:
(1) Written Transactions. The Recipient agrees that it will not execute any
documents that would either adversely affect the federal interest in or impair
its continuing control of the use of its Project property including, but not
limited to, lease, transfer of title, lien, pledge, mortgage, encumbrance, third
party contract, subagreement, grant anticipation note, alienation, innovative
finance arrangements, such as a cross-border or leveraged lease, or other
types of innovative financing arrangements, or any restriction, constraint, or
commitment that may apply to the Project property. Upon request, the
Recipient will provide a copy of any document described above to FTA.
(2) Oral Transactions. The Recipient agrees it will not obligate itself in any way
through an oral statement to any third party with respect to its Project
property that would either adversely affect the federal interest in or impair its
continuing control of the use of its Project property.
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(3) Other Actions. The Recipient agrees that it will not take any other action that
would either adversely affect the federal interest in or impair its continuing
control of the use of its Project property.
(i) Useful Life of Project Property. The Recipient agrees that:
(1) Determining the Useful Life. FTA may establish the useful life of Project
property;
(2) Required Use. It will use its Project property continuously and appropriately
throughout the useful life of that property;
(3) Expired Useful Life. When the useful life of its Project property has expired,
it will comply with FTA’s disposition requirements; and
(4) Premature Withdrawal. The Federal Government retains a federal interest in
the fair market value of Project property or remaining useful life in Project
property calculated based on straight line depreciation (including Project
equipment acquired by a state). Therefore, if the Recipient withdraws that
property from public transportation use prematurely, it will notify FTA
immediately when any of its Project property is prematurely withdrawn from
appropriate use, whether by planned withdrawal, misuse, or casualty loss.
(i) Amount of Federal Interest. The federal interest in the Recipient’s or
any of its Subrecipients’ Project property will be determined based on
the ratio of the federal assistance provided for that property to the
actual cost of that property.
(ii) Financial Commitments to the Federal Government. Except as
otherwise approved in writing by the Federal Government, the
Recipient agrees that if its Project property is prematurely withdrawn
from appropriate use:
(A) It will return an amount equal to the remaining federal interest
in the withdrawn property to the Federal Government; or
(B) With FTA approval, it will invest an amount equal to the
remaining federal interest in the withdrawn property in other
transit property eligible for federal assistance provided
through the Underlying Agreement.
(j) Calculating the Value of Prematurely Withdrawn Project Property. The Recipient
agrees that the fair market value of Project property prematurely withdrawn from use
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in support of the Award (including the fair market value of project equipment
acquired or improved by a state) will be calculated as follows:
(1) Equipment and Supplies. The fair market value of project equipment or
supplies will be calculated by straight-line depreciation, based on the useful
life of that equipment or supplies as established or approved by FTA. The
fair market value of the Project equipment and supplies withdrawn from
proper use will be based on the value of that property immediately before it
was withdrawn from appropriate use irrespective of whether the Project
property was withdrawn from use due to fire, casualty, or natural disaster,
and irrespective of the extent of insurance coverage.
(2) Real Property. The Recipient agrees that the fair market value of Project real
property shall be determined by:
(i) Competent appraisal based on an appropriate date as approved by
FTA, consistent with U.S. DOT regulations, “Uniform Relocation
Assistance and Real Property Acquisition for Federal and Federally-
Assisted Programs,” 49 CFR Part 24;
(ii) Straight line depreciation of improvements to the Project real property
coupled with the value of the land determined by FTA based on
appraisal; or
(iii) Other applicable federal laws, regulations, and requirements.
(3) Exceptional Circumstances. The Recipient agrees that the Federal
Government may require another method of valuation to be used to
determine the fair market value of Project real property withdrawn from
service. In unusual circumstances, the Recipient may request permission to
use another reasonable valuation method including, but not limited to
accelerated depreciation, comparable sales, or established market values.
(k) Insurance Proceeds. The Recipient agrees to use any insurance proceeds it receives
for Project property that has been damaged or destroyed (including insurance
proceeds for Project equipment acquired or improved by a state) as follows:
(1) Replacement. It may apply those insurance proceeds to the cost of replacing
that damaged or destroyed property;
(2) Another Purpose. It may use those insurance proceeds for another authorized
purpose, provided that it has obtained FTA’s consent in writing; or
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(3) Return to the Federal Government. It may return to the Federal Government
an amount equal to the amount of the remaining federal interest in that
property that has been damaged or destroyed.
(l) Misused or Damaged Project Property. If any damage to Project property results
from abuse or misuse occurring with the Recipient’s knowledge and consent, the
Recipient agrees to restore the Project property that has been damaged to its original
condition, or refund the value of the federal interest in its Project property (including
the remaining federal interest in Project equipment acquired by a state), as the
Federal Government may require.
(m) Disposition of Project Property. The Recipient agrees that disposition of its Project
property may be made as provided in FTA’s enabling legislation, 49 U.S.C.
§ 5334(h), U.S. DOT Common Rules, and the most recent edition of FTA Circular
5010.1, to the extent consistent with applicable federal laws, regulations,
requirements, and guidance. The Recipient understands and agrees that under certain
circumstances, the Recipient must obtain disposition instructions from FTA before
disposing of Project property, including real property, equipment including rolling
stock, and supplies. Disposition performed under any authority is subject to
49 U.S.C. § 5334(h)(4)(B) (“Reimbursement”).
(n) Responsibilities After Closeout. The Recipient agrees that closeout of the Award will
not change the Recipient’s property management responsibilities for its Project
property as provided in federal laws, regulations, requirements, and guidance
effective now or at a later date, and this section of this Master Agreement.
Section 20. Transit Asset Management.
(a) Transit Asset Management Plan. The Recipient agrees to develop a Transit Asset
Management Plan that complies with federal transit laws, specifically 49 U.S.C.
§ 5326, FTA regulations, “Transit Asset Management,” 49 CFR Part 625, and
“National Transit Database,” 49 CFR Part 630, and other applicable federal laws,
regulations, and requirements.
(b) When Compliance is Required. The Recipient agrees to, and assures that each Third
Party Participant will, comply with FTA regulations, “Transit Asset Management;
National Transit Database,” 49 CFR Parts 625 and 630, and follow applicable
federal guidance.
Section 21. Insurance.
(a) Flood Insurance. The Recipient agrees and assures that its Third Party Participants
will agree to comply with flood insurance laws and guidance as follows:
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(1) It will have flood insurance as required by the Flood Disaster Protection Act
of 1973, 42 U.S.C. § 4012a(a), for any building located in a special flood
hazard area (100-year flood zone), before accessing federal assistance to
acquire, construct, reconstruct, repair, or improve that building.
(2) Each such building and its contents will be covered by flood insurance in an
amount at least equal to the federal investment (less estimated land cost) or to
the maximum limit of coverage made available with respect to the particular
type of property under the National Flood Insurance Act of 1968, 42 U.S.C.
§ 4001, et seq., whichever is less.
(3) It will follow FTA guidance, except to the extent FTA determines otherwise
in writing.
(b) Other Insurance Requirements. It will comply with the insurance requirements
normally imposed by its state and local laws, regulations, and ordinances.
Section 22. Relocation and Real Property.
(a) Relocation Protections. Irrespective of whether federal assistance is used to pay
relocation costs required under federal laws, regulations, or requirements, the
Recipient agrees to:
(1) Provide fair and equitable treatment to displaced individuals and businesses
that must be relocated as a result of any Project for which the FTA has
provided federal assistance; and
(2) Comply with federal transit laws, specifically 49 U.S.C. § 5323(b), which
requires compliance with the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970, as amended, 42 U.S.C. § 4601, et
seq., and U.S. DOT regulations, “Uniform Relocation Assistance and Real
Property Acquisition for Federal and Federally Assisted Programs,” 49 CFR
Part 24.
(b) Nondiscrimination in Housing. The Recipient agrees that when it must provide
housing for individuals as a result of relocation, it will comply with Title VIII of the
Civil Rights Act of 1968, as amended (Fair Housing Act), 42 U.S.C. § 3601, et seq.,
and facilitate and follow Executive Order No. 12892, “Leadership and Coordination
of Fair Housing in Federal Programs: Affirmatively Furthering Fair Housing,”
January 17, 1994, 42 U.S.C. § 3608 note, (59 Fed. Reg. 2939), except as the Federal
Government determines otherwise in writing.
(c) Prohibition Against the Use of Lead-Based Paint. The Recipient agrees that if it
constructs or rehabilitates residential structures on behalf of individuals displaced by
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its any Project, it will not use lead-based paint, and it will comply with Section
401(b) of the Lead-Based Paint Poisoning Prevention Act, 42 U.S.C. § 4831(b), and
U.S. Housing and Urban Development regulations, “Lead-based Paint Poisoning
Prevention in Certain Residential Structures,” 24 CFR Part 35.
(d) Real Property Acquisition Protections. Irrespective of whether federal assistance is
used to pay real property acquisition costs required to implement the Award, the
Recipient agrees to provide fair and equitable treatment to owners of real property or
interests in real property that must be acquired as a result of any Project, and comply
with federal transit laws, specifically 49 U.S.C. § 5323(b), which requires
compliance with the Uniform Relocation Assistance and Real Property Acquisition
Policies Act of 1970, as amended, 42 U.S.C. § 4601, et seq., and U.S. DOT
regulations, “Uniform Relocation Assistance and Real Property Acquisition for
Federal and Federally-Assisted Programs,” 49 CFR Part 24.
(e) Covenant Against Discrimination. The Recipient agrees to include a covenant in the
title of the real property acquired for use in any Project that assures
nondiscrimination during the useful life of that real property.
(f) Recording the Title to Real Property. The Recipient agrees to record the federal
interest in the title to real property used in connection with any Project if FTA so
requires.
(g) FTA Approval of Changes in Real Property Ownership. Unless it receives
permission or instructions from FTA, the Recipient agrees that it will not dispose of,
modify the use of, or change the title to real property used in any Project, or any
other interests in the site and facilities used in any Project.
Section 23. Construction.
(a) Construction Plans and Specifications. The Recipient agrees to comply with all
applicable statutes, regulations, and requirements, and follow FTA guidance in the
development and implementation of construction plans and specifications, including
drafting, review, and approval, for the Award.
(b) Seismic Safety. The Recipient agrees to comply with the Earthquake Hazards
Reduction Act of 1977, as amended, 42 U.S.C. § 7701, et seq., and U.S. DOT
regulations, “Seismic Safety,” 49 CFR Part 41, specifically, 49 C.F.R. § 41.117.
(c) Supervision of Construction. The Recipient agrees to maintain competent and
adequate engineering supervision at the construction site of any Project to ensure
that the completed work conforms to the approved plans and specifications.
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(d) Construction Reports. For any Project or related activities involving construction,
the Recipient agrees to provide progress reports and other relevant information or
data, as required by FTA or the state in which construction takes place.
(e) Major Capital Investment Projects. If the Recipient’s Project involves a Major
Federal Project, it agrees to comply with all applicable federal regulations, including
FTA regulations, “Major Capital Investment Projects,”49 CFR Part 611, and
“Project Management Oversight,” 49 CFR Part 633, to the extent that they are
consistent with applicable federal legislation, regulations, and requirements, and
follow all applicable federal guidance.
Section 24. Employee Protections.
(a) Awards Involving Construction. The Recipient agrees to comply and assures that
each Third Party Participant will comply with all federal laws, regulations, and
requirements providing protections for construction employees involved in each
Project or related activities with federal assistance provided through the Underlying
Agreement, including the:
(1) Prevailing Wage Requirements of:
(i) Federal transit laws, specifically 49 U.S.C. § 5333(a), (FTA’s “Davis-
Bacon Related Act”);
(ii) The Davis-Bacon Act, 40 U.S.C. §§ 3141 – 3144, 3146, and 3147;
and
(iii) U.S. DOL regulations, “Labor Standards Provisions Applicable to
Contracts Covering Federally Financed and Assisted Construction
(also Labor Standards Provisions Applicable to Nonconstruction
Contracts Subject to the Contract Work Hours and Safety Standards
Act),” 29 CFR Part 5.
(2) Wage and Hour Requirements of:
(i) Section 102 of the Contract Work Hours and Safety Standards Act, as
amended, 40 U.S.C. § 3702, and other relevant parts of that Act, 40
U.S.C. § 3701, et seq.; and
(ii) U.S. DOL regulations, “Labor Standards Provisions Applicable to
Contracts Covering Federally Financed and Assisted Construction
(also Labor Standards Provisions Applicable to Nonconstruction
Contracts Subject to the Contract Work Hours and Safety Standards
Act),” 29 CFR Part 5.
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(3) “Anti-Kickback” Prohibitions of:
(i) Section 1 of the Copeland “Anti-Kickback” Act, as amended,
18 U.S.C. § 874;
(ii) Section 2 of the Copeland “Anti-Kickback” Act, as amended,
40 U.S.C. § 3145; and
(iii) U.S. DOL regulations, “Contractors and Subcontractors on Public
Building or Public Work Financed in Whole or in Part by Loans or
Grants from the United States,” 29 CFR Part 3.
(4) Construction Site Safety of:
(i) Section 107 of the Contract Work Hours and Safety Standards Act, as
amended, 40 U.S.C. § 3704, and other relevant parts of that Act,
40 U.S.C. § 3701, et seq.; and
(ii) U.S. DOL regulations, “Recording and Reporting Occupational
Injuries and Illnesses,” 29 CFR Part 1904; “Occupational Safety and
Health Standards,” 29 CFR Part 1910; and “Safety and Health
Regulations for Construction,” 29 CFR Part 1926.
(b) Awards Not Involving Construction. The Recipient agrees to comply and assures that
each Third Party Participant will comply with all federal laws, regulations, and
requirements providing wage and hour protections for nonconstruction employees,
including Section 102 of the Contract Work Hours and Safety Standards Act, as
amended, 40 U.S.C. § 3702, and other relevant parts of that Act, 40 U.S.C. § 3701,
et seq., and U.S. DOL regulations, “Labor Standards Provisions Applicable to
Contracts Covering Federally Financed and Assisted Construction (also Labor
Standards Provisions Applicable to Nonconstruction Contracts Subject to the
Contract Work Hours and Safety Standards Act),” 29 CFR Part 5.
(c) Awards Involving Commerce. The Recipient agrees to comply and assures that each
Third Party Participant will comply with the Fair Labor Standards Act (FLSA),
29 U.S.C. § 201, et seq. to the extent that the FLSA applies to employees performing
work with federal assistance provided through the Underlying Agreement involving
commerce, and as the Federal Government otherwise determines applicable.
(d) Public Transportation Employee Protective Arrangements. As a condition of award
of federal assistance appropriated or made available for FTA programs involving
public transportation operations, the Recipient agrees to comply and assures that
each Third Party Participant will comply with the following employee protective
arrangements of 49 U.S.C. § 5333(b):
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(1) U.S. DOL Certification. When its Award, the accompanying Underlying
Agreement, or any Amendments thereto involve public transportation
operations and are supported with federal assistance appropriated or made
available for 49 U.S.C. §§ 5307 – 5312, 5316, 5318, 5323(a)(1), 5323(b),
5323(d), 5328, 5337, 5338(b), or 5339, or former 49 U.S.C. §§ 5308, 5309,
5312, or other provisions of law as required by the Federal Government, U.S.
DOL must provide a certification of employee protective arrangements
before FTA may provide federal assistance for that Award. The Recipient
agrees that the certification issued by U.S. DOL is a condition of the
Underlying Agreement and that the Recipient must comply with its terms and
conditions.
(2) Special Warranty. When its Underlying Agreement involves public
transportation operations and is supported with federal assistance
appropriated or made available for 49 U.S.C. § 5311, U.S. DOL will provide
a Special Warranty for its Award, including its Award of federal assistance
under the Tribal Transit Program. The Recipient agrees that its U.S. DOL
Special Warranty is a condition of the Underlying Agreement and the
Recipient must comply with its terms and conditions.
(3) Special Arrangements for Underlying Agreements for Federal Assistance
Authorized under 49 U.S.C. § 5310. The Recipient agrees, and assures that
any Third Party Participant providing public transportation operations will
agree, that although pursuant to 49 U.S.C. § 5310, and former 49 U.S.C.
§§ 5310 or 5317, FTA has determined that it was not “necessary or
appropriate” to apply the conditions of 49 U.S.C. § 5333(b) to any
Subrecipient participating in the program to provide public transportation for
seniors (elderly individuals) and individuals with disabilities, FTA reserves
the right to make case-by-case determinations of the applicability of
49 U.S.C. § 5333(b) for all transfers of funding authorized under title 23,
United States Code (flex funds), and make other exceptions as it deems
appropriate.
Section 25. Early Systems Work Agreement.
(a) Statutory Requirements. If FTA enters into an Early System Work Agreement
(ESWA) with the Recipient to advance the implementation of the Recipient’s Capital
Project, the Recipient agrees that the provisions of 49 U.S.C. § 5309(k)(3) will apply
to that ESWA, the Recipient, and FTA.
(b) ESWA Provisions. Except to the extent that the Federal Government determines
otherwise in writing, the Recipient understands and agrees that the following
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provisions apply to its ESWA, unless the ESWA contains specific requirements to
the contrary:
(1) Recipient Representations. In view of the standards and commitments
imposed on the Recipient by 49 U.S.C. § 5309(k)(3), the Recipient has
provided sufficient representations and information to FTA so that FTA has
reason to believe the following:
(i) FTA and the Recipient will enter into a Full Funding Grant
Agreement for the Project; and
(ii) The terms of the ESWA will promote the ultimate completion of the
Project more rapidly and at less cost.
(2) FTA Commitments. By entering into an ESWA with the Recipient, FTA has
agreed to provide for reimbursement of the preliminary costs of carrying out
the Project, including:
(i) Land acquisition;
(ii) Timely procurement of system elements for which the specifications
are decided; and
(iii) Other activities that FTA decides are appropriate to make efficient,
long-term Project management easier.
(3) Time Period of the ESWA. FTA reserves the right to determine the period of
time in which the ESWA will remain in effect, even if that period extends
beyond the time of the authorization of federal funding that will support the
Project costs covered by the ESWA.
(4) Interest and Other Financing Costs. Interest and other financing costs of
carrying out the ESWA efficiently and within a reasonable time are eligible
ESWA costs, provided that:
(i) The interest and financing costs claimed do not exceed the cost of the
most favorable financing terms reasonably available for the Project at
the time of borrowing;
(ii) The Recipient has certified that it will show reasonable diligence in
seeking the most favorable financing terms; and
(iii) The Recipient is able to show reasonable diligence in seeking the
most favorable financing terms to support this ESWA.
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(5) Contingent Commitment. In providing funding for the ESWA:
(i) In its discretion, FTA may include a commitment, contingent on
amounts made available under a later-enacted law, to obligate an
additional amount from future available budget authority to support
the costs of the Recipient’s ESWA; and
(ii) If FTA does make a commitment to provide funding contingent on
future amounts to be specified in law, that commitment is not an
obligation of the Federal Government.
(6) Failure to Carry Out the Project. If, for reasons within its control, the
Recipient does not carry out the Project for which its ESWA was made
available by FTA, the Recipient must:
(i) Repay all Federal Grant funds awarded under the ESWA from all
Federal funding sources for all Project activities, facilities, and
equipment; and
(ii) Pay reasonable interest and penalty charges:
(A) As established by FTA before or after FTA provided funding
for the ESWA; or
(B) Allowable under law.
Section 26. Environmental Protections.
(a) General. The Recipient agrees to, and assures that its Third Party Participants will,
comply with all applicable environmental and resource use laws, regulations, and
requirements, and follow applicable guidance, now in effect or that may become
effective in the future, including state and local laws, ordinances, regulations, and
requirements and follow applicable guidance.
(b) National Environmental Policy Act. An Award of federal assistance requires the full
compliance with applicable environmental laws, regulations, and requirements.
Accordingly, the Recipient agrees to, and assures that its Third Party Participants
will:
(1) Comply and facilitate compliance with federal laws, regulations, and
requirements, including, but not limited to:
(i) Federal transit laws, such as 49 U.S.C. § 5323(c)(2), and 23 U.S.C.
§ 139;
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(ii) The National Environmental Policy Act of 1969 (NEPA), as
amended, 42 U.S.C. §§ 4321, et seq., as limited by 42 U.S.C. § 5159,
and CEQ’s implementing regulations 40 CFR Part 1500 – 1508;
(iii) Joint FHWA and FTA regulations, “Environmental Impact and
Related Procedures,” 23 CFR Part 771 and 49 CFR Part 622;
(iv) Executive Order No. 11514, as amended, “Protection and
Enhancement of Environmental Quality,” March 5, 1970, 42 U.S.C.
§ 4321 note (35 Fed. Reg. 4247); and
(v) Other federal environmental protection laws, regulations, and
requirements applicable to the Recipient or the Award, the
accompanying Underlying Agreement, and any Amendments thereto.
(2) Follow the federal guidance identified herein to the extent that the guidance
is consistent with applicable authorizing legislation:
(i) Joint FHWA and FTA final guidance, “Interim Guidance on MAP-21
Section 1319, Accelerated Decisionmaking in Environmental
Reviews,” January 14, 2013;
(ii) Joint FHWA and FTA final guidance, “SAFETEA-LU Environmental
Review Process (Public Law 109-59),” 71 Fed. Reg. 66576,
November 15, 2006; and
(iii) Other federal environmental guidance applicable to the Recipient or
the Award, the accompanying Underlying Agreement, and any
Amendments thereto.
(c) Environmental Justice. The Recipient agrees to, and assures that its Third Party
Participants will, promote environmental justice by following:
(1) Executive Order No. 12898, “Federal Actions to Address Environmental
Justice in Minority Populations and Low-Income Populations,” February 11,
1994, 42 U.S.C. § 4321 note, (59 Fed. Reg. 7629, 3 C.F.R. 1994 Comp.,
p. 859) as well as facilitating compliance with that Executive Order;
(2) U.S. DOT Order 5610.2(a), “Department of Transportation Updated
Environmental Justice Order,” 77 Fed. Reg. 27534, May 10, 2012; and
(3) The most recent edition of FTA Circular 4703.1, “Environmental Justice
Policy Guidance for Federal Transit Administration Recipients,” August 15,
2012, to the extent consistent with applicable federal laws, regulations,
requirements, and guidance.
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(d) Other Environmental Federal Laws. The Recipient agrees to comply or facilitate
compliance, and assures that its Third Party Participants will comply or facilitate
compliance, with all applicable federal laws, regulations, and requirements, and will
follow applicable guidance, including, but not limited to, the Clean Air Act, Clean
Water Act, Wild and Scenic Rivers Act of 1968, Coastal Zone Management Act of
1972, the Endangered Species Act of 1973, Magnuson Stevens Fishery Conservation
and Management Act, Resource Conservation and Recovery Act, Comprehensive
Environmental Response, Compensation, and Liability Act, Executive Order No.
11990 relating to “Protection of Wetlands,” and Executive Order No. 11988, as
amended, “Floodplain Management.”
(e) Corridor Preservation. The Recipient agrees that:
(1) It will not develop any right-of-way acquired under 49 U.S.C. § 5323(q) in
anticipation of implementing its Award until all required environmental
reviews for each Project or related activities have been completed; and
(2) It will follow FTA Final Guidance on the Application of 49 U.S.C § 5323(q)
to Corridor Preservation for a Transit Project, October 27, 2014.
(f) Use of Certain Public Lands. The Recipient agrees to comply, and assures that its
Third Party Participants will comply, with U.S. DOT laws, specifically 49 U.S.C.
§ 303 (often referred to as “section 4(f)”), and joint FHWA and FTA regulations,
“Parks, Recreation Areas, Wildlife and Waterfowl Refuges, and Historic Sites,”
23 CFR Part 774, and referenced in 49 CFR Part 622.
(g) Historic Preservation. The Recipient agrees to, and assures that its Third Party
Participants will:
(1) Comply with U.S. DOT laws, including 49 U.S.C. § 303 (often referred to as
“section 4(f)”), which requires certain findings be made before an Award
may be undertaken if it involves the use of any land from a historic site that
is on or eligible for inclusion on the National Register of Historic Places.
(2) Encourage compliance with the federal historic and archaeological
preservation requirements of section 106 of the National Historic
Preservation Act, as amended, 54 U.S.C. § 306108.
(3) Comply with the Archeological and Historic Preservation Act of 1974, as
amended, 54 U.S.C. § 312501, et seq.
(4) Comply with U.S. Advisory Council on Historic Preservation regulations,
“Protection of Historic Properties,” 36 CFR Part 800.
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(5) Comply with federal requirements and follow federal guidance to avoid or
mitigate adverse effects on historic properties.
(h) Indian Sacred Sites. The Recipient agrees to, and assures that its Third Party
Participants will, facilitate compliance with federal efforts to promote the
preservation of places and objects of religious importance to American Indians,
Eskimos, Aleuts, and Native Hawaiians, and facilitate compliance with the American
Indian Religious Freedom Act, 42 U.S.C. § 1996, and Executive Order No. 13007,
“Indian Sacred Sites,” May 24, 1996, 42 U.S.C. § 3161 note (61 Fed. Reg. 26771).
(i) Mitigation of Adverse Environmental Effects.
(1) The Recipient agrees to comply with all environmental mitigation measures
that may be identified as conditions that the Federal Government might
impose in its finding of no significant impact or record of decision or
commitments in the environmental documents that apply to the Award, such
as environmental assessments, environmental impact statements, categorical
exclusions, memoranda of agreement, documents required under 49 U.S.C.
§ 303, and other environmental documents.
(2) The Recipient agrees that:
(i) Any mitigation measures agreed on will be incorporated by reference
and made part of the Underlying Agreement and any Amendments
thereto;
(ii) Any deferred mitigation measures will be incorporated by reference
and made part of the Underlying Agreement and any Amendments
thereto as soon as agreement with the Federal Government is reached;
and
(iii) Any mitigation measures agreed on will not be modified or
withdrawn without the written approval of the Federal Government.
(j) Energy Conservation. The Recipient agrees to, and assures that its Subrecipients
will, comply with the mandatory energy standards and policies of its state energy
conservation plans under the Energy Policy and Conservation Act, as amended,
42 U.S.C. § 6321, et seq., and perform an energy assessment for any building
constructed, reconstructed, or modified with federal assistance required under FTA
regulations, “Requirements for Energy Assessments,” 49 CFR Part 622, subpart C.
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Section 27. State Management and Monitoring Systems.
The Recipient agrees to comply with joint FHWA and FTA regulations, “Management and
Monitoring Systems,” 23 CFR Part 500, and FTA regulations, “Transportation Infrastructure
Management,” 49 CFR Part 614.
Section 28. Charter Service.
(a) Prohibitions. The Recipient agrees that neither it nor any Third Party Participant
involved in the Award will engage in charter service, except as permitted under
federal transit laws, specifically 49 U.S.C. § 5323(d), (g), and (r), FTA regulations,
“Charter Service,” 49 CFR Part 604, any other federal Charter Service regulations,
federal requirements, or federal guidance.
(b) Exceptions. Apart from exceptions to the Charter Service restrictions in FTA’s
Charter Service regulations, FTA has established the following additional exceptions
to those restrictions:
(1) FTA’s Charter Service restrictions do not apply to equipment or facilities
supported with federal assistance appropriated or made available for
49 U.S.C. § 5307 to support a Job Access and Reverse Commute (JARC)-
type Project or related activities that would have been eligible for assistance
under repealed 49 U.S.C. § 5316 in effect in Fiscal Year 2012 or a previous
fiscal year, provided that the Recipient uses that federal assistance for FTA
program purposes only; and
(2) FTA’s Charter Service restrictions do not apply to equipment or facilities
supported with the federal assistance appropriated or made available for
49 U.S.C. § 5310 to support a New Freedom-type Project or related activities
that would have been eligible for federal assistance under repealed 49 U.S.C.
§ 5317 in effect in Fiscal Year 2012 or a previous fiscal year, provided the
Recipient uses that federal assistance for FTA program purposes only.
(c) Violations. If it or any Third Party Participant engages in a pattern of violations of
FTA’s Charter Service regulations, FTA may require corrective measures and
remedies, including withholding an amount of federal assistance as provided in
FTA’s Charter Service regulations, 49 CFR Part 604, appendix D, or barring it or the
Third Party Participant from receiving federal assistance provided in 49 U.S.C.
chapter 53, 23 U.S.C. § 133, or 23 U.S.C. § 142.
Section 29. School Bus Operations.
(a) Prohibitions. The Recipient agrees that neither it nor any Third Party Participant that
is participating in its Award will engage in school bus operations exclusively for the
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transportation of students or school personnel in competition with private school bus
operators, except as permitted by federal transit laws, 49 U.S.C. § 5323(f) or (g),
FTA regulations, “School Bus Operations,” 49 CFR Part 605, and any other
applicable federal “School Bus Operations” laws, regulations, requirements, or
applicable federal guidance.
(b) Violations. If a Recipient or any Third Party Participant has operated school bus
service in violation of FTA’s School Bus laws, regulations, or requirements, FTA
may require the Recipient or Third Party Participant to take such remedial measures
as FTA considers appropriate, or bar the Recipient or Third Party Participant from
receiving federal transit assistance.
Section 30. Geographic Information and Related Spatial Data.
The Recipient agrees that each Project or related activity that implements the Award will
conform to the Federal Geographic Data Committee’s National Spatial Data Infrastructure if the
Project or related activity directly or indirectly involves spatial data, or geographic information
systems, and it will follow U.S. OMB Circular A-16, “Coordination of Geographic Information
and Related Spatial Data Activities,” August 19, 2002, and U.S. OMB Circular A-16
Supplemental Guidance, “Geospatial Line of Business,” November 10, 2010.
Section 31. Federal “$1 Coin” Requirements.
The Recipient agrees to comply with section 104 of the Presidential $1 Coin Act of 2005,
31 U.S.C. § 5112(p), its equipment and facilities will be fully capable of accepting and
dispensing $1 coins when coins or currency are required to use that equipment or those facilities,
and it will display signs and notices of the $1 coin capability of its equipment and facilities on its
premises, including vending machines, where coins or currency are used.
Section 32. Public Transportation Safety.
The Recipient agrees to comply with applicable federal laws, regulations, and requirements and
follow applicable guidance that implement the Public Transportation Safety Program provisions
of 49 U.S.C. § 5329.
Section 33. Motor Carrier Safety.
(a) Financial Responsibility. The Recipient agrees to comply and assures that its Third
Party Participants will comply with the economic and insurance registration
requirements of the:
(1) U.S. Federal Motor Carrier Safety Administration (U.S. FMCSA)
regulations, “Minimum Levels of Financial Responsibility for Motor
Carriers,” 49 CFR Part 387, if it is engaged in operations requiring
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compliance with 49 CFR Part 387, it is engaged in interstate commerce, and
it is not within a defined commercial zone; and
(2) The provisions of 49 U.S.C. § 31138(e)(4), which supersede inconsistent
provisions of 49 CFR Part 387, and reduce the amount of insurance the
Recipient must obtain to the highest amount required by any state in which
the public transportation provider operates, if it operates within a public
transportation service area located in more than one state, and receives
federal assistance under 49 U.S.C. §§ 5307, 5310, and 5311.
(b) U.S. FMCSA Requirements. The Recipient agrees to comply and assures that its
Third Party Participants will comply with:
(1) The safety requirements of U.S. FMCSA regulations, “Federal Motor Carrier
Safety Regulations,” 49 CFR Parts 390 – 397, to the extent applicable; and
(2) The driver’s license requirements of U.S. FMCSA regulations, “Commercial
Driver’s License Standards, Requirements, and Penalties,” 49 CFR Part 383,
and “State Compliance with Commercial Driver's License,” 49 CFR Part
384, to the extent applicable, with the substance abuse requirements and
guidance of U.S. FMCSA’s regulations, “Controlled Substances and Alcohol
Use and Testing,” 49 CFR Part 382, and implementing federal guidance, to
the extent applicable.
Section 34. Safe Operation of Motor Vehicles.
(a) Seat Belt Use. The Recipient agrees to implement Executive Order No. 13043,
“Increasing Seat Belt Use in the United States,” April 16, 1997, 23 U.S.C. § 402
note, (62 Fed. Reg. 19217), by:
(1) Adopting and promoting on-the-job seat belt use policies and programs for its
employees and other personnel that operate company-owned vehicles,
company-rented vehicles, or personally operated vehicles; and
(2) Including a “Seat Belt Use” provision in each third party agreement related to
the Award.
(b) Distracted Driving, Including Text Messaging While Driving. The Recipient agrees
to comply with:
(1) Executive Order No. 13513, “Federal Leadership on Reducing Text
Messaging While Driving,” October 1, 2009, 23 U.S.C. § 402 note, (74 Fed.
Reg. 51225);
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(2) U.S. DOT Order 3902.10, “Text Messaging While Driving,” December 30,
2009; and
(3) The following U.S. DOT Special Provision pertaining to Distracted Driving:
(i) Safety. The Recipient agrees to adopt and enforce workplace safety
policies to decrease crashes caused by distracted drivers, including
policies to ban text messaging while using an electronic device
supplied by an employer, and driving a vehicle the driver owns or
rents, a vehicle Recipient owns, leases, or rents, or a privately-owned
vehicle when on official business in connection with the Award, or
when performing any work for or on behalf of the Award;
(ii) Recipient Size. The Recipient agrees to conduct workplace safety
initiatives in a manner commensurate with its size, such as
establishing new rules and programs to prohibit text messaging while
driving, re-evaluating the existing programs to prohibit text
messaging while driving, and providing education, awareness, and
other outreach to employees about the safety risks associated with
texting while driving; and
(iii) Extension of Provision. The Recipient agrees to include the preceding
Special Provision of section 34(b)(3)(i) – (ii) of this Master
Agreement in its third party agreements, and encourage its Third
Party Participants to comply with this Special Provision, and include
this Special Provision in each third party subagreement at each tier
supported with federal assistance.
Section 35. Substance Abuse.
(a) Drug-Free Workplace. The Recipient agrees to:
(1) Comply with the Drug-Free Workplace Act of 1988, as amended, 41 U.S.C.
§ 8103, et seq.;
(2) Comply with U.S. DOT regulations, “Governmentwide Requirements for
Drug-Free Workplace (Financial Assistance),” 49 CFR Part 32; and
(3) Follow and facilitate compliance with U.S. OMB regulatory guidance,
“Governmentwide Requirements for Drug-Free Workplace (Financial
Assistance),” 2 CFR Part 182, particularly where the U.S. OMB regulatory
guidance supersedes comparable provisions of 49 CFR Part 32.
(b) Alcohol Misuse and Prohibited Drug Use.
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(1) Requirements. The Recipient agrees to comply and assures that its Third
Party Participants will comply with:
(i) Federal transit laws, specifically 49 U.S.C. § 5331;
(ii) FTA regulations, “Prevention of Alcohol Misuse and Prohibited Drug
Use in Transit Operations,” 49 CFR Part 655; and
(iii) Applicable provisions of U.S. DOT regulations, “Procedures for
Transportation Workplace Drug and Alcohol Testing Programs,”
49 CFR Part 40.
(2) Remedies for Non-Compliance. The Recipient agrees that if FTA determines
that the Recipient or a Third Party Participant receiving federal assistance
under 49 U.S.C. chapter 53 is not in compliance with 49 CFR Part 655, the
Federal Transit Administrator may bar that Recipient or Third Party
Participant from receiving all or a portion of the federal transit assistance for
public transportation it would otherwise receive.
Section 36. Protection of Sensitive Security and Other Sensitive Information.
The Recipient agrees to comply with the following requirements for the protection of sensitive
security information:
(a) The Homeland Security Act, as amended, specifically 49 U.S.C. § 40119(b), and
U.S. DOT regulations, “Protection of Sensitive Security Information,” 49 CFR
Part 15;
(b) The Aviation and Transportation Security Act, as amended, 49 U.S.C. § 114(r), and
U.S. Department of Homeland Security, Transportation Security Administration
regulations, “Protection of Sensitive Security Information,” 49 CFR Part 1520;
(c) U.S. DOT Common Rules, which require the Recipient to implement, and to require
its Subrecipients, if any, to implement reasonable measures to safeguard protected
personally identifiable information as well as any information that the FTA or pass-
through entity designates as sensitive; and
(d) National Archives and Records Administration regulations, “Controlled Unclassified
Information,” 32 CFR Part 2002.
Section 37. Special Notification Requirements for States.
(a) Types of Information. To the extent required under federal law, the State, as the
Recipient, agrees to provide the following information about federal assistance
awarded for its State Program, Project, or related activities:
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(1) The Identification of FTA as the federal agency providing the federal
assistance for a State Program or Project;
(2) The Catalog of Federal Domestic Assistance Number of the program from
which the federal assistance for a State Program or Project is authorized; and
(3) The amount of federal assistance FTA has provided for a State Program or
Project.
(b) Documents. The State agrees to provide the information required under this
provision in the following documents: (1) applications for federal assistance, (2)
requests for proposals or solicitations, (3) forms, (4) notifications, (5) press releases,
and (6) other publications.
Section 38. Freedom of Information.
(a) Applicability. The Recipient agrees that the Freedom of Information Act (FOIA),
5 U.S.C. § 552, as amended, applies to most information submitted to FTA and U.S.
DOT, whether electronically or in typewritten hard copy.
(b) Records. The Recipient agrees that all applications and materials it submits to FTA
that are related to its Award have or will become federal agency records, and are or
will be subject to FOIA and to public release through individual FOIA requests,
unless FTA determines that a valid exemption under FOIA or another statute applies.
(c) Confidentiality. President Obama’s “Memorandum for the Heads of Executive
Departments and Agencies on the Freedom of Information Act,” dated January 21,
2009, directs federal agencies to adopt a presumption that information should
generally be disclosed when requested, and therefore the Recipient agrees that:
(1) Unless a federal law or regulation requires that a document or other
information be withheld, FTA does not consent to withhold information,
irrespective of its format, merely because it is accompanied by a “routine”
confidentiality statement that may appear on:
(i) Information about the Award, the accompanying Underlying
Agreement, and any Amendments thereto;
(ii) Information accompanying or supplementing the Award, the
accompanying Underlying Agreement, and any Amendments thereto;
or
(iii) Any other information FTA may obtain.
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(2) As provided in federal laws, regulations, requirements, and guidance, FTA
will review the information and documents that are the subject of each FOIA
request to determine the extent to which FTA must or should exercise its
discretion to withhold that information or those documents.
(3) Any genuinely confidential, privileged, or sensitive security information will
be marked clearly and specifically as confidential or privileged, and justified
as confidential or privileged under FOIA standards. The Recipient will mark
all sensitive security information (SSI), as defined by 49 C.F.R. § 15.5, as set
forth in 49 C.F.R. § 1520.13. The Recipient will not mark non-SSI material
as SSI. Also refer to Section 36 of this Agreement, regarding the protection
of SSI and other sensitive information.
Section 39. Disputes, Breaches, Defaults, and Litigation.
(a) FTA Interest. FTA has a vested interest in the settlement of any violation of federal
law, regulation, or requirement, or any disagreement involving the Award, the
accompanying Underlying Agreement, and any Amendments thereto including, but
not limited to, a default, breach, major dispute, or litigation, and FTA reserves the
right to concur in any settlement or compromise.
(b) Notification to FTA; Flow Down Requirement. If a current or prospective legal
matter that may affect the Federal Government emerges, the Recipient must
promptly notify the FTA Chief Counsel and FTA Regional Counsel for the Region
in which the Recipient is located. The Recipient must include a similar notification
requirement in its Third Party Agreements and must require each Third Party
Participant to include an equivalent provision in its subagreements at every tier, for
any agreement that is a “covered transaction” according to 2 C.F.R. §§ 180.220 and
1200.220.
(1) The types of legal matters that require notification include, but are not limited
to, a major dispute, breach, default, litigation, or naming the Federal
Government as a party to litigation or a legal disagreement in any forum for
any reason.
(2) Matters that may affect the Federal Government include, but are not limited
to, the Federal Government’s interests in the Award, the accompanying
Underlying Agreement, and any Amendments thereto, or the Federal
Government’s administration or enforcement of federal laws, regulations,
and requirements.
(3) Additional Notice to U.S. DOT Inspector General. The Recipient must
promptly notify the U.S. DOT Inspector General in addition to the FTA
Chief Counsel or Regional Counsel for the Region in which the Recipient is
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located, if the Recipient has knowledge of potential fraud, waste, or abuse
occurring on a Project receiving assistance from FTA. The notification
provision applies if a person has or may have submitted a false claim under
the False Claims Act, 31 U.S.C. § 3729, et seq., or has or may have
committed a criminal or civil violation of law pertaining to such matters as
fraud, conflict of interest, bid rigging, misappropriation or embezzlement,
bribery, gratuity, or similar misconduct involving federal assistance. This
responsibility occurs whether the Project is subject to this Agreement or
another agreement between the Recipient and FTA, or an agreement
involving a principal, officer, employee, agent, or Third Party Participant of
the Recipient. It also applies to subcontractors at any tier. Knowledge, as
used in this paragraph, includes, but is not limited to, knowledge of a
criminal or civil investigation by a Federal, state, or local law enforcement or
other investigative agency, a criminal indictment or civil complaint, or
probable cause that could support a criminal indictment, or any other credible
information in the possession of the Recipient. In this paragraph, “promptly”
means to refer information without delay and without change. This
notification provision applies to all divisions of the Recipient, including
divisions tasked with law enforcement or investigatory functions.
(c) Federal Interest in Recovery. The Federal Government retains the right to a
proportionate share of any proceeds recovered from any third party, based on the
percentage of the federal share for the Underlying Agreement. Notwithstanding the
preceding sentence, the Recipient may return all liquidated damages it receives to its
Award Budget for its Underlying Agreement rather than return the federal share of
those liquidated damages to the Federal Government, provided that the Recipient
receives FTA’s prior written concurrence.
(d) Enforcement. The Recipient must pursue its legal rights and remedies available
under any third party agreement or any federal, state, or local law or regulation.
Section 40. Amendments to the Underlying Agreement.
(a) When Required. An Amendment to the Underlying Agreement is required under the
following circumstances:
(1) A change in the scope of work or an addition of federal assistance to an
existing Award (regardless of whether the source of assistance is the same or
different);
(2) A change to the scope of work that necessitates a change in the distribution
of federal assistance across scope codes or activities; or
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(3) The Award includes multiple sources of financial assistance and the action
requires the addition of a new Scope to a Project.
(b) Process. An amendment to the Underlying Agreement must be submitted and
approved in TrAMS, and must meet the same application requirements as would
apply to a request for a new Award.
Section 41. FTA’s Transit Award Management System (TrAMS).
The Recipient agrees to submit its application for an Award, reports, documents, or other
information required by federal law, regulations, or requirements, through FTA’s Transit Award
Management System (TrAMS). To submit its application, reports, documents, or information
required to FTA, any signature submitted for use in TrAMS must comply with the requirements
of the Electronic Signatures in Global and National Commerce Act (E-Sign Act), 15 U.S.C.
§§ 7001, et seq.
Section 42. Information Obtained through Internet Links.
Although this Master Agreement may include electronic links to federal laws, regulations,
requirements, and guidance, FTA does not guarantee the accuracy of the information that may
accessed through such links. Accordingly, the Recipient understands and agrees that any
information obtained through any electronic link within this Master Agreement does not
represent an official version of a federal law, regulation, or requirement, and might be inaccurate.
Therefore, any information that is obtained through such links is neither incorporated by
reference nor made part of this Master Agreement. The Federal Register and the Code of Federal
Regulations are the official sources for regulatory information pertaining to the Federal
Government.
Section 43. Severability.
The Recipient agrees that if any provision of the Underlying Agreement or any Amendment
thereto is determined to be invalid, then the remaining provisions thereof that conform to federal
laws, regulations, requirements, and guidance will continue in effect.
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SPECIAL PROVISIONS FOR SPECIFIC PROGRAMS
Section 44. Special Provisions for All Public Transportation Innovation, Technical
Assistance or Workforce Development Programs.
(a) Applicability. The Recipient understands and agrees that this section of the Master
Agreement applies to the following programs to which FTA provides federal
assistance, including the following programs:
(1) Programs authorized under 49 U.S.C. § 5312, irrespective of the fiscal year
for which the appropriations that supported the Underlying Agreement were
authorized;
(2) Programs authorized under former 49 U.S.C. § 5313, irrespective of the fiscal
year for which the appropriations that supported the Underlying Agreement
were authorized;
(3) Programs authorized under 49 U.S.C. § 5314, irrespective of the fiscal year
for which the appropriations that supported the Underlying Agreement were
authorized;
(4) Programs authorized by the repealed section 3045 of SAFETEA-LU;
(5) Programs authorized by the repealed section 3046 of SAFETEA-LU; and
(6) Other similar Programs for which FTA awards federal assistance under
49 U.S.C. §§ 5312 or 5314, as amended, or other similar research-type or
technical assistance authorizing legislation.
(b) Provisions for Underlying Agreements for Public Transportation Innovation or
Technical Assistance and Workforce Development Awards. The Recipient agrees
that the following provisions will apply to the Underlying Agreement for a Public
Transportation Innovation or Technical Assistance and Workforce Development
Project or related activities:
(1) Report. The Recipient agrees that in addition to any other Report FTA may
require, the Recipient will prepare and submit to FTA a Report of each
Project and related activities that describes the subject (or subjects)
investigated, the methods used, the results, and the conclusions reached, is
satisfactory, sufficiently organized, well-written, and comprehensive.
(2) Disclaimer. The Report must contain the following disclaimer: “This
document is disseminated under the sponsorship of the United States
Department of Transportation, Federal Transit Administration, in the interest
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of information exchange. The United States government assumes no liability
for the contents or use thereof. The United States government does not
endorse products or manufacturers. Trade or manufacturers’ names appear
herein solely because they are considered essential to the contents of the
report.”
(3) Format. The Report must comply with the accessibility requirements of
Section 508 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794d,
and U.S. ATBCB regulations, “Electronic and Information Technology
Accessibility Standards,” 36 CFR Part 1194, and the specific publication
elements and report style guide at
http://www.fta.dot.gov/research/program_requirements. The Report must
identify clearly and precisely any specific information or data that is
confidential, privileged, or proprietary and is contained within any report or
document.
(4) Publication. Except for confidential, privileged, or proprietary information in
the Report, FTA may publish the Report, and make it available for
publication on the Internet or in any other venue.
(5) Identification of Federal Assistance. The Recipient agrees that:
(i) It will display information on any product developed with federal
assistance for 49 U.S.C. § 5312 for which the U.S. Department of
Transportation, Federal Transit Administration provided federal
assistance to support the development of the product that is tangible
and is produced from, or is a result of, a Project, is a deliverable, and
visible to the public, or is or will be made available to other research
organizations, or public transportation providers, and consists of
equipment, a prototype, hardware, construction, reports, data,
software, internet pages, or any similar item.
(ii) The information required will be given using an appropriate sign,
designation, or notice.
(c) Special Disposition Provision. In addition to other disposition provisions, FTA may
vest title in tangible personal property used in the conduct of basic or applied
scientific research in a nonprofit institution of higher education or in a nonprofit
organization whose primary purpose is conducting scientific research, provided the
requirements of 31 U.S.C. § 6306 are met.
(d) Protection of Human Subjects. The Recipient agrees to comply with the protections
for human subjects involved in a Project or related activities supported with federal
assistance through the Underlying Agreement, as required by the National Research
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Act, as amended, 42 U.S.C. § 289, et seq., and U.S. DOT regulations, “Protection of
Human Subjects,” 49 CFR Part 11.
(e) Protection of Animals. The Recipient agrees to comply with the protections for
animals involved in a Project or related activities, as required by the Animal Welfare
Act, as amended, 7 U.S.C. § 2131, et seq., and U.S. Department of Agriculture
regulations, “Animal Welfare,” 9 CFR Parts 1, 2, 3, and 4.
(f) Export Control. The Recipient understands and agrees that before exporting any
information that is subject to federal export requirements, it must first obtain the
necessary federal license(s), and comply with the federal export control regulations
of the U.S. Department of Commerce, Bureau of Industry and Security, “Export
Administration Regulations,” specifically, 15 CFR Parts 730, et seq., U.S.
Department of State, U.S. Department of the Treasury, and U.S. Department of
Defense.
Section 45. Special Provisions for the State Safety Oversight Grant Program.
In administering any State Safety Oversight Grant Program Award under 49 U.S.C. § 5329(e)(6),
the Recipient agrees to comply with 49 U.S.C. § 5329(e)(6).
Section 46. Special Provisions for the State Infrastructure Bank (SIB) Program.
(a) Federal Laws, Regulations, Requirements, and Guidance. The State, as the
Recipient, agrees to administer its Underlying Agreement to support its SIB
consistent with federal laws, regulations, requirements, and guidance, including, but
not limited to:
(1) Title 23, U.S.C. (Highways), specifically 23 U.S.C. § 610, to the extent
required under the FAST Act, and other applicable federal legislation;
(2) Federal transit laws, specifically 49 U.S.C. § 5323(o), which requires
compliance with 49 U.S.C. §§ 5307, 5309, and 5337 for Underlying
Agreements to which MAP-21 and the FAST Act apply;
(3) Section 350 of the National Highway System Designation Act of 1995, as
amended, (NHS Act), 23 U.S.C. § 101 note, to the extent this section has not
been superseded by 23 U.S.C. § 610;
(4) Any federal law enacted or federal regulation or requirements promulgated at
a later date applicable to the Underlying Agreement;
(5) All other applicable federal guidance that may be issued;
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(6) The terms and conditions of any U.S. DOL certification(s) of employee
protective arrangements;
(7) The SIB Cooperative Agreement establishing the SIB in the state, signed by
the Executive Director of the Build America Bureau, the Federal Transit
Administrator, authorized state official(s) or their authorized designees, and
if applicable, the administrator (or designee) for any other federal modal
agency that the State wishes to include in its SIB; and
(8) The FTA Grant Agreement providing federal assistance for the Underlying
Agreement in support of its SIB, except that any provision of this Master
Agreement that would otherwise apply to a SIB Project does not apply to the
Underlying Agreement if it conflicts with any other federal law or regulation
applicable to a SIB, federal SIB Guidelines, the SIB Cooperative Agreement,
or the Underlying Agreement, but the conflicting provision of this Master
Agreement will prevail, however, if FTA expressly determines so in writing.
(b) Limitations on Accessing Federal Assistance in the Transit Account. The Recipient
understands that the total amount of federal assistance awarded under the Grant
Agreement to be supported with SIB deposits may not be available for immediate
withdrawal. The State and the Recipient agree to restrict the amount of federal
assistance it withdraws from its SIB to an amount not exceeding the limits specified
in its Grant Agreement in support of the SIB or the Award Budget for that Grant
Agreement.
Section 47. Special Provisions for the TIFIA and RRIF Programs.
(a) Federal Laws, Regulations, Requirements, and Guidance. The Recipient agrees to
administer any Underlying Agreement for TIFIA or RRIF credit assistance as
required by and in accordance with the terms of the Underlying Agreement.
(b) Default. The Recipient agrees that FTA may declare the Recipient in violation of this
Master Agreement if there has been an Event of Default according to an Underlying
Agreement for TIFIA or RRIF assistance, and that Event of Default is not cured
within 90 days.
(c) Order of Precedence. Any provision of this Master Agreement that is applicable to
the Recipient’s Underlying Agreement for TIFIA or RRIF assistance but that
conflicts with the laws, regulations, and requirements applicable to the Recipient’s
Underlying Agreement for TIFIA or RRIF assistance, will not apply to the
Recipient’s TIFIA or RRIF Loan, Loan Guarantee, Line of Credit, or Master Credit
Agreement, unless FTA determines otherwise in writing.
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Section 48. Special Provisions for the Joint FTA–FRA Program.
(a) General Legal Requirements. When both FTA and the U.S. Federal Railroad
Administration (FRA) make federal assistance available for the same Underlying
Agreement, the Recipient understands and agrees to administer the Underlying
Agreement to achieve maximum compliance with FTA’s statutory and regulatory
requirements, FRA’s statutory and regulatory requirements, and other federal
statutory requirements.
(b) Disadvantaged Business Enterprises.
(1) The Recipient acknowledges and understands that the statutory and
regulatory provisions relating to disadvantaged business enterprises (DBE)
differ significantly between FTA and FRA, including Section 1101(b) of the
FAST Act (23 U.S.C. § 101 note) and U.S. DOT regulations, “Participation
by Disadvantaged Business Enterprises in Department of Transportation
Financial Assistance Programs,” 49 CFR Part 26, both of which apply to
FTA, but not to FRA.
(2) FRA is not authorized to use FTA’s DBE regulations, and consequently the
Recipient agrees to comply with the statutory and regulatory DBE provisions
that apply to federal assistance provided by FTA when using that federal
assistance for purchases.
(3) The Recipient agrees to use the “contracting with small and minority firms,
women's business enterprise” provisions of the applicable U.S. DOT
Common Rules.
(c) Buy America. The Recipient agrees that statutory and regulatory Buy America
provisions that apply to federal assistance authorized for FTA differ from those that
apply to federal assistance authorized for FRA. Therefore, the Recipient agrees that:
(1) It must comply with FTA’s statutory and regulatory Buy America provisions
to the extent that the purchases are for a Project or related activities that
implement the Underlying Agreement;
(2) It must comply with FRA’s statutory and regulatory Buy America provisions,
section 301(a) of the Passenger Rail Investment and Improvement Act of
2008 (PRIIA), Pub L. 110-432, October 16, 2008, and 49 U.S.C. § 24405(a),
to the extent that the purchases are required to comply with FRA Buy
America requirements; and
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
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(3) If it uses federal assistance authorized for FTA and for FRA to finance a
purchase, the Recipient agrees to comply with both FTA’s and FRA’s
requirements.
(d) Force Account – Procurement. The Recipient agrees that FTA deems section 16(j) of
this Master Agreement to be satisfied for work that is performed by the railroad’s
force account employees if a Project or related activities are being conducted on the
property of a railroad, and under the railroad’s collective bargaining agreements with
its employees, certain work to be performed for the Recipient must be performed by
force account employees.
(e) Procurement of Rolling Stock. The Recipient agrees that if FRA requires the
Recipient to acquire any rolling stock for the Underlying Agreement from the Next
Generation Corridor Equipment Pool Committee that has been established under
section 305 of PRIIA, FTA deems section 15 of this Master Agreement to be
satisfied.
(f) Use of Real Property, Equipment, and Supplies. The Recipient agrees that
application of section 19 of this Master Agreement is reserved.
(g) Davis-Bacon. The Recipient agrees that, as provided in 49 U.S.C. § 24312, wages
paid to railroad employees at rates provided in a collective bargaining agreement
negotiated under the Railway Labor Act, 45 U.S.C. § 151, et seq., are deemed to
comply with the requirements of the Davis-Bacon Act, 40 U.S.C. § 3141, et seq., and
satisfy section 24 of this Master Agreement.
(h) Employee Protective Arrangements. The Recipient agrees to pass down to a railroad
employee subject to the Railway Labor Act, 45 U.S.C. § 151, et seq., protective
arrangements as provided in a special Attachment to FTA’s Grant Agreement or
Cooperative Agreement with the Recipient, and not pass down employee protective
arrangements as provided in section 24 of this Master Agreement.
(i) Motor Carrier Safety. The Recipient agrees that railroad signal employees and their
employers must comply with the hours of service requirements of 49 U.S.C.
§ 21104, see 49 U.S.C. § 21104(e), and FRA’s hours of service regulation,
specifically 49 CFR Part 228, and that section 33 of this Master Agreement does not
apply to railroad signal employees concerning hours of service.
(j) Railroad Safety. The Recipient agrees that a railroad subject to FRA’s safety
jurisdiction must comply with the federal railroad safety laws.
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
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SPECIAL PROVISION FOR PROMOTING COVID-19 SAFETY
Section 49. Centers for Disease Control and Prevention Order on Requirements for
Persons to Wear Masks While on Conveyances and at Transportation Hubs.
(a) Compliance with CDC Mask Order. The Centers for Disease Control and Prevention
(“CDC”) Order of January 29, 2021, titled Requirement for Persons to Wear Masks
While on Conveyances and at Transportation Hubs (“CDC Mask Order”), is within
the meaning of “Federal Requirement” as that term is defined in this Master
Agreement. One of the objectives of the CDC Mask Order is “[m]aintaining a safe
and operating transportation system.” The Recipient agrees that it will comply, and
will require all Third-Party Participants to comply, with the CDC Mask Order.
(b) Enforcement for non-compliance. The Recipient agrees that FTA may take
enforcement action for non-compliance with the CDC Mask Order, including:
(1) Enforcement actions authorized by 49 U.S.C. § 5329(g);
(2) Referring the Recipient to the CDC or other Federal authority for
enforcement action;
(3) Enforcement actions authorized by 2 CFR §§ 200.339 – .340; and
(4) Any other enforcement action authorized by Federal law or regulation.
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
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APPENDIX A
TRIBAL TRANSIT PROGRAM—APPLICABLE PROVISIONS
FTA recognizes that several provisions of this Master Agreement generally applicable to other
programs do not apply to the Tribal Transit Programs or the Indian Tribes that are the Direct
Recipients of federal assistance under those Programs. The following sections of this Master
Agreement are not applicable to the Tribal Transit Programs:
Section 14(a)(1) and 14(b) – Private Enterprise
Section 22(e) – Relocation and Real Property
Section 27 – State Management and Monitoring Systems
Section 30 – Geographic Information and Related Spatial Data
Section 37 – Special Notification Requirement for States
However, this list is not intended to be comprehensive and FTA may determine that other
provisions are not applicable depending upon the Underlying Agreement for the Tribal Transit.
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
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Exhibit D – OMB Guidance
0MB Guidance Pt. 200, App. II
H. OTHER INFORMATION-OPTIONAL
This section may include any additional information that will assist a potential ap- plicant. For example, the section might:
i. Indicate whether this is a new program or a one-time initiative. ii. Mention related programs or other up- coming or ongoing Federal awarding agency funding opportunities for similar activities.
iii. Include current Internet addresses for Federal awarding agency Web sites that may be useful to an applicant in unclerstanding the program. iv. Alert applicants to the need to identify proprietary information and inform them about the way the Federal awarding agency will handle it. v. Include certain routine notices to appli - cants (e.g., that the Federal Government is not obligated to make any Federal award as a result of the announcement or that only grants officers can bind the Federal Govern- ment to the expenditure of funds).
[78 FR 78608, Dec. 26, 2013, as amended at 80 FR 43310, July 22, 2015; 85 FR 49575, Aug. 13, 2020]
APPENDIX II TO PART 200-CONTRACT
PROVISIONS FOR NON-FEDERAL ENTI-
TY CONTRACTS UNDER FEDERAL
AWARDS
In addition to other provisions required by the Federal agency or non-Federal entity, all contracts made by the non-Federal entity under the Federal award must contain provi- sions covering the following, as applicable. (A) Contracts for more than the simplifiecl acquisition threshold, which is the inflation adjusted amount determined by the Civilian Agency Acquisition Council and the Defense Acquisition Regulations Council (Councils) as authorized by 41 U.S.C. 1908, must address administrative, contractual, or legal rem- edies in instances where contractors violate or breach contract terms, and provide for such sanctions and penalties as appropriate. (B) All contracts in excess of $10,000 must address termination for cause and for con- venience by the non-Fecleral entity including the manner by which it will be effected and the basis for settlement. (C) Equal Employment Opportunity. Ex- cept as otherwise provided under 41 CFR Part 60, all contracts that meet the defini- tion of "federally assisted construction con- tract" in 41 CFR Part 60-1.3 must include the equal opportunity clause provided under 41 CFR 60-1.4(b), in accordance with Executive Order 11246, "Equal Employment Oppor- tunity" (30 FR 12319, 12935, 3 CFR Part, 1964- 1965 Comp., p. 339), as amended by Executive Order 11375, "Amencling Executive Orcler 11246 Relating to Equal Employment Oppor- tunity," and implementing regulations at 41 CFR part 60, "Office of Federal Contract
Compliance Programs, Equal Employment Opportunity, Department of Labor." (D) Davis-Bacon Act, as amended (40 U.S.C. 3141-3148). When required by Federal program legislation, all prime construction contracts in excess of $2,000 awarded by non-Federal entities must include a provision for compli- ance with the Davis-Bacon Act (40 U.S.C. 3141-3144, and 3146--3148) as supplemented by Department of Labor regulations (29 CFR Part 5, "Labor Standards Provisions Appli- cable to Contracts Covering Federally Fi - nanced and Assisted Construction"). In ac- cordance with the statute, contractors must be required to pay wages to laborers and me- chanics at a rate not less than the prevailing wages specified in a wage determination made by the Secretary of Labor. In addition, contractors must be required to pay wages not less than once a week. The non-Federal entity must place a copy of the current pre- vailing wage determination issued by the De- partment of Labor in each solicitation. The decision to award a contract or subcontract must be conditioned upon the acceptance of the wage determination. The non-Fecleral en- tity must report all suspected or reported violations to the Federal awarding agency. The contracts must also include a provision for compliance with the Copeland "Anti- Kickback" Act (40 U.S.C. 3145), as supple- mented by Department of Labor regulations (29 CFR Part 3, "Contractors and Sub- contractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United States"). The Act provides that each contractor or sub- recipient must be prohibited from inducing, by any means, any person employed in the construction, completion, or repair of public work, to give up any part of the compensa- tion to which he or she is otherwise entitled. The non-Federal entity must report all sus- pected or reported violations to the Federal awarding agency. (E) Contract Work Hours and Safety Standards Act (40 U.S.C. 3701-3708). Where applicable, all contracts awarded by the non- Federal entity in excess of $100,000 that in- volve the employment of mechanics or labor- ers must include a provision for compliance with 40 U.S.C. 3702 and 3704, as supplemented by Department of Labor regulations (29 CFR Part 5). Under 40 U.S.C. 3702 of the Act, each contractor must be required to compute the wages of every mechanic and laborer on the basis of a standard work week of 40 hours. Work in excess of the standard work week is permissible provided that the worker is com- pensated at a rate of not less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work week. The requirements of 40 U.S.C. 3704 are applicalJle to construction work ancl provide that no laborer or mechanic must be re- quired to work in surroundings or under working conditions which are unsanitary,
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
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Pf. 200, App. Ill 2 CFR Ch. II (l-1-21 Edition)
hazardous or dangerous. These requirements do not apply to the purchases of supplies or materials or articles orclinarily available on the open market, or contracts for transpor- tation or transmission of intelligence. (F) Rights to Inventions Made Under a Contract or Agreement. If the Federal award meets the definition of "funding agreement" under 37 CFR §401.2 (a) and the recipient or subrecipient wishes to enter into a contract with a small business firm or nonprofit orga- nization regarding the substitution of par- ties, assignment or performance of experi- mental, developmental, or research work under that "funding agreement," the recipi- ent or subrecipient must comply with the re- quirements of 37 CFR Part 401, "Rights to In- ventions Made by Nonprofit Organizations and Small Business Firms Under Govern- ment Grants, Contracts and Cooperative Agreements," and any implementing regula- tions issued by the awarding agency. (G) Clean Air Act (42 U.S.C. 7401-7671q.) and the Federal Water Pollution Control Act (33 U.S.C. 1251-1387), as amended-Contracts and subgrants of amounts in excess of $150,000 must contain a provision that requires the non-Federal award to agree to comply with all applicable standards, orders or regula- tions issued pursuant to the Clean Air Act (42 U.S.C. 7401-7671cl) and the Federal Water Pollution Control Act as amended (33 U.S.C. 1251-1387). Violations must be reported to the Federal awarding agency and the Regional Office of the Environmental Protection Agency (EPA). (H) Debarment and Suspension (Executive Orders 12549 and 12689)-A contract award (see 2 CFR 180.220) must not be made to par- ties listed on the governmentwide exclusions in the System for Award Management (SAM), in accordance with the 0MB guide- lines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR part 1986 Comp., p. 189) and 12689 (3 CFR part 1989 Comp., p. 235), "Debarment and Suspension." SAM Exclu- sions contains the names of parties debarred, suspended, or otherwise excluded by agen- cies, as well as parties declared ineligible under statutory or regulatory authority other than Executive Orcler 12549. (I) Byrd Anti-Lobbying Amendment (31 U.S.C. 1352)-Contractors that apply or bid for an awarcl exceeding $100,000 must file the required certification. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or at- tempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with ob- taining any Federal contract, grant or any other award coverecl by 31 U.S.C. 1352. Each tier must also disclose any lobbying with non-Federal funds that takes place in con- nection with obtaining any Federal award.
Such disclosures are forwarded from tier to tier up to the non-Federal award.
(J) See § 200.323. (K) See § 200.216. (L) See § 200.322.
[78 FR 78608, Dec. 26, 2013, as amended at 79 FR 75888, Dec. 19, 2014; 85 FR 49577, Aug. 13, 2020]
APPENDIX III TO PART 200-INDIRECT
(F&A) COSTS IDENTIFICATION AND
ASSIGNMENT, AND RATE DETERMINA-
TION FOR INSTITUTIONS OF HIGHER
EDUCATION (IHES)
A. GENERAL
This appendix provides criteria for identi- fying ancl computing indirect (or indirect (F&A)) rates at IHEs (institutions). Indirect (F&A) costs are those that are incurred for common or joint objectives and therefore cannot be identified readily and specifically with a particular sponsored project, an in- structional activity, or any other institu- tional activity. See subsection B.1 for a dis- cussion of the components of indirect (F&A) costs.
1. Major Functions of an Institution
Refers to instruction, organized research, other sponsored activities and other institu- tional activities as defined in this section: a. Instruction means the teaching and training activities of an institution. Except for research training as provided in sub- section b, this term includes all teaching and training activities, whether they are offered for creclits toward a degree or certificate or on a non-credit basis, and whether they are offered through regular academic depart- ments or separate divisions, such as a sum- mer school division or an extension division. Also considered part of this major function are departmental research, and, where agreed to, university research. (1) Sponsored instruction and training means specific instructional or training activity es- tablished by grant, contract, or cooperative agreement. For purposes of the cost prin- ciples, this activity may be considered a major function even though an institution's accounting treatment may include it in the instruction function. (2) Departmental research means research, development and scholarly activities that are not organized research and, con- sequently, are not separately budgeted and accounted for. Departmental research, for purposes of this document, is not considered as a major function, but as a part of the in- struction function of the institution. (3) Only manclatory cost sharing or cost sharing specifically committed in the project budget must be included in the organized re- search base for computing the indirect (F&A)
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
Page 1
Exhibit E – Program Reports
RCTC Finance Only:
Vendor: 000228 Contract No. 01394 GL: 260-26-86101
MONTHLY PROJECT INVOICE
FY 2021 - 2022 SPECIALIZED TRANSIT PROGRAM
Invoice No:
Invoice Date:
Measure A Payment Remit:
$ 23,147.00
Agency Name: Care-A-Van Transit
Project Title: Care-A-Van Transit
Month Invoiced: July 2021
EXPENSES Position % Time Invoice Detail
Salaries by Position (include benefits): Salaries should be based on actuals not budget
A.Program Coordinator # of Positions → 1 100% $ 3,573.18
B. Drivers # of Positions → 6 100% $ 13,949.47
C. Dispatch # of Positions → 1 50% $ 2,048.00
D. Accounting Payroll # of Positions → 1 7% $ 616.29
E. Workers Compensation # of Positions → 0 0% $ 1,670.00
F. Payroll Taxes # of Positions → 0 0% $ 1,483.76
G. # of Positions → 0%
In-Kind *Salaries by Position (include benefits) In-kind expenses and revenues should match
A. Human Resources (Inkind) # of Positions → 1 25% $ 1,500.00
B. Development Manager (Inkind) # of Positions → 1 25% $ 2,000.00
C. # of Positions → 0%
Total Salaries & Benefits (a) $ 26,840.70
Non-Personnel Expenses:
A. Advertising $ 24.00
B. Fuel/oil $ 483.00
C. General Office Expense ( supplies/postage/ sanitation/cleaning) $ 117.80
D. Rent $ 710.47
E. Vehicle Storage $ 200.00
F. Telephone $ 307.93
G. Uniforms
H. Vechicle Registration
I. Vehicle Insurance $ 5,616.60
J. Vehicle Maintenace $ 423.28
K. Travel/Staff Training
L. Payroll Fees $ 347.90
M. Profressional Fees/Renewal Fees
N. Employee Clearance/ Testing
O. Audit/ CPA Consultant
P.
*Non-Personnel Match (in-kind):
A.
Total Non-Personnel Expenses (b) $ 8,230.98
Capital Expneses:
A.
Total Capital Expenses (c) $ -
Admin Overhead (d) 8% of total allowable
TOTAL PROJECT EXPENSES (a+b+c+d) $ 35,071.68
REVENUES
Agency Match (Cash)
A. Farebox/Rider Donations $ 469.00
*Grant Revenues (not Measure A)
A. City of Hemet CDBG $ 2,521.13
B. Riverside County CDBG $ 1,041.66
C. CFLC /Workforce Development
D. RCOE/ YouthBuild
E. Inland Regional Center
F. Loan Proceeds/CFLC $ 4,117.89
G.
Total Cash Match (e) $ 8,149.68
Agency Match (In-Kind)
*Salaries by Position (include benefits):
Position % Time
A. Human Resources 25% $ 1,500.00
B. Development Manager 28% $ 2,000.00
C 0%
*Non-Personnel Match (in-kind):
A. Fuel Discount
B
$ 275.00
Total In-Kind Match (f) $ 3,775.00
Measure A Operating Invoiced This Month (g)
Measure A Capital Invoiced This Month (h)
$ 23,147.00
TOTAL REVENUES (e+f+g+h) $ 35,071.68
Current Measure A Invoice Amount: $ 23,147.00
Current Measure A Agency Match Amount: $ 11,924.68
TOTAL $ 35,071.68
Total Measure A Award
$ 324,410.00
Measure A Billed to Date (including this invoice): $23,147.00
Measure A Balance Remaining $301,263.00
% Remaining 92.9%
I certify that the program work covered by this invoice has been completed in accordance with approved plans and
specifications; the costs shown in this invoice are true and correct; and the amount claimed is due and payable in accordance
with terms of the agreement and the Federal, State, or local intent of funds.
(Representative Name) PRINT Representative Title
(Representative Name) SIGNATURE Date
Invoice Correction
Previous Measure A Invoice PAID Amount:
$0.00
UPDATED Measure A Amount:
$0.00
Measure A delta to be paid (refunded)
$0.00
Invoice adjustment justification:
Armando G. Villa City Manager
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
Page 2
C-1 Monthly Invoice
RCTC Finance Only:
Vendor: 000228 Contract No. 01394 GL: 260-26-86101
MONTHLY PROJECT INVOICE
FY 2021 - 2022 SPECIALIZED TRANSIT PROGRAM
Invoice No: 82021
Invoice Date: 9/10/2021
Measure A Payment Remit: $ 21,722.00
Agency Name: Care-A-Van Transit
Project Title: Care-A-Van Transit
Month Invoiced: August 2021
EXPENSES Position % Time Invoice Detail
Salaries by Position (include benefits): Salaries should be based on actuals not budget
A.Program Coordinator # of Positions → 1 100% $ 3,608.36
B. Drivers # of Positions → 6 100% $ 14,240.95
C. Dispatch # of Positions → 1 50% $ 2,079.50
D. Accounting Payroll # of Positions → 1 5% $ 655.67
E. Workers Compensation # of Positions → $ 1,702.00
F. Payroll Taxes # of Positions → $ 1,509.26
G. # of Positions →
In-Kind *Salaries by Position (include benefits) In-kind expenses and revenues should match
A. Human Resources (Inkind) # of Positions → 25% $ 1,500.00
B. Development Manager (Inkind) # of Positions → 25% $ 2,000.00
C. # of Positions → 0%
Total Salaries & Benefits (a) $ 27,295.74
Non-Personnel Expenses:
A. Advertising
B. Fuel/oil $ 208.00
C. General Office Expense ( supplies/postage/ sanitation/cleaning) $ 124.03
D. Rent $ 710.47
E. Vehicle Storage
F. Telephone
G. Uniforms
H. Vechicle Registration $ 416.00
I. Vehicle Insurance $ 2,846.78
J. Vehicle Maintenace $ 963.71
K. Travel/Staff Training
L. Payroll Fees $ 347.90
M. Profressional Fees/Renewal Fees
N. Employee Clearance/ Testing
O. Audit/ CPA Consultant
P.
*Non-Personnel Match (in-kind):
A.
Total Non-Personnel Expenses (b) $ 5,616.89
Capital Expneses:
A.
Total Capital Expenses (c) $ -
Admin Overhead (d) 8% of total allowable
TOTAL PROJECT EXPENSES (a+b+c+d) $ 32,912.63
REVENUES
Agency Match (Cash)
A. Farebox/Rider Donations $ 646.39
*Grant Revenues (not Measure A)
A. City of Hemet CDBG $ 2,521.13
B. Riverside County CDBG $ 1,666.66
C. CFLC /Workforce Development
D. RCOE/ YouthBuild
E. Inland Regional Center
F. Loan Proceeds/CFLC $ 2,856.45
G.
Total Cash Match (e) $ 7,690.63
Agency Match (In-Kind)
*Salaries by Position (include benefits):
Position % Time
A. Human Resources 25% $ 1,500.00
B. Development Manager 28% $ 2,000.00
C 0%
*Non-Personnel Match (in-kind):
A. Fuel Discount
B
Total In-Kind Match (f) $ 3,500.00
Measure A Operating Invoiced This Month (g)
Measure A Capital Invoiced This Month (h)
$ 21,722.00
TOTAL REVENUES (e+f+g+h) $ 32,912.63
Current Measure A Invoice Amount: $ 21,722.00
Current Measure A Agency Match Amount: $ 11,190.63
TOTAL $ 32,912.63
Total Measure A Award
$324,410.00
Measure A Billed to Date (including this invoice): $44,869.00
Measure A Balance Remaining $279,541.00
% Remaining 86.2%
I certify that the program work covered by this invoice has been completed in accordance with approved plans and
specifications; the costs shown in this invoice are true and correct; and the amount claimed is due and payable in accordance
with terms of the agreement and the Federal, State, or local intent of funds.
(Representative Name) PRINT Representative Title
(Representative Name) SIGNATURE Date
Invoice Correction
Previous Measure A Invoice PAID Amount:
$0.00
UPDATED Measure A Amount:
$0.00
Measure A delta to be paid (refunded)
$0.00
Invoice adjustment justification:
Armando G. Villa City Manager
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
Page 3
C-1 Monthly Invoice
RCTC Finance Only:
Vendor: 000228 Contract No. 01394 GL: 260-26-86101
MONTHLY PROJECT INVOICE
FY 2021 - 2022 SPECIALIZED TRANSIT PROGRAM
Invoice No: 92021
Invoice Date: 10/8/2021
Measure A Payment Remit: $ 21,842.00
Agency Name: Care-A-Van Transit
Project Title: Care-A-Van Transit
Month Invoiced: September 2021
EXPENSES Position % Time Invoice Detail
Salaries by Position (include benefits): Salaries should be based on actuals not budget
A.Program Coordinator # of Positions → 1 100% $ 3,567.64
B. Drivers # of Positions → 6 100% $ 13,622.38
C. Dispatch # of Positions → 1 50% $ 2,121.50
D. Accounting Payroll # of Positions → 1 5% $ 636.21
E. Workers Compensation # of Positions → 0% $ 1,633.00
F. Payroll Taxes # of Positions → 0% $ 1,462.02
G. # of Positions → 0%
In-Kind *Salaries by Position (include benefits) In-kind expenses and revenues should match
A. Human Resources (Inkind) # of Positions → 0% $ 1,500.00
B. Development Manager (Inkind) # of Positions → 0% $ 2,000.00
C. # of Positions → 0%
Total Salaries & Benefits (a) $ 26,542.75
Non-Personnel Expenses:
A. Advertising $ 121.80
B. Fuel/oil $ 483.00
C. General Office Expense ( supplies/postage/ sanitation/cleaning) $ 37.00
D. Rent $ 710.47
E. Vehicle Storage $ 400.00
F. Telephone $ 35.62
G. Uniforms
H. Vechicle Registration
I. Vehicle Insurance $ 2,846.77
J. Vehicle Maintenace $ 1,379.52
K. Travel/Staff Training $ 42.56
L. Payroll Fees $ 347.90
M. Profressional Fees/Renewal Fees $ 146.00
N. Employee Clearance/ Testing
O. Audit/ CPA Consultant
P.
*Non-Personnel Match (in-kind):
A.
Total Non-Personnel Expenses (b) $ 6,550.64
Capital Expneses:
A.
Total Capital Expenses (c) $ -
Admin Overhead (d) 8% of total allowable
TOTAL PROJECT EXPENSES (a+b+c+d) $ 33,093.39
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
Page 4
C-1 Monthly Invoice
REVENUES
Agency Match (Cash)
A. Farebox/Rider Donations $ 823.37
*Grant Revenues (not Measure A)
A. City of Hemet CDBG $ 2,521.13
B. Riverside County CDBG $ 1,666.66
C. CFLC /Workforce Development $ 2,050.00
D. RCOE/ YouthBuild
E. Inland Regional Center
$ 415.23 F. Loan Proceeds/CFLC
G.
Total Cash Match (e) $ 7,476.39
Agency Match (In-Kind) Position % Time
*Salaries by Position (include benefits):
A. Human Resources 25% $ 1,500.00
B. Development Manager 28% $ 2,000.00
C 0%
*Non-Personnel Match (in-kind):
A. Fuel Discount $ 275.00
B
Total In-Kind Match (f) $ 3,775.00
Measure A Operating Invoiced This Month (g) $ 21,842.00
Measure A Capital Invoiced This Month (h)
TOTAL REVENUES (e+f+g+h) $ 33,093.39
Current Measure A Invoice Amount: $ 21,842.00
Current Measure A Agency Match Amount: $ 11,251.39
TOTAL $ 33,093.39
Total Measure A Award $324,410.00
Measure A Billed to Date (including this invoice): $66,711.00
Measure A Balance Remaining $257,699.00
% Remaining 79.4%
I certify that the program work covered by this invoice has been completed in accordance with approved plans and
specifications; the costs shown in this invoice are true and correct; and the amount claimed is due and payable in
accordance with terms of the agreement and the Federal, State, or local intent of funds.
(Representative Name) PRINT Representative Title
(Representative Name) SIGNATURE Date
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
Armando G. Villa
12/20/2022
City Manager
Page 19
Invoice Correction
Invoice adjustment justification:
C-1 Monthly Invoice
Previous Measure A Invoice PAID Amount: $0.00
UPDATED Measure A Amount: $0.00
Measure A delta to be paid (refunded) $0.00
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
MONTHLY PROJECT INVOICE
SPECIALIZED TRANSIT PROGRAM
Agency Name: Care-A-Van Transit
Project Title: Care-A-Van Transit
Fiscal Year: 2021/2022 As of Bud Mod
#1 6.23.22
Position % EXPENSES Time July August September October November December January February March April May June Total Budget % Billed
Salaries by Position (include benefits):
A. Program Coordinator 100%
B. Drivers 100%
C. Dispatch 50%
D. Accounting Payroll 7%
E. Workers Compensation 0%
F. Payroll Taxes 0%
G. 0%
$ 3,573.18
$ 13,949.47
$ 2,048.00
$ 616.29
$ 1,670.00
$ 1,483.76
$ -
$ 3,608.36
$ 14,240.95
$ 2,079.50
$ 655.67
$ 1,702.00
$ 1,509.26
$ -
$ 3,567.64
$ 13,622.38
$ 2,121.50
$ 636.21
$ 1,633.00
$ 1,462.02
$ -
$ 3,748.18
$ 12,631.88
$ 1,460.50
$ 636.03
$ 1,513.00
$ 1,356.45
$ -
$ 3,179.50
$ 13,696.97
$ -
$ 636.11
$ 1,621.00
$ 1,277.65
$ -
$ 3,197.50
$ 12,563.00
$ -
$ 694.31
$ 1,489.00
$ 1,613.14
$ -
$ 2,608.56
$ 8,065.27
$ -
$ 637.23
$ -
$ 1,360.54
$ -
$ 3,053.00
$ 8,058.02
$ -
$ 630.59
$ 509.00
$ 1,285.66
$ -
$ 3,578.88
$ 9,522.19
$ -
$ 764.08
$ 356.00
$ 1,048.16
$ -
$ 3,266.88
$ 8,723.84
$ -
$ 793.76
$ 756.00
$ 911.17
$ -
$ 3,457.00
$ 12,463.19
$ -
$ 761.60
$ 1,073.00
$ 1,350.03
$ -
$ 3,457.00
$ 12,710.05
$ -
$ 776.89
$ 1,097.00
$ 1,382.93
$ -
$ 40,295.68
$ 140,247.21
$ 7,709.50
$ 8,238.77
$ 13,419.00
$ 16,040.77
$ -
$ 43,500.00
$ 160,650.00
$ 21,874.00
$ 8,380.00
$ 25,000.00
$ 27,600.00
$ -
92.6%
87.3%
35.2%
98.3%
53.7%
58.1%
#DIV/0!
In-Kind *Salaries by Position (include benefits) In-kind
expenses and revenues should match
A. Human Resources (Inkind) 0%
B. Development Manager (Inkind) 25%
C. 0%
$ 1,500.00
$ 2,000.00
$ -
$ 1,500.00
$ 2,000.00
$ -
$ 1,500.00
$ 2,000.00
$ -
$ 1,800.00
$ 2,000.00
$ -
$ 1,800.00
$ 2,000.00
$ -
$ 1,500.00
$ 2,000.00
$ -
$ 1,500.00
$ 2,000.00
$ -
$ 1,500.00
$ -
$ 2,000.00
$ 1,800.00
$ 2,000.00
$ -
$ 1,800.00
$ 2,000.00
$ -
$ 1,800.00
$ 2,000.00
$ -
$ 1,800.00
$ 2,000.00
$ -
$ 19,800.00
$ 22,000.00
$ 2,000.00
$ 19,800.00
$ 24,000.00
$ -
100.0%
91.7%
#DIV/0!
Total Salaries & Benefits (a) $ 26,840.70 $ 27,295.74 $ 26,542.75 $ 25,146.04 $ 24,211.23 $ 23,056.95 $ 16,171.60 $ 17,036.27 $ 19,069.31 $ 18,251.65 $ 22,904.82 $ 23,223.87 $ 269,750.93 $330,804.00 81.5%
Non-Personnel Expenses:
A. Advertising
B. Fuel/oil
C. General Office Expense ( supplies/postage/ sanitatio
D. Rent
E. Vehicle Storage
F. Telephone
G. Uniforms
H. Vechicle Registration
I. Vehicle Insurance
J. Vehicle Maintenace
K. Travel/Staff Training
L. Payroll Fees
M. Profressional Fees/Renewal Fees
N. Employee Clearance/ Testing
O. Audit/ CPA Consultant
P.
$ 24.00
$ 483.00
$ 117.80
$ 710.47
$ 200.00
$ 307.93
$ -
$ -
$ 5,616.60
$ 423.28
$ -
$ 347.90
$ -
$ -
$ -
$ -
$ -
$ 208.00
$ 124.03
$ 710.47
$ -
$ -
$ -
$ 416.00
$ 2,846.78
$ 963.71
$ -
$ 347.90
$ -
$ -
$ -
$ -
$ 121.80
$ 483.00
$ 37.00
$ 710.47
$ 400.00
$ 35.62
$ -
$ -
$ 2,846.77
$ 1,379.52
$ 42.56
$ 347.90
$ 146.00
$ -
$ -
$ -
$ 24.00
$ 3,927.13
$ 312.58
$ 710.47
$ 200.00
$ 69.62
$ -
$ 321.00
$ 853.91
$ 2,117.78
$ 184.24
$ 347.90
$ 248.61
$ 4.00
$ -
$ -
$ -
$ 617.00
$ 54.95
$ 710.47
$ 200.00
$ -
$ -
$ 1,000.00
$ 2,846.77
$ 2,295.56
$ -
$ 337.99
$ 30.00
$ -
$ -
$ -
$ -
$ 5,184.75
$ 79.55
$ 710.47
$ 200.00
$ -
$ -
$ -
$ 2,846.78
$ 1,984.83
$ 44.24
$ 328.08
$ 8.00
$ 260.00
$ -
$ -
$ 24.00
$ 6,417.26
$ 40.00
$ 710.47
$ -
$ -
$ -
$ -
$ 2,351.25
$ 1,137.20
$ 227.16
$ 443.91
$ 218.61
$ 277.00
$ -
$ -
$ 374.00
$ 6,467.16
$ 70.76
$ 710.47
$ 100.00
$ 105.23
$ -
$ -
$ 2,724.52
$ 2,030.10
$ 54.64
$ 321.46
$ 214.95
$ 3.00
$ -
$ -
$ 224.84
$ 2,609.28
$ 194.41
$ 710.47
$ 100.00
$ -
$ -
$ 219.00
$ 2,416.76
$ 1,364.58
$ -
$ 330.13
$ -
$ 95.00
$ 5,000.00
$ -
$ 284.98
$ 2,353.86
$ 40.00
$ 710.47
$ 100.00
$ 104.82
$ -
$ -
$ -
$ 1,198.88
$ 81.32
$ 338.80
$ -
$ 99.00
$ 2,000.00
$ -
$ 656.11
$ 7,669.62
$ 228.67
$ 710.47
$ 200.00
$ 35.16
$ -
$ -
$ -
$ 2,227.58
$ 107.65
$ 349.26
$ 75.00
$ 480.00
$ 1,350.00
$ -
$ -
$ 7,062.61
$ 139.59
$ 710.47
$ -
$ 66.84
$ -
$ -
$ -
$ 1,143.68
$ -
$ 352.74
$ -
$ 320.00
$ 2,500.00
$ -
$ 1,733.73
$ 43,482.67
$ 1,439.34
$ 8,525.64
$ 1,700.00
$ 725.22
$ -
$ 1,956.00
$ 25,350.14
$ 18,266.70
$ 741.81
$ 4,193.97
$ 941.17
$ 1,538.00
$ 10,850.00
$ -
$ 2,500.00
$ 44,000.00
$ 2,000.00
$ 8,526.00
$ 3,150.00
$ 1,500.00
$ 200.00
$ 2,500.00
$ 27,350.00
$ 45,000.00
$ 1,000.00
$ 5,000.00
$ 1,000.00
$ 2,000.00
$ 15,000.00
$ -
69.3%
98.8%
72.0%
100.0%
54.0%
48.3%
0.0%
78.2%
92.7%
40.6%
74.2%
83.9%
94.1%
76.9%
72.3%
#DIV/0!
*Non-Personnel Match (in-kind):
A. $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - #DIV/0!
Total Non-Personnel Expenses (b) $ 8,230.98 $ 5,616.89 $ 6,550.64 $ 9,321.24 $ 8,092.74 $ 11,646.70 $ 11,846.86 $ 13,176.29 $ 13,264.47 $ 7,312.13 $ 14,089.52 $ 12,295.93 $ 121,444.39 $ 160,726.00 75.6%
Capital Expneses:
A. $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - #DIV/0!
Total Capital Expenses (c) $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - #DIV/0!
Admin Overhead (d) 8% of total allowable $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - #DIV/0!
TOTAL PROJECT EXPENSES (a+b+c+d) $ 35,071.68 $ 32,912.63 $ 33,093.39 $ 34,467.28 $ 32,303.97 $ 34,703.65 $ 28,018.46 $ 30,212.56 $ 32,333.78 $ 25,563.78 $ 36,994.34 $ 35,519.80 $ 391,195.32 $491,530.00 79.6%
REVENUES July August September October November December January February March April May June Total Budget % Billed
Agency Match (Cash)
A. Farebox/Rider Donations $ 469.00 $ 646.39 $ 823.37 $ 701.25 $ 1,802.90 $ 779.40 $ 392.71 $ 390.85 $ 471.70 $ 371.50 $ 798.90 $ 610.55 $ 8,258.52 $ 18,700.00 44.2%
*Grant Revenues (not Measure A)
A. City of Hemet CDBG $ 2,521.13 $ 2,521.13 $ 2,521.13 $ 548.51 $ 548.51 $ 548.51 $ 548.51 $ 548.51 $ 548.51 $ 548.51 $ 548.51 $ 548.53 $ 12,500.00 $ 12,500.00 100.0%
B. Riverside County CDBG $ 1,041.66 $ 1,666.66 $ 1,666.66 $ 1,736.11 $ 1,736.11 $ 1,736.11 $ 1,736.11 $ 1,736.11 $ 1,736.11 $ 1,736.11 $ 1,736.11 $ 1,736.14 $ 20,000.00 $ 20,000.00 100.0%
C. CFLC /Workforce Development $ - $ - $ 2,050.00 $ 1,660.00 $ 1,660.00 $ 1,660.00 $ 1,661.00 $ 1,661.00 $ 1,661.00 $ 1,661.00 $ 1,661.00 $ 1,665.00 $ 17,000.00 $ 17,000.00 100.0%
D. RCOE/ YouthBuild $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ 10,000.00 0.0%
E. Inland Regional Center $ - $ - $ - $ - $ - $ - $ - $ 766.17 $ - $ - $ 3,758.82 $ 2,710.06 $ 7,235.05 $ 18,000.00 40.2%
F. Loan Proceeds/CFLC $ 4,117.89 $ 2,856.45 $ 415.23 $ 2,998.41 $ 1,160.45 $ 3,300.63 $ 1,413.13 $ 1,394.92 $ 2,501.46 $ 299.66 $ - $ 649.76 $ 21,107.99 $ 24,120.00 87.5%
G. $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - #DIV/0!
Total Cash Match (e) $ 8,149.68 $ 7,690.63 $ 7,476.39 $ 7,644.28 $ 6,907.97 $ 8,024.65 $ 5,751.46 $ 6,497.56 $ 6,918.78 $ 4,616.78 $ 8,503.34 $ 7,920.04 $ 86,101.56 $ 120,320.00 71.6%
Agency Match (In-Kind)
*Salaries by Position (include benefits):
A. Human Resources 25% $ 1,500.00 $ 1,500.00 $ 1,500.00 $ 1,800.00 $ 1,800.00 $ 1,500.00 $ 1,500.00 $ 1,500.00 $ 1,800.00 $ 1,800.00 $ 1,800.00 $ 1,800.00 $ 19,800.00 $ 19,800.00 100.0%
B. Development Manager 28% $ 2,000.00 $ 2,000.00 $ 2,000.00 $ 2,000.00 $ 2,000.00 $ 2,000.00 $ 2,000.00 $ 2,000.00 $ 2,000.00 $ 2,000.00 $ 2,000.00 $ 2,000.00 $ 24,000.00 $ 24,000.00 100.0%
C 0% $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - #DIV/0!
*Non-Personnel Match (in-kind):
A. Fuel Discount $ 275.00 $ - $ 275.00 $ 275.00 $ 275.00 $ 275.00 $ 275.00 $ 275.00 $ 275.00 $ 275.00 $ 275.00 $ 356.76 $ 3,106.76 $ 3,000.00 103.6%
B $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - #DIV/0!
Total In-Kind Match (f) $ 3,775.00 $ 3,500.00 $ 3,775.00 $ 4,075.00 $ 4,075.00 $ 3,775.00 $ 3,775.00 $ 3,775.00 $ 4,075.00 $ 4,075.00 $ 4,075.00 $ 4,156.76 $ 46,906.76 $ 46,800.00 100.2%
Measure A Operating Invoiced This Month (g) $ 23,147.00 $ 21,722.00 $ 21,842.00 $ 22,748.00 $ 21,321.00 $ 22,904.00 $ 18,492.00 $ 19,940.00 $ - $ 16,872.00 $ 24,416.00 $ 23,443.00 $ 236,847.00 $ 324,410.00 73.0%
Measure A Capital Invoiced This Month (h) $ - $ - $ - $ - $ - $ - $ - $ - $ 21,340.00 $ - $ - $ - $ 21,340.00 $ - #DIV/0!
TOTAL REVENUES (e+f+g+h) $ 35,071.68 $ 32,912.63 $ 33,093.39 $ 34,467.28 $ 32,303.97 $ 34,703.65 $ 28,018.46 $ 30,212.56 $ 32,333.78 $ 25,563.78 $ 36,994.34 $ 35,519.80 $ 391,195.32 $ 491,530.00 79.6%
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
Exhibit C-2 -- Quantitative Reporting Requirements
2022 Specialized Transit Program Call For Projects -- Western Riverside Measure A
Fiscal Year 2021/22 MONTHLY REPORT
AGENCY: Care-A-Van Transit Brief Project Description:
PROJECT NAME: Care-A-Van Transit Project Type: Operating
Information reported shall be for this project only. Year 1 Month Qtr 1 Month Qtr 2 Month Qtr 3 Month Qtr 4 FY 21/22
Goal Jul-21 Aug-21 Sep-21 Total Oct-21 Nov-21 Dec-21 Total Jan-22 Feb-22 Mar-22 Total Apr-22 May-22 Jun-22 Total YTD Total
OPERATING DATA
1. Total One-Way Passenger Trips (report for this project only) 13500
1a. Seniors 4,200 310 321 320 951 356 355 383 1,094 259 265 338 862 295 319 335 949 3,856
1b. Disabled 4,200 582 581 552 1,715 347 321 357 1,025 278 281 311 870 312 298 298 908 4,518
1c. Low-Income 4,000 140 226 196 562 208 142 31 381 51 29 128 208 131 198 269 598 1,749
1d. Others 1,100 0 0 0 0 0
Total Passenger Trips (sum of 1a thru 1d) 13,500 1,032 1,128 1,068 3,228 911 818 771 2,500 588 575 777 1,940 738 815 902 2,455 10,123
2. Total Unique Persons Served per Period 400
a) New Clients/Unique Person 45 60 41 12 14 17 7 15 26 16 35 20
b) Continuing Clients/Uniqe Person(s) 177 106 113 140 109 115 84 101 94 99 89 116
c) Number (Cumulative/Unduplicated) 400 222 166 154 152 123 132 91 116 120 115 124 136
d) Of the above (c), how many military service
personnel or veterans were served?
25
10
12
7
7
8
11
7
8
8
9
9
10
106
OTHER OPERATING DATA
3. Total number of service days 21 21 21 21 19 21 20 19 23 21 21 22
4. Total Project Vehicle Service Hours 733 881 728 2,342 676 695 505 1,876 360 349 466 1,175 431 520 609 1,560 6,953
5. Total Project Vehicle Service Miles 6,802 7,781 7,040 21,623 6,787 6,087 6,514 19,388 3,745 4,053 5,644 13,442 5,039 6,105 6,062 17,206 71,659
6. Total Number of Drivers Trained 0 5 5 4 4 8 3 2 3 8 21
FINANCIAL DATA
10. Award - Measure A Subsidy $324,410 $ 23,147 $ 21,722 $ 21,842 66,711.00 $ 22,748 $ 21,321 $ 22,904 66,973.00 $ 18,492 $ 19,940 $ 21,340 59,772.00 $ 16,872 $ 24,416 $ 23,443 64,731.00 258,187.00
11. Farebox/Rider Donations $18,700 $ 469 $ 646 $ 823 1,938.76 $ 701 $ 1,803 $ 779 3,283.55 $ 393 $ 391 $ 472 1,255.26 $ 372 $ 799 $ 611 1,780.95 8,258.52
12. Agency Cash Match/ Other Contributions $12,500 $ 7,681 $ 7,044 $ 6,653 21,377.94 $ 6,943 $ 5,105 $ 7,245 19,293.35 $ 5,359 $ 6,107 $ 6,447 17,912.54 $ 4,245 $ 7,704 $ 7,309 19,259.21 77,843.04
13. In Kind Contributions $46,800 $ 3,775 $ 3,500 $ 3,775 11,050.00 $ 4,075 $ 4,075 $ 3,775 11,925.00 $ 3,775 $ 3,775 $ 4,075 11,625.00 $ 4,075 $ 4,075 $ 4,157 12,306.76 46,906.76
14. TOTAL REVENUE (sum of items 9 thru 12) $402,410 $ 35,072 $ 32,913 $ 33,093 101,077.70 $ 34,467 $ 32,304 $ 34,704 101,474.90 $ 28,018 $ 30,213 $ 32,334 90,564.80 $ 25,564 $ 36,994 $ 35,520 98,077.92 391,195.32
15. TOTAL OPERATING COST $491,530 $ 35,072 $ 32,913 $ 33,093 101,077.70 $ 34,467 $ 32,304 $ 34,704 101,474.90 $ 28,018 $ 30,213 $ 32,334 90,564.80 $ 25,564 $ 36,994 $ 35,520 98,077.92 391,195.32
16. Net Expenses (item 13 minus item 14) $ 89,120 $ - $ - $ - 0.00 $ - $ - $ - 0.00 $ - $ - $ - 0.00 $ - $ - $ - 0.00 0.00
PERFORMANCE MEASURES (formulas: do not enter data)
17. Meas A Subsidy per Passenger 22.429264 19.26 20.45 20.67 24.97 26.06 29.71 26.79 31.45 34.68 27.46 30.81 22.86 29.96 25.99 26.37 25.50
18. Meas A Subsidy Per Vehicle Hour 31.58 24.66 30.00 28.48 33.65 30.68 45.35 35.70 51.37 57.13 45.79 50.87 39.15 46.95 38.49 41.49 37.13
19. Meas A Subsidy per Vehicle Mile 3.40 2.79 3.10 3.09 3.35 3.50 3.52 3.45 4.94 4.92 3.78 4.45 3.35 4.00 3.87 3.76 3.60
20. Avgerage Trips per day 49.14 53.71 50.86 #DIV/0! 43.38 43.05 36.71 #DIV/0! 29.40 30.26 33.78 #DIV/0! 35.14 38.81 41.00 #DIV/0!
21. Passengers Per Vehicle Hour 1.41 1.28 1.47 1.38 1.35 1.18 1.53 1.33 1.63 1.65 1.67 1.65 1.71 1.57 1.48 1.57 1.46
22. Passengers Per Vehicle Mile 0.15 0.14 0.15 0.15 0.13 0.13 0.12 0.13 0.16 0.14 0.14 0.14 0.15 0.13 0.15 0.14 0.14
23. Other 6.59 6.90 6.59 6.70 7.45 7.44 8.45 7.76 6.37 7.05 7.26 6.93 6.83 7.49 6.72 7.01 7.08
24. Milestone Progress Completed? Date Completed Jun-22
a. Ongoing specialized transportation for seniors, disabled, and low-income individuals during the COVID 19 pandemic.
b. Marketing & development strategies to increase awareness in community to increase matching funding.
c. Conduct Consumer Satisfaction Surveys monthly/quarterly.
d. Coordination of transportation services for job access for low-income individuals.
25. MUST PROVIDE QUARTERLY: 1. Provide a short quarterly status update of the project. (4-5 sentences) 2. Provide a quarterly quantitative update of the project (i.e. one-way trips provided/supported, unique persons served, persons trained,
mobility manager hours, etc.).
Qtr
Care-A-Van provides ongoing transportation to vulerable populations that have been negaitively affected by COVID 19 to provide access to medical appointments, dialaysis, pharmacy, grocery shopping, food banks, and other needed services. One-ways trips total 3228 for the quarter.
Qtr2 During this time Care-A-Van has been affected by the "Great Resignation" with drivers either moving out of the area or choosing to retire, this has had negative impact on trips. Also the COVID OmniCron surge has caused lower ridership as well.
LEGEND:
FILL IN BLANK AUTO FILL
YES x NO
YES
x NO
YES
x NO
YES
x NO
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
Qtr3 Care-A-Van provides ongoing transportation to provide access to medical appointments, dialaysis, pharmacy, grocery shopping, food banks, and other needed services. One-ways trips for the quarter is 2500 and is lower due to staffing issues to include medical leave, and continuing with issues of great resignation.
Qtr4 Care-A-Van provides ongoing transportation to provide access to medical appointments, dialaysis, pharmacy, grocery shopping, food banks, and other needed services. One-ways trips for the quarter is 2455 continued to be lower due to the resurgence of omicron variant of COVID 19 and the seniors and disabled not wanting to risk exposure.
Please provide any additional comments that you would like to make. For example, if your "farebox/donations" have increased significantly; and/or if ridership has increased or decreased, we like to know why.
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
EXHIBIT C-3 - QUALITATIVE REPORTING REQUIREMENTS
Potential Survey Questions To Collect Demographic And Satisfaction
Data From Measure A Call Project Beneficiaries
NOTE: A consumer-oriented su,vey activity is required at least onceannuallyduring the funded
project term. The fol/owing data elements ore representativeof the kinds of information that may be
collected. Alternative data elements maybe collected with the approvalof RCTC staff.
Potential Data Elements
• Demographic Characteristics of Program Beneficiaries (end users,passengers)
• Age {ask for current age...it can be categorized asneeded later).
• Income (suggested categories)
(1) less than $10,000 (2) $10,000 to $14,999
(4) $20,000 to $24,999 (5) $25,000 to $34,999
(3) $15,000 to $19,999
(6) $35,000 to $49,999
(7) $50,000 to $74,999 (8) $75,000 to $100,000 (9) More than$100,000
• Employment Status {employed fullor part time, student fullor part time,retiree,
unemployed, unable to work due to disability)
• Ethnicity (optional)
• Trip Purpose? (work, school, medical, social service visit, adult day care, shopping, etc.)
♦ How would tripbemade without this service? (would not be made, would get a ride,walk, bike,
drive, etc.) What challenges/difficultieswould there be in making the trip without this service?
• How did you make this trippreviously?
• Has service/program provided the user with newopportunity? (define response categories based on
objectives of program:new employment, school/training, better access to medical care)
♦ How satisfied is the user withthe service being provided or subsidized? {S;completely satisfied,
4=somewhat satisfied, 3•neutral, 2-=somewhat dissatl.sfied, l=verydissatisfied)
• Overall Satisfaction
• How wellthe service meets their transportationneeds
• Timeliness/Reliability of service
• Convenience of service
• Travel time
• Courtesy of Service Employees
• Cost of Service
Potential Data Collection Methods
• Fixed Route or Vanpool program: Distribute a self administered survey form to pa.ssengerson the
vehicle along witha business reply mallback envelope {no postage necessary}.
• Demand Response Service or TRIP program: Interview participants by phone (best) or mailthema
survey form with a business reply mailback envelope.
• Voucher program: Handout survey, prepared as a self-mailer or witha reply envelope along with
voucher.
• Travel Training Program: Ask participant to complete evaluation format endof training.
Measure A Agreement Exhibit "C" · 3
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
Vehicle Fleet Inventory
Vehicle ID#
(Internal ID)
List VIN#s in
Fleet
(Last 5 Digits)
Model Year
Make
(Manufacturer)
Model
Passenger
Capacity
Ambulatory/
Wheelchair
Active/
Back-up
Date
Purchased or
Leased
Registered
Owner
Example 123 12345 2018 Ford F450 12amb/2wc Active 4/25/2018 Agency X
1 122 8326 2019 DODGE CARA 1W/6A/7 ACTIVE 12/18/2020 Care-A Van
2 121 3045 2019 DODGE CARA 1W/6A/7 ACTIVE 12/18/2020 Care-A-Van
3 120 22105 2019 FORD STARC 1W/9A/9 ACTIVE 11/26/2019 Care-A-Van
4 119 55076 2017 DODGE ENTER 1W/5A/6 Out 12/7/2018 Care-A-Van
5 118 62073 2017 FORD ECON 2W/14A/16 ACTIVE 9/26/2017 Care-A-Van
6 117 61042 2017 FORD ECON 2W/8A/11 ACTIVE 9/26/2017 Care-A-Van
7 116 8587 2015 FORD STARC 1W/7A/8 ACTIVE 4/30/2015 Care-A-Van
8 115 32187 2014 DODGE CARA 1W/6A/7 ACTIVE 1/5/2015 Care-A-Van
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
Date Updated:
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
Care-A-Van Year End Report 21/22
Care-A-Van provides transportation to low-income under-served populations which include
seniors, disabled, veterans, and the truly needy, allowing them access to critical resources and
services that enhance their quality of life. Care-A-Van provides a highly individualized passenger
service by providing door-to-door service. This individualized service promotes passenger
independence, increased access to health care, and access to job training, education, and
employment opportunities. The most requested itineraries include trips to medical
appointments including dialysis and COVID vaccination clinics; shopping (primarily grocery
shopping); work; the bank; and social service agencies which include the food pantry, and social
security offices. 69.6 % of surveyed riders indicated that their trip would not have been
possible without Care-A-Van.
For the 2021-2022 fiscal year, Care-A-Van provided a total of 10,123 one-way passenger trips.
The continued most significant challenge this year continued to be the effect of the COVID-19
pandemic on ridership. We did see a decrease in ridership due to the COVID variants that
impacted Riverside County and with community spread of COVID the ridership dropped
significantly. During this time, Care-A-Van continued to serve their most vulnerable population
by providing rides to vaccination clinics and food pantries.
Care-A—Van customer satisfaction surveys collected responses was 210. The customer
satisfaction surveys indicated, 98.1 % of riders surveyed were completely satisfied with Care-A-
Van’s overall service, 96.7% were completely satisfied with the convenience of service and
reliability, and 97.6 % were completely satisfied with the courtesy of staff. A few of the
comments received from rider surveys are listed below.
Comments
● Completely satisfied. Would not be able to get out otherwise.
● I'm happy to have found your group!
● Thank you, you are a life saver. Thank you!
● The driver is friendly as always
● Friendly driver always says good morning
● They always are on time, and very kind.
● If it wasn't for care-van I would be so lost. I want to thank care-van for their services.
Thank you.
● I appreciate Care-a-Van without them I wouldn’t have no transportation. Very happy
with Care-a-Van.
● Thank you for making this trip possible.
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
● Thank you so much for all your help. God Bless
● Bus ride is smoother than other buses.
● Staff is very nice they come to the rescue all the time with smiles.
● Van is nice and clean
● Drivers usually on time, still great service very friendly.
● Great driver, thank you!
● Thank you so much for accommodating me today!!! This is my first time and will give
you an excellent review!
● Good customer service and good drivers.
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
How would this trip be made without Care-A-Van?
207 responses
144 (69.6%)
0 50 100 150
Overall satisfaction
206 responses
202 (98.1%)
0 50 100 150 200 250
Ride from someone 51 (24.6%)
Walk
Bike
Drive
15 (7.2%)
4 (1.9%)
This trip would not be possible
Bus 17 (8.2%)
Uber
Bus
1 (0.5%)
1 (0.5%)
Completely Satisfied
Somewhat Satisfied
Neutral
0(0%)
Somewhat Dissatisfied
0(0%)
Dissatisfied
0(0%)
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
0(0%)
0(0%)
0(0%)
1 (0.5%)
0(0%)
0(0%)
How well service meets your needs
210 responses
Completely Satisfied 203 (96.7%)
Somewhat Satisfied
Neutral
Somewhat Dissatisfied
Dissatisfied
0 50 100 150 200 250
Timeliness & reliability of service
210 responses
Completely Satisfied 204 (97.1%)
Somewhat Satisfied
Neutral
Somewhat Dissatisfied
Dissatisfied
0 50 100 150 200 250
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
2 (1%)
0(0%)
0(0%)
0(0%)
0(0%)
0(0%)
Convenience of service
209 responses
Completely Satisfied 202 (96.7%)
Somewhat Satisfied
Neutral
Somewhat Dissatisfied
Dissatisfied
0 50 100 150 200 250
Travel Time
208 responses
Completely Satisfied 202 (97.1%)
Somewhat Satisfied
Neutral
Somewhat Dissatisfied
Dissatisfied
0 50 100 150 200 250
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59
0(0%)
0(0%)
1 (0.5%)
Courtesy of Staff
210 responses
Completely Satisfied 205 (97.6%)
Somewhat Satisfied
Neutral
Somewhat Dissatisfied
Dissatisfied
0 50 100 150 200 250
Cleanliness of vehicles
160 responses
156 (97.5%)
0 50 100 150 200
Completely Satisfied
Somewhat Satisfied
Neutral
1 (0.6%)
Somewhat Dissatisfied
0(0%)
Dissatisfied
0(0%)
DocuSign Envelope ID: 3E991D01-9FE5-464C-AC82-2CB2A3DECC59