HomeMy WebLinkAbout2014 Ordinance No. 028r
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ORDINANCE NO. ;%_
SERIES OF 2014
CONTRACT. NO. z<3-ZO\a.\
BY AUTHORITY
COUNCIL BILL NO. 32
INTRODUCED BY COUNCIL
MEMBER OLSON
AN ORDINANCE AUTHORIZING AN INTERGOVERNMENTAL AGREEMENT BETWEEN
THE REGIONAL TRANSPORTATION DISTRICT (RTD) AND THE CITY OF ENGLEWOOD
PERTAINING TO THE ENGLEWOOD LIGHT RAIL CORRIDOR NEXT STEPS STUDY AND
AN INTERGOVERNMENTAL AGREEMENT ENGLEWOOD LIGHf RAIL CORRIDOR
NEXT STEPS STUDY BETWEEN THE CITY OF SHERIDAN AND ENGLEWOOD,
COLORADO.
WHEREAS, the Englewood City Council was informed about the opportunity to apply for a
second round of light rail station area planning funding for .. Next Step" studies in 2013; and
WHEREAS, the Englewood City Council was briefed on the progress in developing an
intergovernmental and intergovernmental agreement between Englewood and RTD, an
Intergovernmental Agreement with the City of Sheridan allowing Sheridan to participate as a
secondary partner, and the details of the study itself at the April 21, 2014 Council Study Session
WHEREAS, the Englewood Light Rail Conidor Next Steps Study is intended to talce a closer,
more comprehensive look at various implementation projects identified in the Englewood Light
Rail Conidor Station Area Master Plan; and
WHEREAS, the key project goals are described as follows:
• Provide a strategic road map of sequential actions local governments can talce to
foster redevelopment as depicted in the vision of the Englewood Light Rail
Conidor Station Area Master Plan.
• Advance the design of specific transportation improvements in a way that will
maximize the potential for project funding and implementation through the
DRCOG TIP process, as well as other direct federal grant opportunities.
• Comply with the address all of the relevant points articulated within the criteria
described by the DRCOG Station Area/Urban Center Studies Eligibility Criteria
and the RTD TOD Policy.
WHEREAS, the study will be comprised of the following elements:
• Project Kickoff: Agency Coordination and Public Involvement Plan.
• Real Estate Development Feasibility Analysis and Marketing/Implementation
Strategy.
• Englewood Transportation Improvements: Alternatives Development, Design,
and Evaluation.
• Sheridan Transportation Improvements : Alternatives Development, Design, and
Evaluation.
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• Floyd A venue/Englewood Parkway Extension and Bus Transfer/Piazza Redesign •
Planning and Environmental Linkages (PEL) Study.
WHEREAS, the City of Englewood matching fund contribution of $40,000 is included in the
2014 capital project budget plus $10,000 in staff time; and
WHEREAS, the IGA between the City of Sheridan and the City of Englewood will allow
Sheridan to contribute financially and participate in the plan process as a secondary partner; and
WHEREAS, the City of Sheridan matching fund contribution of $10,000 will be transferred to
the City of Englewood for the purposes of grant administration; and
WHEREAS, federal funds will be used for this project.
NOW, THEREFORE, BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF
ENGLEWOOD, COLORADO, THAT:
Section 1. The City Council of the City of Englewood hereby authorizes an
intergovernmental agreement entitled "Station Area Master Plan: Englewood Light Rail Corridor
Next Steps Study City of Englewood, Colorado" attached hereto as Exhibit A.
Section 2. The City Council of the City of Englewood hereby authorizes and
intergovernmental agreement between the City of Sheridan, Colorado and the City of Englewood
entitled "Intergovernmental Agreement Englewood Light Rail Corridor Next Steps Study''
attached hereto as Exhibit B.
Section 3. The Mayor and the City Clerk are hereby authorized to sign and attest said
Intergovernmental Agreements on behalf of the City of Englewood.
Introduced, read in full, and passed on first reading on the 19th day of May, 2014.
Published by Title as a Bill for an Ordinance in the City's official newspaper on the 23rd day of
May, 2014.
Published as a Bill for an Ordinance on the City's official website beginning on the 21st day of
May, 2014 for thirty (30) days.
Read by title and passed on final reading on the 2nd day of June, 2014.
Published by title in the City's official newspaper as Ordinance No.N.' Series of 2014, on
the 6th day of June, 2014.
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Published by title on the City's official website beginning on the 4th day of
June, 2014 for thirty (30) days. ~,~~-
~-Penn, Mayor
I, Loucrishia A. Ellis, City Clerk of the City of Englewood, Colorado, hereby certify that the
above and foregoing is ~ ~e copy of the Ordinance passed on final reading and published by
title as Ordinance No.~ Series of 2014 .
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STATION AREA MASTER PLAN:
ENGLEWOOD LIGHT RAIL CORRIDOR NEXT STEPS STUDY
CITY OF ENGLEWOOD, COLORARDO
INTERGOVERNMENTAL AGREEMENT
by and between
CITY OF ENGLEWOOD
1000 Englewood Parkway
Englewood, CO 8011 O
and
REGIONAL TRANSPORTATION DISTRICT
1600 Blake Street
Denver, Colorado 80202
This Intergovernmental Agreement, made this __ day of ___ _, 2014 (the
Agreement), between the Regional Transportation District (RTD), a political subdivision of the
State of Colorado, and City of Englewood, a Colorado home rule municipality (City), collectively
referred to as the "Parties" or individually as "Party", is to provide funding assistance for the
development of a Station Area Master Plan Next Steps Study (Plan) for the area designated as
the Bates, Englewood, and Oxford Station areas located adjacent to the Southwest Light Rail
Transit Line. The project area is identified in Exhibit A.
RECITALS:
The context for this Agreement is established in the Denver Regional Council of
Governments (DRCOG) FY14-15 Station Area/Urban Center Studies Eligibility & Evaluation
Criteria, attached hereto as Exhibit B, and the RTD TOD Policy dated September 21, 201 O,
attached hereto as Exhibit C .
This Plan needs to be practical, feasible, and satisfy the following key objectives:
• Provides a strategic road map of sequential actions local governments can
take to foster redevelopment as depicted in the vision of the Englewood Light
Rail Corridor Plan.
• Advances the design of specific transportation improvements in a way that
will maximize the potential for project funding and implementation through the
DRCOG TIP process, as well as other direct federal grant opportunities.
• Complies with and addresses all of the relevant points articulated within the
criteria described by the DRCOG Station Area/Urban Center Studies
Eligibility Criteria and the RTD TOD Policy.
Generally, the Parties wish to promote regional sustainability by contributing to transit
oriented development sites that collectively will reduce regional per capita vehicle miles
traveled, air pollution, greenhouse gas emissions, and water consumption.
49 U.S.C. §5307 (Section 5307), provides funding for federal grants to assist states and
local governmental authorities in financing capital and planning projects, job access and reverse
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commute projects, associated transit improvements, and certain operating costs. See generally
Federal Transit Administration (FTA) Circular 9030.1E (effective 1/16/14). The FTA has -
designated RTD as a recipient for Section 5307 funds. DR COG has managed the competitive
process for the award of Section 5307 funds to eligible subrecipients including the City. The City
has agreed to receive Section 5307 funds for fiscal year 2014 to provide Section 5307 eligible
services pursuant to this Agreement. The City is a public entity otherwise eligible to become a
direct recipient under Section 5307. The Plan is an eligible project under Section 5307 and FTA
Circular 9030.1 E.
As the Designated Recipient for Section 5307 funds, RTD is responsible for submitting a
grant application to the FTA, contracting with Subrecipients for projects selected through
DRCOG's competitive selection process, and ensuring that Sub recipients comply with FT A
requirements. RTD and the City therefore desire to enter into this Agreement for RTD to pass
through Section 5307 funding to the City as Subrecipient, and for the City to use such funding in
full and complete accordance with all federal requirements and all other provisions of this
Agreement, and with full, timely and accurate accounting and reporting by the City of such use.
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NOW, THEREFORE, it is hereby agreed that:
Recitals, Exhibits. The Recitals set forth above and all exhibits attached hereto are
incorporated herein by this reference.
2. Funding. Funding for the development of the Plan shall be provided through a
Congestion Mitigation and Air Quality (CMAQ) grant (Grant) from the Federal
Highway Administration (FHW A) through the FT A and administered by RTO. It is
anticipated that the Grant available to RTD for the development of the Plan will be
Two Hundred and Forty Thousand Dollars ($240,000}. In no event shall RTD be
responsible for payment of funds for the development of the Plan in any amount
greater than that received through the Grant. In no event shall federal funding
exceed BO percent of the net project cost. If the amount of Grant funds received
by RTD is less than Two Hundred Forty Thousand Dollars ($240,000), the City
may, at its discretion, (i} pay additional local match funds; (ii) reduce the scope of
work for the development of the Plan; or (iii) terminate the Plan and this
Agreement as set forth below. Unless the City determines to expend additional
funds for the development of the Plan, the City shall contribute Fifty Thousand
Dollars ($5 0,000) in local match funds for the Plan , plus Ten T housand Dollars
($10,000) of in-kind project management billable hours. All local match funds
must be provided from sources other than federal Department of Transportation
(DOT) funds. Any additional funds required for the development of the Plan over
and above the Grant funds received by RTD and committed local match funds
shall be the responsibility of the City. The City shall use the funds solely for
eligibl e purposes defined under Section 5307 and FT A Circular 9030 .1 E, as they
may be amended, promulgated or updated from time to time during the term of
this Agreement.
Englewood Light Rail Corridor Next Steps Study Project Funding Summary:
Funding Source Amount
Federal Grant Share $ 240,000
Citv Local Match Share $ 50,000
City Local In-Kind Project Manaaement Share $ 10,000
Total $ 300,000
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3. City Local In-Kind Project Management Share Accounting. The City Project Manager
will track hours spent managing the project calculated by the City Project Manager's
hourly salary and benefit rate of $42.90 per hour, in order to account for the C ity Local
In -Kind Project Management Share contribution of Ten Thousand Dollars ($10,000) to
the Project.
4. Project Accounting . Expenditure of funds from the Grant will be documented separately
by the City and Consultant (as defined in Section 5) to ensure dollars spent coincide with
task deliverables assignable to each funding source.
5. Scope of Work. The scope of work (Scope) and cost for the development of the Plan
are shown in Exhibit D. No changes to the Scope shall be made without prior written
agreement between the Parties.
6. Consultant. The City shall issue a Request for Proposals to engage one or more
consultants (Consultant) to develop the Plan. The City shall choose the Consultant after
considering the recommendation of a committee consisting of representatives from the
Parties. (Committee). The Parties shall each be entitled to review the form of
Consultant's contract prior to award, and RTD shall advise the City of changes
necessary to comply with the Grant or other RTD requirements, including but not limited
to required contract clauses for federally assisted subcontracts and third party contracts
as shown in Exhibit E. Compliance by City, Consultant and any other Plan contractors
and subcontractors with RTD required contract clauses for federally assisted
subcontracts and third party subcontracts, and other requested changes by RTD, shall
be a condition of receipt of Grant funding through RTD for the development of the Plan .
The City and Consultant shall be the parties to the consulting contract; and the City, as
the contracting agency, shall have authority for administration of the Consultant's
contract.
7. Review. The City shall manage all work performed by any Consultant for the
development of the Plan . RTD shall have the opportunity to review and comment upon
all documents, drawings, exhibits, etc., produced by the Consultant as part of the Plan,
including preliminary drafts. RTD shall withhold payment of the last ten percent (10%) of
the Grant funding until it has had an opportunity to provide comments on the final draft of
the Plan, prior to adoption by the City. Any property or information provided by RTD for
the Plan remains the property of RTD and shall be returned to RTD upon completion of
the development of the Plan . RTD shall be entitled to receive electronic copies of all
reports, drawings, data, and other material produced or collected in electronic format by
the Consultant at no additional cost.
8. Meetings. RTD shall have the right to attend and shall receive notice of all formal
meetings with the Consultant not less than forty-eight (48) hours in advance. RTD shall
not give direction to the Consultant but shall submit all comments on the Consultant's
work through the City.
9. Reporting Requirements. RTD shall be responsible for all Grant reporting for the
development of the Plan. The City shall cooperate with RTD in providing information
required by RTD for Grant reporting, and shall also require its Consultant and any other
Plan contractors and subcontractors to provide such cooperation with RTD. The City
shall be responsible for providing data to support the calculation of air quality benefits
derived from the Plan which is required as part of the federal CMAQ process. The
methodology for the data collection on the air quality benefits will be provided by RTD in
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sufficient time in advance of the reporting deadline to allow the City to prepare the data
for submission.
10. Invoices. The City shall invoice RTO for Consultant's work up to a maximum amount of
Two Hundred and Forty Thousand Dollars ($240,000) (if the Grant is in that amount as
anticipated; otherwise up to the actual Grant amount). Such invoices shall only be for
verified, eligible expenses consistent with the Grant award. City invoices may be
submitted to RTD on a monthly basis effective June 1, 2014. Such invoices shall include
the Consultant's invoice and other available background information regarding the work
being invoiced. RTD shall reimburse the City only for actual Consultant work. Prior to
utilizing the value of City staff time to meet the local match requirements contained
herein, RTD shall review and approve the methodology for calculation of such utilization.
RTD shall pay all approved invoices within thirty (30} days of receipt. If RTD disputes
any invoice or portion thereof, it shall provide written notice to the City of the dispute
within fourteen (14) calendar days of receipt of the Invoice; otherwise the invoice is
deemed to be approved by RTD. RTD shall not be liable for any financial contribution to
the Plan funded pursuant to this IGA other than as set forth herein, unless previously
authorized in writing. RTD shall not be responsible for paying Consultant bills directly.
11. Civil Rights Small Business Office.
a. It shall be the responsibility of the Parties to ensure that the compliance and
implementation of Disadvantaged Business Enterprise {DBE) requirements are in
accordance with 49 CFR Part 26 and RTD's FT A approved DBE Plan and
Program. RTD shall be responsible for administering its own DBE program to set
and monitor compliance with the goals on this project.
b. The RTD Small Business Office (SBO) has established a DBE goal of Twelve
Percent (12%} of the total Agreement amount for this project, for a total of Thirty-
Six Thousand Dollars ($36,000).
c. It shall be the responsibility of the City to provide a DBE Liaison (Liaison) for the
RTD Small Business Office which can be a collateral duty. The Liaison will be
responsible for contact information, submittals, invoicing/payment information,
federal reporting information and interfacing with the SBO to address various
issues or concerns re lated to compliance with th e DBE Program requirements .
d. It shall be the responsibility of the City to provide RTD's Small Business
Opportunity Office with a copy of all proposals received in response to the
Request for Proposals at least two weeks in advance of selection of the
successful Consultant.
e. It shall be the responsibility of the City to include the RTD Attachment A, included
herewith as Exhibit F, in the RFP and in all executed contracts for Consultant
services. The proposers must complete and submit all forms to the City for the
City to return to RTD's Small Business Office. All forms from the Attachment A
must be submitted to the Small Business Office prior to execution of the
Consultant contract to ensure compliance with regard to RTD's DBE Plan and
Program. Failure to submit completed forms may result in a proposer being
deemed non-responsive. The prime Consultant must provide documented proof
of good faith efforts using the RTD Small Business Office documentation process
should it be unable to meet the DBE goal.
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f. Immediately upon execution of the Consultant contract, the City shall provide a
copy of the contract to RTD's Small Business Office. It shall be the responsibility
of the City's DBE Liaison to ensure that RTD's Small Business Office reviews all
amendments and change orders prior to their execution .
g. The selected proposer must submit to the City's DBE Liaison Officer, a copy of
all DBE subcontracts and/or purchase orders within thirty (30) days of Notice to
Proceed. Under no circumstances shall a DBE begin work without an executed
subcontract or purchase order.
h. No DBE shall be replaced, removed, substituted or terminated without good
cause as set forth in 49 CFR Part 26.53 (f) and pre-approval by ATD's SBO.
This includes reductions to scopes of services and/or subcontract values.
i. RTD's Small Business Office will directly contact the Prime Consultant and Sub-
consultants for compliance monitoring, reviews and/or auditing purposes.
j. The City will withhold payment from the Prime Consultant for non-compliance
with the DBE Program requirements as directed by ATD's Small Business Office.
Plan Recommendations. The Parties acknowledge this Agreement is for the
development of the Plan only. The Parties commit that they will make reasonable efforts
to secure approvals from their respective governing bodies to implement needed
infrastructure improvements within their capital improvements program; adopt
appropriate zoning code, master plan and other regulatory changes; and incorporate
Plan recommendations into local ordinances, regulations or requirements governing
development of the Plan area. Nothing herein commits either governing body to grant
such approvals, and nothing herein commits either Party to fund any improvements
identified in the Plan or any other adopted plans.
Third Parties. No person or entity not a party to this Agreement shall have rights
hereunder.
Conflicts. No officer, member, or employee of RTD or the City, no members of the
respective governing bodies of RTD or the City, and no other public officials or
employees of RTD or the City during his or her tenure, or for one year thereafter, shall
have any personal interest, direct or indirect, in any solicitation for services made
pursuant to this Agreement or the proceeds thereof.
Termination: Suspension of Work. This Agreement may be terminated for any of the
following reasons:
a.
b.
Funds not Available. In the event that Grant funds required for funding of this
Agreement are not made available, this Agreement shall terminate unless the
City elects to pay additional local match funds or reduce the Scope of Work for
development of the Plan as set forth above. Whether or not Grant funds are
available, or whether or not City local match funds are sufficient to pay for the
Plan costs, RTD is under no obligation to provide any funds for the Plan other
than Grant funds actually received by RTD.
Termination for Mutual Convenience. The Parties may terminate this Agreement
and terminate the development of the Plan if both Parties agree in writing that the
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continued development of the Plan would not produce beneficial results
commensurate with the further expenditure of funds.
c. Termination of Contract for Cause. If through any cause, either Party should fail
to fulfill in a timely and proper manner its obligations under this Agreement, or
violate any of the covenants, agreements, or stipulations of this Agreement. the
other Party has the right to terminate this Agreement by giving written notice of
its intent to terminate. Said notice shall be delivered to the notified Party a
minimum of seven (7) days in advance of the date set for termination. The
notified Party shall have five (5) days after receipt of said notice of intent to
terminate to respond with a proposal to cure the failure or violation. Approval of
the proposal shall not be unreasonably withheld. This Agreement shall not so
terminate if the proposal is accepted and the failure or violation is fully cured
within a thirty (30)-day period after receipt of said notice of intent to terminate.
d. RTD•s Right to Terminate Contract for Convenience or Default. RTD shall also
have the right to terminate this Agreement for convenience or default, and the
right to suspend the work. in accordance with provision FTA 8, Termination, of
the FT A contract provisions attached as Exhibit E.
e. City's Right to Terminate Contract for Convenience. The City shall also have the
right to terminate this Agreement for convenience by giving fourteen (14)
calendar days written notice to RTD.
f. In the event this Agreement is terminated, RTD shall pay the City for all work
previously authorized and satisfactorily performed up to and including the date of
receipt by the City of the termination notice. If, however, the City has substantially
or materially breached the standards and terms of this Agreement, RTD shall have
any remedy or right of set-off available at law and equity.
16. Compliance with Federal Grant Requirements. The Parties acknowledge that
development of the Plan will be partially federally funded. This Agreement and all
subgrants, third party contracts and subcontracts are therefore subject to the FT A
Master Agreement and all other applicable federal transit regulations, and all subgrants,
third party contracts, and subcontracts must include as flow down provisions the FT A
contract provisions attached as Exhibit E.
a. City shall at all times comply with all applicable FTA regulations, policies,
procedures, reporting requirements, and directives, including without limitation
those in FTA Circular 9070.1F, 49 C.F.R. part 19, and those listed directly or by
reference in the current Master Agreement between RTD and FT A, as they may
be amended or promulgated from time to time during the term of this Agreement.
In addition to all such requirements imposed directly upon City, those
requirements imposed upon RTD as a grantee or recipient are also hereby
imposed upon City, and those rights reserved by DOT, FTA or any other
applicable agency are hereby reserved by RTD. City's failure to comply with any
and all such requirements shall constitute a material breach of this Agreement.
City may contact either RTD or FT A for a copy of the current FT A Master
Agreement.
b. Without limiting the foregoing. the following are specifically incorporated herein
by this reference and shall govern this Agreement: (i) 49 CFR Part 18, "Uniform
Administrative Requirements for Grants and Cooperative Agreements to State
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d.
e.
f.
and Local Governments"; (ii) 49 CFA Part 19, "Uniform Administrative
Requirements for Grants and Agreements with Institutions of Higher Education,
Hospitals, and Other Non-Profit Organizations" (parts 18 and 19 are collectively
known as the "common rule" or "common grant rule"); (iii) FT A Circular 9030.1 E,
Urbanized Area Formula Program: Program Guidance and Application
Instructions; (iv) FTA Circular 5010.D, Grants Management -General; and (v)
FT A Master Agreement. Those requirements imposed upon RTD as a grantee or
recipient are hereby imposed upon City to the fullest extent permitted by law, and
those rights reserved by DOT, FTA or any other applicable agency are hereby
reserved by RTD.
All DOT-required contractual provisions as stated in FTA Circular 4220.1 F are
hereby incorporated by reference. City will adhere to FT A's third-party
procurement requirements as set out in FT A Circular 4220.1 F and shall include
contractual provisions as stated in FT A Circular 4220.1 F in contracts funded in
whole or in part by this Agreement for all such contracts as specified in FT A
Circular 4220.1 F. The incorporation of FTA-required terms has unlimited flow
down.
All FTA-mandated terms will be deemed to control in the event of a conflict with
other provisions contained in this Agreement. City shall not perform any act, fail
to perform any act, or refuse to comply with any RTD requests which would
cause RTD to be in violation of the FT A terms and conditions.
City shall not assign, transfer, or convey this Agreement, or any part thereof,
without the prior written consent of RTD.
The Federal Certifications and Assurances applicable to this Agreement are
attached and fully incorporated by reference herein as Exhibit G. Such
certifications, assurances and terms are subject to updating by FT A; City shall
timely provide and comply with any additional FT A-required certifications and
assurances. City shall comply with all applicable requirements of such
certifications, assurances and terms, and shall extend and require its contractors
to extend all such requirements to each of City's contractors, subcontractors, and
any other third party participants whose work is funded in whole or in part by the
Grant.
17. Audits. RTD, FHWA, FTA, or any auditor or contractor acting on their behalf shall have
the right to audit the City's books and records and the books and records of the
Consultant(s) performing the work for the Plan, and the contracts awarded for this Plan
shall provide that RTD, FHWA and/or FTA shall have the right to audit the Consultant's
and all of Consultant's subcontractors' books and records as they pertain to the
development of the Plan for a period of three (3) years from the date of completion of the
Consultant's work to develop the Plan.
18. Merger. This Agreement represents the entire agreement between the Parties and may
be amended only in writing, signed by the Parties.
19. Disputes. Disputes shall initially be resolved by the Party Liaisons defined as: (i) first,
RTD's Assistant General Manager for Planning and Development and the City's
Community Development Director and (ii) second, RTD's General Manager and the City
Manager if the Party Liaisons set forth in subsection (i) above are unable to resolve the
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dispute. If none of the Party Liaisons are able to resolve the dispute, they shall agree to
an impartial mediator to resolve the dispute.
20. Notices. All contacts, communications, and data required to be performed or exchanged
pursuant to this Agreement will be sent to the following persons or their successors
designated in writing:
For RTO:
Bill Sirois
Manager of Transit Oriented Development
Regional Transportation District
1560 Broadway, Suite 700
Denver, Colorado 80202
For the City of Englewood:
Alan White
Community Development Director
City of Englewood
1000 Englewood Parkway
Englewood, CO 8011 O
21. Term. This Agreement shall become effective upon the date of execution and will
terminate upon completion and final acceptance of the Plan by the City, unless sooner
terminated as provided in section 14.
22. Further Cooperation. The Parties agree that they will cooperate with one another in
accomplishing the terms, conditions, and provisions of this Agreement, and will execute
such additional documents as necessary to effectuate the same.
23. No Joint Venture. Nothing contained in this Agreement is intended to create a partnership,
joint venture or joint enterprise between the Parties, and any implication to the contrary is
hereby disavowed. This Agreement does not authorize any Party hereto to act as an agent
of the other Party hereto for any purpose.
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IN WITNESS WHEREOF, the Parties hereto have executed this Agreement on the
___ day of __________ _, 2014.
REGIONAL TRANSPORTATION
DISTRICT
By:
Phillip A. Washington
General Manager
Approved as to legal form for the Regional
Transportation District:
Rolf G. Asphaug
Deputy General Counsel
CITY OF ENGLEWOOD
By: ___________ _
Randy P. Penn
City Mayor
ATTEST:
Loucrishia Ellis, City Clerk
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Exhibit A -Project Area Maps
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Exhibit A -Englewood Light Rail Corridor Plan
Preferred Development Scenario and Fundamental Concept Maps
ENGLEWOOD
UGHT RAIL CORRIDOR PLAN
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ENGLEWOOD
LIGHT RAIL CORRIDOR PLAN
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W Oxford Ave
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Exhibit B -DRCOG FY14-15 Station
Area/Urban Center Studies Eligibility &
• Evaluation Criteria
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FY 14-15 Station Area/Urban Centers Studies-Proiect Eligibility
Rules
Station Area Master Plans or Urban Center Studies further implementation of the Tier 1
Base Rapid Transit System (Figure 16: 2035 ATP) at existing or future rapid transit
station locations OR further implementation of urban centers identified in the Metro
Vision 2035 plan. Such studies include the four types of planning studies described
below. Sponsors are limited to two studies per fiscal year (i.e . each sponsor could have
as many as two studies in FY14 and two studies in FY15).
1.) Corridor-wide studies focusing on:
• Maximizing multi-modal connectivity within transit corridors (including high
frequency bus corridors that serve one or more urban centers -high frequency
bus corridors have headways of 15 minutes or less) and at individual station
areas/urban centers along the corridor
• Identifying barriers to station area development and increased transit use along
the corridor -barriers could include current land use, zoning and development
standards; parking availability and cost; inadequate supportive infrastructure, etc.
• Creating corridor-wide implementation strategies and/or an action plan identifying
such things as needed plan updates, code revisi ons, and ftnancial or regulatory
incentive
• Corridor-wide studies must involve all the local jurisdictions and other major
stakeholders along the corridor
2 .) Creation and adoption of an noriginal" or updated station area master plan or
urban center study. The scope for such a plan/study must include:
Stakeholder Engagement
• Outreach and engagement process that promotes the involvement of
stakeholders in the study area, with efforts and accommodations made to include
low to moderat e income , minority, and elderly or disabled citizens.
• Active involvement by DRCOG, any relevant transit agency, and the public in the
development of the plan .
Placemakinq
• Identification (map) of type and density of future land uses, including public
spaces
• Inte rn al c irculation plan(s) (maps or graphics) for motor vehicles, transit, bicycle
and pedestrian and strategies to increase multi-modal connections with the larger
region
• Identifying barriers (e.g. parking, zoning, infrastructure, etc.) to station area
and/or urban center development
• Detailed development strategies that allow people of all ages, incomes and
abilities the opportunity to access a range of housing, employment, and services
• A market or fiscal feasibility analysis that assesses plan recommendations and
ensures the proposed plan is realistic and/or efforts to market the area to the
development community in cases where a traditional market might not yet exist
Action Plan and Implementation Strate gies
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• A clear and realistic action plan to address key findings, including identification of
necessary policy or regulatory changes (e.g. comprehensive plan, zoning, etc.);
infrastructure improvements, and housing strategies.
• An implementation strategy that describes the organizational structure and
process that will be used to ensure the action plan is implemented
Assessment and Impacts
• Indicators or metrics related to key strategies (e.g. housing affordability, multi-
modal connectivity, leveraging private investment, environmental quality, etc.)
• Identification of the transportation impacts and air quality benefits of the
proposed plan
• Current and future population, housing units, and employment estimates to the
year 2040 (in five-year increments), including distribution of planned housing
units by type and square feet of future non-residential development
3.) Additional "Next Step" plans/studies to further the development of the area if a
station area master plan or urban center study was previously developed and
adopted. Such plans/studies are only eligible if they:
• Are for planning activities that are clearly and unambiguously related to
transportation infrastructure for use by the general public, AND
• Are for planning/design activities that do not conflict with any relevant transit
agency's planning/design activities as demonstrated by a letter of concurrence
from the agency.
Next Step studies should be identified in an existing plan for the area and must further
the existing plan -potential Next Step projects could include:
• Parking management studies
• Access management plans
• Corridor redevelopment plans
• Design studies and concepts for multi-modal infrastructure projects
• Street design standards/manuals
• Regional multi-use trail feasibility study
• Multi-use Trail/Bike Facilities plan
• Urban design and development guidelines
• Targeting housing strategies (e.g. to facilitate jobs-housing balance, affordable
housing, etc.)
• Comprehensive wayfinding plans and strategies
• Traffic circulation studies (including traffic simulation model development)
• FirsVLast-mile mobility implementation, financing, partnership studies
• Transit circulator feasibility
• Transportation demand management studies and implementation activities
4.) Area Planning and Implementation Activities
Area Implementation Activities will promote innovative planning activities that can be
replicated throughout the Denver region. Eligible projects will include multiple
jurisdictions, station areas and urban centers aiming to study a common issue while
focusing on local context and implementation strategies -the projects could include:
• Electric or natural gas-fueled vehicles facility planning
• Parking management planning and strategies
15
• Development and TOD financing strategies
• Workforce and affordable housing tools
• First/last-mile mobility implementation and financing studies
FY 14-15 Station Area/Urban Centers Studies -Evaluation Criteria
Metro Vision establishes the importance of urban centers in transit station areas in the
regionts efforts to reach regional goals and describes a desired future that includes
healthy, livable communities connected by a robust multi-modal transportation network.
These communities will have high levels of internal connectivity and be well-connected
to the region at large. Additionally, they will support housing suitable for a wide range of
incomes and the full spectrum of life stages; and use innovative planning, zoning and
urban design strategies to promote higher density, mixed-use development, and
transportation options.
DRCOG staff will determine eligibility based on the Project Eligibility Rules. The
following evaluation criteria will be applied to all eligible submittals.
Project Evaluation -Regional Priorities
DRCOG staff will conduct an evaluation to identify priority projects in each eligible study
type (i.e. corridor-wide, original studies, next steps, and area planning and
implementation activities). A second evaluation (Project Impact) will also be conducted
as described below. Regional priorities for studies are as follows:
1. Corridor-wide studies: Priority will be given to existing transit corridors and 9
corridors included in the Tier 1 Base Rapid Transit System (Figure 16: 2035
ATP) that are not receiving corridor planning funds through the region's
Sustainable Communities Initiative (SCI). Planned transit corridors included in
the Tier 1 Base Rapid Transit System that are not receiving SCI corridor planning
funds include:
• 1-225 LAT Corridor
• North Metro Rail Line
• Southeast Rail Extension
• Southwest Rail Extension
• Central Corridor Extension
2. "Original" or major updates to Urban Center/Station Area Plans:
• Proposed study areas include a rapid transit station and include an urban
center designated in Metro Vision will be given priority.
• Urban centers designated as "existing" or "emerging" will be prioritized over
"planned" urban centers.
3. Next Steps Studies
• Next steps studies that support completed station area plans for stations •
along the Tier 1 Base Rapid Transit System will be given priority.
16
. 4. Area Planning and Implementation Activities
• Studies, plans, tools plans or programs that directly advance Metro Vision,
including ATP, policies (e.g. Urban Centers and Transportation policies)
through regional/multi-jurisdictional planning and implementation will be given
priority.
Project Evaluation -Project Impact
In addition to the Regional Priorities Evaluation a second evaluation criteria will be
applied to proposed, eligible projects. Proposals will be evaluated by a project
recommendation committee comprised of DRCOG staff, selected regional stakeholders
with a variety of interests and expertise (e.g. transportation, design, environment,
housing, etc.), RTD and local governments that have previously received funds, but are
not seeking funds in FY14 or FY15. The committee will submit recommendations to the
appropriate DRCOG committees and Board of Directors. Recommendations will reflect
the regional priority evaluation described above and the project impact criteria described
below.
Study Need (20%) -Application will include an issue statement that clearly identifies
the local /regional need of the study along with the desired outcomes.
Potential of Study Area to Contribute to the vision, goals and policies embodied
in Metro Vision (60%), including:
• Be active, pedestrian-, bicycle-, and transit-friendly places that are more
dense and mixed in use than surrounding areas
• Promote regional sustainability by reducing per capita VMT, air pollution and
greenhouse gas emissions
• Provide reliable mobility choices to all users: residents and visitors of all ages,
incomes and abilities, as well as businesses that provide services and
produce or sell goods.
Local Commitment and Ability to Implement (10% -proposed) -Urban
Center/Station Area studies are the first step in a larger commitment to implement the
plan and create positive changes at the local level that contribute to regional goals.
Applicants will describe prior activities in support of quality growth projects in the study
area as well as the sponsors ability to successfully complete the project in a timely
fashion while involving project area stakeholders. Sponsor overmatch will also be
considered.
Innovation and Feasibility (10% -proposed) -Proposed studies will be evaluated on
project applicability, feasibility and innovation. Project evaluation will focus on:
• Innovation in project scope
• Practicality/feasibility of scope of work and budget
• Coordination with other local governments, organizations, and non-profits
• Applicability and transferability of project outcomes locally and regionally
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Exhibit C -RTD TOD Polic~
18
•
Exhibit C
RTD TOD Polley
Policy Adoption
The RTD Board of Directors passed and adopted the following Transit Oriented Development
Policy on the 18th day of April 2006 (amended September 16, 2008 and September 21, 2010)
as the framework to support TOD planning and development at existing and future stations
throughout the district.
Definition of TOD
While TOD can have many physical forms, it generally includes the following design principles:
• More compact and dense development within a 5• to 1 0•minute walk around transit
facilities compared to existing development patterns in the same area;
• A mix of uses-either horizontal or vertical-usually including residential, retail, and
office employment;
• High•quality, pedestrian-oriented urban design and streetscapes.
By focusing compact development around transit stations, TOD capitalizes on the value of
public infrastructure investments and promotes sustainability. These development synergies
promote increased transit ridership and an integrated station environment with more passenger
amenities. In addition to increased ridership and more passenger amenities, TOD is also a
successful tool for promoting local economic development, helping communities plan for
sustainable growth, and increasing the overall quality of life in a region.
Basis for TOD Policy
TOD's ability to increase transit usage while achieving valuable ancillary benefits for the region
means that it plays a crucial role in fulfilling RTO's organizational mission: "To meet our
constituents' present and future public transit needs by offering safe, clean, reliable, courteous,
accessible and cost•effective service throughout the district."
RTD's mission is to provide transit service, and RTD recognizes that other public agencies and
private developers are responsible for the region's built environment. However, RTD believes
that increased coordination among public and private organizations in promoting TOD through
land use planning, zoning, and the development process will result in higher•quality, sustainable
communities that meet the varying objectives of all parties.
The Federal government has provided direction by recognizing livable communities and the
importance of partnerships through the Partnership for Sustainable Communities, which
includes the Department of Transportation (DOT), the Environmental Protection Agency (EPA),
and the Department of Housing and Urban Development {HUD). The mission of the Partnership
for Sustainable Communities is to provide citizens with access to affordable housing, more
transportation options, and lower transportation costs, while protecting the environment in
communities nationwide. Specifically, the Partnership for Sustainable Communities identified
the following guiding principles in a June 16th, 2009 joint press release from DOT, EPA and
HUD:
1. Provide more transportation choices: Develop safe, reliable and economical
transportation choices to decrease household transportation costs, reduce our nation's
19
dependence on foreign oil, improve air quality, reduce greenhouse gas emissions and
promote public health.
2. Promote equitable and affordable housing: Expand location-and energy-efficient -
housing choices for people of all ages, incomes, races and ethnicities to increase
mobility and lower the combined cost of housing and transportation.
3. Enhance economic competitiveness: Improve economic competitiveness through
reliable and timely access to employment centers, educational opportunities, services
and other basic needs by workers as well as expanded business access to markets.
4. Target resources to existing communities: Target federal funding toward existing
communities through such strategies as transit -oriented, mixed-use development and
land recycling to increase community revitalization, improve the efficiency of public
works investments, and safeguard rural landscapes.
5. Coordinate and leverage federal policies and investments: Align federal policies
and funding to remove barriers to collaboration, leverage funding and increase the
accountability and effectiveness of all levels of government to plan for future growth,
including making smart energy choices such as locally generated renewable energy.
6. Value unique characteristics of communities, no matter their size: Enhance the
unique characteristics of all communities by investing in healthy, safe and walkable
neighborhoods -rural, urban or suburban.
These federal livability principles provide a policy framework which helps guide federal funding
decisions. As such, they provide important insight as to what RTD's federal partners consider
to be important in fashioning better integration among land use, transportation and the •
environment.
RTD has the power of eminent domain, or condemnation, to carry out the purposes set forth in
its enabling act (C.R.S. 32-9-161). Pursuant to its enabling act, RTD is authorized to operate a
mass transportation system (C.R.S. 32·9·107). Therefore , RTD may exercise the power of
eminent domain as necessary for the operation of its mass transportation system. RTD does not
have authority to exerc ise its power of eminent domain for any other use, even if it serves a
public purpose.
TOD Vision
RTD's vision for TOD is to encourage compact, mixed-use, pedestrian-oriented, high-quality
development at and around transit stations consistent with federal requirements, regional goals,
and community objectives-including sustainable growth-in partnership with stakeholders
while operating an attractive, comfortable, and convenient transit system for the residents of the
district.
Since there is no one-size~fits-all approach to TOD, RTD has identified four key goals to best
achieve success:
1. Promoting multi-sector, cross-jurisdictional partnerships;
2. Encouraging livable communities and sustainable development that support the
transit system;
3. Ensuring a hierarchy of multimodal access; and
4. Protecting and enhancing RTD 's transit assets.
20
•
2.5 Goals and Strategies
Goal 1: RTD will foster relationships with local jurisdictions, regional agencies, private
developers, local residents and businesses, and other stakeholders to support transit
station area planning and TOD Implementation.
Strategies to achieve this goal include:
• Providing RTD staff expertise and resources to local jurisdictions for station area
planning and zoning
• Supporting efforts to encourage TOD by DRCOG, which include conducting research,
sharing information, and providing planning assistance to connect transit service
expansion to economic and community development that supports sustainable growth
consistent with the DACOG Metro Vision Plan
• Working with trade and advocacy organizations-such as the Urban Land Institute (ULI)
-to promote TOD education and best practices
• Promoting and developing partnerships with private developers, public agencies and
other stakeholders to advance TOD beyond planning to implementation
Goal 2: RTD will encourage livable communities and sustainable development that
support the transit system.
Strategies to achieve this goal include:
• Collaborating with local jurisdictions on station area planning and TOD for areas within
up to a 1 a-minute walk of stations
• Advocating for new development which generally meets the following characteristics in
support of federal livability principles :
o It is denser than existing development patterns in the surrounding area
o It contains a mix of uses
o It has a compact and attractive urban design
o It promotes multimodal access so individuals need not rely on single
occupant vehicles and allows easy pedestrian access to transit facilities
o It supports a diversity of housing choices, including choices for low and
moderate income individuals
o It incorporates sustainable development strategies such as renewable
energy, sustainable building materials, stormwater management, and
comprehensive parking management.
• Promoting the development of •transit oriented communities• which embrace livability
principles and truly integrate transit facilities with the surrounding community
• Promoting workforce development to enhance the strength and competiveness of the
local economy
• Encouraging local jurisdictions to adopt TOD supportive policies, plans and zoning for
areas within a 10-minute walk of transit stations within their jurisdiction that provide a
flexible framework for TOD and prevent development which does not support transit
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• Participating in joint development projects which provide the opportunity to preserve
ridership, build or improve infrastructure to support transit, have local jurisdiction support -
and embrace the principles of livable communities
Goal 3: RTD supports multimodal access to the transit system by all users.
Strategies to achieve this goal include:
• Supporting a hierarchy of access to rapid transit which considers the following modes in
order of priority: pedestrians, bus riders, bicyclists, vehicles (short-term parking), and
vehicles (long-term parking)
• Considering access needs beyond RTD property in the planning and design of transit
stations, including:
o Pedestrian connections to destinations within a 5-to 10-minute walk
o Regional bus transit and bicycle connections
o Vehicular access for the station catchment area
• Strategically managing the use and construction of RTD parking facilities to balance
vehicular access and the opportunity for TOD to maximize ridership at stations and
minimize the need for single-occupancy vehicle trips by transit riders outside of their trips
to stations
• Optimizing RTD parking at stations by considering: proximity to Downtown Denver (less
parking closer in), local feeder bus service (less parking with higher levels of service),
and pedestrian connectivity (less parking with good pedestrian connections)
Goal 4: Protect and enhance RTD's transit assets and investments.
Strategies to achieve this goal include:
• Where appropriate, pursuing TOD as a means to increase the transit value of RTD-
owned land near stations
• Encouraging local jurisdictions to support TOD by:
o Utilizing best practices in TOD planning and implementation around transit
stations
o Encouraging station area planning early in the transit planning process,
consistent with the Federal Transit Administration's (FTA) New Starts guidance
for transit-supportive land uses
• Leveraging federal investment in the regional transit system, recognizing that there is
significant competition among regions throughout the country for federal transit support,
by:
o Ensuring consistency of local policy with the FTA's guidelines for transit joint
development, which mandate a transit element, economic development, new or
enhanced inter-modal coordination, and non-vehicular capital improvements
resulting in increased transit usage
o Encouraging consistency of local policy with the Federal Partnership for
Sustainable Communities which promotes access to affordable housing, more
transportation options, and lower transportation costs, while protecting the
environment in communities nationwide.
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•
•
• Where appropriate consider transitioning surface parking to structured parking, other
transit-related facilities or TOD (including shared parking with consideration of RTD's
parking management program and governing state legislation on parking) and in doing
so preserve the operational efficiency of the existing transit facility
• Utilizing shared and joint-use parking when available to reduce parking costs and add
ridership, including purchase of parking in private or public parking facilities on a long
term lease or other means through a partnership arrangement with local governments or
private developers. Shared and joint-use parking will be developed in coordination with
the RTD parking management program and state legislation.
• Favoring the acquisition of permanent rights that meet transit requirements to ensure
satisfactory continuing control of RTD property
• Utilizing joint development as a means to protect and enhance station ridership and build
or improve infrastructure needed to support transit and the development of livable
communities.
• Where land sales are pursued for joint development projects, ensuring that there will be
continuing utilization of the land for TOD purposes
• Recognizing that RTD will only acquire property for transit purposes (if opportunities
arise when those transit purposes can be met as required, and the potential for locally
supported and entitled developments at or near RTD stations emerge), RTD will
consider such development provided that the proposed development: (i} meets the
transit purpose for which the property was required; (ii) complies with all federal, state
and local laws; (iii) enhances transit use; and (iv} supports the principles of livable
communities .
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Exhibit D -Scope of Work •
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Exhibit D
CONSULTANT'S SCOPE OF WORK
Englewood Light Rail Corridor Next Steps Study
The City of Englewood Community Development Department was successful in applying for a second
round of Station Area Master Plan funding allocated to 'Next Steps' studies. The Englewood Light
Rail Corridor Next Steps Study is intended to take a closer, more comprehensive look at various
implementation projects identified in the Englewood Light Rail Corridor Station Area Master Plan.
Project Goals
The key project goals are described as follows:
• Provide a strategic road map of sequential actions local governments can take to foster
redevelopment as depicted in the vision of the Englewood Light Rail Corridor Station Area
Master Plan.
• Advance the design of specific transportation improvements in a way that will maximize the
potential for project funding and implementation through the DRCOG TIP process, as well as
other direct federal grant opportunities.
• Comply with and address all of the relevant points articulated within the criteria described by
the DRCOG Station Area/Urban Center Studies Eligibility Criteria and the RTD TOD Policy.
Project Elements
The study will be comprised of the following elements:
• Project Kickoff: Agency Coordination And Public Involvement Plan
• Real Estate Development Feasibility Analysis and Marketing/Implementation Strategy
• Englewood Transportation Improvements: Alternatives Development, Design, and Evaluation
• Sheridan Transportation Improvements: Alternatives Development, Design, and Evaluation
• Floyd Avenue/Englewood Parkway Extension and Bus Transfer/Piazza Redesign Planning
and Environmental Linkages (PEL) Study
The City of Englewood Community Development Department has developed the following scope of
work based on its understanding of project needs and requirements to advance the vision outlined in
the Englewood Light Rail Corridor Station Area Master Plan. The Next Steps Study selection
committee welcomes and encourages consultants to utilize their past project experience and
knowledge of federal planning requirements and processes in developing their proposals based on
the information presented in the City's envisioned scope of work.
Project Kick Off: Agency Coordination and Public Involvement Plan
The Agency Coordination and Public Involvement Plan shall at a minimum include:
25
• Identification of and consultations with agencies having an interest in the study area in order
to identify critical issues and problems in need of resolution
• Identification of community leaders, elected officials, and key community groups and
recommended level and means of involvement in the study by those identified
• Recommendation of the proper level and means of involvement in the study by the public
• Identification of planned community events in the corridor that are scheduled during the study
• Description of participation methods, objectives, and where each fits into the schedule
• Establishment of meeting dates, times, and venues in coordination with City Project Manager
• Establishment of parameters for a project website.
Real Estate Development Feasibility Analysis and Marketingnmplementation Strategy
The Real Estate Development Feasibility Analysis will assess the development potential for transit-
oriented, multi-unit residential development for four distinct areas, taking into consideration the
following items for analysis:
• Economic Overview
• Site a nd Location Analysis
• Market Assessment (supply, demand, and projected absorption; development concept and.
market fit; product mix and positioning; competitive position of project site)
The Real Estate Marketing/Implementation Strategy will evaluate various development strategies for
the four distinct areas, including incremental parcel development by multiple owners versus a master
development by a single owner-developer or joint partnership involving multiple shareholders. The
implementation strategy will also address possible sources of revenue and financing for the key
transportation improvements previously identified, as well as ancillary streets, util ities, and parks.
Finally, the implementation strategy will outline marketing strategies, project triggers, and a realistic
timeline for development.
The Real Estate Development Feasibility Analysis and Marketing/Implementation Strategy will be
conducted for the following transit-oriented development areas envisioned in the Englewood Light
Rail Corridor Station Area Master Plan:
Englewood Station -West Neighborhood
The West Neighborhood is located between Dartmouth and Hampden Avenue on the north and
south, and Santa Fe Drive and Zuni Street on the east and west, and includes the South Platte River.
The area is currently developed with industrial uses and is not directly connected to the Englewood
Station. The Englewood Light Rail Corridor Plan envisions the creation of a key roadway connection
from Englewood Station underneath the existing rail corridor and adjacent highway (Santa Fe Drive),
and continuing westward with a bridge spanning the South Platte River. This connection would
change the potential for attracting transit-oriented multi-unit housing development to this area. The
City is seeking a detailed strategy to facilitate redevelopment. T he consultant will be expected to .
meet with or interview key property owners to assess their interests in redevelopment.
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•
Englewood Station -CityCenter Englewood Neighborhood
The Englewood light Rail Corridor Plan envisioned the development of additional multi-unit
residential developments immediately adjacent to the Englewood Station over current RTD and City
parking areas. The first couple of floors of such developments would continue to serve the current
RTD and City parking demand, and possibly allow for the expansion of the total park-n-Rlde parking
supply, which is allocated in RTD's FasTracks plan. The corridor plan also identified the existing bus
turn around south of the station platform as a site for a hotel. The City is seeking a detailed
development strategy for these identified projects.
Oxford Station -South Neighborhood
The Englewood Light Rail Corridor Plan envisioned the development of two parks located north and
south of Oxford Avenue that would serve to attract higher quality multi-unit residential housing,
including for sale units. The City is seeking a detailed strategy to establish the parks and attract
private real estate development. Additionally, the need for a mobility network plan (streets, alleys,
walkways) that serves to densify the existing street network grid has recently been identified. The
mobility network plan will create a site plan framework for future residential development based on
street-oriented, form based zoning regulations; provide for multiple direct pedestrian connections to
the light rail station; and optimize future traffic flow and disbursement.
Bates Station -North Neighborhood
The Bates Station-North Neighborhood primarily consists of the Winslow Crane and General Iron
Works properties. Planned Unit Developments were recently approved for both properties that allow
redevelopment for multi-unit residential use, without establishing site plans. The City is seeking
assistance in identifying public infrastructure needs for the area and developing detailed strategies for
financing and implementation. This includes developing options for a mobility network plan (streets,
alleys, walkways) that serves to density the existing street network grid. The mobility network plan
will create a site plan framework for future residential development based on street-oriented, form
based zoning regulations; provide for multiple direct pedestrian connections to the light rail station;
and optimize future traffic flow and disbursement.
Study Area Data Collection and Conditions Assessment
The Study Area Data Collection and Conditions Assessment shall include a number of the following
items (and any other items not listed) deemed necessary by the consultant to inform the
transportation alternatives development, design, and evaluation process. The data collection needs
for each individual project will vary depending on the extent of analysis and documentation required.
Prospective consultants shall specify a list of items tailored to the needs of developing, designing,
and evaluating each individual transportation project identified for study in their proposals and budget
accordingly.
• Collection and consolidation of crash data and traffic counts (including truck traffic) to be used
for the safety and operational analyses
• Documentation of the existing and planned transportation system in the study area including
highway through and auxiliary lanes, right-of-way and access; arterial lanes and access;
transit types/service levels including station locations, routes and frequency, safety records
and ridership and major concentrations of riders. The document shall also include bicycle and
pedestrian facilities, planned and existing intermodal connection facilities and stations, as well
as major utilities
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• Documentation of the travel markets that use the transportation system to establish
geographic locations of trip origins and destinations, trip purpose (Commuter/Non-commuter
trips), local versus regional trips, and average length of trip •
• Summarization of land use and modeling data as provided by the DRCOG travel demand
model
• Summarization of current and future traffic operations for both the AM and PM peak hours
• Estimation of future travel demands
• Identification of distinct segments of each corridor which share distinguishing urban traits,
adjacent land use characteristics and existing roadway conditions
• Summarization of current roadway features including lane configurations, roadway and right-
ot~way widths and adjacent land ownership characteristics, building set-backs, utility and
environmental concerns
• lllustration of the typical existing cross section for each discrete segment of each corridor and
an assessment of the operational and safety adequacy of that cross-section based on both
existing and future (2035) travel demands
• Development of an Environmental Overview. The following environmental resources are
considered as essential resources for study and documentation. This list is not all-inclusive
and is subject to change based on meetings with project stakeholders
1. Land Use
2. Floodways and 100-year floodplain boundaries
3. Parks and Recreational Resources
4. Historic Resources
5. Hazardous Substances
6. Wetlands and Other Waters of the US
7. Wildlife/Threatened and Endangered Species
• Documentation of the list of issues that resulted from contacts with stakeholders and general
knowledge of the study area to identify a list of key needs
• Preparation of a preliminary list of existing and anticipated deficiencies in the study area. The
list should describe the existing or anticipated deficiencies in the transportation system and
the growth or changing needs in the study area along with an estimate as to the timeframe in
which deficiencies will occur
Englewood Transportation Improvements: Alternatives Development, Design. and Evaluation
Key transportation improvement implementation projects identified in the Englewood Light Rail
Corridor Station Area Master Plan for further evaluation are listed below:
• Rail Trail -includes trail alignment and bridges
• Oxford, Dartmouth, Clarkson Protected Bikeway Loop
• Southwest Greenbelt Trail Improvements and Extension
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•
• Floyd Avenue Extension
• Englewood Parkway Extension and Bus Transfer/Piazza Redesign
• Englewood Station Platform Shelter
The Floyd Avenue Extension project is directly linked with the Englewood Parkway Extension/Bus
Transfer and Piazza Redesign project, as both of these projects as currently envisioned would need
to be constructed together. Federal transportation and environmental regulations for automobile
road projects require a more extensive Planning and Environmental linkages (PEL) analysis and
documentation process for these projects.
The consultant will develop a reasonable range of alternatives for each key near-term transportation
improvement project identified in the Englewood Light Rall Corridor Station Area Master Plan. The
consultant will complete basic engineering for the alternatives to be screened. Basic engineering will
generally be to a conceptual level of design; however, more detail may be needed for some projects
to support feasibility analysis and screening. The range of alternatives will be evaluated using a
screening process through which the level of analysis detail becomes greater as the number of
alternatives reduces. The consultant will produce an easy-to-read pictorial summary guide that helps
the public evaluate the pros and cons of each alternative in a creative and meaningful way. This
evaluation is intended to illuminate the issues and provide a coherent discussion prior to selecting
preferred strategies. Following screening, the proposed actions will be documented and the
conceptual designs will be further refined as needed to avoid impacts and/or provide mitigation. The
conceptual designs of the proposed actions will be developed to a 5% design level in order to develop
accurate cost estimates for each project. An exception to the 5% design level specification is desired
for the Rail Trail project, budget permitting. This project is considered to be the City's top near term
priority project. The Rail Trail project is envisioned to serve not only as a means of providing safe
and efficient pedestrian and bicycle access to the stations, but as a signature image enhancement for
the corridor and the City as well. Aesthetic aspects regarding landscaping, lighting, furniture, and
artistic design elements should be considered for incorporation into the conceptual design process.
Sheridan Transportation Improvements: Alternatives Development, Design. and Evaluation
The neighboring City of Sheridan has requested to participate in the Englewood Light Rail Corridor
Next Steps Study as a secondary partner to the City of Englewood in order to evaluate two additional
projects that were not identified in the original Englewood Light Rail Corridor Station Area Master
Plan.
• Oxford Avenue Protected Bikeway -Oxford Station to Fort Logan
• Oxford Station Pedestrian Bridge/Tunnel -Station Connection to west side of Santa Fe Drive
The consultant will develop a reasonable range of alternatives for the City of Sheridan projects. The
consultant will complete basic engineering for the alternatives to be screened. Basic engineering will
generally be to a conceptual level of design; however, more detail may be needed in some areas to
support feasibility analysis and screening. The range of alternatives will be evaluated using a
screening process through which the level of analysis detail becomes greater as the number of
alternatives reduces. The consultant will produce an easy-to-read pictorial summary guide that helps
the public evaluate the pros and cons of each alternative in a creative and meaningful way. This
evaluation is intended to illuminate the issues and provide a coherent discussion prior to selecting
preferred strategies. Following screening, the proposed actions will be documented and the
conceptual designs will be further refined as needed to avoid impacts and/or provide mitigation. The
29
conceptual designs of the proposed actions will be developed to a 5% design level in order to develop
accurate cost estimates for each project.
Floyd Avenue/Englewood Parkway Extension and Bus Transfer/Piazza Redesign
Planning and Environmental Linkages Study
The City of Englewood anticipates the need to apply for Transportation Investment Generating
Economic Recovery (TIGER) grant funds in order to implement the Floyd Avenue/Englewood
Parkway Extension and Bus Transfer/Piazza Redesign project, which is subject to National
Environmental Policy Act (NEPA) review. In order to facilitate the NEPA review process for the Floyd
Avenue/Englewood Parkway Extension and Bus Transfer/Plazza Redesign project, a Planning and
Environmental Linkages (PEL) document will be completed by the consultant.
A project Purpose and Need statement for the Floyd Avenue/Englewood Parkway Extension and Bus
Transfer/Piazza Redesign will be developed based primarily on the vision, goals, and objectives
found in the Englewood Light Rail Corridor Station Area Master Plan document, as well as the Real
Estate Development Feasibility and Marketing/Implementation Strategy report. As a part of the
Purpose and Need development process, the consultant will formally determine the project extent
based on a preliminary analysis of the independent utility and logical termini for the project.
Additionally, the consultant will conduct a review of all state, regional, and local plans and capital
improvements programs, which will inform the context of the Purpose and Need Statement. Finally,
the consultant will select the most appropriate travel demand models for use in evaluating project
design alternatives.
The Consultant will prepare a PEL Study that includes an Executive Summary and the following
chapters: Purpose and Need Statement, Proposed Actions, No-Action Alternative, Other Alternatives
Considered and Alternative Screening, Affected Environment and Environmental Consequences,
Agency Coordination and Public Involvement, and Implementation, as well as all associated technical
reports and the completion of the FHW A PEL Questionnaire.
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Exhibit E -FTA Terms
•
• 31
Exhibit E to Section 5307 Agreement •
FEDERAL TRANSIT ADMINISTRATION {FTA) TEAMS
ALL FT A ASSISTED THIRD PARTY CONTRACTS AND SUBCONTRACTS
•
• 32
• Exhibit E • Table of Contents
FTA 1 NO FEDERAL GOVERNMENT OBLIGATIONS TO THIRD PARTIES ..................................... 35
FTA2 FALSE OR FRAUDULENT STATEMENTS OR CLAIMS-CIVIL ANO CRIMINAL FRAUO .... 35
FTA3 ACCESS TO THIRD PARTY CONTRACT RECORDS .............................................................. 35
FTA4 CHANGES TO FEDERAL REQUIREMENTS ............................................................................ 36
FTAS CIVIL RIGHTS ••••••.•••••••••.•••••••••••••••••••.••••••••••••••••••••••••••••.•••••••••••••• , ••••.••••••••••••••••••••••••••••••••••••••• 36
FTA& DISADVANTAGED BUSINESS ENTERPRISES (DBE)a .......................................................... 37
FTA7 INCORPORATION OF FTA TERMS ........................................................................................... 38
FTA8 TERMINATION ••••••••••••••••••••••••••••••.••••••••••••••••••••••••••••.••••••••••••••••••••••••••••••••••••••••••.••••••••••.••.•••••. 39
FTA9 DEBARMENT AND SUSPENSION ............................................................................................ 40
FTA 10 BUY AMERICA ••••••••••.••••••••.•••••••••.••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••.•••• 41
FTA 11 RESOLUTION OF DISPUTES, BREACHES, OR OTHER LITIGATION ................................... 41
FTA 12 LOBBYING •••.••••••••.••••••.•..•••••••..•.••••••••••.••••••••••.••••••.•.•••••••••.•••••••••.••••••••.•••••••••••••••••••••••••••••••••.•• 42
FTA 13 CLEAN AIR ••••••••••••••.•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••.••••••••.••••••••••..•••••••••.••••••••••.•••• 42
FTA 14 CLEAN WATER .••••••••..•••••••.••.••••••••••.•••••••••.••••••••••••.••••••••.••••••.•••••••••••.••.•••••••.••••••••••••••••••••.•••••• 42
FTA 15 CARGO PREFERENCE ••••.•••••••..•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••..•••••• 43
FTA16 FLY AMERICA ••••.•••••••••••••••••••••••••••••••••.•••••••••.•••••••••.••.••••••..••••••••••.••••••.•.••••••••••••••••••.•••.•.••••••••. 43
FTA17 CONSTRUCTION EMPLOYEE PROTECTIONS -DAVIS-BACON ACT ................................ 44
FTA 18 CONSTRUCTION EMPLOYEE PROTECTIONS -CONTRACT WORK HOURS & SAFETY
STANDARDS ACT ••••••.•..••••••••••••••••••...•••••••.•••••••••••••••••••.•.•••••••••.••••••••.••••••••••..••••••••••••••••••••••••• 50
FTA 19 CONSTRUCTION EMPLOYEE PROTECTIONS -COPELAND ANTI-KICKBACK ACT ........ 50
FTA20 BONDING FOR CONSTRUCTION ACTIVITIES EXCEEDING $100,000 ................................. 51
FTA21 SEISMIC SAFETY ••••••.••••••••.••••••••••.•••••••••••.••.•••••••...•••••••.•.•••••.••••••••••.•.••••••••••••••••••.••••••••••.••••••• 52
FTA22 NONCONSTRUCTION EMPLOYEE PROTECTION -CONTRACT WORK HOURS & SAFETY
STANDARDS ACT ••..•.•••••••..••••••.•.•.•••••••••••.•••••••••..•••••••.•••••••••.•••••••••..••••••••..•.•••••••••••••••••••.••••••• 53
FTA23 TRANSIT EMPLOYEE PROTECTIVE ARRANGEMENTS ........................................................ 54
FTA24 CHARTER BUS OPERATIONS •••••••••••••••••••••••••••••.••••••••••••••••••••••••••••••••••••••••••••••••.••••••••••.••••••• 55
FTA25 SCHOOL BUS OPERATIONS .................................................................................................... 55
FTA26 DRUG USE AND TESTING •••••.•.•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••.•••••••••••••••••••••••••••••••• 55
FTA27 ALCOHOL MISUSE AND TESTING .......................................................................................... 56
FTA28 PATENT RIGHTS ••••••••••••...•••••••.•.••••••.•••..•.•••••••••.••••••.••.••••••••.•••••••••.•.•••••••.•••••••••••••••••••.••••••••••. 57
FTA29 RIGHTS IN DATA AND COPYRIGHTS ..................................................................................... 57
FTA30 SPECIAL NOTIFICATION REQUIREMENT FOR STATES ...................................................... 61
FTA31 ENERGY CONSERVATION •••••••••••••••.•••.••••••••••••••••••••••••••••••••••••••••••••••••••.•••••••••••••••••••••••••••••••• 61 • 33
FTA 32 RECYCLED PRODUCTS ........................................................................................................... 61
FTA 33 CONFORMANCE WITH NATIONAL ITS ARCHITECTURE ..................................................... 61 •
FTA 34 ADA ACCESS •.•••••••.••.•.•.••.••••••..•.•••••••••.••.••••.••••••••.••••••••••••••.•••.••••••••••.•.•....•.••••••...•.••••••.•••.•.••••• 62
RA 35 ASSIGNABILITY CLAUSE .......................................................................................................... 62
FT A 36 BUS TESTING •••••••••••.••••••••..•.••.••••••••.••.•••••••••••..•.•••••••••.•••..•••••••.•••..••.••••••••••••••.••••••••••••.••••••••••• 63
FTA 37 PRE-AWARD AND POST-DELIVERY AUDIT REQUIREMENTS ............................................. 63
FT A 38 TVM CERTIFICATION ••••••.••.•.•••••••••••..•.•••••••.•••..•••••••••••.••••••••••••••••••••••••••••••••••••••••••••••.••••••••••••• 63
•
•
34
•
•
Provisions 1 through 7 apply to ALL CONTRACTS
FTA1 NO FEDERAL GOVERNMENT OBLIGATIONS TO THIRD PARTIES
A. RTD and Contractor acknowledge and agree that, notwithstanding any concurrence
by the Federal Government in or approval of the solicitation or award of the
underlying Contract, absent the express written consent by the Federal Government,
the Federal Government is not a party to this Contract and shall not be subject to any
obligations or liabilities to RTD, Contractor, or any other party (whether or not a party
to that Contract) pertaining to any matter resulting from the underlying Contract.
B. Contractor agrees to include the above clause in each subcontract financed in whole
or in part with Federal assistance provided by FTA. It is further agreed that the
clause shall not be modified, except to identify the subcontractor who will be subject
to its provisions.
FTA 2 FALSE OR FRAUDULENT STATEMENTS OR CLAIMS -CIVIL AND
CRIMINAL FRAUD
A. Contractor acknowledges that the provisions of 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, apply to its actions pertaining to
this Project. Upon execution or performance of the underlying Contract, Contractor
certifies or affirms the truthfulness and accuracy of any statement it has made, it
makes, it may make, or causes to be made, pertaining to the underlying Contract or
the FTA assisted project for which this Contract work is being performed. In addition
to other penalties that may be applicable, Contractor further acknowledges that if it
makes, or causes to be made, a false, fictitious, or fraudulent claim, statement,
submission, or certification, the Federal Government reserves the right to impose the
penalties of the Program Fraud Civil Remedies Act of 1986 on Contractor to the
extent the Federal Government deems appropriate.
B. Contractor also acknowledges that if it makes, or causes to be made, a false,
fictitious, or fraudulent claim, statement, submission, or certification to the Federal
Government under a Contract connected with a project that is financed in whole or in
part with Federal assistance originally awarded by FTA under the authority of 49
U.S.C. § 5307, the Government reserves the right to impose the penalties of 18
U.S.C. § 1001 and 49 U.S .C. § 5307(n}(1) on Contractor, to the extent the Federal
Government deems appropriate.
C. Contractor agrees to include the above two clauses in each subcontract financed in
whole or in part with Federal assistance provided by FTA. It is further agreed that the
clauses shall not be modified, except to identify the subcontractor who will be subject
to the provisions.
FTA3 ACCESS TO THIRD PARTY CONTRACT RECORDS
A. For a period of three years following Contract closing, the Contractor shall maintain,
preserve and make available to RTD, the FTA Administrator, the Comptroller
General of the United States, and any of their authorized representatives, access at
all reasonable times to any books, documents, papers and records of Contractor
which are directly pertinent to this Contract for the purposes of making audits,
examinations, excerpts and transcriptions. Contractor also agrees, pursuant to 49
CFR 633.17, to provide the FT A Administrator or his or her authorized
35
representatives, including any project management oversight contractor, access to
Contractor's records and sites pertaining to a major capital project, defined at 49 •
U.S.C. § 5302(a)1, which is receiving federal financial assistance through the
programs described at 49 U.S.C. §§ 5307, 5309 or 5311.
B. The Contractor shall maintain and RTD shall have the right to examine and audit all
records and other evidence sufficient to reflect properly all prices, costs or rates
negotiated and invoiced in performance of this Contract. This right of examination
shall include inspection at all reasonable times of the Contractor's offices engaged in
performing the Contract.
C. If this Contract is completely or partially terminated, the Contractor shall make
available the records relating to the work terminated until 3 years after any resulting
final termination settlement. The Contractor shall make available records relating to
appeals under t he Disputes clause or to litigation or the settlement of claims arising
under or relating to this Contract until such appeals, litigation, or claims are finally
resolved.
D. "Access to Records and Reports" applies with equal force and effect to any
subcontractors hired by the Contractor to perform Work under this Contract. The
Contractor shall insert this provision in all subcontracts under this Contract and
require subcontractor compliance therewith.
FTA4 CHANGES TO FEDERAL REQUIREMENTS
Contractor shall at all times comply with all applicable FT A regulations, policies,
procedures and di rectives, including without limitation those listed directly or by
reference in the current Master Agreement between RTD and FTA, as they may be
amended or promulgated from time to time during the term of this Contract. Contractor's
failure to so comply shall constitute a material breach of this Contract. Contractor may
contact either RTD or FTA for a copy of the current FTA Master Agreement.
FTAS CIVIL RIGHTS (TITLE VI, ADA, EEO)
The following requirements apply to the underlying Contract:
A. Nondiscrimination-In accordance with Title VI of the Civil Rights Act, as amended,
42 U.S.C. § 2000d, section 303 of the Age Discrimination Act of 1975, as amended,
42 U.S.C. § 6102, section 202 of the Americans with Disabilities Act of 1990, 42
U.S.C. § 12132, and Federal transit law at 49 U.S.C. § 5332, Contractor agrees that
it will not discriminate against any employee or applicant for employment because of
race, color, creed, national origin, sex, age, or disability. In addition, Contractor
agrees to comply with applicable Federal implementing regulations and other
implementing requirements FTA may issue.
B. Equal Employment Opportunity -The following equal employment opportunity
requirements apply to the underlying Contract:
1. Race. Color, Creed. National Origin. Sex-In accordance with Title VII of the Civil
Rights Act, as amended, 42 U.S.C. § 2000e, and Federal transit laws at 49
U.S.C. § 5332, Contractor agrees to comply with all applicable equal employment
opportunity requirements of U.S. Department of Labor (U.S. DOL) regulations,
"Office of Federal Contract Compliance Programs, Equal Employment
Opportunity, Department of Labor," 41 CFR Parts 60 et seq., (which implement
Executive Order No . 11246, "Equal Employment Opportunity," as amended by •
36
•
•
Executive Order No. 11375, • Amending Executive Order 11246 Relating to Equal
Employment Opportunity,■ 42 U.S.C. § 2000e note), and with any applicable
Federal statutes, executive orders, regulations, and Federal policies that may in
the future affect activities undertaken in the course of this Contract. Contractor
agrees to take affirmative action to ensure that applicants are employed, and that
employees are treated during employment, without regard to their race, color,
creed, national origin, sex, or age. Such action shall include, but not be limited to,
the following: employment, upgrading, demotion or transfer, recruitment or
recruitment advertising, layoff or termination; rates of pay or other forms of
compensation; and selection for training, including apprenticeship. In addition,
Contractor agrees to comply with any implementing requirements FTA may
issue.
2. Age-In accordance with section 4 of the Age Discrimination in Employment Act
of 1967, as amended, 29 U.S.C. § 623 and Federal transit law at 49 U.S.C. §
5332, Contractor agrees to refrain from discrimination against present and
prospective employees for reason of age. In addition, Contractor agrees to
comply with any implementing requirements FTA may issue .
3. Disabilities-In accordance with section 102 of the Americans with Disabilities
Act, as amended, 42 U.S.C. § 12112, Contractor agrees that it will comply with
the requirements of U.S. Equal Employment Opportunity Commission,
"Regulations to Implement the Equal Employment Provisions of the Americans
with Disabilities Act,• 29 CFR Part 1630, pertaining to employment of persons
with disabilities. In addition, Contractor agrees to comply with any implementing
requirements FTA may issue.
C. Contractor also agrees to include these requirements in each subcontract financed in
whole or in part with Federal assistance provided by FTA, modified only if necessary
to identify the affected parties.
FTA 6 DISADVANTAGED BUSINESS ENTERPRISES (DBE)s
A. This Contract is subject to the requirements of Title 49, Code of Federal Regulations,
Part 26, Participation by Disadvantaged Business Enterprises (DBEs) in Department
of Transportation Financial Assistance Programs. The national goal for participation
of DBEs is 10%.
B. The Contractor shall not discriminate on the basis of race, color, national origin, or
sex in the performance of this contract. The Contractor shall carry out applicable
requirements of 49 CFR Part 26 in the award and administration of this DOT-
assisted Contract. Failure by the Contractor to carry out these requirements is a
material breach of this Contract, which may result in the termination of this contract
or such other remedy as RTD deems appropriate. Each subcontract the Contractor
signs with a subcontractor must include the assurance in this paragraph (see 49
CFR 26.13(b)).
C. The Contractor is required to pay its subcontractors performing Work related to this
Contract for satisfactory performance of that Work no later than 5 days after the
Contractor's receipt of payment for that Work from RTD. In addition, the Contractor
shall return any retainage payments to subcontractors within 5 days after incremental
acceptance of the subcontractor's Work by RTD and Contractor's receipt of the
partial retainage payment related to the subcontractor's Work .
37
D. The Contractor must promptly notify RTD, whenever a DBE subcontractor
performing Work related to this Contract is terminated or fails to complete its Work, •
and must make good faith efforts to engage another DBE subcontractor to perform at
least the same amount of Work. The contractor may not terminate any DBE
subcontractor and perform that Work through its own forces or those of an affiliate
without prior written consent of RTD.
E. RTD sets an annual overall goal for the participation of disadvantaged business
enterprises. This Contract contains a minimum level of DBE participation, and is
awarded in reliance upon the Contractor's representations that it can attain such
DBE participation levels in addition to all other of Contractor's representations,
certifications and submittals as required by Section IV, Attachment A, of this
Contract.
The Contractor shall cooperate with RTD with regard to maximum utilization of DBEs
and will use its best efforts to insure that DBEs shall have the maximum practicable
opportunity to compete for subcontract work under this Contract. The Contractor
shall assist RTD in verifying compliance with the DBE requirements of this Contract,
if any, by submitting status reports itemizing payments to all DBE subcontractors with
each monthly request for payment. Upon Contract completion, the Contractor shall
submit a summary of payments, by subcontract, made to all subcontractors to RTD's
Business Opportunity and Outreach Officer.
FTA7 INCORPORATION OF FTA TERMS
The provisions of this Contract include, in part, certain Standard Terms and
Conditions required by DOT, whether or not expressly set forth in the Contract
provisions. All contractual provisions required by DOT, as set forth in FTA Circular
4220.1 F, dated November 1, 2008, as may be amended, are hereby incorporated by
reference. Anything to the contrary herein notwithstanding, all FTA mandated terms shall
be deemed to control in the event of a conflict with other provisions contained in this
Agreement. Contractor shall not perform any act, fail to perform any act, or refuse to
comply with any RTD requests which would cause RTD to be in violation of the FTA
terms and conditions. The incorporation of FT A terms has unlimited flow down.
38
•
• Provision 8 applies to AWARDS EXCEEDING $10,000
FT A 8 TERMINATION
A. For Convenience. RTD may, by giving at least 14 days' written notice to the
Contractor, terminate this Contract, or suspend performance hereunder, in whole or
in part and at any time for RTD's convenience. The Contractor shall be compensated
solely for Work satisfactorily performed prior to the effective date and time of
termination or suspension. The Contractor shall have no right to recover lost profits
on the balance of the Work, or any other measure of damages.
B. For Default. RTD may declare default in the Contractor's performance of any term of
this Contract by giving seven days' written notice to the Contractor specifying with
particularity the basis for such default. The Contractor shall deliver a response in
writing to RTD within five days of Contractor's receipt of RTD's default notice setting
forth a reasonable proposal to cure or to prevent repetition of the default. If the
Contractor fails to timely respond to the notice of default, fails to cure the default, or if
the default occurs again on any Work performed (or which should have been
performed) during the remainder of the Contract term (including options), RTD shall
have the right to terminate this Contract for default by written notice. RTD is not
required to provide subsequent written notices of default for recurring instances of
default already brought to the attention of the Contractor in a written notice. In the
event of such termination for default, the Contractor shall be compensated solely for
Work satisfactorily performed prior to the effective date and time of termination. RTD
may proceed with the Work by contract or otherwise and the additional cost to RTD
of completing the Work shall be deducted from any sum due the Contractor. If after
termination for default it is determined that the Contractor was not in default, the
rights and obligations of the parties shall be the same as if the termination had been
issued for RTD's convenience. The foregoing shall be in addition to any other legal
or equitable remedies available to RTD.
C. Suspension of Work. RTD may suspend the performance of the Contractor by giving
the Contractor seven days' written notice. Upon Contractor's receipt of notice of
suspension of Work, the Contractor shall perform no further Work and RTD will not
be required to reimburse the Contractor for any costs incurred subsequent to
Contractor's receipt of notice of suspension and prior to notice to resume Work, if
any. Suspension of Work may be in whole or in part, as specified by RTD. The
Contractor shall continue to submit invoices for Work performed. If after six months
of suspension, RTD has not given the Contractor notice to resume Work, the
Contractor is entitled to request in writing that RTD either (1) amend the Statement of
Contract Cost or (2) terminate the Contract pursuant to "Termination for
Convenience ." If suspension for more than six months is not due in any part to the
fault of the Contractor, RTD shall be required to amend or terminate the Contract. No
amendment to the Statement of Contract Cost shall be made under this Article if
suspension, delay, or interruption is due to the fault or negligence of the Contractor,
or for which an equitable adjustment is provided for or excluded under any other term
or condition of this Contract.
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Provision 9 applies to AWARDS EXCEEDING $25,000
FTA 9 DEBARMENT AND SUSPENSION
A. If this Contract is valued at $25,000 or greater, it is a covered transaction for
purposes of 49 CFR Part 29. As such, Contractor is required to verify that none of
Contractor, its principals, as defined at 49 CFR 29.995, or affiliates, as defined at 49
CFR 29.905, are excluded or disqualified as defined at 49 CFR 29.940 and 29.945.
B. Contractor is required to comply with 49 CFR 29, Subpart C and must include the
requirement to comply with 49 CFR 29, Subpart C in any lower tier covered
transaction it enters into.
C. By accepting this Contract, Contractor is certifying as follows:
1. The certification in this clause is a material representation of fact relied upon by
RTD. If it is later determined that Contractor knowingly rendered an erroneous
certification, in addition to remedies available to RTD, the Federal Government
may pursue available remedies, including but not limited to suspension and/or
debarment. Contractor agrees to comply with the requirements of 49 CFR 29,
Subpart C throughout the period of this Contract.
2. Contractor further agrees to include a provision requiring such compliance in its
lower tier covered transactions.
40
•
• Provisions 10 through 11 apply to AWARDS EXCEEDING THE SIMPLIFTED
ACQUISTION THRESHOLD ($100,000)
FTA 1. FTA 10 BUY AMERICA
(for Rolling Stock, Construction and Materials/Supplies)
The Buy America requirements apply to all contracts for construction, the acquisition of
goods, or the acquisition of rolling stock that are valued at more than $100,000.
The Contractor agrees to comply with 49 USC 5323(j} and 49 CFR Part 661, which
provide that Federal funds may not be obligated unless steel, iron, and manufactured
products used in FT A-funded projects are produced in the United States, unless a
waiver has been granted by FTA or the product is subject to a general waiver. General
waivers are listed in 49 CFR 661.7, and include final assembly in the United States for
15 passenger vans and 15 passenger wagons produced by Chrysler Corporation, and
microcomputer equipment and software. Separate requirements for rolling stock are set
out at 49 USC 5323(j}(2)(C) and 49 CFR 661.11. Rolling stock must be assembled in the
United States and have a 60 percent domestic content. The Contractor shall be
responsible for ensuring that lower tier contractors and subcontractors are in compliance
with these requirements.
FTA 11 RESOLUTION OF DISPUTES, BREACHES, OR OTHER LITIGATION
A. Except as otherwise provided in this Contract, any dispute arising hereunder
concerning a question of fact that is not disposed of by agreement shall be decided by
RTD's General Manager, or his or her delegate. Contractor will be notified of the
decision in writing. To the extent allowable by law, any such decision shall be final,
conclusive, and not subject to judicial review unless shown to be fraudulent, capricious,
arbitrary, or so grossly erroneous as to imply bad faith.
B. This Article does not preclude judicial consideration of questions of law. Nothing in
this Contract shall be construed as making final the decision of any administrative
official, representative, or board on a question of law.
C. All costs, expenses and attorney fees incurred by the Contractor in connection with
any appeal, suit or claim regarding a dispute that is brought by the Contractor shall be
paid by the Contractor.
D. The duties, obligations, rights, and remedies provided by the Contract shall be in
addition to and not a limitation of any duties, obligations, rights and remedies otherwise
imposed or available by law.
E. Unless otherwise directed by RTD, the Contractor shall continue performance under
this Contract while matters in dispute are being resolved.
41
Provisions 12 through 14 apply to AWARDS EXCEEDING $100.000 BY STATUTE
FTA 12 LOBBYING
Contractors and all subcontractors who apply or bid for an award of $ 100,000 or
more shall file the certification required by 49 CFR Part 20, RNew Restrictions on
Lobbying." Each tier certifies to the tier above that it will not use 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 shall also disclose the name of any registrant under the
Lobbying Disclosure Act of 1995 who has made lobbying contacts on its behalf with non-
Federal funds with respect to that Federal contract, grant or award covered by 31
U.S.C. § 1352. Such disclosures are forwarded from tier to tier up to RTD. Contractor
should contact RTD for the appropriate certification or retrieve a copy from the FT A Best
Practices Manual at http://www.fta.dot.gov/library/admin/BPPM/.
FTA 13 CLEAN AIR
A. Contractor agrees to comply with all applicable standards, orders or regulations
issued pursuant to the Clean Air Act, as amended, 42 U.S.C. §§ 7401 et seq.
Contractor agrees to report each violation to RTD and understands and agrees that
RTD will, in turn, report each violation as required to assure notification to FTA and
the appropriate EPA Regional Office.
B. Contractor also agrees to include these requirements in each subcontract exceeding
$100,000 financed in whole or in part with Federal assistance provided by FT A.
FTA 14 CLEAN WATER
A. Contractor agrees to comply with all applicable standards, orders or regulations
issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. §
1251 et seq. Contractor agrees to report each violation to RTD and understands and
agrees that RTD will, in turn, report each violation as required to assure notification
to FTA and the appropriate EPA Regional Office.
B. Contractor also agrees to include these requirements in each subcontract exceeding
$ 100,000 financed in whole or in part with Federal assistance provided by FT A.
42
•
•
•
Provisions 15 and 16 apply for the TRANSPORT OF PROPERTY OR PERSONS
FTA2. FTA 15 CARGO PREFERENCE
(Rolling Stock, Construction and Materials/Supplies)
The Cargo Preference requirements apply to all contracts involving equipment,
materials, or commodities which may be transported by ocean vessels.
The Contractor agrees:
1. to use privately owned United States-Flag commercial vessels to ship at least 50
percent of the gross tonnage (computed separately for dry bulk carriers, dry
cargo liners, and tankers) involved, whenever shipping any equipment, material,
or commodities pursuant to the underlying contract to the extent such vessels are
available at fair and reasonable rates for United States-Flag commercial vessels;
2. to furnish within 20 working days following the date of loading for shipments
originating within the United States or within 30 working days following the date
of leading for shipments originating outside the United States, a legible copy of a
rated, "on-board• commercial ocean bill-of -lading in English for each shipment of
cargo described in the preceding paragraph to the Division of National Cargo,
Office of Market Development, Maritime Administration, Washington, DC 20590
and to RTD (through the Contractor in the case of a subcontractor's bill-of-
lading);
3. to include these requirements in all subcontracts issued pursuant to this Contract
when the subcontract may involve the transport of equipment, material, or
commodities by ocean vessel.
FT A 16 FL V AMERICA
In the performance of Contracts that utilize FTA participation in the cost of
international air transportation, Contractor agrees to comply with 49 U.S.C. § 40118 (the
"Fly America" Act) in accordance with the General Services Administration's regulations
at 41 C.F.R Part 301-10, which provide that recipients and subrecipients of Federal
funds and their contractors are required to use U.S.-Flag air carriers for U.S
Government-financed international air travel and transportation of their personal effects
or property, to the extent such service is available, unless travel by foreign air carrier is a
matter of necessity, as defined by the Fly America Act. Contractor shall submit, if a
foreign air carrier was used, an appropriate certification or memorandum adequately
explaining why service by a U.S.-Flag air carrier was not available or why it was
necessary to use a foreign air carrier and shall, in any event, provide a certificate of
compliance with the Fly America requirements. Contractor agrees to include the
requirements of this section in all subcontracts that may involve international air
transportation.
43
Provisions 17 through 21 apply to CONSTRUCTION ACTIVITIES
FTA3. FTA 17 CONSTRUCTION EMPLOYEE
PROTECTIONS -DAVIS-BACON ACT
(Awards that exceed $2,000)
(1) Minimum wages -(i) All laborers and mechanics employed or working upon the site
of the work (or under the United States Housing Act of 1937 or under the Housing Act of
1949 in the construction or development of the project), will be paid unconditionally and
not less often than once a week, and without subsequent deduction or rebate on any
account (except such payroll deductions as are permitted by regulations issued by the
Secretary of Labor under the Copeland Act (29 CFR part 3)), the full amount of wages
and bona fide fringe benefits (or cash equivalents thereof) due at time of payment
computed at rates not less than those contained in the wage determination of the
Secretary of Labor which is attached hereto and made a part hereof, regardless of any
contractual relationship which may be alleged to exist between the contractor and such
laborers and mechanics.
Contributions made or costs reasonably anticipated for bona fide fringe benefits under
section 1 (b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are
considered wages paid to such laborers or mechanics, subject to the provisions of
paragraph (1 )(iv) of this section; also, regular contributions made or costs incurred for
more than a weekly period (but not less often than quarterly) under plans, funds, or
programs which cover the particular weekly period, are deemed to be constructively
made or incurred during such weekly period. Such laborers and mechanics shall be A
paid the appropriate wage rate and fringe benefits on the wage determination for the 'W'
classification of work actually performed. without regard to skill, except as provided in 29
CFR Part 5.5(a)(4). Laborers or mechanics performing work in more than one
classification may be compensated at the rate specified for each classification for the
time actually worked therein ~ Provided, that the employer's payroll records accurately set
forth the time spent in each classification in which work is performed. The wage
determination (including any additional classifications and wage rates conformed under
paragraph (1 )(ii) of this section) and the Davis-Bacon poster (WH-1321) shall be posted
at all times by the contractor and its subcontractors at the site of the work in a prominent
and accessible place where it can be easily seen by the workers.
(ii)(A) The contracting officer shall require that any class of laborers or mechanics,
including helpers, which is not listed in the wage determination and which is to be
employed under the contract shall be classified in conformance with the wage
determination. The contracting officer shall approve an additional classification and
wage rate and fringe benefits therefore only when the following criteria have been met:
(1) Except with respect to helpers as defined as 29 CFR 5.2(n)(4), the work to be
performed by the classification requested is not performed by a classification in the wage
determination; and
(2) The classification is utilized in the area by the construction industry; and
(3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable
relationship to the wage rates contained in the wage determination; and
44
•
•
(4) With respect to helpers as defined in 29 CFR 5.2(n)(4), such a classification prevails
in the area in which the work is performed .
(B) If the contractor and the laborers and mechanics to be employed in the classification
(if known), or their representatives, and the contracting officer agree on the classification
and wage rate (including the amount designated for fringe benefits where appropriate), a
report of the action taken shall be sent by the contracting officer to the Administrator of
the Wage and Hour Division, Employment Standards Administration, U.S. Department of
Labor, Washington, DC 2021 0. The Administrator, or an authorized representative, will
approve, modify, or disapprove every additional classification action within 30 days of
receipt and so advise the contracting officer or will notify the contracting officer within the
30-day period that additional time is necessary.
(C) In the event the contractor, the laborers or mechanics to be employed in the
classification or their representatives, and the contracting officer do not agree on the
proposed classification and wage rate (including the amount designated for fringe
benefits, where appropriate), the contracting officer shall refer the questions, including
the views of all interested parties and the recommendation of the contracting officer, to
the Administrator for determination. The Administrator, or an authorized representative,
will issue a determination within 30 days of receipt and so advise the contracting officer
or will notify the contracting officer within the 30-day period that additional time is
necessary.
(D) The wage rate (including fringe benefits where appropriate) determined pursuant to
paragraphs (a)(1 )(ii) (B} or (C) of this section, shall be paid to all workers performing
work in the classification under this contract from the first day on which work is
performed in the classification.
(iii} Whenever the minimum wage rate prescribed in the contract for a class of laborers
or mechanics includes a fringe benefit which is not expressed as an hourly rate, the
contractor shall either pay the benefit as stated in the wage determination or shall pay
another bona fide fringe benefit or an hourly cash equivalent thereof.
(iv) If the contractor does not make payments to a trustee or other third person, the
contractor may consider as part of the wages of any laborer or mechanic the amount of
any costs reasonably anticipated in providing bona fide fringe benefits under a plan or
program, Provided, That the Secretary of Labor has found, upon the written request of
the contractor, that the applicable standards of the Davis-Bacon Act have been met.
The Secretary of Labor may require the contractor to set aside in a separate account
assets for the meeting of obligations under the plan or program. (v)(A} The contracting
officer shall require that any class of laborers or mechanics which is not listed in the
wage determination and which is to be employed under the contract shall be classified in
conformance with the wage determination. The contracting officer shall approve an
additional classification and wage rate and fringe benefits therefore only when the
following criteria have been met:
(1) The work to be performed by the classification requested is not performed by a
classification in the wage determination; and
(2) The classification is utilized in the area by the construction industry; and
(3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable
relationship to the wage rates contained in the wage determination .
45
(B) If the contractor and the laborers and mechanics to be employed in the classification
(if known), or their representatives, and the contracting officer agree on the classification
and wage rate (including the amount designated for fringe benefits where appropriate), a
report of the action taken shall be sent by the contracting officer to the Administrator of
the Wage and Hour Division, Employment Standards Administration, Washington , DC
20210. The Administrator, or an authorized representative, will approve, modify, or
disapprove every additional classification action within 30 days of receipt and so advise
the contracting officer or will notify the contracting officer within the 30-day period that
additional time is necessary.
(C) In the event the contractor, the laborers or mechanics to be employed in the
classification or their representatives, and the contracting officer do not agree on the
proposed classification and wage rate (including the amount designated for fringe
benefits, where appropriate), the contracting officer shall refer the questions, including
the views of all interested parties and the recommendation of the contracting officer, to
the Administrator for determination. The Administrator, or an authorized representative,
will issue a determination with 30 days of receipt and so advise the contracting officer or
will notify the contracting officer within the 30-day period that additional time is
necessary.
(D) The wage rate (including fringe benefits where appropriate) determined pursuant to
parag raphs (a)(1 )(v) (B) or (C) of this section, sh all be paid to all workers performing
work in the classification under this contract from the first day on which work is
performed in the classification .
(2) Withholding -The RTD s hall upon its own action or upon written request of an
authorized representative of the Department of Labor withhold or cause to be withheld
from the contractor under this contract or any other Federal contract with the same prime -
contractor, or any other federally-assisted contract subject to Davis-Bacon prevailing
wage requirements, which is held by the same prime contractor, so much of the accrued
payments or advances as may be considered necessary to pay laborers and mechanics,
including apprentices, trainees, and helpers, employed by the contractor or any
subcontractor the full amount of wages required by the contract. In the event of failure to
pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or
working on the site of the work (or under the United States Housing Act of 1937 or under
the Housing A ct of 1949 in the construction or development of the proj ect ), all or part of
the wages required by the contract, the RTD may, after written notice to the contractor,
sponsor, applicant, or owner, take such action as may be necessary to cause the
suspension of any further payment, advance. or guarantee of funds until such violations
have ceased.
(3) Payrolls and basic records -(i) Payrolls and basic records relating thereto shall be
maintained by the contractor during the course of the work and preserved for a period of
three years thereafter for all laborers and mechanics working at the site of the work (or
under the United States Housing Act of 1937, or under the Housing Act of 1949, in the
construction or development of the project). Such records shall contain the name,
address, and social security number of each such worker, his or her correct
classification, hourly rates of wages paid (including rates of contributions or costs
anticipated for bona fide fringe benefits or cash equivalents thereof of the types
described in section 1 (b)(2)(B) of the Davis-Bacon Act), daily and weekly number of
hours worked, deductions made and actual wages paid. Whenever the Secretary of
Labor has found under 29 CFR 5.5(a)(1 )(iv) that the wages of any laborer or mechanic
include the amount of any costs reasonably anticipated in providing benefits under a 4lt
46
• plan or program described in section 1 (b)(2)(B) of the Davis-Bacon Act, the contractor
shall maintain records which show that the commitment to provide such benefits is
enforceable, that the plan or program is financially responsible, and that the plan or
program has been communicated in writing to the laborers or mechanics affected, and
records which show the costs anticipated or the actual cost incurred in providing such
benefits. Contractors employing apprentices or trainees under approved programs shall
maintain written evidence of the registration of apprenticeship programs and certification
of trainee programs, the registration of the apprentices and trainees, and the ratios and
wage rates prescribed in the applicable programs.
(ii)(A) The contractor shall submit weekly for each week in which any contract work is
performed a copy of all payrolls to the RTD for transmission to the Federal Transit
Administration. The payrolls submitted shall set out accurately and completely all of the
information required to be maintained under section 5.5(a)(3)(i) of Regulations, 29 CFR
part 5. This information may be submitted in any form desired. Optional Form WH-347
is available for this purpose and may be purchased from the Superintendent of
Documents (Federal Stock Number 029-005-00014-1), U.S. Government Printing Office,
Washington, DC 20402. The prime contractor is responsible for the submission of
copies of payrolls by all subcontractors.
(B} Each payroll submitted shall be accompanied by a "Statement of Compliance,''
signed by the contractor or subcontractor or his or her agent who pays or supervises the
payment of the persons employed under the contract and shall certify the following:
(1) That the payroll for the payroll period contains the information required to be
maintained under section 5.5(a)(3)(i) of Regulations, 29 CFR part 5 and that such
information is correct and complete;
(2) That each laborer or mechanic (including each helper, apprentice, and trainee)
employed on the contract during the payroll period has been paid the full weekly wages
earned, without rebate, either directly or indirectly, and that no deductions have been
made either directly or indirectly from the full wages earned, other than permissible
deductions as set forth in Regulations, 29 CFR part 3;
(3) That each laborer or mechanic has been paid not less than the applicable wage rates
and fringe benefits or cash equivalents for the classification of work performed, as
specified in the applicable wage determination incorporated into the contract.
C) The weekly submission of a properly executed certification set forth on the reverse
side of Optional Form WH-347 shall satisfy the requirement for submission of the
"Statement of Compliance" required by paragraph (a)(3)(ii)(B) of this section.
(D} The falsification of any of the above certifications may subject the contractor or
subcontractor to civil or criminal prosecution under section 1001 of title 18 and section
231 of title 31 of the United States Code.
(iii) The contractor or subcontractor shall make the records required under paragraph
(a){3)(i) of this section available for inspection, copying, or transcription by authorized
representatives of the Federal Transit Administration or the Department of Labor, and
shall permit such representatives to interview employees during working hours on the
job. If the contractor or subcontractor fails to submit the required records or to make
them available, the Federal agency may, after written notice to the contractor, sponsor,
applicant, or owner, take such action as may be necessary to cause the suspension of
any further payment, advance, or guarantee of funds. Furthermore, failure to submit the
47
required records upon request or to make such records available may be grounds for
debarment action pursuant to 29 CFR 5.12.
(4) Apprentices and trainees -(i) Apprentices -Apprentices will be permitted to work at
less than the predetermined rate for the work they performed when they are employed
pursuant to and individually registered in a bona fide apprenticeship program registered
with the U.S. Department of Labor, Employment and Training Administration, Bureau of
Apprenticeship and Training, or with a State Apprenticeship Agency recognized by the
Bureau, or if a person is employed in his or her first 90 days of probationary employment
as an apprentice in such an apprenticeship program, who is not individually registered in
the program, but who has been certified by the Bureau of Apprenticeship and Training or
a State Apprenticeship Agency (where appropriate) to be eligible for probationary
employment as an apprentice. The allowable ratio of apprentices to journeymen on the
j ob site in any craft classification shall not be greater than the ratio permitted to the
contractor as to the entire work force under the registered program. Any worker listed
on a payroll at an apprentice wage rate, who is not registered or otherwise employed as
stated above, shall be paid not less than the applicable wage rate on the wage
determination for the classification of work actually perlormed. In addition, any
apprentice performing work on the job site in excess of the ratio permitted under the
registered program shall be paid not less than the applicable wage rate on the wage
determination for the work actually performed. Where a contractor is performing
construction on a project in a locality other than that in which its program is registered,
the ratios and wage rates (expressed in percentages of the journeyman's hourly rate)
specified in the contractor's or subcontractor's registered program shall be observed.
Every apprentice must be paid at not less than the rate specified in the registered
program for the apprentice's level of progress, expressed as a percentage of the
journeymen hourly rate specified in the applicable wage determination. Apprentices shall
be paid fringe benefits in accordance with the provisions of the apprenticeship program.
If the apprenticeship program does not specify fringe benefits, apprentices must be paid
the full amount of fringe benefits listed on the wage determination for the applicable
classification . If the Administrator of the Wage and Hour Division of the U.S . Department
of Labor determines that a different practice prevails for the applicable apprentice
classification, fringes shall be paid in accordance with that determination. In the event
the Bureau of Apprenticeship and Training, or a State Apprenticeship Agency
recognized by the Bureau, withdraws approval of an apprenticeship program, the
contractor will no longer be permitted to utilize apprentices at less than the applicable
predetermined rate for the work performed until an acceptable program is approved.
(ii) Trainees -Except as provided in 29 CFR 5.16, trainees will not be permitted to work
at less than the predetermined rate for the work performed unless they are employed
pursuant to and individually registered in a program which has received prior approval,
evidenced by formal certification by the U.S. Department of Labor, Employment and
Training Administration. The ratio of trainees to journeymen on the job site shall not be
greater than permitted under the plan approved by the Employment and Training
Administration. Every trainee must be paid at not less than the rate specified in the
approved program for the trainee's level of progress, expressed as a percentage of the
journeyman hourly rate specified in the applicable wage determination. Trainees shall be
paid fringe benefits in accordance with the provisions of the trainee program. If the
trainee program does not mention fringe benefits, trainees shall be paid the full amount
of fringe benefits listed on the wage determination unless the Administrator of the Wage
and Hour Division determines that there is an apprenticeship program associated with
the corresponding journeyman wage rate on the wage determination which provides for
48
•
•
•
less than full fringe benefits for apprentices. Any employee listed on the payroll at a
trainee rate who is not registered and participating in a training plan approved by the
Employment and Training Administration shall be paid not less than the applicable wage
rate on the wage determination for the classification of work actually performed. In
addition, any trainee performing work on the job site in excess of the ratio permitted
under the registered program shall be paid not less than the applicable wage rate on the
wage determination for the work actually performed. In the event the Employment and
Training Administration withdraws approval of a training program, the contractor will no
longer be permitted to utilize trainees at less than the applicable predetermined rate for
the work performed until an acceptable program is approved.
(iii) Equal employment opportunity -The utilization of apprentices, trainees and
journeymen under this part shall be in conformity with the equal employment opportunity
requirements of Executive Order 11246, as amended, and 29 CFA part 30.
(5) Compliance with Copeland "Anti-Kickback" Act requirements -The contractor shall
comply with the requirements of Section 1 of the Act, as amended, 18 U.S.C. § 874;
Section 2 of the Act, as amended, 18 U.S.C. § 3145; and U.S. DOL regulations
"Contractors and Subcontractors on Public Building or Public Work Financed in Whole or
in Part by Loans or Grants from the United States," 29 CFR Part 3, which are
incorporated by reference in this contract.
(6) Subcontracts -The contractor or subcontractor shall insert in any subcontracts the
clauses contained in 29 CFR 5.5(a)(1) through (10) and such other clauses as the
Federal Transit Administration may by appropriate instructions require, and also a clause
requiring the subcontractors to include these clauses in any lower tier subcontracts. The
prime contractor shall be responsible for the compliance by any subcontractor or lower
tier subcontractor with all the contract clauses in 29 CFR 5.5.
(7) Contract termination: debarment -A breach of the contract clauses in 29 CFR 5.5
may be grounds for termination of the contract, and for debarment as a contractor and a
subcontractor as provided in 29 CFR 5.12.
(8) Compliance with Davis-Bacon and Related Act requirements -All rulings and
interpretations of the Davis-Bacon and Related Acts contained in 29 CFR parts 1, 3, and
5 are herein incorporated by reference in this contract.
(9) Disputes concerning labor standards -Disputes arising out of the labor standards
provisions of this contract shall not be subject to the general disputes clause of this
contract. Such disputes shall be resolved in accordance with the procedures of the
Department of Labor set forth in 29 CFA parts 5, 6, and 7. Disputes within the meaning
of this clause include disputes between the contractor (or any of its subcontractors) and
the contracting agency, the U.S. Department of Labor, or the employees or their
representatives.
(1 O) Certification of eligibility -(i) By entering into this contract, the contractor certifies
that neither it (nor he or she) nor any person or firm who has an interest in the
contractor's firm is a person or firm ineligible to be awarded Government contracts by
virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).
(ii) No part of this contract shall be subcontracted to any person or firm ineligible for
award of a Government contract by virtue of section 3(a) of the Davis-Bacon Act or 29
CFR 5.12(a)(1 ).
4 9
(iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18
u.s.c. 1001.
FT A 18 CONSTRUCTION EMPLOYEE PROTECTIONS -CONTRACT WORK
HOURS & SAFETY STANDARDS ACT
(for construction contracts that exceed $100,000)
(1) Overtime requirements -No contractor or subcontractor contracting for any part of
the contract work which may require or involve the employment of laborers or mechanics
shall require or permit any such laborer or mechanic in any workweek in which he or she
is employed on such work to work in excess of forty hours in such workweek unless
such laborer or mechanic receives compensation at a rate not less than one and one-
half times the basic rate of pay for all hours worked in excess of forty hours in such
workweek.
(2) Violation; liability for unpaid wages; liquidated damages -In the event of any violation
of the clause set forth in paragraph (1) of this section the contractor and any
subcontractor responsible therefore shall be liable for the unpaid wages. In addition,
such contractor and subcontractor shall be liable to the United States for liquidated
damages. Such liquidated damages shall be computed with respect to each individual
laborer or mechanict including watchmen and guards, employed in violation of the
clause set forth in paragraph (1) of this section, in the sum of $10 for each calendar day
on which such individual was required or permitted to work in excess of the standard
workweek of forty hours without payment of the overtime wages required by the clause
set forth in paragraph (1) of this section.
•
(3) Withholding for unpaid wages and liquidated damages -The RTD shall upon its own A
action or upon written request of an authorized representative of the Department of W
Labor withhold or cause to be withheld, from any moneys payable on account of work
performed by the contractor or subcontractor under any such contract or any other
Federal contract with the same prime contractor, or any other federally-assisted contract
subject to the Contract Work Hours and Safety Standards Act, which is held by the same
prime contractor, such sums as may be determined to be necessary to satisfy any
liabilities of such contractor or subcontractor for unpaid wages and liquidated damages
a s p rovide d in the clause set forth in paragraph (2) of this section.
(4) Subcontracts -The contractor or subcontractor shall insert in any subcontracts the
clauses set forth in paragraphs (1) through (4) of this section and also a clause requiring
the subcontractors to include these clauses in any lower tier subcontracts. The prime
contractor shall be responsible for compliance by any subcontractor or lower tier
subcontractor with the clauses set forth in paragraphs (1) through (4) of this section.
FTA 19 CONSTRUCTION EMPLOYEE PROTECTIONS -COPELAND ANTI-
KICKBACK ACT
Compliance with Copeland "Anti-Kickback" Act ("Act") requirements -The contractor
shall comply with the following requirements :
(a) Section 1 of the Act, as amended, 18 U.S.C. § 874, applies to all Contracts:
(i) Whoever, by force, intimidation, or threat of procuring dismissal from
employment, or by any other manner whatsoever induces any person employed
in the construction, prosecution, completion or repair of any public building, •
public work, or building or work financed in whole or in part by loans or grants
50
• from the United States, to give up any part of the compensation to which he is
entitled under his contract of employment, shall be fined under this title or
imprisoned not more than five years, or both;
(b) Section 2 of the Act, as amended, 18 U.S.C. § 3145, applies to construction and
repair Contracts exceeding $2,000:
(i) In General.-The Secretary of Labor shall prescribe reasonable regulations for
contractors and subcontractors engaged in constructing, carrying out,
completing, or repairing public buildings, public works, or buildings or works that
at least partly are financed by a loan or grant from the Federal Government. The
regulations shall include a provision that each contractor and subcontractor each
week must furnish a statement on the wages paid each employee during the
prior week.
(ii) Application.-The penalty for making false statements is prescribed in the U.S .
Criminal Code, 18 U.S.C. 1001; and
(c) 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, which are incorporated by reference in this contract.
(d) For additional requirements of the Act not specified in this Article, see preceding
Article FT A 17 -Construction Employee Protections -Davis Bacon Act.
FTA 20 BONDING FOR CONSTRUCTION ACTIVITIES EXCEEDING $100,000
Bid Bond Requirements (Construction)
(a) Bid Security -The Penal amount of the Bid Security shall be 5% of the total Bid
Amount.
A Bid Bond must be issued by a fully qualified surety company acceptable to RTD and
listed as a company currently authorized under 31 CFR, Part 223 as possessing a
Certificate of Authority as described thereunder.
(b) Rights Reserved
In submitting this Bid, it is understood and agreed by bidder that the right is reserved by
RTD to reject any and all bids, or part of any bid, and it is agreed that the Bid may not be
withdrawn for a period of [ninety (90)] days subsequent to the opening of bids, without
the written consent of RTD.
It is also understood and agreed that if the undersigned bidder should withdraw any part
or all of his bid within [ninety (90)) days after the bid opening without the written consent
of RTD, shall refuse or be unable to enter into this Contract, as provided above, or
refuse or be unable to furnish adequate and acceptable Performance Bonds and Labor
and Material Payments Bonds, as provided above, or refuse or be unable to furnish
adequate and acceptable insurance, as provided above, he shall forfeit his bid security
to the extent of (Recipient's) damages occasioned by such withdrawal, or refusal, or
inability to enter into an agreement, or provide adequate security therefore.
51
It is further understood and agreed that to the extent the defaulting bidder's Bid Bond,
Certified Check, Cashier's Check, Treasurer's Check, and/or Official Bank Check •
(excluding any income generated thereby which has been retained by RTD as provided
in ABid Security• of the Instructions to Bidders shall prove inadequate to fully
recompense RTD for the damages occasioned by default, then the undersigned bidder
agrees to indemnify RTD and pay over to RTD the difference between the bid security
and RTD's total damages, so as to make RTD whole.
The undersigned understands that any material alteration of any of the above or any of
the material contained on this form, other than that requested, will render the bid
unresponsive.
Performance and Payment Bonding Requirements (Construction)
The Contractor shall be required to obtain performance and payment bonds as follows:
(a) Performance bonds
1. The penal amount of performance bonds shall be 100 percent of the original contract
price, unless the RTD determines that a lesser amount would be adequate for the
protection of the RTD.
2. The RTD may require additional performance bond protection when a contract price
is increased. The increase in protection shall generally equal 100 percent of the
increase in contract price. T he RTO may secure additional protection by directing the
Contractor to increase the penal amount of the existing bond or to obtain an additional
bond.
(b) Payment bonds
1. The penal amount of the payment bonds shall equal:
(i) Fifty percent of the contract price if the contract price is not more than $1 million .
(ii) Forty percent of the contract price if the contract price is more than $1 million but not
more than $5 million; or
(iii) Two and one half milAon if the contract price is more than $5 million.
If the original contract price is $5 million or less, the RTD may require additional
protection as required by subparagraph 1 if the contract price is increased.
FT A 21 SEISMIC SAFETY
If this Contract for professional services involves the design of a new building or
addition to an existing building, the Contractor agrees that any such new building or
addition to an existing building will be designed and constructed in accordance with the
standards for Seismic Safety required in Department of Transportation Seismic Safety
Regulations 49 CFR Part 41 and will certify to compliance to the extent required by the
regulation. The Contractor also agrees to ensure that all work performed under this
Contract including work performed by a subcontractor is in compliance with the
standards required by the Seismic Safety Regulations and the certification of compliance
issued on the project.
52
•
• Provision 22 applies to NONCONSTRUCTION ACTIVITIES
FTA4. FTA22 NONCONSTRUCTION EMPLOYEE
PROTECTION -CONTRACT WORK HOURS &
SAFETY STANDARDS ACT
(for all turnkey, rolling stock and operational contracts {except transportation services
contracts and open market contracts} exceeding $100,000.)
The Contractor agrees to comply, and assures the compliance of each subcontractor,
lessee, third party contractor, and other participant at any tier of the Project, with the
employee protection requirements for nonconstruction employees of the Contract Work
Hours and Safety Standards Act, as amended, 40 U.S.C. §§ 3701 et seq., in particular
with the wage and hour requirements of section 102 of that Act at 40 U.S.C. § 3702, and
with implementing U.S. DOL regulations, "Labor Standards Provisions Applicable to
Contracts Governing Federally Financed and Assisted Construction (also Labor
Standards Provision Applicable to Nonconstruction Contracts Subject to the Contract
Work hours and Safety Standards Act)," 29 CFR Part 5.
53
Provisions 23 through 27 apply to TRANSIT OPERATIONS
FT A 23 TRANSIT EMPLOYEE PROTECTIVE ARRANGEMENTS
Public Transportation Employee Protective Arrangements. If the Grant Agreement or
Cooperative Agreement for the Project indicates that public transportation employee
protective arrangements required by U.S. DOL apply to public transportation operations
performed in connection with the Project, the Recipient agrees to comply with the
applicable requirements for its Project as follows:
(1) Standard Public Transportation Employee Protective Arrangements. To the extent
that the Project involves public transportation operations and as required by Federal
law, the Recipient agrees to implement the Project in accordance with the terms and
conditions that the U.S. Secretary of Labor has determined to be fair and equitable to
protect the interests of any employees affected by the Project and that comply with
the requirements of 49 U.S.C. § 5333(b), and with the U.S. DOL guidelines,
•section 5333(b), Federal Transit Law," 29 C.F.R. Part215 and any amendments
thereto. These terms and conditions are identified in U.S. DOL's certification of
public transportation employee protective arrangements to FTA, the date of which
appears in the Grant Agreement or Cooperative Agreement for the Project. The
Recipient agrees to implement the Project in accordance with the conditions stated in
that U.S. DOL certification. That certification and any documents cited therein are
incorporated by reference and made part of the Grant Agreement or Cooperative
Agreement for the Project. The requirements of this Subsection 24.d(1) of thls
Master Agreement do not apply to Projects for elderly individuals or individuals with
disabilities that are authorized by 49 U.S.C. § 5310(a)(2) or subsection 3012(b) of
•
SAFETEA-LU, or to Projects for nonurbanized areas authorized by 49 U.S.C. ~
§ 5311; separate requirements fo r those Projects are contained in W
Subsections 24.d(2) and (3), respectively, of this Master Agreement.
(2) Public Transp ortati on Employee Protective Arrangements for Elderly Individuals and
Individuals with Disabilities for the Elderly Individuals and Individuals with Disabilities
Formula Program and Pilot Program. To the extent that the U.S. Secretary of
Transportation has determined or determines in the future that employee protective
arrangements required by 49 U.S.C. § 5333(b) are necessary or appropriate for a
governmental authority sub recipient participating a Project authorized by 49 U.S.C .
§ 5310(b)(2) or subsection 3012(b) of SAFETEA-LU, 49 U.S.C. § 5310 note, the
Recipien t agrees to carry out the Project in compliance with the terms and conditions
determined by the U.S. Secretary of Labor necessary to comply with the
requirements of 49 U.S.C. § 5333(b), and the U.S. DOL guidelines, "Section 5333(b),
Federal Transit Law/ at 29 C.F.R. Part 215, and any amendments thereto. These
terms and conditions are identified in the U.S . DOL's certification of public
transportation employee protective arrangements to FT A, the date of which appears
in the Grant Agreement. The Recipient agrees to implement the Project in
compliance with the conditions stated in that U.S. DOL certification . That U.S. DOL
certification and any documents cited therein are incorporated by reference and
made part of the Grant Agreement.
(3) Public Transp ortation Emplo yee Protective A rrangements for Prgjects in
Nonurbanized Areas Authorized by 49 U.S.C. § 5311 . The Recipient agrees to
comply with the terms and conditions of the Special Warranty for the Nonurbanized
Area Program agreed to by the U.S. Secretaries of Transportation and Labor, dated
54
May 31, 1979, U.S. DOL implementing procedures, and any revisions thereto.
• FTA 24 CHARTER BUS OPERATIONS
•
•
The Recipient agrees that neither it nor any public transportation operator performing
work in connection with a Project financed under 49 U.S.C. chapter 53 or under
23 U.S.C. §§ 133 or 142 will engage in charter service operations, except as authorized
by 49 U.S.C. § 5323(d) and FTA regulations, "Charter Service," 49 C.F.A. Part 604, and
any subsequent Charter Service regulations or FTA directives that may be issued,
except to the extent that FT A determines otherwise in writing. Any charter service
agreement required by FT A regulations is incorporated by reference and made part of
the Grant Agreement or Cooperative Agreement for the Project. The Recipient
understands and agrees that in addition to any remedy specified in the charter service
agreement, if a pattern of violations of that agreement is found, the violator will be barred
from receiving Federal transit assistance in an amount to be determined by FT A or
U.S. DOT.
FTA 25 SCHOOL BUS OPERATIONS
The Recipient agrees that neither it nor any public transportation operator performing
work in connection with a Project financed under 49 U.S.C. chapter 53, or under
23 U.S.C. §§ 133 or 142 will engage in school transportation operations for the
transportation of students or school personnel exclusively in competition with private
school transportation operators, except as authorized by 49 U.S.C. §§ 5323(f) or (g), as
applicable, and FTA regulations, "School Bus Operations," 49 C.F.R. Part 605, and any
subsequent School Transportation Operations regulations or FTA directives that may be
issued, except to the extent that FTA determines otherwise in writing. Any school
transportation operations agreement required by FTA regulations is incorporated by
reference and made part of the Grant Agreement or Cooperative Agreement for the
Project. The Recipient understands and agrees that if it or an operator violates that
school transportation operations agreement, the violator will be barred from receiving
Federal transit assistance in an amount to be determined by FTA or U.S. DOT.
FT A 26 DRUG USE AND TESTING
The Contractor agrees to establish and implement a drug testing program that complies
with 49 CFR Part 40 Part 655, and permit any authorized representative of the United
States Department of Transportation or its operating administrations, the State
Oversight Agency of Colorado, or the Regional Transportation District, to inspect the
facilities and records associated with the implementation of the drug and alcohol testing
program as required under 49 CFR Part 40 and 655 and review the testing process.
The Contractor agrees further to certify annually its compliance with Part 40 and 655
before December 31 st of every year and to submit the Management Information System
(MIS) reports no later than February 15th of every year to the Substance Abuse Testing
Department, Regional Transportation District, 1600 Blake Street, Denver, CO 80202·
1399. To certify compliance, the Contractor shall use the "Substance Abuse
Certifications" in the "Annual List of Certifications and Assurances for Federal Transit
Administration Grants and Cooperative Agreements," which is published annually in the
Federal Register .
55
FTA 27 ALCOHOL MISUSE AND TESTING
The Contractor agrees to establish and implement an alcohol testing program that •
complies with 49 CFR Part 40 Part 655, and permit any authorized representative of the
United States Department of Transportation or its operating administrations, the State
Oversight Agency of Colorado, or the Regional Transportation District, to inspect the
facilities and records associated with the implementation of the drug and alcohol testing
program as required under 49 CFR Part 40 and 655 and review the testing process.
The Contractor agrees further to certify annually its compliance with Part 40 and 655
before December 31 st of every year and to submit the Management Information System
(MIS) reports no later than February 151h of every year to the Substance Abuse Testing
Department, Regional Transportation District, 1600 Blake Street, Denver, CO 80202-
1399. To certify compliance, the Contractor shall use the "Substance Abuse
Certifications" in the "Annual List of Certifications and Assurances for Federal Transit
Administration Grants and Cooperative Agreements," which is published annually in the
Federal Register.
56
•
•
•
•
•
Provisions 28 through 29 apply to PLANNING. RESEARCH, DEVELOPMENT, AND
DEMONSTRATION PROJECTS
FTA28 PATENT RIGHTS
A. General. The Recipient agrees that:
(1) Depending on the nature of the Project, the Federal Government may acquire
rights when the Recipient (RTD) 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 under the Project, or reduced to practice under the
Project.
(3) When a patent is issued or patented information becomes available as
described in the preceding paragraph A{1) of this Article, the Recipient
agrees to notify FT A immediately, and provide a detailed report satisfactory to
FTA.
B. Federal Rights. The Recipient agrees that:
(1) Its rights and responsibilities, and those of each third party participant, in that
invention, improvement, or discovery will be determined as provided by
Federal laws, regulations, and directives, including any waiver thereof.
(2) Unless the Federal Government determines otherwise in writing, irrespective
of its status or that 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 agrees to transmit the Federal Government's patent rights to FT A
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 C.F.R. Part 401).
C. License Fees and Royalties. As permitted by 49 C.F.R. Parts 18 and 19:
(1) License fees and royalties for patents, patent applications, and inventions
derived from Project are program income.
(2) The Recipient has no obligation to the Federal Government with respect to
those license fees or royalties, except for compliance with 35 U.S.C. 200 et
seq., which applies to patent rights developed under a federally funded
research-type project, and as FTA determines otherwise in writing.
FTA 29 RIGHTS IN DATA AND COPYRIGHTS
A. Definition of Subject Data. As used in this Article, •subject Data" means recorded
information that:
(1) Copyright. Are copyrighted or not copyrighted,
(2) Delivery. Are delivered or specified to be delivered by the underlying
Agreement, and
57
(3) Examples include, but are not limited to: computer software, standards,
specifications, engineering drawings and associated lists, process sheets,
manuals, technical reports, catalog item identifications, and related
information.
(4) Exceptions. "Subject data• do not include financial reports, cost analyses, or
other similar information used for Project administration.
B. General. The following restrictions apply to all Subject Data first produced in the
performance of the underlying Agreement:
(1) Prohibitions. The Recipient (RTD) may not publish or reproduce Subject Data
in whole or in part, or in any manner or form, or permit others to do so.
(2) Exceptions. The restrictions on publication of Subsection B(1) of this Article
do not apply to publications or reproductions for the Recipient's own internal
use, to an institution of higher learning, to the portion of the data that the
Federal Government has previously released or approved for release to the
public, or to the portion of the data that has the Federal Government's prior
written consent for release.
C. Federal Rights in Data and Copyrights. The Recipient agrees as follows:
(1) License Rights. The Recipient must provide the Federal Government a
license to "Subject Data" that is royalty-free, non-exclusive, and irrevocable.
(2) Uses. The Federal Government's license must permit it to reproduce the •
Subject Data, publish the Subject Data, otherwise use the Subject Data, and
permit others to use the Subject Data for Federal Government purposes.
(3) Federa l Government Purposes. As used in this A rti cle, ''fo r Fede ral
Government purposes" means that the Federal Government may use its
license only for its own direct purposes, and the Federal Government may not
provide or oth erwise extend to other parties, wi thout the copyright owner's
consent, its license to any Subject Data developed and funded at any tier
through the underlying Agreement, and any rights of copyright to which the ·
Recipient or third party participant purchases ownership using Federal funds.
D. Special Federal Rights in Data for Research, Development. Demonstration, and
Special Studies Pro jects. In general, FTA's purpose in providing Federal funds for a
research, development, demonstration, or special studies Project is to increase
transportation knowledge , rather than limit the benefits of the Project to the Recipient
and its third party participants . Therefore, the Recipient agrees that:
(1) Publicly Available Report. When the Project is completed, it must provide a
Project report that FT A may publish or make available for publication on the
Internet.
(2) Other Reports. It must provide other reports pertaining to the Project that FT A
may request.
58 •
(3) Availability of Subject Data. FTA may make available to any FTA Recipient or
any of its third party participants at any tier of the Project, either FT A's
copyright to the Subject Data or a copy of the Subject Data, except as FTA
determines otherwise in writing.
(4) Identification of Information. It must identify clearly any specific confidential,
privileged, or proprietary information submitted to FT A.
(5) Incomplete Proiect. If the project is not completed for any reason whatsoever,
all data developed under the Project becomes "subject Data" and must be
delivered as the Federal Government may direct.
(6) Exception. This Subsection D does not apply to an adaptation of automatic
data processing equipment or program that is both for the Recipient's use,
and acquired with FT A capital program funding.
E. License Fees and Royalties. As permitted by 49 C.F.R. Parts 18 and 19:
(1) License fees and royalties for copyrighted material or trademarks derived
from the Project are program income.
(2) The Recipient has no obligation to the Federal Government with respect to
those license fees and royalties, except for compliance with 35 U.S.C. 200 et
seq., which applies to patent rights developed under a federally funded
research-type project, and as FT A determines otherwise in writing.
F. Hold Harmless. Upon request by the Federal Government, the Recipient agrees that:
(1) Violation by Recipient. Except as prohibited or otherwise limited by State law,
it will indemnify, save, and hold harmless the Federal Government's officers,
employees, and agents acting within the scope of their official duties, against
any liability, including costs and expenses,
(a) If it willfully or intentionally violates any Proprietary rights, Copyrights,
or Right of privacy,
(b) Occurring from any of the following uses of Project data: Publication,
Translation, Reproduction, Delivery, Use, or Disposition.
(2) Violation by Federal Officers, Employees or Agents. The Recipient will not be
required to indemnify the Federal Government for any liability described in
the preceding paragraph F(1) caused by the wrongful acts of Federal
employees or agents.
G. Restrictions on Access to Patent Rights. Nothing in this Article pertaining to rights in
data either:
(1) Implies a license to the Federal Government under any patent, or
(2) 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 Funding or Support. The Recipient understands
and agrees that it may need to provide data developed without any Federal funding
59
or support to FT A.
(1) Protections. paragraphs A, B, C, and D of this Article do not apply to data
developed without Federal funding, even though that data may have been
used in connection with the Project.
(2) Identification of Information. The Recipient understands and agrees that the
Federal Government will not be able to protect data developed without
Federal funding or support from 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 Project data and information the
Recipient submits to the Federal Government as required by:
(1) The Freedom of Information Act, 5 U.S.C. § 552,
(2) Another Federal law requiring access to Project records,
(3) U.S. DOT regulations, "Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, and Other Non-
Profit Organizations," specifically 49 C.F.R. § 19.36(d), or
(4) Other Federal regulations requiring access to Project records.
60
•
•
•
• Provision 30 applies ONLY to States and Organizations that are being funded
directly by the State with FT A grant funds .
FTA5. FTA30 SPECIAL NOTIFICATION REQUIREMENT
FOR STATES
(Per FTA guidance dated July 2011: "The notification requirements concerning federal
assistance apply only to States and those organizations that are being funded directly by
the State with FT A grant funds. This would include sub-grantees, lessees, or third party
contractors of the State. Government agencies that are not part of the State government
who are receiving FTA grant funds directly from FTA do not have to comply with the
special notification requirements for States." Therefore this clause does not apply to
RTD Contracts.)
The Federal Transit Administration ("FTA") is the Federal agency that is providing the
Federal assistance for this Contract. The Catalog of Federal Domestic Assistance
Number is ___ , for the amount of$. __ _
MISCELLANEOUS SPECIAL REQUIREMENTS
FTA 31 ENERGY CONSERVATION
(applies to all contracts)
Contractor agrees to comply with mandatory standards and policies relating to energy
efficiency that are contained in the state energy conservation plan, if any, issued in
compliance with the Energy Policy and Conservation Act.
FTA6. FTA 32 RECYCLED PRODUCTS>
(Contracts when procuring $10,000 or more per year of items designated by EPA)
The Contractor agrees to comply with all the requirements of Section 6002 of the
Resource Conservation and Recovery Act (ACRA), as amended (42 U.S.C. 6962),
including but not limited to the regulatory provisions of 40 CFR Part 247, and Executive
Order 12873, as they apply to the procurement of the items designated in Subpart B of
40 CFR Part 247.
FTA7. FTA33 CONFORMANCE WITH NATIONAL ITS
ARCHITECTURE
(Contracts and solicitations for ITS projects)
National Intelligent Transportation Systems Architecture and Standards. To the extent
applicable, the Contractor agrees to conform to the National Intelligent Transportation
Systems (ITS) Architecture and Standards as required by SAFETEA-LU § 5307(c),
23 U.S.C. § 512 note, and comply with FTA Notice, "FTA National ITS Architecture
Policy on Transit Projects" 66 Fed. Reg. 1455 et seq., January 8, 2001, and any
61
subsequent further implementing directives, except to the extent FTA determines
otherwise in writing. •
FTA8. FTA 34 ADA ACCESS
(Contracts for rolling stock or facilities construction/renovation)
A. RTD must comply with: 49 U.S.C. § 5301 (d), which states the Federal policy that
elderly individuals and individuals with disabilities have the same right as other
individuals to use public transportation services and facilities, and that special efforts
shall be made in planning and designing those services and facilities to implement
transportation accessibility rights for elderly individuals and individuals with
disabilities; all applicable provisions of section 504 of the Rehabilitation Act of 1973,
as amended, 29 U.S.C. § 794, which prohibits discrimination on the basis of
disability; 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; and 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.
B. All deliverable items provided by the Contractor for RTD under this Contract shall
comply with the above-referenced laws as well as all other applicable federal, state
and local regulations and directives and any subsequent amendments thereto.
FT A 35 ASSIGN ABILITY CLAUSE
{Procurements through assignments)
Neither RTD nor the contractor shall assign or transfer any of its rights or obligations
hereunder without the prior written consent of the other.
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Provisions 36 through 38 apply to ROLLING STOCK PROCUREMENTS
FT A 36 BUS TESTING
The Contractor [Manufacturer] agrees to comply with 49 U.S.C. A 5323(c) and FTA's
implementing regulation at 49 CFR Part 665 and shall perform the following
1) A manufacturer of a new bus model or a bus produced with a major change in
components or configuration shall provide a copy of the final test report to the recipient
at a point in the procurement process specified by the recipient which will be prior to the
recipient's final acceptance of the first vehicle.
2) A manufacturer who releases a report under paragraph 1 above shall provide notice
to the operator of the testing facility that the report is available to the public.
3) If the manufacturer represents that the vehicle was previously tested, the vehicle
being sold should have the identical configuration and major components as the vehicle
in the test report, which must be provided to the recipient prior to recipient's final
acceptance of the first vehicle. If the configuration or components are not identical, the
manufacturer shall provide a description of the change and the manufacturer's basis for
concluding that it is not a major change requiring additional testing.
4) If the manufacturer represents that the vehicle is "grandfathered" (has been used in
mass transit service in the United States before October 1, 1988, and is currently being
produced without a major change in configuration or components), the manufacturer
shall provide the name and address of the recipient of such a vehicle and the details of
that vehicle's configuration and major components.
FTA37 PRE-AWARD AND POST-DELIVERY AUDIT REQUIREMENTS
The Contractor agrees to comply with 49 U.S.C. § 5323(1) and FTA's implementing
regulation at 49 C.F.R. Part 663 and to submit the following certifications:
(1) Buy America Requirements: The Contractor shall complete and submit a declaration
certifying either compliance or noncompliance with Buy America. If the Bidder/Offerer
certifies compliance with Buy America, it shall submit documentation which lists 1)
component and subcomponent parts of the rolling stock to be purchased identified by
manufacturer of the parts, their country of origin and costs; and 2) the location of the
final assembly point for the rolling stock, including a description of the activities that will
take place at the final assembly point and the cost of final assembly.
(2) Solicitation Specification Requirements: The Contractor shall submit evidence that it
will be capable of meeting the bid specifications.
(3) Federal Motor Vehicle Safety Standards (FMVSS): The Contractor shall submit 1)
manufacturer's FMVSS self-certification sticker information that the vehicle complies with
relevant FMVSS or 2) manufacturer's certified statement that the contracted buses will
not be subject to FMVSS regulations.
FTA38 TVM CERTIFICATION
The Transit Vehicle Manufacturer (TVM) shall provide RTD with a certificate that
complies with 49 CFR Part 26.49 stating that the TVM has complied with FTA's DBE
requirements. The TVM shall also provide RTD with the most current letter from the FTA
approving the TVM's DBE goal/methodology and eligibility to participate in the FTA DBE
63
program as a TVM in accordance with 49 CFR Part 26.49. If the FT A has not yet
approved the DBE Goal, the TVM shall make a certification to that effect as required by
49 CFR Part 26.49 and in addition submit to RTD a copy of the documents submitted to
FT A for approval. These documents shall be submitted with the solicitation response or
the TVM's submittal may be deemed non-responsive.
64
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Exhibit F -Attachment A: DBE/SBE
Requirements
65
Attachment A
Civil Rights/Equal Employment Opportunity/DBE
RFP/IFB
66
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67
CONTENTS
Section Page
PART A SPECIFIED FEDERAL REQUIREMENTS
1. CIVIL ·RIGHTS REQUIREMENTS APPLICABLE TO THE CONTRACT ................................... 70
PART B DISADVANTAGED BUSINESS ENTERPRISES PROGRAM REQUIREMENTS 72
1. DEFINITIONS .............................................................................................................................. 72
2. OVERVIEW OF RTD'S DBE PROGRAM POLICY .................................................................... 74
3. GENERAL REQUIREMENTS ..................................................................................................... 75
APPENDICES
A. Form of DBE Participation Report
B. DBE Enclosures
Enclosure 1 ADBE Affidavit
Enclosure 1 BOBE Affidavit
Enclosure 2 Schedule of DBE Subcontractor Participation
Enclosure 3 Letter of Intent to Perform as a Subcontractor
Enclosure 4 Solicitation Statistics
Enclosure 5 Employer Certification of Workforce
Enclosure 6 Disadvantaged Business Outreach
Enclosure 7 DBE Unavailability Certification
68
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•
• 69
PART A
SPECIFIED FEDERAL REQUIREMENTS
The Contractor shall perform its obligations and shall require each Subcontractor to
perform its respective obligations under this Contract and the Subcontracts in
accordance with, the following requirements. The Contractor shall insert this Part A,
Attachment A and its enclosures (Civil Rights) into each Subcontract regardless of the
tier.
1. CIVIL RIGHTS REQUIREMENTS APPLICABLE TO THE
CONTRACT
1.1 CIVIL RIGHTS
Nondiscrimination -In accordance with Title VI of the Civil Rights Act, as
amended, 42 U.S.C. § 2000d, section 303 of the Age Discrimination Act of 1975,
as amended, 42 U.S.C. § 6102, section 202 of the Americans with Disabilities
Act of 1990t 42 U.S.C. § 12132, and Federal transit law at 49 U .S .C . § 5332,
Contractor agrees that it will not discriminate against any employee or applicant
for employment because of race, color, religion, national origin, sex, age, or
disability. In addition, Contractor agrees to comply with applicable Federal
implementing regulations and other implementing requirements FTA may issue .
Equal Employment Opportunity -The following equal employment opportunity
requirements apply to the underlying Contract:
Race, Color, Creed, National Origin, Sex-In accordance with Title VII of the Civil
Rights Act, as amended, 42 U.S.C. § 2000e, and Federal transit laws at 49
U.S.C. § 5332, Contractor agrees to comply with all applicable equal employment
opportunity requirements of U.S. Department of Labor (U.S. DOL) regulations,
.. Office of Federal C ontract Compliance Programs, Equal Employment
Opportunity, Department of Labor," 41 CFR Parts 60 et seq., (which implement
Executive Order No. 11246, "Equal Employment Opportunity," as amended by
Executive Order No. 11375, "Amending Executive Order 11246 Relating to Equal
Employment Opportunity," 42 U.S.C. § 2000e note), and with any applicable
Federal statutes, executive orders, regulations, and Federal policies that may in
the future affect activities undertaken in the course of this Contract. Contractor
agrees to take affirmative action to ensure that applicants are employed, and that
employees are treated during employment, without regard to their race, color,
religion, national origin, sex, or age. Such action shall include, but not be limited
to, the following : employment, upgrading, demotion or transfer, recruitment or
recruitment advertising, layoff or termination; rates of pay or other forms of
compensation; and selection for training, including apprenticeship. In addition,
Contractor agrees t o comply with any implementing requirements FT A may
issue.
70
•
•
•
1.
•
•
Age-In accordance with section 4 of the Age Discrimination in Employment Act
of 1967, as amended, 29 U.S.C. § 623 and Federal transit law at 49 U.S.C. §
5332, Contractor agrees to refrain from discrimination against present and
prospective employees for reason of age. In addition, Contractor agrees to
comply with any implementing requirements FT A may issue.
Disabilities-In accordance with section 102 of the Americans with Disabilities
Act, as amended, 42 U.S.C. § 12112, Contractor agrees that it will comply with
the requirements of U.S. Equal Employment Opportunity Commission,
"Regulations to Implement the Equal Employment Provisions of the Americans
with Disabilities Act," 29 CFR Part 1630, pertaining to employment of persons
with disabilities. In addition, Contractor agrees to comply with any implementing
requirements FT A may issue.
Contractor also agrees to include these requirements in each subcontract
financed in whole or in part with Federal assistance provided by FT A, modified
only if necessary to identify the affected parties.
During the performance of this contract, the contractor or subcontractor:
(i) WILL NOT DISCRIMINATE AGAINST ANY EMPLOYEE OR
APPLICANT FOR EMPLOYMENT BECAUSE OF RACE, COLOR, RELIGION,
NATIONAL ORIGIN, SEX, DISABILITY OR AGE. THE CONTRACTOR WILL
ENSURE THAT EQUAL EMPLOYMENT OPPORTUNITY IS AFFORDED TO
ALL APPLICANTS IN RECRUITMENT AND EMPLOYMENT, AND THAT
EMPLOYEES ARE TREATED, DURING EMPLOYMENT, WITHOUT
REGARD TO THEIR RACE, COLOR, RELIGION, NATIONAL ORIGIN, SEX,
DISABILITY OR AGE. SUCH EQUAL EMPLOYMENT OPPORTUNITY
SHALL INCLUDE, BUT NOT BE LIMITED TO THE FOLLOWING:
EMPLOYMENT, UPGRADING, DEMOTION, OR TRANSFER;
RECRUITMENT OR RECRUITMENT ADVERTISING; LAYOFF OR
TERMINATION; RATES OF PAY OR OTHER FORMS OF COMPENSATION;
AND SELECTION FOR TRAINING, INCLUDING APPRENTICESHIP. THE
CONTRACTOR AGREES TO POST IN CONSPICUOUS PLACES, AVAILABLE
TO EMPLOYEES AND APPLICANTS FOR EMPLOYMENT, NOTICES TO
SETTING FORTH PROVISIONS OF THIS NONDISCRIMINATION CLAUSE.
(ii) WILL, IN ALL SOLICITATIONS OR ADVERTISEMENTS FOR
EMPLOYEES PLACED BY OR ON BEHALF OF THE CONTRACTOR, STATE
THAT ALL QUALIFIED APPLICANTS WILL RECEIVE CONSIDERATION
FOR EMPLOYMENT WITHOUT REGARD TO RACE, COLOR, RELIGION,
NATIONAL ORIGIN, SEX, DISABILITY OR AGE. THE CONTRACTOR
AGREES TO COMPLY WITH ANY REGULATIONS PROMULGATED BY THE
EEOC, OFCCP, DEPARTMENT OF LABOR, DEPARTMENT TO JUSTICE,
THE REGIONAL TRANSPORTATION DISTRICT, COLORADO REVISED
STATUTES AND ALL OTHER RELEVANT STATE AND LOCAL LAWS •
71
PARTB
DISADVANTAGED BUSINESS ENTERPRISES
PROGRAM REQUIRMENTS
1. DEFINITIONS
Unless the context requires otherwise, capitalized terms used in this Attachment A
shall have the meanings given to them in Appendix H (Definitions) of the Instructions
to Proposers. However, if there is a conflict, the definitions in this section shall prevail.
In addition, the following capitalized terms shall have the meanings set out below:
Contract Goal (DBE goal) means a goal determined by such factors as the type of
work involved, the location of the work and the availability of the DBEs for the work of
the particular contract.
Contractor means any Project Contractor that subcontracts with a DBE for
performance of the Work, as applicable.
Commercially Useful Function occurs when a DBE firm is responsible for execution of
the work of the contract and is carrying out its responsibilities by actually performing ,
managing and supervising the work involved in substance as contemplated by the
federal regulations codified at 49 CFR Part 26. T he DBE firm must also be responsible
for materials and supplies used on the contract, for negotiating price, determining
•
quality and quantity, ordering the material, installing (where applicable) and paying for •
the materials itself.
Disadvantaged Business Enterprise (DBE) means each of the following:
(i) that is at least 51 % owned and controlled by one or more Socially and
Economically Disadvantaged individuals or, in the case of a corporation, such
individuals must own at least 51 percent of each class of voting stock
outstanding and 51 percent of the aggregate of all stock outstanding; In the
case of a partnership, 51 percent of each class of partnership interest must be
owned by socially and economically disadvantaged individuals; In the case of a
limited liability company, at least 51 percent of each class of member interest
must be owned by socially and economically disadvantaged individuals;
(i) whose eligible principle(s) personal net worth does not exceed
$1,320,000. The personal net worth excludes the equity of the eligible
principle's primary residence and the equity of the eligible principle's
firm
(ii) whose average annual gross receipts for the past 3 years cannot exceed
$22.41 million
(iii) whose management and daily operations are controlled by one or
more of the Socially and Economically Disadvantaged individuals who
owns it; and
(iv) that is certified as a "Disadvantaged Business Enterprise" in the
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state's Unified Certification Program .
DBE Enclosures means the certificates and forms provided in Appendix B of this
Attachment.
DBE Goals has the meaning given to it in Section 3.1 of this Attachment.
DBE Liaison means a representative of the Contractor with direct and independent
access to the Contractor's project manager and/or chief operating officer. This can be a
collateral duty. The DBE Liaison has management responsibility for implementing,
managing and reporting on achievement of the DBE Goals, ensuring compliance with
49 CFR Part 26, communicating subcontracting, business development and supportive
services activity at all tiers. The DBE liaison is also responsible for serving as the point
of contact with RTD's Disadvantaged Business Office for all reporting, submission of
properly completed forms/documents, and for responding to any compliance
issues/matters.
DBE Participation Report has the meaning given to it in Section 3.1 O of this
Attachment.
Small Business Office or SBO means the RTD Department responsible for
administering the DBE/SBE Programs .
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2. Overview ofRTD's DBE Program Policy
(a) RTD's policy is to ensure nondiscrimination in the award and administration of
the District's construction contracts, professional service contracts, and in the
procurement of common goods and services. The Contractor shall comply with
and implement requirements of RTD's DBE Program and 49 CFR Part 26 in the
award and administration of Subcontracts under this Agreement. The Contractor
shall not discriminate on the basis of race, color, religion, national origin, sex,
age, or disability in the performance of this Contract. The Contractor shall ensure
that the nondiscrimination clause(s)/ flow-down provisions found in Section I be
incorporated in all subcontract agreements regardless of tier. It is RTD's intention
to create a level playing field on which DBE's can compete fairly for federally
funded contracts. Failure by the Contractor to comply with or implement these
requirements is a material breach of this Contract, which may result in the
termination of this Contract or such other remedy as RTD deems appropriate.
RTD's commitment to the DBE Goals is not intended to and shall not be used as
a justification to discriminate against any qualified company or group of
companies.
Additionally:
(i) THE AVERAGE ANNUAL GROSS RECEIPTS FOR THE PAST 3 YEA RS
CANNOT EXCEED $22.41 MI LLION. THIS AMOUNT INCLUDES ANY
AFFILIATE BUSINESSES OWNED IN WHOLE OR PART BY ANY
APPLICANT OWNER OR STOCKHOLDER REGARDLESS OF THEIR
OWNERSIDP INTEREST.
(ii) THE PERSONAL NET WORTH OF THE ELIGIBLE PRINCIPLE(S) OF
A DBE FIRM MUST BE LESS T HAN $1,320,000 (ON AN INDMDUAL BASIS) -
EXCLUDING THE EQUITY OF THE ELIGIBLE PRINCIPLE'S PRIMARY
RESIDENCE AND THE EQUITY OF THE ELIGIBLE PRINCIPLE'S FIRM. AT
LEAST 51% OF THE OWNERS/STOCKHOLDERS MUST ME ET THE
PERSONAL NET WORTH CRITERIA FOR THE BUSINESS TO BE ELIGIBLE.
APPLICANTS CANNOT TRANSFER OWNERSIDP SOLELY FOR THE
PURPOSE OF QUALIFYING FOR THE DBE PROGRAM. IF IT COMES TO
RTD'S ATTENTION, THAT THERE HAS BEEN A TRANSFER OF AN
OWNER'S ASSETS, RTD MAY REQUEST THE CERTIFYING AUTHORITY
UNDER THE COLORADO UCP TO EVALUATE TRANSFERS OF
OWNERSHIP WITIUN THE PAST TWO YEARS TO DETERMINE
COMPLIANCE WITH THE PERSONAL NET WORTH REQUIREMENTS.
(iii) TO COUNT A DISADVANTAGED BUSINESS' PARTICIPATION
TOWARD THE GOAL ESTABLISHED FOR TIDS CONTRACT,
(iv) THE PROPOSED DBE(S) MUST BE CERTIFIED AS A DBE(S) WITH
THE CITY AND COUNTY OF DENVER OR COOT (COLORADO UCP) UNDER
THE NAICS CODE THAT COINCIDES WITH THE SCOPE OF WORK THAT
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3.
3.1
(i)
THEY WILL EXECUTE IN THE PROJECT. THE DBE FIRM MUST BE
CERTIFIED AS A DBE AND PERFORM A "COMMERCIALLY USEFUL
FUNCTION'' AS DEFINED IN TffiS ATTACHMENT. PRIME CONTRACTORS
SHOULD ALSO BE SURE THAT THE DBE IS CERTIFIED AS OF THE DATE
THAT RTD RECEIVES Tms BID/PROPOSAL UNLESS SOME OTHER TIME
FRAME IS REQUIRED BY THE NATURE OF THE PROJECT DELIVERY
METHOD, PROJECT DURATION OR WHEN THE DBE IS APPROVED BY
RTD TO BE ADDED TO THE CONTRACTOR'S SCHEDULE OF
PARTICIPATION.
General Requirements
DBE Goals
Unless otherwise indicated in the Contract or an addendum to the Contract, for
Invitations for Bids (IFS), the contract will be awarded to the lowest responsive
and responsible bidder. For Request for Proposals (RFP) with best value
criteria, the contract will be awarded to the responsive and responsible proposer
or proposers who best meet the Evaluation Criteria, cost and other factors
considered (including DBE Program requirements and DBE approach/strategy).
A bidder/proposer who fails or refuses to complete and return the required
enclosures to this Attachment will be deemed non-responsive. The specified
DBE participation goal applies to all post selection negotiations. The contractor's
commitment to the percentage of certified DBE utilization during the term of this
contract will be stated in the DBE Affidavit (Enclosure 1 A). All extensions,
amendments, and options of the contract are subject to review by RTD's SBO.
The SBO may determine that a modification may impact the Contractor's ability
to comply with its initial commitment. However, a partial waiver of the goal will
not be considered until the end of the contract and the totality of the Contractor's
compliance efforts are assessed to determine its ability to comply with the initial
commitment. The SBO will evaluate all decisions to self-perform scopes of work
where DBE availability was present, yet not solicited, not utilized or disregarded.
RTD has specified a_% DBE Participation goal. During the entire project
duration the Contractor shall ensure:
(A) that at least_% (calculated by Dollar value) of the Work be performed
by DBEs. If this contract involves an alternative project delivery method
or the project duration is multi-year, RTD may specify that certain
percentages of participation be attributable to specific phases of the
project. If that is the case, this section will reflect the additional
requirements including the requirements associated with a DBE
Plan/Program submission.
or
(B) demonstrate with satisfactory documentation that it has made good faith
• efforts to meet the DBE Goal, as applicable. Contractors failing to meet
75
the specified DBE goal are required to submit DBE Unavailability
Certification, in the form set out in the Attachment A (Enclosure 7: DBE •
Unavailability Certification) along with complete documentation of good
(ii)
faith efforts to meet the goal. Failure to provide complete
documentation/detailed written explanations of good faith efforts will
result in the bid/proposal being deemed non-responsive. Appendix A of
49 CFR Part 26 shall serve as the criteria for evaluating compliance with
the good faith efforts requirements. Additionally, bidders/proposers are
required to solicit the support and assistance of RTD's SBO if they are
unable to meet the DBE participation goal assigned to this contract
To be considered a responsive bidder/proposer, when a DBE goal is
specified for design-build projects, a bidder/proposer must meet the goal
referred to in the bid specification by committing to meet the DBE
participation goal for each phase of the design build process in its DBE
Plan specifically identifying certified DBE firms that will be performing
services or providing supplies in thefirstyearofthe design/build
contract (in both the design and construction phases, as applicable) and
Attachment A enclosures or make a good faith effort to attain the goal.
The documentation evidencing good faith efforts shall be submitted with
the bid/proposal. At a minimum, the bidder/proposer must identify the
value of both the design and construction services to be spent during the
first year (unless a greater timeframe is specified/required in the
instructions to bidders/proposers.
The DBE participation goal applies to the total value of all work performed
under the contract which includes the value of all change orders, amendments
and modifications. Any partial waiver determination will be made at or near the
conclusion of the contract when the totality of the circumstances can be taken
into consideration and the Contractor's efforts can be objectively evaluated.
Material supplies are credited for 60% of their contract value unless they are
deemed to be a broker or transaction expediter in which case only the fee or
commission may be counted toward the goal (so long as the DBE is performing a
commercially useful function). If it is determined that the DBE is not
performing a commercially useful function, then no participation credit shall be
attributable to their participation on the contract.
(iii) To count DBE participation toward the goal established for this contract, the
proposed DBE(s) must be certified as a DBE(s) with the City and County of
Denver or COOT under the appropriate NAICS code that coincides with the
scope of work that they will execute on the project/contract. Additionally, the DBE
firm must be certified as a DBE and perform a "commercially useful function" as
defined in this Attachment.
3 .2 Joint Ventures
(i) A Joint Venture is an association of a DBE firm and one or more other firms to
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carry out a single, for-profit business enterprise, for which the parties combine
their property, capital, efforts, skills and knowledge, and in which the DBE is
responsible for a distinct, clearly defined portion of the work of the contract and
whose share in the capital contribution, control, management, risks, and profits
of the joint venture are commensurate with its ownership interest.
(ii) RTD will count toward its DBE goal a portion of the total dollar value of a
contract with a joint venture equal to the distinct, clearly defined portion of the
work of the contract that the DBE performs with its own forces toward the DBE
goal(s) and such services/supplies/NA/CS codes are approved for DBE
participation credit. The joint venture agreement MUST specify the services,
dollar value, reporting structure and details of the DBEs performance
requirements associated with the percentage of the joint venture ownership.
3.3 DBE Liaison
(i) The Contractor shall designate a DBE Liaison who shall be responsible for the
following:
(A) DAY-TO-DAY OPERATIONAL COMPONENTS OF THE DBE
PROGRAM:
(B) EFFECTIVELY RESPONDING TO AND REPORTING TO THE SBO ON
THE STATUS OF ANY DBE CONTRACTOR/SUPPLIER;
(C) SUBMITTING EXECUTED DBE SUBCONTRACTS/PURCHASE
ORDERS AND ANY SUBSEQUENT MATERIAL AMENDMENTS THERETO
TO THE SBO WITIDN TIDRTY (30) DAYS OF THE SUBCONTRACTOR
AGREEMENT EXECUTION (HOWEVER, NO DBE SHALL COMMENCE ANY
WORK OR PROVIDE ANY MATERIAUSUPPLY WITHOUT AN EXECUTED
SUBCONTRACT/PURCHASE ORDER);
(D) INTERFACING WITH THE SBO REGARDING DBES' ISSUES AND
OBTAINING APPROVALS FOR ALL DBE REPLACEMENTS,
SUBSTITUTIONS OR TERMINATIONS; AND
(E) CARRYING OUT OR IMPLEMENTING TECHNICAL ASSISTANCE
ACTMTIES SO THAT THE PLAYING FIELD IS LEVEL FOR DBES.
(F) PREPARE, COMPLETE AND SUBMIT ALL REQUIRED COMPLIANCE
DOCUMENTATION, INCLUSIVE OF SUBCONTRACT AGREEMENTS,
SCHEDULE OF PARTICIPATION ENCLOSURE, MONTHLY PAYMENT
FORMS
(G) ENSURE ALL CONTRACTUAL REQUIREMENTS OF THE DBE
PROGRAM INCLUSIVE BUT NOT LIMITED TO PROMPT PAYMENT,
TERMINATION/SUBSTITUTION/REPLACEMENT/REDUCTION OF SCOPE,
CHANGES, NON-DISCRIMINATION ARE COMPLIED WITH AND IN THEIR
SUBCONTRACT AGREEMENTS WITH ALL OF THEIR SUBCONTRACTORS
REGARDLESS OF TIER
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(H) A REPRESENTATIVE OF THE CONTRACTOR HAVING
MANAGEMENT RESPONSIBILITY FOR IMPLEMENTING, MANAGING AND
REPORTING ON ACIDEVEMENT OF THE DBE GOALS, COMl\fiJNICATING
SUBCONTRACTING, BUSINESS DEVELOPMENT AND SUPPORTIVE
SERVICES ACTIVITY AT ALL TIERS, ENSURING COMPLIANCE WITH THE
NON-DISCRIMINATION PROVISIONS AND THE AFFIRMATIVE ACTION
AND EQUAL EMPLOYMENT OPPORTUNITY PROVISIONS.
(I) MONITORING LOWER TIER SUBCONTRACTORS AND SUPPLIERS
TO ENSURE THAT THEY COMPLY WITH THE DBE PROGRAM
REQUIREMENTS AND THE DBE PLAN SUBMITTED BY THE PRIME
CONTRACTOR.
(x) In lower value or shorter duration contracts, the DBE Liaison responsibilities may
be a collateral responsibility.
(ii) The DBE Liaison shall submit a written monthly report detailing the activities
and documentation of good faith efforts of the previous month as well as
submitting DBE Participation Reports, all additional requested forms and shall
schedule monthly meetings with the SBO to address any issues or concerns.
Flow-Down Provisions:
The Contractor must include the following provisions in their subcontract
agreements with their DBE subcontractors as well as ensure that tiered-
contractors comply with this Section and insert the provisions of this Section into •
all lower tiered subcontractor agreements: 3.4 prompt payment provisions, 3.5
DBE Removalffermination/substitution/Reduction of Scope provisions, and 3 .7
Changes provisions. The contractor will be required to submit to the RTD Small
Business Office all DBE subcontracts/purchase orders within 30 days of the
execution of its contract with RTD or issuance of the notice to proceed
(whichever occurs first). However, in no event shall a DBE perform any service
or procure any supply unless RTD's SBO has a copy of the executed subcontract
agreement or purchase order.
3.4 Prompt Payment of DBE Subcontractors
(i) The Contractor shall ensure that:
(A) EACH CONTRACTOR SHALL PAY ITS RESPECTIVE DBE
SUBCONTRACTORS ANY UNDISPUTED AMOUNT OWED TO SUCH
SUBCONTRACTOR WITHIN 30 DAYS OF RECEIPT OF THE
SUBCONTRACTOR'S RECEIPT BY SUCH CONTRACTOR, REGARDLESS OF
WHETHER SUCH CONTRACTOR HAS BEEN PAID FOR SUCH INVOICE BY
RTD;
(B) APPROVAL OF INVOICES IS NOT UNREASONABLY DELAYED AND
THAT INVOICES SHALL BE EITHER APPROVED OR REJECTED WITH •
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(ii)
WRITTEN NOTICE OF DEFICIENCY OR DISPUTE TO THE PAYEE DBE
SUBCONTRACTOR WITIDN TEN DAYS OF RECEIPT OF INVOICE BY THE
CONTRACTOR;AND
(C) EACH CONTRACTOR MAKES PROMPT AND FULL PAYMENT OF
ANY RETAINAGE KEPT BY SUCH CONTRACTOR TO ITS RESPECTIVE
SUBCONTRACTORS DBE WITIDN 30 DAYS AFTER SUCH DBE'S WORK
HAS BEEN ACCEPTED AND COMPLETED BY CONTRACTOR, UNLESS
CLAIM IS FILED AGAINST A SUBCONTRACTOR;
(D) FAILURE TO COMPLY WITH THE ABOVE MAY GIVE JUST CAUSE
TO WITHHOLD PAYMENT FROM CONTRACTOR UNTIL PAYMENT TO
THE SUBS IS SATISFIED. DEPENDING ON EXTENT OF FAILURE TO
COMPLY WITH THE ABOVE, SUCH FAILURE MAY ALSO BE CONSTRUED
TO BE A BREACH OF CONTRACT.
(E) The Contractor shall ensure that tiered subcontractors comply with this Section
and insert the provisions of this Section into all lower tiered subcontractor agreements.
Joint Check Utilization: A joint check is a two party check between a DBE, a prime
contractor and a regular dealer of materials/supplies. All joint check arrangements must
be pre-approved by the SBO and must strictly adhere to the joint check requirements set
forth in USDOT guidance regarding same. At a minimum, the request must be initiated
by the DBE and remedy a financial hardship for a specific period of time. There are
monthly reporting requirements that must be complied with in order to receive DBE
participation credit. The SBO will closely monitor the use of joint checks to ensure that
the independence of the DBE firm is not compromised. Joint check usage will not be
approved merely for the convenience of the prime contractor.
3.5 DBE Removal/Termination/Substitution/Reduction of scope from
Contract
(i) A Contractor must have good cause to remove/terminate/substitute/replace a
DBE contractor and such removal/termination/substitution requires the
consent and approval of RTD's SBO. This section also includes reductions to the
DBEs scope of services and/or commitment values. No DBE subcontract may
contain a "termination for convenience" clause/provision because same is
contrary to the objectives of this part To initiate the termination, substitution,
removal or replacement process with a DBE contractor/supplier (regardless of
the tier), the Contractor or lower tier contractor/subcontractor must do the
following:
(A) BEFORE TRANSMITTING TO RTD'S SBO ITS REQUEST TO
TERMINATE AND/OR SUBSTITUTE A DBE CONTRACTOR, THE
CONTRACTOR MUST GIVE NOTICE IN WRITING TO THE DBE
CONTRACTOR AND RTD SBO. THE NOTICE MUST INCLUDE ITS REQUEST
TO TERMINATE AND/OR SUBSTITUTE, REPLACE AND/OR REMOVE THE
DBE, THE REASON FOR THE REQUEST AND ALL DOCUMENTATION TO
SUPPORT ITS CLAIM. THE CONTRACTOR MUST SUBMIT A COPY OF THE
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(ii)
NOTICE AND SUPPORT DOCUMENTATION TO RTD'S SRO AT THE TIME
THE ORIGINAL LETTER IS SENT TO THE DBE CONTRACTOR;
(B) THE CONTRACTOR MUST GIVE THE DBE CONTRACTOR FIVE (5)
BUSINESS DAYS TO RESPOND TO THE NOTICE AND PROVIDE THE SBO
WITH REASONS, IF ANY, WHY IT OBJECTS TO THE PROPOSED
TERMINATION OF ITS DBE CONTRACT AND WHY THE SBO SHOULD NOT
CONSENT THE CONTRACTOR'S ACTION;
(C) RTD'S SBO WILL THEN OPEN A FORMAL INVESTIGATION
INCLUSIVE OF REVIEW OF ALL DOCUMENTATION, CONDUCT
INTERVIEWS AND SITE VISITS, IF NECESSARY. THE CONTRACTOR
CARRIES THE BURDEN OF PROOF TO DEMONSTRATE GOOD CAUSE FOR
THE TERMINATION AND/OR SUBSTITUTION;
(D) IF RTD'S SBO DETERMINES THE CONTRACTOR HAS GOOD CAUSE
TO TERMINATE THE /DBE FIRM, THE SBO WILL PROVIDE WRITTEN
CONSENT OF /DBE REMOVAL AND THE REQUIREMENTS TO
SUBSTITUTE WORK TO ANOTHER DBE FIRM. IF RTD'S SBO FINDS THAT
GOOD CAUSE DOES NOT EXIST TO TERMINATE THE DBE FIRM, THE SBO
WILL PROVIDE A WRITTEN DENIAL OF THE REQUEST TO
TERMINATE/REPLACE THE DBE CONTRACTOR AND WILL
IMMEDIATELY REQUEST A CORRECTIVE ACTION PLAN FROM THE
CONTRACTOR.
(E) FOR PURPOSES OF GOOD CAUSE TO REMOVE, REPLACE,
TERMINATE OR REPLACE A DBE THE FOLLOWING CIRCUMSTANCES
SHOULD EXIST: (1) FAILURE OR REFUSAL TO EXECUTE A WRITTEN
CONTRACT WITHOUT GOOD CAUSE, (2) FAILURE OR REFUSAL TO
PERFORM THE WORK OF ITS SUBCONTRACT IN A WAY CONSISTENT
WITH NORMAL INDUSTRY PRACTICE AND THE CONTRACTOR HAS NOT
ACTED IN BAD FAITH, (3) FAILURE TO MEET THE CONTRACTOR'S
REASONABLE BONDING OR INSURANCE REQUIREMENTS, (4)
INSOLVENCY, BANKRUPTCY OR CREDIT UNWORTlllNESS THAT
CREATES A RISK FOR THE CONTRACT, (5) INELIGIBILITY TO WORK ON
PUBLIC WORKS PROJECT BECAUSE OF SUSPENSION OR DEBARMENT
PROCEEDINGS, (6) A DETERMINATION THAT THE DBE IS NOT A
RESPONSIBLE CONTRACTOR, (7) VOLUNTARY WITHDRAWAL FROM
THE PROJECT BY WRITTEN NOTIFICATION THAT HAS BEEN VERIFIED,
(8) INELIGIBILITY TO RECEIVE DBE PARTICIPATION CREDIT FOR THE
TYPE OF WORK TO BE PERFORMED, (9) OTHER DOCUMENTED GOOD
CAUSE THAT COMPELS THE REPLACEMENT OF THE DBE.
(F) IF THE CONTRACTOR IS APPROVED TO
REPLACE/REMOVE/TERMINATE THE DBE, THE CONTRACTOR MUST
MAKE GOOD FAITH EFFORTS TO REPLACE THE DBE WITH ANOTHER
CERTIFIED DBE AND SHALL NOT SELF-PERFORM THE WORK/SERVICES.
The Contractor shall ensure that tiered subcontractors comply with this Section
and insert the provisions of this Section into all lower tiered subcontractor
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agreements, regardless of their certification status .
3.6 Good Faith Efforts
(i) To award a contract to a bidder/proposer that has failed to meet the DBE
contract goals, the RTD S80 Manager will decide whether the contractor made a
"good faith" effort to actively, effectively and aggressively seek DBEs to meet
those goals prior to bid/proposal submission and in its commitments as set
forth in their Schedule of Participation/the DBE Plan to continue its efforts to
meet the DBE participation goals for subsequent phases of the project.
Contractors are also responsible for collecting good faith effort documentation
of all major non-DBE subcontractors/suppliers as part of their responsibility to
implement the DBE Program.
The kinds of efforts that are considered demonstrative of a ''good faith" effort
include, but are not limited to, the following:
(A) WHETHER THE CONTRACTOR SOLICITED THROUGH ALL
REASONABLE AND AVAILABLE MEANS (E.G. ATTENDANCE AT PRE-BID
MEETINGS, ADVERTISING AND/OR WRITTEN NOTICES) THE INTEREST
OF ALL CERTIFIED DBES WHO HAVE THE CAPABILITY TO PERFORM
THE WORK OF THE CONTRACT. THE BIDDER MUST SOLICIT TIDS
INTEREST WITIDN SUFFICIENT TIME TO ALLOW THE DBES TO
RESPOND TO THE SOLICITATION. THE BIDDER MUST DETERMINE
WITH CERTAINTY IF THE DBES ARE INTERESTED BY TAKING
APPROPRIATE STEPS TO FOLLOW UP INITIAL SOLICITATIONS.
(B) WHETHER THE CONTRACTOR SELECTED PORTIONS OF THE
WORK TO BE PERFORMED BY DBES IN ORDER TO INCREASE THE
LIKELIHOOD THAT THE DBE GOALS WILL BE ACIDEVED. TIDS
INCLUDES, WHERE APPROPRIATE, BREAKING OUT CONTRACT WORK
ITEMS INTO ECONOMICALLY FEASIBLE UNITS TO FACILITATE DBE
PARTICIPATION, EVEN WHEN THE PRIME CONTRACTOR MIGHT
OTHERWISE PREFER TO PERFORM THESE WORK ITEMS WITH ITS OWN
FORCES.
(C) WHETHER THE CONTRACTOR PROVIDED INTERESTED DBES
WITH ADEQUATE INFORMATION ABOUT THE PLANS, SPECIFICATIONS,
AND REQUIREMENTS OF THE CONTRACT IN A TIMELY MANNER TO
ASSIST THEM IN RESPONDING TO A SOLICITATION.
(D) WHETHER THE CONTRACTOR NEGOTIATED IN GOOD FAITH
WITH INTERESTED DBES. IT IS THE BIDDER'S RESPONSIBILITY TO
MAKE A PORTION OF THE WORK AVAILABLE TO DBE
SUBCONTRACTORS AND SUPPLIERS AND TO SELECT THOSE PORTIONS
OF THE WORK OR MATERIAL NEEDS CONSISTENT WITH THE
AVAILABLE DBE SUBCONTRACTORS AND SUPPLIERS, SO AS TO
FACILITATE DBE PARTICIPATION. THE FACT THAT A BIDDER MAY
PERFORM 100% OF THE WORK WITH ITS OWN WORKFORCE IS NOT
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SUFFICIENT JUSTIFICATION TO FAIL TO NEGOTIATE WITH DBES OR •
NOT TO MEET THE DBE PARTICIPATION GOAL ASSIGNED TO A
PROJECT.
(E) EVIDENCE OF SUCH NEGOTIATION INCLUDES THE NAMES,
ADDRESSES, AND TELEPHONE NUMBERS OF DBES THAT WERE
CONSIDERED; A DESCRIPTION OF THE INFORMATION PROVIDED
REGARDING THE PLANS AND SPECIFICATIONS FOR THE WORK
SELECTED FOR SUBCONTRACTING; AND EVIDENCE AS TO WHY
ADDITIONAL AGREEMENTS COULD NOT BE REACHED FOR DBES TO
PERFORM THE WORK.
(F) WHETHER THE CONTRACTOR MADE EFFORTS TO ASSIST
INTERESTED DBES IN OBTAINING BONDING, LINES OF CREDIT, OR
INSURANCE AS REQUIRED BY THE RECIPIENT OR CONTRACTOR.
(G) WHETHER THE CONTRACTOR MADE EFFORTS TO ASSIST
INTERESTED DBES IN OBTAINING NECESSARY EQUIPMENT, SUPPLIES,
MATERIALS, OR RELATED ASSISTANCE OR SERVICES.
(H) WHETHER THE CONTRACTOR EFFECTIVELY USED THE
SERVICES OF AVAILABLE l\lllNORITY/WOMEN COMMUNITY
ORGANIZATIONS, CONTRACTORS' GROUPS AND OTHER
ORGANIZATIONS TO PROVIDE ASSISTANCE IN THE RECRUITMENT AND
PLACEMENT OF DBES, INCLUDING RTD'S SBO.
(I) WHETHER OTHER BIDDERS/PROPOSERS ON THE PROCUREMENT -
MET THE DBE GOALS AND SUBl\lllTTED AN ACCEPTABLE DBE PLAN
DEMONSTRATING COMPLIANCE WITH THE DBE PROGRAM
REQUIREMENTS FOR A DESIGN-BUILD PROJECT.
(ii) If, after reviewing the "good faith efforts" documentation submitted by the
contract or , t he RTD S80 Manage r det ermines that "good faith efforts" were met,
the contract will be recommended for award to the contractor, If the SBO
Manager determines t hat t he contractor failed t o meet the "good fait h efforts"
requirements, the contractor will be informed in writing that their submittal
was deemed non-responsive to the Attachment A requirements and will not be
considered for contract award. The contractor may appeal the decision of the
RTD S80 Manager to the Good Faith Efforts (GFE) Committee. If the contractor
wishes to appeal, they must do so in writing to the RTD Senior Manager of
Materials Management within S business days of being informed of the decision
of the RTD S80 Manager that their submission was non-compliant.
(iii) If the decision of the S80 Manager is appealed in writing, with in the S day
submission window, the GFE Committee will review the documentation initially
submitted by the contractor -and no other information -under this Section to
decide whether the DBE requirements have been satisfied through ''good faith
efforts".
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(iv)
(v)
(vi)
-(vii)
3.7
(i)
(ii)
3.8
If the written appeal request is received after the 5 business day submission
window, it will be disallowed and the determination of the RTD SBO Manager
that the submission was non-compliant will stand.
If the GFE committee determines that "good faith efforts" were met, the contract
will be recommended for award to the contractor. If the GFE Committee
determines that the contractor has Jailed to meet the good faith effort
requirements, the contractor will be informed in writing. The contractor has an
opportunity for administrative reconsideration of the determination of the GFE
committee. If the contractor requests administrative consideration, they must
do so in writing to the RTD Senior Manager of Materials Management within 5
business days of receiving the decision of the GFE Committee that their
submission was non-compliant. If the written administrative consideration
request is received after the 5 business day submission window, it will be
disallowed and the determination of the GFE committee that the submission was
non-compliant will stand.
The reconsideration official will be a member of RTD staff who did not take part
in the initial ''good faith" effort decision. The reconsideration official will review
the documentation initially submitted -and no other information -under this
Section to decide whether the DBE requirements have been satisfied through
good faith efforts.
If the reconsideration official determines that "good faith" efforts were met, the
contract will be recommended for award to the contractor. If the
reconsideration official determines that the contractor has failed to meet the
''good faith effort requirements, the contractor will be informed in writing. The
result of the reconsideration process is not administratively appealable to the
Department of Transportation.
Changes
The DBE participation goal shall apply to the performance/dollar value of all
obligations under this Contract, including any Changes, Modifications,
Amendments and Change Orders whether initiated by the contractor or RTD.
Post award requests for partial waivers may be considered by RTD's SBO but a
final determination shall not be rendered until the contract has been
substantially completed and the Contractor lacks the ability to satisfy the DBE
participation goal.
Changes to the value or scope of work committed to a DBE must be pre-approved
by the SBO and must be for good cause as set forth in the termination,
substitution, replacement provisions set forth in section 3.5 above.
Requirements of Attachment A Enclosures
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(i) The Contractor must complete and return all applicable Enclosures in the forms
set out in this Attachment with bid/proposal. All enclosures must also be
submitted with the bid/proposal.
(ii) The Enclosure 2 Schedule of Participation enclosure subsequent to the award
must be submitted with the addition of each identified DBE firm.
(iii) The Enclosure 3 Letter of Intent (LOI) enclosure subsequent to the award must
be submitted with the addition of each identified DBE firm.
(iv) The Contractor completing the Attachment A Enclosures is advised to contact
the RTD's SBO at (303) 299-2111 if they have any questions or concerns prior to
submitting bid/proposal documentation. Additional Attachment A
documentation will not be accepted after the contractor submits their
bid/proposal to RTD.
As a condition of the award, the contractor must use those DBEs listed to perform the
specific work items or supply the materials as committed in the Enclosure 2 Schedule of
Participation and Enclosure 3 Letter(s) of Intent (LOI) and the contractor is not entitled
to any payment for work or materials performed by its own or any other forces if the
work or supplies were committed to a DBE, unless it receives prior written consent by
RTD Small Business Office for a replacement of the DBE for good cause.
(v) Failure to return all required DBE Enclosures will result in your bid/proposal
being deemed non-responsive. Modification of any Enclosure documentation JJ!il1
result in your bid/proposal being deemed non-responsive.
Periodically, after award of the contract, RTD 's SBO in conjunction with the
contractor may determine that an enclosure Is more beneficial with modifications
or that an additional enclosure is necessary to more effectively report the status
of DBE participation or performance and resolution of DBE concerns/issues.
RTD has the right to ask for a modification.
Such a revised enclosure shall be incorporated into contract as an additional
requirement.
3.9 Reporting, audits, reviews and Orientation Requirements
(i) The Contractor shall submit at least monthly, a DBE Participation Report in the
form set out in Appendix A (Form of DBE Participation Report). The Contractor
shall submit each completed DBE Participation Report to RTD's SBO.
(ii) The Contractor acknowledges that the SBO has the right to independently
confirm the information contained in the submitted DBE Participation Reports
by soliciting such information from each DBE Subcontractor as may be required
to verify payments received, distribution of payments received, subcontracting
practices, participation credit, and sharing of resources/personnel. The
Contractor shall not attempt to dissuade any such DBE contractor from
disclosing any such information or cooperating in any investigation initiated by
theSBO.
84
•
•
•
•
(iii) The Contractor shall submit to RTD's SBO a Subcontractors Participation and
Payment Form documenting all payments made to all DBEs and non-DBEs on a
form provided/approved by RTD's SBO.
(iv) The DBE contractor shall submit to RTD's SBO a summary of payments received
from its contractor, regardless of their lower tier, on a form approved by RTD's
SBO.
(v)
(vi)
The DBE contractor may be selected to participate in a commercially useful
function review or a DBE compliance review before their contract can be closed
by RTD. DBEs are required to fully cooperate with RTD's SBO or its designee in
the compliance review process. The commercially useful function review
process will be initiated with a request for documents relating to contract
performance and management of the actual work performed on the contract
The scope and intensity of each commercially useful function review will depend
on the specific facts and circumstances. The commercially useful function is
purposed to verify the amount of DBE participation credit, to ensure that work is
actually performed by the DBE consistent with the DBE Program requirements
and/or to ensure that there is no activity engaged in by the DBE that would be
inconsistent with the intent and objectives of the DBE Program. The
commercially useful function review is more formal and will be initiated with an
orientation/explanation process and closed out with a briefing and
determination. The DBE contractor may be subjected to an informal compliance
review by RTD's SBO or its designee with or without notice. The informal
compliance review will generally be conducted at the work site where RTD
actually observes and assesses the services/supplies being provided by the DBE.
The Contractor or any of its lower tier non-DBE subcontractors may be selected
for a DBE compliance review to ensure that they are in compliance with the DBE
Program requirements. This process will be initiated in a formal manner with
written notice and instructions sent to the Contractor or its major subcontractor.
The process will conclude with a close-out interview or debriefing where the
Contractor or non-DBE firm will be given an opportunity to refute the
determination or add to any corrective action requested by RTD. The contractor
must cooperate with any DBE Program audit or compliance review. Failure to
cooperate can result in part or all of the DBE participation credit being
denied/removed from counting toward the DBE participation goal for the contract.
85
All DBEs are required to participate in the
RTD's DBE Orientation Program if awarded an RTD contract, subcontract or purchase
order before commencing work or providing supplies on this contract. Failure to
participate in the DBE orientation program may result in a denial of DBE participation
credit for the project/contract. For good cause, the orientation may be delayed if pre-
approved by RTD. DBEs may be required to repeat the orientation if there are changes
to the DBE Program requirements, changes in the DBE regulations, changes in the DBE
personnel, or if the DBE is experiencing challenges in complying with the reporting
requirements.
86
•
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ATTACHMENT A DBE ENCLOSURE CHECKLIST
This checklist will help you verify all the required enclosures are complete and submitted as
required. Submit this checklist as the front page of your Attachment A Enclosures. Attachment
A Enclosures are to be submitted with bid/proposal. Failure to submit a completed checklist
with your Attachment A Enclosures may result in your proposal to be deemed Non-
Responsive. Modification of any Attachment A Enclosure prior to the official award of the
contract will result in your proposal being deemed Non-Responsive. All enclosures must be
submitted with the bid/proposal. If you have any questions concerning the completion of any of
the Enclosures, please contact RTD's Disadvantaged Business Office at (303) 299-2111.
[ ] Form of DBE Participation
This form must be submitted monthly by all prime contractors throughout the entire duration of
the contract. This form needs to be submitted directly to the RTD SBO.
[ ] Enclosure 1 A: DBE Affidavit
This form must be completed, signed and notarized by all Prime Contractors, whether DBE or
not, to acknowledge the percentage of DBE participation and indicate intent to comply with the
DBE goal
[ ] Enclosure 18: DBE Prime Affidavit
This form must be completed, notarized and signed only if the bidder/proposer is a DBE
submitting a proposal/bid as a Prime Contractor. This form, if applicable, must be submitted
• with a current DBE certificate by all DBE prime contractors to affirm DBE status.
[ ] Enclosure 2: Schedule of DBE Participation
This form must be submitted by all DBEs involved on the contract including a DBE prime
contractor. It must contain the following information : names and addresses of certified DBE
participating subcontractors, the work they are to perform and the dollar value of each
proposed certified DBE contract. The Contractor subsequent to award must update and
submit this form with the addition of each identified DBE firm. The Contractor is required to
enter into subcontract agreements or issue purchase orders to all DBEs within thirty (30) days
of notice to proceed.
[ ] Enclosure 3: Letter of Intent to Perform as a Subcontractor
This form must be submitted by the Contractor. It must contain the following information:
names and addresses of certified DBE participating subcontractors, the work they are to
perform and the dollar value of each proposed certified DBE contract and be signed by the
DBE subcontractor. The Contractor subsequent to the award must submit this form with the
addition of a DBE. A copy of the current DBE Certificate for each listed DBE subcontractor
must be attached.
[ ] Enclosure 4: Solicitation Statistics
This form is for statistical purposes only. It is for the prime and all companies the prime
receives bids from on subcontract work.
[ ] Enclosure 5: Employer Certification of Workforce
87
This form defines the make-up of the company's work force and must be filed by every prime •
contractor with 50 or more employees or has a contract of $50,000 or more.
[ ] Enclosure 6: Disadvantaged Business Outreach
This form provides current outreach program information for contracted prime and
subcontractors.
[ ] Enclosure 7: Unavailability Certification
This form must be submitted -along with complete documentation of good faith efforts -with
the bid/proposal by a prime contractor who has failed to meet the specified DBE goal.
•
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88
•
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•
DENI/ml llmlCINA&. 1Mff81'0ftTIITICIN IH8T1IICT
l~fD
CONTRACT INFORMATION
.2!la!!!!!-'it..~
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'IQTM.
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PRIME CONTRACTOR MONTHLY REPORT
FORM E REPORT OF PAYMENTS TO DBEs
-.. Duntk>n:
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Nama ■nd Loc:.cioft ol Prof!c:t
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DBE0<Non
DBE
Dld-filmo<ona_ta,.,.0<1NM~0t-•~-••DBE?
DldanyDBE-~«-.......,...1 ol)'OIA'llrmwon-le?
Did any DBE-•nw portlonal Ito-... I -,.DBE-""' loll ....... firm?
HHll>o-ol-1<0<.-omount dw,god la,any DIIE-ll>o lollr.port?
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11,"9lhsl,,.,-,,,..,.,.,,-,,-on-.,d ___ ,,.., ____ h,,......_,,•-.,_ .....,,.,.,_,,.,.-,.,~ ~ 'l, .. COMi-La'TeDPOIIMto: .. ----l;f ... '"i-• • _ .... -;J
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.'YCll\-~,~fa.! CM.1!:,,_ "°"";_""":½~pm)2'f1t1 I
FORM OF DBE PARTICIPATION REPORT
• .90
• • •
(This page i11te11tionally left blank)
9 1
APPENDIX B-DBE ENCLOSURES
Enclosure la-DBE AFFIDAVIT
THIS PAGE MUST BE COMPLETED BY ALL PRIME PROPOSERS/BIDDERS TO
INDICATE THE PERCENTAGE OF DISADVANTAGED BUSINESS ENTERPRISE
PARTICIPATION.
The undersigned contractor hereby agrees that the goal established for DBE participation and its
commitment in this project through subcontracting or entering into a joint venture with Disadvantaged
Business Enterprise(s) in conformity with the Requirements, Terms, and Conditions of this Attachment is :
_____ % -DBE (Disadvantaged Business Enterprise)
THIS PERCENTAGE RELATES TO DBE SUBCONTRACTING ONLY AND IS CONSISTENT WITH THE
DISADVANTAGED BUSINESS ENTERPRISE STATEMENT LISTED IN THE BID/PROPOSAL FORM.
THIS BIDDER/PROPOSER IS COMMITED TO COMPLY WITH OR EXCEED THE ABOVE GOAL.
Business Name: __________________________ _
Contact Name: __________________________ _
Address: ____________________________ _
City, State, ZIP: __________________________ _
Phone: _____________ Fax: _____________ _
I DO SOLEMNLY DECLARE AND AFFIRM UNDER THE PENALTIES OF PERJURY THAT THE
CONTENTS OF THE FOREGOING STATEMENTS ARE TRUE AND CORRECT, AND THAT I AM
AUTHORIZED, ON BEHALF OF
_______________ TO MAKE THIS AFFIDAVIT .
(Name of Business Entity)
(Date) (Affiant Print Name) (Title)
(Affiant's Signature)
State of ________________ _
City and County of _____________ _
On this ______ day of ______________ , before me, the
undersigned officer, pt:rsunally appeared ___________ , known to me to
be the person described in the foregoing Affidavit, and acknowledged that he (she)
executed the same in the capacity therein stated and for the purposes therein contained.
In witness thereof, I hereunto set my hand and official seal. My Commission Expires:
(Notary Public) (SEAL)
92
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APPENDIX B-DBE ENCLOSURES
ENCLOSURE 1 e-DBE AFFIDAVIT
THIS PAGE MUST BE COMPLETED BY THE DISADVANTAGED BUSINESS ENTERPRISE PRIME
CONTRACTOR (PROPOSER/BIDDER)
I HEREBY DECLARE AND AFFIRM that I am the ______________ _
(Title)
and duly authorized representative of (the firm of) ______________ _
(Name of Corporation or Joint Venture)
whose address is ________________________ _
(Telephone No.)
I hereby declare and affirm that I am a Disadvantaged Business Enterprise (DBE) and am certified as of
the date that the RTD receives this bid/proposal and as defined by the Regional Transportation District in
Attachment A for
______________________ and that I will provide
(Contract number and name)
information and/or the certification to document this fact with this enclosure.
I DO SOLEMNLY DECLARE AND AFFIRM UNDER THE PENAL TIES OF PERJURY THAT THE
CONTENTS OF THE FOREGOING STATEMENTS ARE TRUE AND CORRECT, AND THAT I AM
AUTHORIZED, ON BEHALF OF THE ABOVE FIRM, TO MAKE THIS AFFIDAVIT.
(Date) (Affiant Print Name) (Title)
(Affiant's Signature) State of _________________ _
City and County of _____________ _
On this ______ day of _____________ _, before me, the
undersigned officer, personally appeared ____________ , known to me to
be the person described in the foregoing Affidavit, and acknowledged that he (she)
executed the same in the capacity therein stated and for the purposes therein contained.
In witness thereof, I hereunto set my hand and official seal.
My Commission Expires: ____________ _
(Notary Public) (SEAL)
93
APPENDIX 8 -DBE ENCLOSURES
ENCLOSURE 2-SCHEDULE OF [DBE] PARTICIPATION
NAME OF CONTRACTOR:[•]
RTD Contract No.
T IP dC US$ ota ro oose ost:
DBE TYPE OF WORK PROJECTED
FIRM NAME (ELECTRICAL, PAVING, START&
ETC.) COMPLETION
AND CONTRACT ITEMS DATES FOR
OR PART THEREOF TO DBE
BE PERFORMED
AGREED PRICE
TOBE PAID TO
DBE
1. Please list all DBEs involved on the contract including the Prime Contractor if it is a
DBE. DBE must be certified in area of work specified on project; work performed for
which they are not certified to perform will not count towards goal. A current DBE
certification for each listed DBE must accompany this enclosure. Failure to provide
proof of current DBE certificati on for any or all listed DBEs will eliminate such listed
DBE's participation, and work performed by such DBE will not count towards
satisfaction of the DBE Goal. If additional pages are required to list all contracted DBE,
photocopy this enclosure as required to make a complete list.
2. Contracts with DBEs for materials or supplies will be counted toward the DBE Goal as
follows:
(i) materials or supplies obtained from a DBE manufacturer will be counted at 100% toward
the DBE Goal; and
(ii) materials or supplies obtained from a DBE regular dealer will be counted at 60% toward
the DBE Goals. Please refer to 49 CFR §26.55 for specifics with respect to how DBE
participation is counted toward DBE Goal.
•
3. Contractor must submit copies of all DBE s ubcontracts, purchase orders or change orders
within 30 Days of execution of the notice to proceed. Failure to submit will result in a
determination that no DBE participation credit shall a DBE w ork on the project or provide
equipment, materials or supplies for DBE participation credit without an executed subco ntract •
94
agreement or purchase order . •
•
• 95
APPENDIX 8, ENCLOSURE 3-LEITER OF INTENT TO PERFORM AS A DBE SUBCONTRACTOR
Contract No.
The undersigned [ •] (the Contractorj intends to engage the undersigned DBE to
perform work in connection with the Project pursuant to a contract (the DBE Contract)
between the Contractor and the DBE as [ check one]:
___ M~~~ ___ a~~~~
___ a partnership ___ a joint venture
The DBE status of the undersigned DBE is confirmed on the attached schedule of DBE
participation and represents a company that is certified as of the date on which the DBE
Contract is executed.
Item Projected Projected Agreed Price to be
Commencement Completion Date Paid to DBE
Date
___ % of the Dollar value of the DBE Contract will be sublet and/or awarded to non-
DBE contractors and/or non-DBE suppliers. The undersigned Proposer and the
undersigned DBE will enter into the DBE Contract for the above work conditioned upon
the Proposer's execution of the Contract with ATD.
NAME OF CONTRACTOR NAME OF DBE FIRM
OWNER/REPRESENTATIVE OWNER/REPRESENTATIVE
ADDRESS ADDRESS
EMAIL ADDRESS EMAIL ADDRESS
SIGNATURE SIGNATURE
TITLE DATE TITLE DATE
96 •
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APPENDIX B, ENCLOSURE 4-SOLICITATION STATISTICS
RTD is required to create and maintain bidder statistics for all firms bidding on prime contracts and bidding or quoting Subcontracts on USDOT-
assisted projects per 49 CFR Part 26.11. The Contractor is required to make copies of this form, send a copy with its initial contact to each
Subcontractor (whether DBE or non-DBE) and require each Subcontractor to return a completed fonn with its Subcontract bid to the Contractor.
The Contractor must submit all completed forms with each submission of DBE Enclosures to the SBO.
Finn Name:
Firm Address (Office Reporting):
Status as a DBE or Non-DBE (check one):
RTD DBE___ Non-DBE __
Annual Gross Receipts of the Firm: (check one):
U.S.$0 to U.S.$500,000__ U.S.$500,000 to U.S.$1,000,000 __
U.S.$5 Million to U.S.$10 Million __ U.S.$10 Million to U.S.$20.41 Million __
Age of the firm: __ _
U.S.$1 Million to U.S.$5 Million __
Above U.S .$20.41 Million __
Signature: __________________________ _
Name:
Title:
Date: _________________________ _
97
M=Male F= Female
Job Categories Total Employees in
Establishment
Total Total Total Black Hispanic Native Asian -Subcontin Other
Employe Male Female American American American Pacific ent Asian
es Employe Employe s s s American Americans
Including es es s
Minoritie Including Including M F M F M F M F M F M F
s Minoritie Minoritie
s s
Officials &
Managers
Professionals
Technicians
Sales
Office & Clerical
Craft Workers
(skilled)
Operatives
(semi-skilled)
Laborers
(unskilled)
Service Workers
98 • -•
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• ...J g
I-
APPENDIX B, ENCLOSURES-EMPLOYER CERTIFICATION OF WORKFORCE 1
The undersigned certifies that he/she is legally authorized to make the statements and representations contained in this report and that the
statements and representations contained herein are true and correct to the best of his/her knowledge and belief.
Firm Name:
Owners (individuals or holding companies with any ownership interest in your firm):
Ownership Interest (by % ) Ethnicity (natural persons)
Signature: ____________________________ _
Name;
Title:
Gender (natural persons)
Date of Execution: __________________________ _
Please note that this data may be obtained by visual survey or post-employment records. Neither visual surveys nor post-employment records are
prohibited by Federal, State or local law. Current utilization as of __________ _
NOTE: Submission of the Employer Certification of Workforce form is voluntary. Unless this form is marked 'confidential' upon submission, RTD cannot
guarantee confidentiality of the information contained in this Employer Certification of Workforce form .
100 • -•
DESCRIPTION OF JOB CATEGORIES
Officials and Managers -Occupations requiring administrative personnel wh o set board policies, exercise full responsibility for
execution of these policies, and individual departments or special phases of the operations.
Professionals -Occupations requiring either college education or experience of such kind and amount as to provide a comparable
background.
Technicians -Occupations requiring a combination of specific scientific knowledge and manual skill which can be obtained through
about 2 years of post high school education, such as is offered in many technical institutes and junior colleges, or through equivalent
on-the-job training.
Sales -Occupations engaging wholly or primarily in selling.
Office and clerical -Includes all clerical-type work, regardless of level of difficulty, where the activities are predominately non-
manual though some manual work directly involved with altering or transporting the products is included.
Craft Worker (skilled)-Manual workers of relatively high skill level having a thorough and comprehensive knowledge of the
processes involved in their work. Exercises considerable independent judgment and usually requires an extensive period of training.
Operatives (semi-skilled)-Workers who operate machines or processing equipment or perform other factory-related duties of
intermediate skill level which can be mastered in a few weeks and require only limited training.
Laborers (unskilled)-Workers in manual occupations which generally require no special training perform rudimentary duties that
may be learned in a few days and require the application of little or no independent judgment.
Service Workers-Workers in both protective and unprotective service occupations.
RACE/ETHNIC IDENTIFICATION
White (not Hispanic origin)-All persons having origins in any of the original peoples of Europe, North Africa, or the Middle East
Black Americans (not Hispanic origin) -All persons having origins in any of the Black racial groups of Africa
Hispanic Americans -All persons of Mexican, Puerto Rican, Cuban, Dominican, Central or South American, or other Spanish or
Portuguese culture or origin, regardless of race
Asian-Pacific Americans -All persons whose origins are from Japan, China, Taiwan, Korea, Burma (Myanmar), Vietnam, Laos,
Cambodia (Kampuchea), Thailand, Malaysia, Indonesia, the Philippines, Brunei, Samoa, Guam, the U.S. Trust Territories of the
Pacific Islands (Republic of Palau), the Commonwealth of the Northern Marianas Islands, Macao, Fiji, Tonga, Kirbati, Juvalu, Nauru,
Federated States of Micronesia, or Hong Kong
101
Subcontinent Asian Americans -All persons whose origins are from India, Pakistan, Bangladesh, Bhutan, the Maldives Islands, Nepal
or Sri Lanka
Native American -All persons having origins in any of the original peoples of North America, including American Indians, Eskimos,
Aleuts, or Native Hawaiians
102 • • •
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103
APPENDIX B, ENCLOSURE 6-DISADVANTAGED BUSINESS OUTREACH
As part of RTD's ongoing outreach activities to the Denver metro Disadvantaged
business community, it is our goal to identify and to establish a relationship with the
Disadvantaged business outreach programs sponsored by the prime and
subcontractors we partner with.
The prime and all contracted subcontractors are requested to provide the following
information pertaining to their current DBE outreach efforts -additional sheets may be
used if necessary:
RTD Contract Name and Number:
Contract No. (the Contract).
Proposer:
Subcontractor-if applicable:
Disadvantaged Business Outreach Contact (if none, list contact for the Contract):
Phone: ___________ Fax: ______________ _
Email: ___________________________ _
Website: __________________________ _
Currently Sponsored Disadvantaged Business Outreach Activities:
How can RTD assist you in your current Disadvantaged business outreach efforts?
Would you be interested becoming involved in current and future RTD-sponsored
outreach activities and committees: [ ] Yes [ ] No
If so, how? __________________________ _
104
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APPENDIX B, ENCLOSURE 7-DBE UNAVAILABILITY CERTIFICATION • I, _________ _
Name Title
of _________________ , certify that [the
Contractolj, made the following efforts to meet the DBE Goals on Regional
Transportation District Contract No. for the Project:
[please attach any additional efforts that do not fit on this form]
■ A Contractor representative attended the pre-bid meeting. Yes___ No
■ Newspaper Advertisement Log: (attach copies of ads)
Newspaper/Publication Type of Publication Dates of Advertisement
Minority/General/Trade
■ Selected portions of the work to be performed by [DBEs]
Work Categories Type of Bid Contracto~s Additional
(Subcontractor or Estimated Comments
Supplier) Budget
• Made efforts to assist interested DBEs in obtaining bonding, lines of credit,
insurance or any necessary equipment, supplies, materials, etc.
■ List an s ecific offers made b Contracto
105
• o IcIte t e o owma s S I' . d h f II DBE
Date Name of DBE Contact Phone# Work
Contacted Firm Person Category
• F II d o owe UPWI 1m Ia con ac s ·th. T I t t
Date Name of DBE Phone# Bidding Additional
(Yes or No) Comments
• Contacted the following other agencies, organizations in recruitment of DBE
including RTD:
Date Organization Phone#
As shown by the documentation provided to RTD, we feel that we have made
good faith effort to attain the DBE Goals.
Signature: ________________ _
Date : _________ _
106
•
I
•
•
•
•
Exhibit G -FV2014 FTA Certifications
and Assurances
107
•
•
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
Certifications and Assurances you select on its behalf, except as FT A determines
otherwise in writing.
It is important that your Applicant and You also understand that these Certifications and
Assurances are pre-award requirements, generally imposed by Federal law or
regulation, and do not include all Federal requirements that may apply to it or its
Project. Our FTA Master Agreement MA(20) for Federal FY 2014, available at
h1tp:/l www.fta.do1.g0v. contains a list of most of those requirements.
We expect You to submit your Applicant's FY 2014 Certifications and Assurances and its
applications for funding in TEAM-Web. You must be registered in TEAM-Web to submit
the FTA FY 2014 Certifications and Assurances on its behalf. The TEAM-Web
"Recipients " option at the "Cert 's & Assurances" tab of the "View/Modify Recipients"
page contains fields for selecting among the twenty-four (24) Groups of Certifications
and Assurances and a designated field for selecting all twenty-four (24) Groups of
Certifications and Assurances. If FT A agrees that you cannot submit your Applicant's
FY 2014 Certifications and Assurances electronically, you must submit the Signature
Page(s) in Appendix A of this Notice, as FTA directs, marked to show the Groups of
Certifications and Assurances it is submitting.
Be aware that these Certifications and Assurances have been prepared in light of
• FTA 's latest authorization legislation, Moving Ahead for Progress in the 21st
Century Act (MAP-21), Pub. L. 112-141, June 6, 2012,
• The Continuing Appropriations Act, 2014, Pub. L. 113-46, October 17, 2013,
• The Consolidated and Further Continuing Appropriations Act, 2013, Pub. L. 113-6,
March 26, 2013,
• The Continuing Appropriations Resolution, 2013 (CR), Pub. L. 112-175,
September 28, 2012, and
• FTA ·s authorizing legislation in effect in FY 2012 or a previous fiscal year, except as
superseded by MAP-21 cross-cutting requirements that apply.
With certain exceptions. Projects financed in FY 2014 with funds appropriated or made
available for FY 2012 or a previous fiscal year must be in compliance with the
requirements for that type of Project in effect during the fiscal year for which the funding
was derived, except as superseded by MAP-21 cross-cutting requirements that apply.
GROUP 01. REQUIRED CERTIFICATIONS AND ASSURANCES
FOR EACH APPLICANT.
Before FTA may providefundingfor your Applicant's Project, in addition to any other
Certifications and Assurances that you must select on behalf of your Applicant, you must
also select the Certifications and Assurances in Group OJ, except as FTA determines
otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
PREFACE
Except as the Federal Transit Administration (FTA or We) determines otherwise in
writing, before FTA may award Federal transit assistance (funding or funds) to support a
public transportation Project, an Authorized Representative (You) of the Project sponsor
(Applicant) must select certain Certifications and Assurances required by Federal law or
regulation. The Authorized Representative must be duly authorized by the Applicant to,
among other things, sign these Certifications and Assurances and bind the Applicant's
compliance. You, as the Authorized Representative, must select all Certifications and
Assurances required of your Applicant (or it) to support its applications for FTAfunding
during Federal fiscal year (FY) 2014.
We request that you read each Certification and Assurance and select those that will
apply to all Projects for which your Applicant might seek FT A funding. As required by
Federal law and regulation, only if you select adequate Certifications and Assurances on
your Applicant's behalf, may FTA award Federal funding for its Project.
We have consolidated our Certifications and Assurances into twenty-four (24) Groups. At
a minimum, you must select the Assurances in Group OJ on your Applicant's behalf. If
your Applicant requests more than $100,000, you must also select the "Lobbying"
Certification in Group 02, unless it is an Indian tribe or organization or a tribal
•
organization. Depending on the nature of your Applicant and its Project, you may also .A
need to select some Certifications and Assurances in Groups 03 through 24. However, W
instead of selecting individual Groups of Certifications and Assurances, you may make a
single selection that will encompass all twenty-four (24) Groups of Certifications and
Assurances that apply to all our programs.
FTA, your Applicant, and you understand and agree that not every provision of these
twenty-four (24) Groups of Certifications and Assurances will apply to every Applicant
or every Project FTAfimds even if you make a single selection encompassing all twenty-
four (24) Groups. Nor will every provision of all Certifications and Assurances within a
single Group apply if that provision does not apply to your Applicant or its Project. The
type of Project and Applicant will determine which Certifications and Assurances apply.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, ilself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation.from each
Subrecipient and other Third Party Participant(s) to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
If your Applicant is a team, a consortium, a joint venture, or a partnership, it
underslands and agrees that you must identify the activities each member will perform
and the extent to which each member will be responsible for compliance with the •
•
•
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications and Assurances in Group OJ that does not apply will
not be enforced
1.A. Assurance of Authority of the Applicant and Its Authorized Representative.
You certify that both you, as your Applicant's Authorized Representative, and your
Applicant's attorney, who is authorized to represent the Applicant in legal matters, who
sign these Certifications, Assurances, and Agreements, may undertake the following
activities on its behalf, in compliance with applicable State, local, or Indian tribal laws
and regulations, and its by-laws or internal rules:
1. Execute and file its application for Federal funds,
2. Execute and file its Certifications, Assurances, and Agreements binding its
compliance,
3. Execute Grant Agreements or Cooperative Agreements, or both, with FTA,
4. Comply with applicable Federal laws and regulations, and
5. Follow applicable Federal guidance .
1.B. Standard Assurances.
On behalf of your Applicant, you assure that it understands and agrees to the following:
1. It will comply with all applicable Federal statutes and regulations to carry out any
FTA funded Project,
2. It is under a continuing obligation to comply with the terms and conditions of the
FTA Grant Agreement or Cooperative Agreement for its Project, including the FTA
Master Agreement incorporated by reference and made part of the latest amendment
to that Grant Agreement or Cooperative Agreement,
3. It recognizes that Federal laws and regulations may be amended from time to time
and those amendments may affect Project implementation,
4. It understands that Presidential executive orders and Federal guidance, including
Federal policies and program guidance, may be issued concerning matters affecting it
or its Project,
5. It agrees that the most recent Federal laws, regulations, and guidance will apply to its
Project, except as FTA determines otherwise in writing,
6. In light of recent FT A legislation applicable to FT A, except as FT A determines
otherwise in writing, it agrees that requirements for FTA programs may vary
depending on the fiscal year for which the funding for those programs was
appropriated:
a. In some instances, FTA has determined that Federal statutory or regulatory
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
program and eligibility requirements for FY 2012 or a specific previous fiscal •
year, except as superseded by applicable MAP-21 cross-cutting requirements,
apply to:
( 1) New grants and cooperative agreements, and
(2) New amendments to grants and cooperative agreements that:
(a) Have been awarded Federal funds appropriated or made available for
FY 2012 or the previous fiscal year, or
(b) May be awarded Federal funds appropriated or made available for
FY 2012 or the previous fiscal year, but
b. In other instances, FT A has determined that MAP-21 will apply to the Federal
funds appropriated or made available for FY 2012 or a previous fiscal year, and
c. For all FTA funded Projects, the following MAP-21 cross-cutting requirements
supersede conflicting provisions of previous Federal law and regulations:
(1) Metropolitan and Statewide and Nonmetropolitan Transportation Planning,
(2) Environmental Review Process,
(3) Public Transportation Agency Safety Plans,
(4) Transit Asset Management Provisions (and Asset Inventory and Condition
Reporting),
(5) Costs Incurred by Providers of Public Transportation by Vanpool,
(6) Revenue Bonds as Local Match,
(7) Debt Service Reserve,
(8) Government's Share of Cost of Vehicles, Vehicle-Equipment, and Facilities
for ADA and Clean Air Act Compliance, -
(9) Private Sector Participation,
(10) Bus Testing,
(11) Buy America,
(12) Corridor Preservation,
(13) Rail Car Procurements,
( 14) Veterans Preference/Employment,
(15) Alcohol and Controlled Substance Testinf' and
(16) Other provisions as FTA may determine.
1.C. Intergovernmental Review Assurance.
(The assurance in Group O 1. C does not apply to an Indian tribe, an Indian organization
or a tribal organization that applies/or funding made available for FTA 's Tribal Transit
Programs authorized by 49 U.S.C. 5311 (c)(J).
As required by U.S. Department of Transportation (U.S . DOT) regulations,
"Intergovernmental Review of Department of Transportation Programs and Activities,"
49 CFR part 17, on behalf of your Applicant, you assure that your Applicant has
1 More information about these matters appears in the Federal Transit Administration, "Notice of FTA
Transit Program Changes, Authorized Funding Levels and Implementation of the Moving Ahead for
Progress in the 21st Century Act (MAP-2 l} and FT A FY 2013 Apportionments, Allocations, Program
Information and Interim Guidance," 77 Fed. Reg. 663670, Oct. 16, 2012.
•
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
b. 23 U.S.C. 610 or its predecessor before MAP-21 was signed into law,
c. Section 1511 ofTEA-21, 23 U.S.C. 181 note, or section 350 of the National
Highway System Designation Act of 1995, as amended, 23 U.S.C. 181 note,
d. Federal guidance pertaining to the SIB Program,
e. The Cooperative Agreement establishing the State's SIB Program, or
f. The FT A Grant Agreement,
4. As required by 49 U.S.C. 5323(0), Federal transit laws, specifically 49 U.S.C . 5307,
49 U.S.C. 5309, and 49 U.S.C. 5337, as amended by MAP-21, apply to any Project
under 49 U.S.C. chapter 53 that receives SIB support or financing under 23 U.S.C.
610 (or any support from 23 U.S.C. 601 -609),
5. As required by 49 U.S.C. 5323(0) and 49 U.S.C. 5307(d)(l):
a. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of those proposed Project(s):
(1) Legal capacity,
(2) Financial capacity, and
(3) Technical capacity,
b. It has or will have satisfactory continuing control over the use of Project
equipment and facilities,
c. It will maintain its Project equipment and facilities adequately,
d. It will ensure that when, during non-peak hours for transportation using or
involving a facility or equipment of a SIB-financed Project, a fare that is not more
than fifty (50) percent of the peak hour fare will be charged to the following
individuals:
(1) A senior,
(2) An individual who, because of illness, injury, age, congenital malfunction, or
other incapacity or temporary or permanent disability (including an
individual who is a wheelchair user or has semi-ambulatory capability),
cannot use a public transportation service or a public transportation facility
effectively without special facilities, planning, or design,
(3) An individual presenting a Medicare card issued to that individual under
title II of the Social Security Act (42 U.S.C. 401 et seq.), or
(4) An individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
e. When carrying out a procurement under a SIB-financed Project, it will comply
with the:
(1) General Provisions of 49 U.S.C. 5323, and
(2) Third Party Contract Provisions of 49 U.S.C. 5325,
f. It has complied with or will comply with 49 U.S.C. 5307(b), because it:
(I) Has made or will make available to the public information on amounts of its
funding requested under the SIB program,
(2) Has developed or will develop, in consultation with interested parties,
including private transportation providers, a proposed Program of Projects
for activities to be funded,
(3) Has published or will publish a Program of Projects in a way that affected
individuals, private transportation providers, and local elected officials will
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
i. It has a locally developed process to solicit and consider public comment before: •
( 1) Raising a fare, or
(2) Implementing a major reduction of public transportation, and
J. It will comply with the final Federal regulations, when issued, that implement the
safety plan requirements of 49 U.S.C. § 5329(d),
2. To comply with the interest and financing costs restrictions of 49 U.S.C. chapter 53, it
agrees that it will not seek reimbursement for interest and other financing costs
incurred in connection with its Project that must be in compliance with those
requirements unless:
a. It is eligible to receive Federal funding for those expenses, and
b. Its records demonstrate that it has used reasonable diligence in seeking the most
favorable financing terms underlying those costs, to the extent FTA may require.
3. It will comply with Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.)
4. The National Environmental Policy Act of 1969 (NEPA), 42 U.S.C. 5321 et seq., and
will receive an environmental categorical exclusion, a finding of no significant
impact, or a record of decision under NEPA for its Project prior to obligation of
funds, and
5. It agrees that it will adopt a transit asset management plan that complies with
regulations implementing 49 U.S.C. 5326(d), when required.
24.B. State Infrastructure Banks (SIB) Program.
If your Applicant is a State and seeks FTAfunding under the SIB Program to deposit in
ils SIB, the Certifications and Assurances in Group 24.B applies to your State and its
Project, except as FTA determines otherwise in writing.
On behalf of the State organization serving as your Applicant for funding for its SIB
Program, you certify and assure that:
1. It will comply with the following applicable Federal laws establishing the various SIB
programs since 1995:
a. 23 U.S.C. 610, as amended by MAP-21,
b. 23 U.S.C. 610 or its predecessor before MAP-21 was signed into law,
c. Section 1511 ofTEA-21, 23 U.S.C. 181 note, or
d. Section 350 of the National Highway System Designation Act of 1995, as
amended, 23 U.S.C. 181,
2. It will comply with or follow the Cooperative Agreement establishing the State's SIB
program between:
a. It and FHW A, FRA, and FT A, or
b. It and FHW A and FTA,
3. It will comply with or follow the Grant Agreement that provides FTA funding for the
SIB and is between it and FTA, including the FTA Master Agreement, which is
incorporated by reference into the Grant Agreement, except that any provision of the
FT A Master Agreement incorporated by reference into that Grant Agreement will not
apply if it conflicts with any provision of:
a. 23 U.S.C. 610, as amended by MAP-21, •
•
•
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
more than fifty (50) percent of the peak hour fare will be charged to the following
individuals:
(1) A senior,
(2) An individual who, because of illness, injury, age, congenital malfunction, or
other incapacity or temporary or permanent disability (including an
individual who is a wheelchair user or has semi-ambulatory capability),
cannot use a public transportation service or a public transportation facility
effectively without special facilities, planning, or design, or
(3) Any individual presenting a Medicare card issued to that individual under
title II of the Social Security Act (42 U.S.C. 401 et seq.), and
(4) Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
e. When carrying out a TIFIA-funded procurement, it will comply with:
(1) 49 U.S.C. 5323, and
(2) 49 u.s.c. 5325,
f. It has complied with or will comply with 49 U.S.C. 5307(b), because it:
(1) Has made or will make available to the public information on amounts of its
TIFIA funding request(s),
(2) Has developed or will develop, in consultation with interested parties,
including private transportation providers, a proposed Program of Projects
for activities to be funded,
(3) Has published or will publish a Program of Projects in a way that affected
individuals, private transportation providers, and local elected officials will
have an opportunity to examine and submit comments on the proposed
Program of Projects and its performance as an Applicant or Recipient,
(4) Has provided or will provide an opportunity for a public hearing to obtain the
views of individuals on the proposed Program of Projects,
(5) Has ensured or will ensure that the proposed Program of Projects provides
for coordination of public transportation services funded by FT A under 49
U.S.C. 5336 and U.S. DOT under TIFIA with federally funded transportation
services supported by other United States Government sources,
(6) Has considered or will consider the comments and views received, especially
those of private transportation providers, in preparing its final Program of
Projects, and
(7) Has made or will make the final Program of Projects available to the public,
g. It:
(1) Has or will have at least (twenty) 20 percent of the TIFIA net Project costs
required for the local share,
(2) Will provide the local share funds from sources approved by FT A, and
(3) Will provide the local share funds when needed,
h. It will comply with:
(1) The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303,
and
(2) The Statewide and Nonmetropolitan Planning requirements of 49 U.S.C.
5304,
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
24.A. The Transportation Infrastructure Finance and Innovation Act (FIFIA) Program, •
23 US.C. 601-609, except as superseded by MAP-21 cross-cutting requirements
that apply, and
24.B. The State Infrastructure Banks (SIB) Program, 23 U.S.C. 610, except as
superseded by MAP-21 cross-cutting requirements that apply.
Before FTA may provide credit assistance under TIF!Afor your Applicant's Project or
funding/or your Applicant to deposit in a SIB, in addition to other Certifications and
Assurances you must select on your Applicant's behalf, you must also select the
Certifications in Group 24, except as FTA may determine otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications and Assurances in Group 24 that does not apply will
not be enforced
24.A. Transportation Infrastructure Finance and Innovation Act (TIFIA)
Program.
ff your Applicant seeks FTAfundingfor its Project under the TIFIA Program, the
Certifications and Assurances in Group 24.A applies to your Applicant, except as FTA
determines otherwise in writing.
On behalf of your Applicant, you certify and assure, as required by 49 U.S.C. 5323(0),
that Federal transit laws, specifically 49 U.S.C. 5307, 49 U.S.C. 5309, and 49 U.S.C.
5337, apply to any Project under 49 U.S.C. chapter 53 that receives TIFIA credit
assistance under 23 U.S.C. 601 -609.
I. To comply with 49 U.S.C. 5307, specifically 49 U.S.C. 5307(d)(l), on its behalf, you
certify that:
a. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its proposed Project(s):
(1) Legal capacity,
(2) Financial capacity, and
(3) Technical capacity,
b. It has or will have satisfactory continuing control over the use of Project
equipment and facilities,
c. It will maintain its Project equipment and facilities adequately,
•
d. It will ensure that when, during non-peak hours for transportation using or
involving a facility or equipment of a TIFIA-financed Project, a fare that is not •
•
•
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
Before FTA may providefundingfor your Applicant's Project under the Public
Transportation Emergency Relief Program, 49 US.C. 5324, as amended by MAP-21, in
addition to other Certifications and Assurances you must select on its behalf, you must
also select the Assurance in Group 22, except as FTA may determine otherwise in
writing.
Your Applicant is ultimately responsible for compliance with the Assurances selected on
its behalf that apply to its Project, itself, any Subrecipient, or other Third Party
Participant in its Project, except as FTA determines otherwise in writing. For this
reason, we strongly encourage your Applicant to take appropriate measures, including,
but not limited to, obtaining sufficient documentation.from each Subrecipient and other
Third Party Participants to assure the validity of the applicable Certifications and
Assurances selected on behalf of your Applicant.
Any provision of the Assurance in Group 22 that does not apply will not be enforced.
As required by 49 U .S.C. 5324( d), on behalf of your Applicant, you assure that it will
comply with the requirements of the Certifications and Assurances as FTA determines
will apply to an Applicant for funding appropriated or made available for the Public
Transportation Emergency Relief Program.
GROUP 23. EXPEDITED PROJECT DELIVERY PILOT PROGRAM .
Before FTA may providefundingfor your Applicant's Project under the Expedited
Project Delivery Pilot Program, section 20008(b)(5)(D) ofMAP-21, in addition to other
Certifications and Assurances you must select on its behalf, you must also select the
Certification in Group 23, except as FTA may determine otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation.from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
To the extent that the Certification in Group 23 does not apply, it will not be enforced.
On behalf of your Applicant, you certify that its existing public transportation system or
the public transportation system that is the subject of the Project is in a state of good
repair, as required by section 20008(b)(5)(D) of MAP-21.
GROUP 24. INFRASTRUCTURE FINANCE PROGRAMS.
The Certifications in Group 24 apply to the following programs:
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
Before FT A may provide funding for your Applicant's Project under the State Safety •
Oversight Grant Program, 49 US.C. 5329(e), as amended by MAP-21, in addition to
other Certificalions and Assurances you must select on its behalf, you must also select the
Certifications in Group 21, except as FTA may determine otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply lo its Project, ilself, any Subrecipient, or
other Third Party Participant in its Project, except as FfA de/ermines otherwise in
wriling. For this reason, we slrongly encourage your Applicant Jo take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications in Group 21 that does not apply will not be enforced
On behalf of your Applicant, you certify that:
I. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its proposed Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities, •
3. It will maintain its Project equipment and facilities adequately,
4. When carrying out a procurement for its Project, it will comply with the:
a. The Uniform Administrative Requirements for Grants and Cooperative
Agreements to States and Local Governments, 49 C.F .R. part 18,
b. General Provisions of 49 U.S.C. 5323, and
c. Third Party Contract Requirements of 49 U.S.C. 5325,
5. As required by 49 U.S.C. 5329(e)(6)(C), it:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds only from sources approved by FTA, and will
not be met by:
( 1) Any Federal funds,
(2) Any funds received from a public transportation agency, or
(3) Any revenues earned by a public transportation agency, and
c . Will provide the local share funds when needed,
6. It meets the applicable requirements of 49 C .F.R. part 659, Rail Fixed Guideway
Systems: State Safety Oversight, and
7. It has received or will receive an FTA certification upon a determina tion that its State
Safety Oversight Program meets the requirements of 49 U.S .C . 5329(e) and is
adequate to promote the purposes of 49 U.S.C. 5329.
GROUP 22. PUBLIC TRANSPORTATION EMERGENCY RELIEF PROGRAM.
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
• (3) Technical capacity,
b. It has or will have satisfactory continuing control over the use of Project
equipment and facilities,
C. It will maintain the Project equipment and facilities adequately,
d. When carrying out a procurement under former 49 U.S.C. 5320, it will, and will
require each Subrecipient, to comply with the following provisions as amended by
MAP-21:
(I) Competitive procurement (as defined or approved by FTA), as required by
49 U.S.C. 5325(a),
(2) The prohibition against exclusionary or discriminatory specifications in its
procurements under 49 U.S.C. 5323(h),
(3) "Buy America" under 49 U.S.C. 5323(j),
(4) Applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m),
(5) Applicable railcar option restrictions of 49 U.S.C. 5325(e), and
(6) "Veterans Preference/Employment" under 49 U.S.C. 5325(k),
e. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325,
f. It has complied or will comply with the requirements of former 49 U.S.C.
5307(c). Specifically, it:
(1) Has made or will make available to the public information on the amounts
available for the Parks Program, former 49 U.S.C. 5320, and the Projects it
proposes to undertake,
(2) Has developed or will develop, in consultation with interested parties, -including private transportation providers, Projects to be financed,
(3) Has published or will publish a list of proposed Projects in a way that
affected citizens, private transportation providers, and local elected officials
have the opportunity to examine the proposed Projects and submit comments
on the proposed Projects and its performance,
(4) Has provided or will provide an opportunity for a public hearing to obtain the
views of citizens on the proposed Projects,
(5) Has considered or will consider the comments and views received, especially
those of private transportation providers, in preparing its final list of Projects,
and
(6) Has made or will make the final list of Projects available to the public,
g. It:
(1) Has or will have the amount of funds required for the local share,
(2) Will provide the local share funds from sources approved by FTA, and
(3) Will provide the local share funds when needed,
h. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U.S.C. 5303 and 5304, and
i. It has a locally developed process to solicit and consider public comment before :
( 1) Raising a fare, or
(2) Implementing a major reduction of public transportation.
GROUP 21. STATE SAFETY OVERSIGHT GRANT PROGRAM.
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
8. It has complied or will comply with, and will require each Subrecipient to comply •
with, 49 U.S.C. 5303 and 5304,
9. It has a locally developed process to solicit and consider public comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation, and
10. It will comply with the final Federal regulations, when issued, that implement the
safety plan requirements of 49 U.S.C. § 5329(d).
GROUP 20. PAULS. SARBANES TRANSIT IN PARKS PROGRAM
Before FTA may provide funding for your Applicant's Project under the Paul S. Sarbanes
Transit in Parks Program.former 49 U.S.C. 5320, in effect in FY 2012 or a previous
fiscal year for your Applicant's Project, except as superseded by MAP-21 requirements
that apply, in addition to other Certifications and Assurances you must select on its
behalf, you must also select the Certifications in Group 20, except as FTA may determine
otherwise in wriling.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicanl to take appropriate
measures, including, but not limited to, obtaining sufficient documentation.from each •
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of/he Certifications and Assurances in Group 20 that does not apply will
not be enforced.
1. The following Certifications and Assurances for the Paul S. Sarbanes Transit in Parks
Program (Parks Program) are required by former 49 U.S.C. 5320 in effect in FY 2012
or a previous fiscal year, except as superseded by MAP-21 cross-cutting requirements
that apply. Therefore, except as FTA determines otherwise in writing, on behalf of
your Applicant, you certify that:
a. It will consult with the appropriate Federal land management agency during the
planning process, and
b. The requirements of former 49 U.S.C. 5307, as determined by FTA, will apply to
the Parks Program, authorized by former 49 U.S .C. 5320, and
2. FTA has determined certain requirements of former 49 U.S.C. 5307 to be appropriate
for the Parks Program, of which some require Certifications. Therefore as specified
under former 49 U.S.C. 5307(d)(l) except as superseded by MAP-21 cross-cutting
requirements that apply, you certify that:
a. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its Project(s):
( 1) Legal capacity,
(2) Financial capacity, and •
•
•
•
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
If your Applicant seeks FTAfundingfor its Project under the Clean Fuels Grant
Program, former 49 U.S. C. 5308, in effect in FY 2012 or a previous fiscal year, except as
superseded by MAP-21 crosscutting requirements that apply, the Certifications and
Assurances in Group 19.B apply to your Applicant, except as FTA determines otherwise
in writing.
Former 49 U.S.C. 5307(d)(l) except as superseded by MAP-21 cross-cutting
requirements that apply, requires the following Certifications for Clean Fuels Grant
Program funding appropriated or made available for former 49 U.S.C. 5308 in effect in
FY 2012 or a previous fiscal year. Therefore, except as FTA determines otherwise in
writing, on behalf of your Applicant, you certify and assure that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain the Project equipment and facilities adequately,
4. It will ensure that the following individuals will be charged not more than fifty (50)
percent of the peak hour fare for transportation during non-peak hours using or
involving Project facilities or equipment supported under former 49 U.S.C. 5308:
a. Elderly individuals,
b. Individuals with disabilities,
c. Any individual presenting a Medicare card issued to that individual under title II
of the Social Security Act (42 U.S.C . 401 et seq.), and
d. Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
5. When carrying out a procurement under former 49 U.S.C. 5308, it will, and will
require each Subrecipient, to comply with the following provisions as amended by
MAP-21:
a. Competitive procurement (as defined or approved by FTA), as required by
49 U.S.C. 5325(a),
b. The prohibition against exclusionary or discriminatory specifications in its
procurements under 49 U.S.C. 5323(h),
c. "Buy America" under 49 U.S.C. 53230),
d. Applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m),
e. Applicable railcar option restrictions of 49 U.S .C. 5325(e), and
f. "Veterans Preference/Employment" under 49 U.S.C. 5325(k),
6. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325,
7. It:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from sources approved by FT A, and
c. Will provide the local share funds when needed,
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
b. Any individual who, because of illness, injury, age, a congenital malfunction, or •
any other incapacity or temporary or permanent disability (including an individual
who is a wheelchair user or who has semi-ambulatory capability), and cannot use
a public transportation service or a public transportation facility effectively
without special facilities, special planning, or special design,
c. Any individual presenting a Medicare card issued to that individual under title II
of the Social Security Act (42 U.S.C . 401 et seq.), or
d. Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
5. When carrying out a procurement under this Program, it will comply with the:
a. General Provisions of 49 U.S.C. 5323, and
b. Third Party Contract Provisions of 49 U .S.C . 5325,
6. It has:
a. Informed or will inform the public of the amounts of its funding available under
this Program,
b. Developed or will develop, in consultation with interested parties, including
private transportation providers, a proposed Program of Projects for activities to
be funded,
c. Published or will publish a Program of Projects in a way that affected individuals,
private transportation providers, and local elected officials will have an
opportunity to examine and submit comments on the proposed Projects and its
performance as an Applicant,
d. Provided or will provide an opportunity for a public hearing to obtain the views of •
individuals on the proposed Program of Projects,
e. Assured or will assure that the proposed Program of Projects provides for
coordination of public transportation services assisted under 49 U.S.C. 5336 with
federally funded transportation services supported by other United States
Government sources,
f. Considered or will consider the comments and views received, especially those of
private transportation providers, in preparing its final list of Projects, and
g. Made or will make the final list of Projects available to the public,
7. It:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from sources approved by FT A, and
c. Will provide the local share funds when needed,
8. It will comply with:
a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and
b. The Statewide and Nonmetropolitan Planning requirements of 49 U.S.C. 5304,
9. It has a locally developed process to solicit and consider public comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation, and
10. It will comply with the final Federal regulations, when issued, that implement the
safety plan requirements of 49 U.S.C. § 5329(d).
19.8. Clean Fuels Grant Program. •
•
•
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
The Certifications in Group 19 are required for funding under:
19.A. The Low or No Emission Vehicle Deployment Program, 49 U.S.C. 5312(d)(5), as
amended by MAP-21, and
19.B. The Clean Fuels Grant Program.former 49 U.S.C. 5308, in effect in FY 2012 or a
previous fiscal year, except as superseded by MAP-21 cross-cutting requirements
that apply.
Before FT A may provide funding for your Applicant's Project under any of the Programs
listed above, in addition to other Certifications and Assurances you must select on its
behalf, you must also select the Certifications in Group 19, except as FT A determines
otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications in Group 19 that does not apply will not be enforced.
19.A. Low or No Emission Vehicle Deployment .
If your Applicant seeks FTAfundingfor its Project under the Low or No Emission
Vehicle Development Program, 49 U.S.C. 5312(d)(5), as amended by MAP-21, the
Certifications and Assurances in Group 19.A apply to your Applicant, except as FTA
determines otherwise in writing.
Section 5312(d)(5)(C)(i) of title 49 requires the following Certifications for Low or No
Emission Vehicle Deployment Program funding appropriated or made available for
MAP-21. Therefore, except as FT A determines otherwise in writing, on behalf of your
Applicant, you certify and assure that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its proposed Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately,
4. It will ensure that, during non-peak hours, for transportation using or involving a
facility or equipment funded for its Project, the following individuals will be charged
a fare not exceeding fifty (50) percent of the peak hour fare:
a. Any senior,
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
Before FT A may provide funding for your Applicant's Project under either Program
listed above, in addition to other Certifications and Assurances you must select on its
behalf, you must also select the Certifications in Group 18, except as FTA determines
otherwise in writing.
Your Applicant is ultimately responsible/or compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the C ertifications in Group 18 that does not apply will not be enforced.
FTA has established terms and conditions for Tribal Transit Program grants financed
with funding appropriated or made available for 49 U.S.C. 531 l{c){l). On behalf of your
Applicant, you certify and assure that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its Project(s):
•
a. Legal capacity,
b. Financial capacity, and •
c . Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. Its Project equipment and facilities will be adequately maintained,
4. Its Project will ac hieve maximum feasible coordination with transportation service
funded by other Federal sources,
5. It will:
a. Have a procurement system that complies with U.S. DOT regulations, "Uniform
Administrative Requirements for Grants and Cooperative Agreements to State
and Local Governments," 49 CFR part 18, specifically 49 CFR 18.36, or
b. Inform FT A promptly that its procurement system does not comply with those
U.S. DOT regulations,
6. It will comply with Buy America under 49 U.S.C. 53230), and
7. It will comply with the Certifications, Assurances , and Agreements in:
a. Group 03.B and 03.C (Charter Service Agreement and School Bus Agreement),
b. Group 05.B (Bus Testing),
c. Group 06 (Demand Responsive Service).
d. Group 07 (Intelligent Transportation Systems), and
e. Group 10 (Alcohol and Controlled Substances Testing).
GROUP 19. LOW OR NO EMISSION/CLEAN FUELS GRANT PROGRAM •
•
•
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
17.C. Appalachian Development Public Transportation Assistance Program .
If your Applicant seeks FTAfundingfor its Project under the Appalachian Development
Public Transportation Assistance Program, 49 US.C. 5311 (c)(2), the Cerli.fication in
Group 17.C applies to your Applicant, except as FTA determines otherwise in writing.
On behalf of your Applicant, you certify and assure that, in addition to other
Certifications and Assurances it must provide, if it is unable to use its funding made
available or appropriated for public transportation operating assistance, in accordance
with 49 U.S.C. 53 l l(c)(2)(D), it may use the funding for a highway Project only after:
1. It provides notice and an opportunity for comment and appeal to affected public
transportation providers,
2. It approves for such use in writing, and
3. In approving the use, it determines that local transit needs are being addressed.
17.D. Over-the-Road Bus Accessibility Program.
If your Applicant seeks FTAfundingfor its Project under the Over-the-Road Bus
Accessibility Program, section 3038 ofTEA-21, as amended by section 3039 of
SAFETEA-LU, 49 US.C. 5310 note, the Assurances in Group 17.D apply to your
Applicant, except as FTA determines otherwise in writing.
Your Applicant assures that it will comply with all applicable Federal statutes and
regulations, and follow applicable Federal guidance in carrying out any Over-the-Road
Bus Accessibility Project supported by the FT A grant. It acknowledges that it is under a
continuing obligation to comply with the terms and conditions of the grant agreement
issued for its Project with FTA. It understands that Federal laws, regulations, policies,
and administrative practices might be modified from time to time and affect the
implementation of the Project.
It assures that the Federal requirements for the Over-the-Road Bus Accessibility Program
during FY 2012 will apply to the Project, except as FT A determines otherwise in writing .
Certifications and Assurances for funding to be awarded under this program in FY 2014
are included in these FT A Certifications and Assurances for FY 2014. Each Applicant
must submit Group 01 ("Required Certifications and Assurances for Each Applicant").
Each Applicant seeking more than $100,000 in Federal funding must provide both Group
01, and Group 02, ("Lobbying").
GROUP 18. TRIBAL TRANSIT PROGRAMS.
The Certifications in Group 18 are requiredfor funding under:
• The Public Transportation on Indian Reservations Formula Program, 49 U.S.C.
53Jl(c)(l), as amended by MAP-21, and
• The Public Transportation on Indian Reservations Discretionary Program,
49 U.S.C. 531 l(c)(J).
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. Its Project equipment and facilities will be adequately maintained,
4. Its State program required under former 49 U.S.C . 531 l(b)(2) has provided for a fair
distribution of Federal funding appropriated or made available for former 49 U.S.C.
5311 (b ), within the State, including Indian reservations,
5. Its State program required under former 49 U.S.C. 531 l(b)(2) provides or will
provide the maximum feasible coordination of public transportation service funded by
former 49 U.S.C. 531 l(b), with transportation service funded by other Federal
sources,
6. Its Projects in its Fonnula Grants for Other than Urbanized Areas Program are
included in:
a. The Statewide Transportation Improvement Program, and
b. To the extent applicable, a Metropolitan Transportation Improvement Program,
7. It:
a. Has or will have the amount of funds required for the local share, as required by
former 49 U.S.C. 531 l(g),
b. Will provide the local share funds sources approved by FT A, and
'I
c. Will provide the local share funds when needed,
8. It may transfer a facility or equipment acquired using a grant under former 49 U.S.C. •
5311 (b) in effect in FY 2012 or a previous fiscal year to any other Recipient eligible
to receive assistance under 49 U.S.C . chapter 53, if:
a. The Recipient in possession of the facility or equipment consents to the transfer, and
b. The facility or equipment will continue to be used as required under former
49 U.S .C. 5311, and
9. Each fiscal year:
a. It will spend at least fifteen (15) percent of its former 49 U.S.C. 5311 funding
available for that fiscal year to develop and support intercity bus transportation
within the State with eligible activities, including:
(1) Planning and marketing for intercity bus transportation,
(2) Capital grants for intercity bus shelters,
(3) Joint-use stops and depots,
(4) Operating grants through purchase-of-service agreements, user-side
subsidies, and demonstration Projects, and
(5) Coordinating rural connections between small public transportation
operations and intercity bus carriers, or
b. It will provide to the Federal Transit Administrator a Certification from the Chief
Executive Officer of the State that:
(1) It has consulted with the affected intercity bus service providers about the
intercity bus needs of the State, and
(2) The State's intercity bus service needs are being met adequately. •
•
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
6. Its Projects in its Fonnula Grants for Rural Areas Program are included in:
a. The Statewide Transportation Improvement Program, and
b. To the extent applicable, a Metropolitan Transportation Improvement Program,
7. It:
a. Has or will have the amount of funds required for the local share, as required by
49 U.S.C. 531 l(g),
b. Will provide the local share funds from sources approved by FT A, and
c. Will provide the local share funds when needed,
8. It may transfer a facility or equipment acquired using a grant under 49 U.S.C. 531 l(b)
to any other Recipient eligible to receive assistance under 49 U.S .C. chapter 53, if:
a. The Recipient in possession of the facility or equipment consents to the transfer,
and
b. The facility or equipment will continue to be used as required under 49 U.S.C.
5311, and
9. Each fiscal year:
a. It will spend at least fifteen (15) percent ofits 49 U.S.C. 5311 funding available
that fiscal year to develop and support intercity bus transportation within the
State, with eligible activities, including:
(1) Planning and marketing for intercity bus transportation,
(2) Capital grants for intercity bus facilities,
(3) Joint-use facilities,
( 4) Operating grants through purchase-of-service agreements, user-side
subsidies, and demonstration Projects, and
(5) Coordinating rural connections between small public transportation
operations and intercity bus carriers, or
b. It will provide to the Federal Transit Administrator a Certification from the
Governor of the State that:
(1) It has consulted with the affected intercity bus service providers about the
intercity bus needs of the State, and
(2) The State's intercity bus service needs are being met adequately.
17.8. Formula Grants for Other Than Urbanized Areas Program.
If your Applicant seeks FTAfundingfor its Project under the Formula Grants for Other
Than Urbanized Areas Program.former 49 US.C.5311 in effect in FY 2012 or a
previous fiscal year, the Certifications in Group 17.B apply to your Applicant, except as
FT A determines otherwise in writing.
The following Certifications apply to each State or State organization serving as your
Applicant for funding appropriated or made available for the Fonnula Grants for Other
Than Urbanized Areas Project authorized by fonner49 U.S.C. 531 l(b)(l) in effect in
FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross-cutting
requirements that apply. On its behalf, you certify and assure that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its Project(s):
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
MAP-21 cross-cutting requirements that apply.
(Separate Certifications and Assurances have been established for an Indian tribe that is
an Applicant for a Tribal Transit Project financed with funding made available for
49 U.S.C. 531 l(c).)
Before FTA may provide funding for your Applicant's Project under any of the Programs
listed above, in addition to other Certifications and Assurances you must select on its
behalf, you must also select the Certifications in Group 17, except as FTA determines
otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications and Assurances in Group 17 that does not apply will
not be enforced
17.A. Formula Grants for Rural Areas Program.
If your Applicant seeks FTAfundingfor its Project under the Formula Grants for Rural
Areas Program, 49 U.S.C.5311, as amended by MAP-21, the Certifications in
Group 17.A apply to your Applicant, except as FT A determines otherwise in writing.
The following Certifications apply to each State or State organization serving as your
Applicant for funding appropriated or made available for the Rural Areas Formula
Project authorized by 49 U.S.C. 531 l(b). On its behalf, you certify and assure that:
l. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. Its Project equipment and facilities will be adequately maintained,
4. Its State program has provided for a fair distribution of Federal funding appropriated
or made available for49 U.S.C. 531 l(b), within the State, including Indian
reservations,
•
•
5. Its program provides or will provide the maximum feasible coordination of public
transportation service funded by 49 U.S.C. 531 l(b), with transportation service
funded by other Federal sources, •
•
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
49 U.S.C. 5325(a),
(2) The prohibition against exclusionary or discriminatory specifications in its
procurements under 49 U.S.C. 5323(h),
(3) "Buy America" under 49 U.S.C. 5323G),
(4) Applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m),
(5) Applicable railcar option restrictions of 49 U.S.C. 5325(e), and
(6) "Veterans Preference/Employment" under 49 U.S.C. 5325(k),
e. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325,
f. It:
(1) Has or will have and, as necessary, will require each Subrecipient to have the
amount of funds required for the local share required by former 49 U.S.C.
5317(g),
(2) Will provide and, as necessary, will require each Subrecipient to provide, the
local share funds from sources approved by FT A, and
(3) Will provide and, as necessary, will require each Subrecipient to provide, the
local share funds when needed,
g. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U.S.C. 5303, and 5304, and
h. To the extent applicable, it will comply with and, as necessary, will require each
Subrecipient to comply with the final Federal regulations, when issued, that
implement the safety plan requirements of 49 U.S.C. § 5329(d).
GROUP 17. RURAL/OTHER THAN URBANIZED AREAS/APPALACHIAN
DEVELOPMENT/OVER-THE-ROAD BUS ACCESSIBILITY PROGRAMS.
The Certifications in Group 17 are required/or funding under:
17.A. The Formula Grants for Rural Areas Programfinancedwithfunding
appropriated or made available for 49 US.C. 531 l(b), as amended by MAP-21,
(Separate Certifications and Assurances have been established in Group 18 for
an Indian tribe that is an Applicant for a Public Transportation on Indian
Reservations Project financed with funding made available for 49 U.S. C.
531 l(c))(l), as amended by MAP-21.)
17. B. The Formula Grants for Other Than Urbanized Areas Program financed with
funding appropriated or made available for former 49 US.C. 531 l(b) in effect in
FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross-cutting
requirements that apply, (Separate Certifications and Assurances have been
established in Group 18 for an Indian tribe that is an Applicant for a "Tribal
Transit" Projectfinancedwithfunding made available for former 49 U.S.C.
5311 (c)(l) in effect in FY 2012 or a previous fiscal year.)
17. C. The Appalachian Development Public Transportation Assistance Program
financed with funding appropriated or made available for 49 US. C. 5311 (c)(2),
as amended by MAP-21, and
17.D. The Over-the-Road Bus Accessibility Program financed with funding
appropriated or made available for section 3038 of TEA-21, as amended by
section 3039 ofSAFETEA-LU, 49 US.C. 5310 note, except as superseded by
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
(I) An areawide solicitation in cooperation with the appropriate metropolitan •
planning organization for applications for funding in compliance with former
49 U.S.C. 5317(d)(I), or
(2) A statewide solicitation for applications for New Freedom funding in
compliance with former 49 U.S.C. 5317(d)(2),
b. Any allocations to Subrecipients of New Freedom funding authorized by former
49 U.S.C. 5317 will be distributed on a fair and equitable basis,
c. It will comply with the following Project selection and planning requirements:
(1) The Projects it has selected or will select for funding appropriated or made
available for that program were derived from a public transit-human services
transportation plan that has been:
(a) Locally developed, and
(b) Coordinated,
(2) That locally developed and coordinated plan was produced through a process
that included:
(a) Representatives of public, private, and nonprofit transportation providers,
(b) Representatives of public, private, and nonprofit human services
providers, and
(c) Participation by the public,
d. Before it transfers funds to a Project funded by former 49 U.S.C. 5311 (c), former
49 U.S.C. 5336, or both:
(1) The funding to be transferred may be made available only to Projects eligible
for funding appropriated or made available for former 49 U.S.C. 5317, and •
(2) It will have consulted with responsible local officials and publicly owned
operators of public transportation in each area for which the amount to be
transferred was originally awarded,
e. The requirements of former 49 U.S.C. 5307 and 5310, as determined by FTA, will
apply to the New Freedom Program, authorized by former 49 U.S.C. 5317, and
2. The following Certifications for the New Freedom Program are required by former
49 U.S.C. 5307(d)(l) and 5310. Therefore, except as FTA determines otherwise in
writing, on its behalf, you certify that:
a. It has or will have, and will require each Subrecipient to have, the following to
carry out its proposed Project(s), including the safety and security aspects of its
proposed Project(s):
(1) Legal capacity,
(2) Financial capacity, and
(3) Technical capacity,
b. It has or will have, and will require each Subrecipient to have, satisfactory
continuing control over the use of Project equipment and facilities,
c. It will maintain, and will require each Subrecipient to maintain, its Project
equipment and facilities adequately,
d. When carrying out a procurement under former 49 U.S.C. 5317, it will, and will
require each Subrecipient, to comply with the following provisions as amended by
MAP-21 :
(1) Competitive procurement (as defined or approved by FTA), as required by •
•
•
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
aspects of the proposed Project(s):
(I) Legal capacity,
(2) Financial capacity, and
(3) Technical capacity,
b. Your State Applicant and each Subrecipient has or will have satisfactory
continuing control over the use of Project equipment and facilities,
c. Your State Applicant and each of its Subrecipients will maintain its Project
equipment and facilities adequately,
d. When carrying out a procurement under former 49 U.S.C. 5310, it will, and will
require each Subrecipient, to comply with the following provisions as amended by
MAP-21:
(I) Competitive procurement (as defined or approved by FTA), as required by
49 U.S.C. 5325(a),
(2) The prohibition against exclusionary or discriminatory specifications in its
procurements under 49 U.S.C. 5323(h),
(3) "Buy America" under 49 U.S.C. 5323(j),
(4) Applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m),
(5) Applicable railcar option restrictions of 49 U.S.C. 5325(e), and
(6) "Veterans Preference/Employment" under 49 U.S.C. 5325(k),
e. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325,
f. Your State Applicant:
(1) Has or will have and, as necessary, will require each Subrecipient to have the
amount of funds required for the local share by former 49 U .S.C. 5310( c )(2),
(2) Will provide and, as necessary, will require each Subrecipient to provide, the
local share funds from sources approved by FT A, and
(3) Will provide and, as necessary, will require each Subrecipient to provide, the
local share funds when needed,
g. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U.S.C. 5303, and 5304, and
h. To the extent applicable, your State Applicant will comply with and, as necessary,
will require each Subrecipient to comply with the final Federal regulations, when
issued, that implement the safety plan requirements of 49 U.S.C . § 5329(d).
16.C. New Freedom Program.
If your Applicant seeks FTAfundingfor its Project under the New Freedom Program,
former 49 US. C. 5317, in effect in FY 2012 or a previous fiscal year, except as
superseded by MAP-21 cross-culling requirements that apply, the Certifications in
Group 16. C apply to your Applicant, except as FT A determines otherwise in writing.
1. Former 49 U.S.C. 5317 in effect in FY 2012 or a previous fiscal year requires the
following Certification for the New Freedom Program. Therefore, except as FTA
determines otherwise in writing, on behalf of your Applicant, you certify that:
a. It will make awards of New Freedom funding on a competitive basis after
conducting:
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
would undertake public transportation capital Project(s) planned, designed, •
and carried out to meet the special needs of elderly individuals and
individuals with disabilities is:
(a) Unavailable,
(b) Insufficient, or
( c) Inappropriate, or
(2) A State or local governmental authority that:
(a) Is approved by a State to coordinate services for seniors and individuals
with disabilities, or
(b) Certifies that there are not any nonprofit organizations readily available
in the area to provide public transportation capital Projects planned,
designed, and carried out to meet the special needs of seniors and
individuals with disabilities,
b. The Projects your State Applicant has selected or will select for funding
appropriated or made available for former 49 U .S.C. 5310 are included in a public
transit-human services transportation plan that has been:
(1) Locally developed, and
(2) Coordinated,
c. That public transit-human services transportation plan was developed and
approved through a process that included participation by:
(I) Elderly Individuals,
(2) Individuals with disabilities,
(3) Representatives of public, private, and nonprofit transportation providers, •
(4) Representatives of human services providers, and
(5) Other members of the public,
d. If your State Applicant allocates funds received under former 49 U.S.C. 5310 to
Subrecipients, your State Applicant will have allocated those funds on a fair and
equitable basis,
e. The Program of Projects your State Applicant has submitted or will submit
contains or will contain an assurance that the Program provides for the maximum
feasible coordination of transportation services funded by fonner49 U.S.C . 5310
with transportation services funded by other Government sources,
f. If your State Applicant transfers former 49 U.S.C. 5310 funds to another Project
funded under 49 U.S.C. 5336 in accordance with former 49 U.S.C. 5310(b)(2),
the Project for which the funds are requested has been coordinated with private
nonprofit providers of service under former 49 U.S.C. 5310, and
g. It will comply with the requirements of former 49 U.S.C. 5307 that FTA
determined will apply to the former Formula Grants for the Special Needs of
Elderly Individuals and Individuals with Disabilities Program,
2. The following Certifications for the Special Needs of Elderly Individuals and
Individuals with Disabilities Program are required by former 49 U.S.C. 5307(d)(l).
Therefore, except as FT A determines otherwise in writing, on behalf of your State
Applicant, you certify that:
a. Your State Applicant and each of its Subrecipients have or will have the
following to carry out its proposed Project(s), including the safety and security •
•
•
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
Disabilities, authorized by 49 U.S.C. 5310, and
2. FTA has determined certain requirements of 49 U.S.C. 5307, to be appropriate for
which some require Certifications. Therefore, as specified under 49 U.S.C.
5307(c)(l ), it certifies that:
a. It has or will have, and will require each Subrecipient to have, the following to
carry out its proposed Project(s), including the safety and security aspects of its
proposed Project(s):
(1) Legal capacity,
(2) Financial capacity, and
(3) Technical capacity,
b. It has or will have, and will require each Subrecipient to have, satisfactory
continuing control over the use of Project equipment and facilities,
c. It will maintain, and will require each Subrecipient to maintain its Project
equipment and facilities adequately,
d. When carrying out a procurement under the Formula Grants for the Enhanced
Mobility of Seniors and Individuals with Disabilities Program, it will, and will
require each Subrecipient to comply with the:
(1) General Provisions of 49 U.S.C. 5323, and
(2) Third Party Contract Provisions of 49 U.S.C. 5325,
e. It has complied or will comply with, and will require each Subrecipient to comply
with:
(1) The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303,
and
(2) The Statewide and Nonmetropolitan Transportation Planning requirements of
49 U.S.C. 5304, and
f. To the extent applicable, it will comply with, and require its Subrecipients to
comply with the final Federal regulations, when issued, that implement the safety
plan requirements of 49 U.S.C. § 5329(d).
16.B. Formula Grants for the Special Needs of Elderly Individuals and Individuals
with Disabilities Program.
If your Applicant seeks FTAfundingfor its Project under the Formula Grants/or the
Special Needs of Elderly Individuals and Individuals with Disabilities Program, former
49 US.C. 5310 in effect in FY 2012 or a previous fiscal year, ex cept as superseded by
MAP-21 cross-cutting requirements that apply, the Certifications in Group 16.B apply to
your Applicant, except as FTA determines otherwise in writing.
1. The following Certifications for the Formula Grants for the Special Needs of Elderly
Individuals and Individuals with Disabilities Program are required by former
49 U.S.C. 5310 in effect in FY 2012 or a previous fiscal year, except as superseded
by MAP-21 cross-cutting requirements that apply. Therefore, except as FT A
determines otherwise in writing, on behalf of your State Applicant, you certify that:
a. Each of your State Applicant's Subrecipients is:
(1) A private nonprofit organization, if the public transportation service that
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
(1) A private nonprofit organization, or • (2) A State or local governmental authority that:
(a) Is approved by a State to coordinate services for seniors and individuals
with disabilities, or
(b) Certifies that there are no private nonprofit organizations readily
available in the area to provide the services authorized for support under
the Formula Grants for the Enhanced Mobility of Seniors and
Individuals with Disabilities Program,
b. It will comply with the following Project selection and planning requirements:
( 1) The Projects it has selected or will select for funding appropriated or made
available for 49 U.S.C. 5310 are included in a public transit-human services
transportation plan that has been:
(a) Locally developed, and
(b) Coordinated,
(2) The public transit-human services transportation plan was developed and
approved through a process that included participation by:
(a) Seniors,
(b) Individuals with disabilities,
(c) Representatives of public, private, and nonprofit transportation
providers,
(d) Representatives of public, private, and nonprofit human services
providers, and • (e) Other members of the public,
(3) The transportation projects to assist in providing transportation services for
(4)
seniors and individuals with disabilities are included in a program of projects,
A program of projects under Group 16.A.l.b(3) above is or will be submitted
annually to FT A, and
(5) To the maximum extent feasible, the services funded by 49 U.S.C. 5310 will
be coordinated with transportation services funded by other Federal
departments and agencies, including any transportation activities carried out
by a recipient of a grant from the Department of Health and Human Services,
c. As required by 49 U .S.C. 5310(e)(2)(B}, it certifies that if it allocates funds
received under 49 U.S.C. 5310, to Subrecipients, it will have allocated those
funds on a fair and equitable basis,
d. It will transfer a facility or equipment financed with funding appropriated or made
available for a grant under 49 U .S.C. 5310, to any other recipient eligible to
receive assistance under 49 U.S.C. chapter 53, only if:
(1) The recipient in possession of the facility or equipment consents to the
transfer, and
(2) The facility or equipment will continue to be used as required under
49 u.s.c. 5310,
e. As required by 49 U.S.C. 531 0(b)(2), it will use at least fifty-five (55) percent of
the funds on capital projects to meet the special needs of seniors and disabled, and
f. The requirements of 49 U.S.C. 5307, as determined by FTA, will apply to the
Formula Grants for the Enhanced Mobility of Seniors and Individuals with •
•
•
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
AND NEW FREEDOM PROGRAMS.
The Certifications in Group 16 are required/or funding under:
16.A. The Formula Grants for the Enhanced Mobility of Seniors and Individuals with
Disabilities Program, financed or to be financed with funds appropriated or made
available for 49 U.S.C. 5310, as amended by MAP-21, which among other things
authorizes funding for New Freedom Projects and Project Activities,
16.B. The Formula Grants for the Special Needs of Elderly Individuals and Individuals
with Disabilities Programfinanced or to befinancedwithfunds appropriated or
made available for former 49 U.S.C. 5310 in effect in FY 2012 or a previous
fiscal year, except as superseded by MAP-21 cross-cutting requirements that
apply, and
16. C. The New Freedom Program financed or to be financed with funds appropriated
or made available for former 49 U.S.C. 5317 in effect in FY 2012 or a previous
fiscal year, except as superseded by MAP-21 cross-cutting requirements that
apply.
Before FTA may provide funding for your Applicant's Project under any of the Programs
listed above, in addition to other Certifications and Assurances you must select on its
behalf. you must also select the Certifications in Group 16, except as FTA determines
otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself. any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications in Group 16 that does not apply will not be enforced
16.A. Formula Grants for the Enhanced Mobility of Seniors and Individuals with
Disabilities Program.
If your Applicant seeks FTAfundingfor its Project under the Formula Grants for the
Enhanced Mobility of Seniors and Individuals with Disabilities Program, 49 U.S.C. 5310,
as amended by MAP-21, the Certifications in Group 16.A apply to your Applicant, except
as FTA determines otherwise in writing.
1. The following Certifications for the Formula Grants for the Enhanced Mobility of
Seniors and Individuals with Disabilities Program are required by 49 U.S.C. 5310.
Therefore, except as FTA determines otherwise in writing, on behalf of your
Applicant, you certify that:
a. Each of its Subrecipients is:
Ff A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
(2} The financial capacity. and -
(3) The technical capacity,
b. It has or will have, and will require each Subrecipient to have satisfactory
continuing control over the use of Project equipment and facilities,
c. It will maintain, and will require each Subrecipient to maintain, its Project
equipment and facilities adequately,
d. To the extent applicable, it will ensure, and will require each Subrecipient to
ensure, that for transportation using or involving a facility or equipment of a
Project financed under fonner 49 U.S.C. 5316 the following individuals will be
charged a fare not exceeding fifty (50) percent of the peak hour fare:
(1) Any elderly individual,
(2) Any handicapped individual, as described in 49 CFR part 27,
(3) Any individual presenting a Medicare card issued to that individual under
title II of the Social Security Act (42 U.S.C. 401 et seq.}, and
(4) Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq .),
e. When carrying out a procurement under fonner 49 U.S.C. 5316, it will comply
with the following provisions as amended by MAP-21:
(1) Competitive procurement (as defined or approved by FTA}, as required by
49 U.S.C. 5325(a),
(2) The prohibition against exclusionary or discriminatory specifications in its
procurements, as required by 49 U.S.C. 5323(h}, •
(3) .. Buy America" under 49 U.S.C. 5323(j},
(4} Applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m),
and
(5) "Veterans Preference/Employment" under 49 U.S.C. 5325(k},
f. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325,
g. It:
(1) Has or will have and, as necessary, will require each Subrecipient to have the
amount of funds required for the local share by former 49 U.S.C. 5316,
(2) Will provide and, as necessary, will require each Subrecipient to provide, the
local share funds from sources approved by FT A, and
(3) Will provide and, as necessary, will require each Subrecipient to provide, the
local share funds when needed,
h. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U.S.C. 5303, and 5304,
1. It has or will have, and will require each Subrecipient to have, a locally developed
process to solicit and consider public comment before:
(1} Raising a fare, or
(2) Implementing a major reduction of public transportation, and
J. To the extent applicable, it will comply with, and as necessary, will require each
Subrecipient to comply with the final Federal regulations, when issued, that
implement the safety plan requirements of 49 U.S.C. § 5329(d).
GROUP 16. SENIORS/ELDERLY/INDIVIDUALS WITH DISABILITIES
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
that apply. Therefore, except as FTA detennines otherwise in writing, on behalf of
your Applicant, you certify that:
a. It will make awards of JARC funding on a competitive basis following:
(1) An areawide solicitation in cooperation with the appropriate metropolitan
planning organization for applications for funding in compliance with fonner
49 U.S.C. 5316 if your Applicant receives funding under fonner 49 U.S.C.
5316(c)(l)(A), and
(2) A statewide solicitation for applications for JARC funding in compliance
with fonner 49 U.S.C. 5316 if your Applicant receives funding under former
49 U.S.C. 5316(c)(l)(B) or (C),
b. Any allocations to Subrecipients of JARC funding authorized by fonner
49 U .S.C. 5316 will be distributed on a fair and equitable basis,
c. As required by former 49 U.S.C. 5316:
(1) The Projects it has selected or will select for fonner 49 U.S.C. 5316 funding
must be derived from a public transit-human services transportation plan that
has been:
(a) Locally developed, and
(b) Coordinated, and
(2) That locally developed and coordinated plan was produced through a process
that included:
(a) Representatives of public, private, and nonprofit transportation
providers,
(b) Human service providers, and
( c) Participation by the public,
d. Before it transfers funds to a Project funded by former 49 U.S.C . 5336, that
Project has been or will have been coordinated with private nonprofit provide rs of
services as required under former 49 U .S.C. 5316(g)(2),
e . Before using funds apportioned for Projects serving an area other than that for
which funding was apportioned under former 49 U.S.C. 5316:
(1) The State's chief executive officer, or his or her designee, will have certified
that all the JARC program objectives of former 49 U .S .C. 5316 are being met
in the area from which the funding would be derived, and
(2) If the State has a statewide program for meeting the JARC program
objectives of former 49 U .S.C. 5316, the funds can be used for Projects
anywhere in the State, and
f. The requirements of fonner 49 U.S.C. 5307 will apply to the JARC Program,
authorized by fonner 49 U.S.C. 5316, and
2. The following Certifications for the JARC Program are required by former 49 U .S.C.
5307(d)(l) in effect in FY 2012 or a previous fiscal year, except as superseded by
MAP-21 cross-cutting requirements that apply. Therefore, except as FTA detennines
otherwise in writing, on its behalf, you certify that:
a. It has or will have, and will require each Subrecipient to have, the following to
carry out its proposed Project(s), including the safety and security aspects of its
proposed Project(s):
(1) The legal capacity,
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
2. It has or will have satisfactory continuing control over the use of Project equipment •
and facilities,
3. It will maintain its Project equipment and facilities adequately,
4. It will ensure that, during non-peak hours for transportation using or involving a
. facility or equipment of a Project financed under 49 U.S.C. 5307(h), the following
individuals will be charged a fare not exceeding fifty (50) percent of the peak hour
fare:
a. Any senior,
b. Any individual who, because of illness, injury, age, congenital malfunction, or
other incapacity or temporary or permanent disability (including an individual
who is a wheelchair user or has semi-ambulatory capability), cannot use a public
transportation service or a public transportation facility effectively without special
facilities, planning, or design,
c. Any individual presenting a Medicare card issued to that individual under title II
of the Social Security Act (42 U.S.C. 401 el seq.), or
d. Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
5 . When carrying out a procurement under 49 U.S.C. 5307(h), it will comply with the:
a. General Provisions of 49 U.S.C. 5323, and
b. Third Party Contract Provisions of 49 U.S.C. 5325,
6. As required by 49 U.S.C. 5307(d), it:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from sources approved by FT A, and -
c. Will provide the local share funds when needed,
7. As required by 49 U.S.C. 5307(c)(l)(H), it will comply with:
a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and
b. The Statewide and Nonmetropolitan Transportation Planning requirements of
49 u.s.c. 5304,
8. As required by 49 U.S.C. 5307(c)(l )(I), it has a locally developed process to solicit
and consider public comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation, and
9. . It will comply with the final Federal regulations, when issued, that implement the
safety plan requirements of 49 U.S.C. § 5329(d).
D. Job Access and Reverse Commute (JARC) Formula Grant Program.
If your Applicant seeks FT A funding for its Project under the Job Access and Reverse
Commute (JARC) Formula Grant Program.former 49 U.S.C. 5316 in effect in FY 2012
or a previous fiscal year, the Certifications in Group 15. C apply to your Applicant,
except as FT A determines othenvise in writing.
I . The following Certifications for the Job Access and Reverse Commute {JARC)
Formula Grant Program are required by former49 U.S .C. 5316 in effect in FY 2012
or a previous fiscal year, except as superseded by MAP-21 cross-cutting requirements
•
•
Ff A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
more), including:
(1) Increased lighting in or adjacent to a public transportation system (including
bus stops, subway stations, parking lots, and garages),
(2) Increased camera surveillance of an area in or adjacent to that system,
(3) Emergency telephone line or lines to contact law enforcement or security
personnel in an area in or adjacent to that system, and
(4) Any other Project intended to increase the security and safety of an existing
or planned public transportation, or
b. It will certify that such expenditures for transportation security Projects are not
necessary (Information about its intentions must be recorded in the "Security" tab
page of the TEAM-Web "Project Information" window when it submits its
Urbanized Area Formula Grants Program application in TEAM-Web),
12. If it serves an urbanized area with a population of at least 200,000 individuals:
a. Each fiscal year, it will ensure that at least one (1) percent of the amount
apportioned to the urbanized area is spent for Transit Enhancements, as defined
in former 49 U.S.C. 5302(a)(l5),
b. It will include in its quarterly report for the fourth quarter of the preceding Federal
fiscal year:
(1) A list of its Transit Enhancement Project Activities during that Federal fiscal
year using those former 49 U.S.C. 5307 funds, or
(2) Sufficient information to demonstrate that the Designated Recipients in its
urbanized area together have spent one ( 1) percent of the amount of funding
that must be made available to them for Transit Enhancements or have
included the same information in a separate report attached in TEAM-Web,
and
c. The report of its or the Designated Recipients' Transit Enhancement Projects or
Project Activities is or will be incorporated by reference and made part of its
Certifications and Assurances, and
13. It will comply with the final Federal regulations, when issued, that implement the
safety plan requirements of 49 U.S.C. § 5329(d).
C. Passenger Ferry Grant Program.
If your Applicant seeks FTAfundingfor its Project under the Passenger Ferry Grant
Program, 49 U.S.C. 5307(h}, the Certifications in Group 15.C apply to your Applicant,
except as FTA determines otherwise in writing.
The following Certifications for the Passenger Ferry Grant Program funding are required
by 49 U.S.C. 5307(h) and (c)(l). Therefore, except as FTA determines otherwise in
writing, on behalf of your Applicant, you certify that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of the proposed Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
d. Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
5. When carrying out a procurement under former 49 U.S.C. 5307 in effect in FY 2012
or a previous fiscal year, it will comply with the following provisions as amended by
MAP-21:
a. Competitive procurement (as defined or approved by FTA), as required by
49 U.S.C. 5325(a),
b. The prohibition against exclusionary or discriminatory specifications in its
procurements under 49 U.S.C. 5323(h),
c. "Buy America" under 49 U.S.C. 53230),
d. Applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m),
e. Applicable railcar option restrictions of 49 U.S.C. 5325(e), and
f. "Veterans Preference/Employment" under 49 U.S.C. 5325(k),
6. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325,
7. It:
a. Has or will make available to the public information on amounts available to it
under 49 U.S.C. 5307 and the Program of Projects it proposes to undertake,
b . Will develop or has developed, in consultation with interested parties, including
private transportation providers, a proposed Program of Projects for activities to
be financed,
c. Will publish or has published a proposed Program of Projects in a way that
affected citizens, private transportation providers, and local elected officials have
the opportunity to examine the proposed program and submit comments on the
proposed program and the Applicant or Recipient's performance,
d. Will provide or has provided an opportunity for a public hearing in which to
obtain the views of citizens on the proposed Program of Projects,
e. Will ensure or has ensured that the proposed Program of Projects provides for the
coordination of public transportation services assisted under 49 U.S.C. 5336 with
transportation services assisted from other U.S. Government sources,
f. Will consider or has considered comments and views received, especially those of
private transportation providers, in preparing the final Program of Projects, and
g. Will make or has made the final Program of Projects available to the public,
8. It:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from sources approved by FT A, and
c. Will provide the local share funds when needed,
9. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U .S.C. 5303, and 5304,
10. It has a locally developed process to solicit and consider public comment before:
a. Raising a fare, or
b. Implementing a major reduc tion of public transportation,
11. Each fiscal year:
a. At least one (1) percent of the 49 U.S.C . 5307 funding apportioned to an
urbanized area must be spent for public transportation security Projects (limited to
•
•
capital Projects if it serves an urbanized area with a population of200,000 or -
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
as defined in 49 U.S.C. 5302(1),
b. It will include in its quarterly report for the fourth quarter of the preceding Federal
fiscal year:
(1) A list of its Associated Transit Improvement Projects or Project Activities
during that Federal fiscal year using those 49 U.S.C. 5307 funds, or
(2) Sufficient information to demonstrate that the Designated Recipients in its
urbanized area together have spent one (1) percent of the funding apportioned
to the area for Associated Transit Improvement Projects or Project Activities,
or have included the same information in a separate report attached in
TEAM-Web, and
c. The report of its Associated Transit Improvement Projects or Project Activities is
or will be incorporated by reference and made part of its Certifications and
Assurances, and
12. It will comply with the final Federal regulations, when issued, that implement the
safety requirements of 49 U.S.C. § 5329(d).
B. Urbanized Area Formula Grants Program before MAP-21 Became Effective.
You must select the Certification in Group 15.B if your Applicant seeks funding under the
Urbanized Area Formula Grants Program financed with funds appropriated or made
available for former 49 U.S.C. 5307 in effect in FY 2012 or a previous fiscal year. In
administering this program, MAP-21 cross-cutting requirements supersede inconsistent
former requirements.
The following Certifications for the Urbanized Area Formula Grants Program are
required by former 49 U.S.C. 5307(d)(l} in effect in FY 2012 or a previous fiscal year,
except as superseded by MAP-21 cross-cutting requirements that apply instead.
Therefore, except as FT A determines otherwise in writing, on behalf of your Applicant,
you certify that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of Project(s}:
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately,
4. It will ensure that for transportation using or involving a facility or equipment of a
Project financed under former 49 U.S.C. 5307 in effect in FY 2012 or a previous
fiscal year, the following individuals will be charged a fare not exceeding fifty
(50) percent of the peak hour fare:
a. Any elderly individual,
b. Any handicapped individual, as described in 49 CFR part 27,
c. Any individual presenting a Medicare card issued to that individual under title II
of the Social Security Act (42 U.S.C. 401 et seq.), or
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
individuals, private transportation providers, and local elected officials will have •
an opportunity to examine and submit comments on the proposed Program of
Projects and its performance as an Applicant or Recipient,
d. Has provided or will provide an opportunity for a public hearing to obtain the
views of individuals on the proposed Program of Projects,
e. Has ensured or will ensure that the proposed Program of Projects provide for
coordination of transportation services funded by FTA under 49 U.S.C. 5336 with
transportation services supported by other United States Government sources,
f. Has considered or will consider the comments and views received, especially
those of private transportation providers, in preparing its final Program of
Projects, and
g. Has made or will make the final Program of Projects available to the public,
7. As required by 49 U.S.C. 5307(d), it:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from sources approved by Ff A, and
c. Will provide the local share funds when needed,
8. As required by 49 U.S.C. 5307(c)(l)(H), it will comply with:
a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and
b. The Statewide and Nonmetropolitan Transportation Planning requirements of
49 u.s.c. 5304,
9. As required by 49 U.S.C. 5307(c)(l)(I), it has a locally developed process to solicit
and consider public comment before: •
a. Raising a fare, or
b. Implementing a major reduction of public transportation,
10. Each fiscal year:
a. At least one (1) percent of the amount of the 49 U.S.C. 5307 funding apportioned
to the urbanized area must be expended for public transportation security Projects
as described in 49 U.S.C. 5307(cXl)(J)(i) including:
(1) Increased lighting in or adjacent to a public transportation system (including
bus stops, subway stations, parking lots, and garages),
(2) Increased camera surveillance of an area in or adjacent to that system,
(3) Providing emergency telephone line or lines to contact law enforcement or
security personnel in an area in or adjacent to that system, and
(4) Any other Project intended to increase the security and safety of an existing
or planned public transportation system, or
b. The Designated Recipients in its urbanized area certify that such expenditures for
transportation security Projects are not necessary (Information about the
intentions of your Designated Recipients in your Applicant's urbanized area must
be recorded in the "Security" tab page of the TEAM-Web "Project Information"
window when it submits its Urbanized Area Formula Grants Program application
in TEAM-Web),
1 1. If it serves an urbanized area with a population of at least 200,000 individuals, as
determined by the Bureau of the Census:
a. Each fiscal year, it will ensure that at least one ( 1) percent of the amount
apportioned to the urbanized area is spent for Associated Transit Improvements, 4I
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
Any provision of the Certifications in Group 15 I hat does not apply will not be enforced.
15.A. Urbanized Area Formula Grants Program under MAP-21.
If your Applicant seeks FTAfundingfor its Project under the Urbanized Area Formula
Grants Program, 49 U.S.C. 5307, as amended by MAP-21, the Certifications in
Group 15.A apply to your Applicant, except as FT A determines otherwise in writing.
The following Certifications for the Urbanized Area Formula Grants Program funding
appropriated or made available in FYs 2013 and 2014 are required by 49 U.S.C.
5307(c)(l). Therefore, except as FTA determines otherwise in writing, on behalf of your
Applicant, you certify that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of the proposed Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately,
4. It will ensure that, during non-peak hours for transportation using or involving a
facility or equipment of a Project financed under 49 U.S.C. 5307, the following
individuals will be charged a fare not exceeding fifty (50) percent of the peak hour
fare:
a. Any senior,
b. Any individual who, because of illness, injury, age, congenital malfunction, or
other incapacity or temporary or permanent disability (including an individual
who is a wheelchair user or has semi-ambulatory capability), cannot use a public
transportation service or a public transportation facility effectively without special
facilities, planning, or design,
c. Any individual presenting a Medicare card issued to that individual under title II
of the Social Security Act (42 U.S.C. 401 et seq.), or
d. Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
5. When carrying out a procurement under 49 U.S .C. 5307, it will comply with the:
a. General Provisions of 49 U.S.C. 5323, and
b. Third Party Contract Provisions of 49 U.S.C. 5325,
6. It has complied with or will comply with 49 U.S.C. 5307(b), because it:
a. Has made or will make available to the public information on amounts of its
funding available to it under 49 U.S.C. 5307,
b. Has developed or will develop, in consultation with interested parties, including
private transportation providers, a proposed Program of Projects for activities to
be funded,
c. Has published or will publish a Program of Projects in a way that affected
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of those Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately, and
4. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U.S.C. 5303 and 5304.
GROUP 15. URBANIZED AREA FORMULA GRANTS PROGRAMS,
PASSENGER FERRY GRANT PROGRAM, AND
JOB ACCESS AND REVERSE COMMUTE (JARC)
FORMULA GRANT PROGRAM.
The Certifications in Group 15 are required for funding under:
15.A. The Urbanized Area Formula Grants Programfinancedwithfunds appropriated
or made available for 49 U.S.C. 5307, as amended by MAP-21, which among
other things, authorizes funding for Job Access and Reverse Commute (JARC)
Projects and Project Activities,
15.B. The Urbanized Area Formula Grants Program financed with funds appropriated
or made available for former 49 U.S. C. 5307 in effect in FY 2012 or a previous
fiscal year, except as superseded by MAP-21 cross-cutting requirements that
apply,
15. C. The Passenger Ferry Grant Program financed with funds appropriated or made
available/or 49 U.S.C. 5307(h), as amended by MAP-21, and
15. D. The Job Access and Reverse Commute (JARC) Formula Grant Program financed
withfimds approprialed or made available for former 49 U.S.C. 5316 in effect in
FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross-cutting
requirements that apply.
Before FTA may provide funding for your Applicant's Project under any of /he Programs
listed above, in addition to other Certifications and Assurances you must select on its
behalf, you must also select the Certifications in Group 15, except as FTA determines
otherwise in writing.
•
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, oblaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant. 4lt
•
•
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
funding available to it under 49 U.S.C. 5339,
b. Has developed or will develop, in consultation with interested parties, including
private transportation providers, a proposed Program of Projects for activities to
be funded,
c. Has published or will publish a Program of Projects in a way that affected
individuals, private transportation providers, and local elected officials will have
an opportunity to examine and submit comments on the proposed Program of
Projects and its performance as an Applicant or Recipient,
d. Has provided or will provide an opportunity for a public hearing to obtain the
views of individuals on the proposed Program of Projects,
e. Has ensured or will ensure that the proposed Program of Projects provide for
coordination of transportation services funded by FTA under 49 U.S.C. 5336 with
transportation services supported by other United States Government sources,
f. Has considered or will consider the comments and views received, especially
those of private transportation providers, in preparing its final Program of
Projects, and
g. Has made or will make the final Program of Projects available to the public,
7. As required by 49 U.S.C. 5307(d), it:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from sources approved by FT A, and
c. Will provide the local share funds when needed,
8. It will comply with:
a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and
b. The Statewide and Nonmetropolitan Transportation Planning requirements of
49 u.s.c. 5304,
9. It has a locally developed process to solicit and consider public comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation, and
l 0. It will comply with the final Federal regulations, when issued, that implement the
safety plan requirements of 49 U.S.C. § 5329(d) ..
14.B. Bus and Bus Related Equipment and Facilities Grant Program
(Discretionary).
If your Applicant seeks FTAfundingfor its Project under the Bus and Bus Related
Equipment and Facilities Grant Program (Discretionary),former 49 U.S.C. 5309 in
effect in FY 2012 or a previous fiscal year, the Certifications in Group 14.B below apply
to your Applicant, except as FTA determines otherwise in writing.
The following Certifications for the Bus and Bus Related Equipment and Facilities Grant
Program (Discretionary) funding are required by former 49 U.S.C. 5309(c)(2), which
applies the requirements of former 49 U.S.C. 5307(d)(l)(A), (8), (C), and (H) in effect in
FY 2012 or a previous fiscal year to this Program except as superseded by MAP-21
cross-cutting requirements that apply. Therefore, except as FT A determines otherwise in
writing, on behalf of your Applicant, you certify that:
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications in Group 14 that does not apply will not be enforced
14.A. Bus and Bus Facilities Formula Grants Program
ff your Applicant seeks FTAfundingfor its Project under the Bus and Bus Facilities
Formula Grants Program, 49 U.S.C. 5339, the Certifications in Group 14.A below apply
to your Applicant, except as FTA determines otherwise in writing.
The following Certification for Bus and Bus Facilities Formula Grants Program funding
are required by 49 U.S.C. 5339(b), which states that "[t]he requirements of section 5307
apply to recipients of grants made under this section." Therefore, except as FT A
determines otherwise in writing, on behalf of your Applicant, you certify that:
I. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its proposed Project(s):
a. Legal capacity,
b. Financial capacity, and A
c. Technical capacity, W
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately,
4 . It will ensure that, during non-peak hours for transportation using or involving a
facility or equipment of a Project financed under 49 U.S.C.5339, the following
individuals will be charged a fare not exceeding fifty (50) percent of the peak hour
fare:
a. Any senior,
b. Any individual who, because of illness, injury, age, congenital malfunction, or
other incapacity or temporary or permanent disability (including an individual
who is a wheelchair user or has semi-ambulatory capability), cannot use a public
transportation service or a public transportation facility effectively without special
facilities, planning, or design,
c. Any individual presenting a Medicare card issued to that individual under title II
of the Social Security Act (42 U.S.C. 401 et seq.), and
d. Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S .C . 1395 et seq.),
5. When carrying out a procurement under 49 U.S.C.5339, it will comply with the:
a. General Provisions of 49 U.S.C . 5323, and
b. Third Party Contract Provisions of 49 U.S.C. 5325,
6. It has c omplied with or will comply with 49 U .S.C . 5307(b), because it:
a. Has made or will make available to the public information on amounts of its •
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited lo, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants lo assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certification in Group 13 that does not apply will not be enforced
Former 49 U.S.C. 5309(b)(2) and former 49 U.S.C. 5307(d)(l) in effect in FY 2012 or a
previous fiscal year, except as superseded by MAP-21 cross-cutting requirements that
apply, require the following Certifications for Fixed Guideway Modernization Grant
Program funding. Therefore, except as FT A determines otherwise in writing, on behalf
of your Applicant, you certify that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of the proposed Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately, and
4. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U.S.C. 5303 and 5304.
GROUP 14. BUS AND BUS FACILITIES FORMULA GRANTS PROGRAM AND
BUS AND BUS RELATED EQUIPMENT AND FACILITIES GRANT PROGRAM
(DISCRETIONARY).
The Certifications in Group 14 are required/or funding under:
14.A. The Bus and Bus Facilities Formula Grants Program, 49 U.S.C. 5339, as
amended by MAP-21, and
14.B. The Bus and Bus Related Equipment and Facilities Grant Program
(Discretionary),former 49 U.S.C. 5309(b)(3) in effect in FY 2012 or a previous
fiscal year, except as superseded by MAP-21 cross cutting requirements that
apply.
Before FTA may provide funding for your Applicant's Project under either Program
listed above, in addition to other Certifications and Assurances you must select on its
behalf, you must also select the Certifications in Group 14, except as FTA determines
otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
b. The Statewide and Nonmetropolitan Transportation Planning requirements of •
49 u.s.c. 5304.
GROUP 12. STATE OF GOOD REPAIR PROGRAM.
Certain Certifications and Assurances listed previously are required/or the State of
Good Repair Program funding under 49 US.C. 5337.
Before FTA may providefundingfor your Applicant's Project under the State of Good
Repair Program, 49 US.C. 5337,for your Applicant's Project, in addition to other
Certifications and Assurances you must select on its behalf, you must also select the
Certifications in Group I 2, except as FTA determines otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Assurance in Group 12 that does not apply will not be enforced
On behalf of your Applicant, you certify that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of the Project(s):
a. Legal capacity.
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately, and
4. It will comply with:
a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and
b. The Statewide and Nonmetropolitan Transportation Planning requirements of
49 u.s.c. 5304.
GROUP 13. FIXED GUIDEWAY MODERNIZATION GRANT PROGRAM.
Before FT A may provide funding for your Applicant's Project under the Fixed Guideway
Modernization Grant Program.former 49 US.C. 5309 in effect in FY 2012 or a previous
fiscal year, in addition to other Certifications and Assurances you must select on its
behalf, you must also select the Certifications in Group 13, except as FTA determines
otherwise in writing. •
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
requirements apply have complied or will comply with all applicable requirements of
49 CFR part 655 to the extent those regulations are consistent with 49 U.S.C. 5331,
and
3. Consistent with U.S. DOT Office of Drug and Alcohol Policy and Compliance
Notice, issued October 22, 2009, if your Applicant, its Subrecipients, or Third Party
Contractors to which these testing requirements apply reside in a State that pennits
marijuana use for medical or recreational purposes, your Applicant, its Subrecipients,
and Third Party Contractors to which these testing requirements apply have complied
or will comply with the Federal controlled substance testing requirements of 49 CFR
part 655.
GROUP 11. FIXED GUIDEWAY CAPITAL INVESTMENT GRANTS PROGRAM
(NEW STARTS, SMALL ST ARTS, AND CORE CAPACITY) AND
CAPITAL INVESTMENT PROGRAM IN EFFECT BEFORE MAP-21.
The Certifications in Group 11 apply to the New Starts, Small Starts, or Core Capacity
Programs, 49 U.S.C. 5309.
Before FTA may providefundingfor your Applicant's New Starts, Small Starts, or Core
Capacity Project in addition to other Certifications and Assurances you must select on its
behalf, you must also select the Certifications in Group 11, except as FTA may determine
otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications in Group 11 that does not apply will not be enforced
Except as FTA detennines otherwise in writing, on behalf of your Applicant, you certify
that:
I. It has or will have the following capabilities to carry out its proposed Project(s),
including the safety and security aspects of the Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately, and
4. It will comply with:
a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
~ •
2. Comply with the final Federal regulations when issued that implement the transit
asset management provisions of 49 U.S.C. 5326.
9.B. Public Transportation Agency Safety Plan.
If your Applicant applies for funding under 49 U.S.C. chapter 53 and it is a State
government, local government, or any other operator of a public transportation system,
the Public Transportation Safety Plan Cerlifications in Group 09.B apply to your
Applicant, except as FT A determines olherwise in writing.
On behalf of your Applicant, you certify that it will:
1. Follow the Federal guidance, when issued, that will implement the safety plan
provisions of 49 U.S.C. § 5329(d), except as FTA determines otherwise in writing,
and
2. Comply with the final Federal regulations, when issued, that implement the safety
plan requirements of 49 U.S.C. § 5329(d).
GROUP 10. ALCOHOL AND CONTROLLED SUBSTANCES TESTING.
If your Applicant must comply with the alcohol and controlled substance testing
requirements of 49 U.S.C. 5331 and its implementing regulations, before FTA may
provide funding for your Applicant's Project, in addition to other Certifications and
Assurances you mus/ select on your Applicant's behalf, you must also select the
Certifications in Group JO, except as FTA may determine othenvise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on ils behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we slrongly encourage your Applicant to take appropriale
measures, including, but not limited to, obtaining sufjicienl documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications in Group JO that does not apply will not be enforced.
As required by 49 U.S.C. 5331, and FTA regulations, "Prevention of Alcohol Misuse and
Prohibited Drug Use in Transit Operations," 49 CFR part 655, subpart I, specifically 49
CFR 655.83, on behalf of your Applicant, including a State Applicant, and on behalf of
its Subrecipients and Third Party Contractors, you certify that:
1. Your Applicant, its Subrecipients, and Third Party Contractors to which these testing
requirements apply have established and implemented:
a. An alcohol misuse testing program, and
b. A controlled substance testing program,
2. Your Applicant, its Subrecipients, and Third Party Contractors to which these testing •
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
applies to your Applicant, except as Fl A determines otherwise in writing.
On behalf of your Applicant, you certify and assure that, as required by FT A regulations,
"Capital Leases," 49 CFR part 639, specifically 49 CFR 639.15(b)(l) and 49 CFR
639.21, if your Applicant acquires any capital asset through a lease financed with Federal
funding appropriated or made available for 49 U.S.C. chapter 53:
1. It will not use Federal funding appropriated or made available for public
transportation projects eligible under 49 U.S.C. chapter 53 or any other applicable
law to finance the cost of leasing any capital asset until:
a. It performs calculations demonstrating that leasing the capital asset would be
more cost-effective than purchasing or constructing a similar asset, and
b. It completes these calculations before the later of:
(1) Entering into the lease, or
(2) Receiving a capital grant for the asset, and
2. It will not enter into a capital lease for which FT A can provide only incremental
Federal funding unless it has adequate financial resources to meet its future lease
obligations if Federal funding is not available.
GROUP 09. TRANSIT ASSET MANAGEMENT PLAN AND
PUBLIC TRANSPORTATION AGENCY SAFETY PLAN.
Before FTA may provide funding appropriated or made available for 49 U.S.C.
chapter 53 to support your Applicant's Project, in addition to other Certifications and
Assurances you must select on your Applicant 's behalf, you must also select the
Certifications in Group 09, except as FIA determines otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications in Group 09 that does not apply will not be enforced
9.A. Transit Asset Management Plan.
If your Applicant applies for funding appropriated or made available for 49 U.S. C.
chapter 53, the Transit Asset Management Certifications in Group 09.A apply to your
Applicant, except as FTA determines otherwise in writing.
On behalf of your Applicant, you certify that it and each Subrecipient will:
1. Follow Federal guidance when issued that implements transit asset management
system provisions of 49 U.S.C. 5326, except as FTA determines otherwise in writing,
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
chapter 5 3 to support interest or financing costs of any Project financed under the •
Urbanized Area Formula Grants Program, Fixed Guideway Capital Investment Grants
Program, or another program as FTA may specify, or finance leasing costs, in addition
to other Certifications and Assurances you must select on your Applicant's behalf. you
must also select the Certifications in Group 08, except as FTA may determine otherwise
in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself. any Subrecipient, or
other Third Party Participant in its Project, except as FT A determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications and Assurances in Group 08 that does not apply will
not be enforced.
8.A. Interest and Financing Costs.
If your Applicant intends to use FTAfimding to support interest or other financing costs
for Projects funded by the Urbanized Area Formula Grants Program, Fixed Guideway
Capital Investment Grants Program, or another program as FTA may specify, the
Interest and Financing Costs Certifications in Group 08.A apply lo your Applicant,
except as FTA determines otherwise in writing.
On behalf of your Applicant, you certify that:
1. It will not seek reimbursement for interest or other financing costs unless:
a. It is eligible to receive Federal funding for those costs, and
b. Its records demonstrate that it has shown reasonable diligence in seeking the most
favorable financing terms, to the extent FT A may require, and
2. It will comply with the same favorable financing cost provisions for:
a. Urbanized Area Formula Grants Projects,
b. Projects under Full Funding Grant Agreements,
c. Projects with Early Systems Work Agreements,
d. Fixed Guideway Capital Investment Projects funded by previous FT A enabling
legislation,
e. State of Good Repair Projects,
f. Bus and Bus Facilities Projects, and
g. Low or No Emission Vehicle Development Projects.
8.B. Acquisition of Capital Assets by Lease.
If your Applicant seeks FTAfunding to acquire capital assets through a lease, the
Acquisition of Capital Assets by Lease Certifications and Assurances in Group 08.B •
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
a. Provided in the most integrated setting feasible, and
b. Equivalent to the service it offers individuals without disabilities with respect to:
(1) Response time,
(2) Fares,
(3) Geographic service area,
(4) Hours and days of service,
(5) Restrictions on priorities based on trip purpose,
(6) Availability of information and reservation capability, and
(7) Constraints on capacity or service availability.
GROUP 07. INTELLIGENT TRANSPORTATION SYSTEMS.
Before FTA may provide funding/or an Intelligent Transportation Systems (ITS) Project
or a Project in support of an ITS Project, in addition to other Certifications and
Assurances you must select on your Applicant's behalf, you must also select the
Intelligent Transportation Systems Assurances in Group 07, except as FTA determines
otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Assurances in Group 07 that does not apply will not be enforced.
On behalf of your Applicant, you and your Applicant:
I. Understand that, as used in this assurance, the term Intelligent Transportation
Systems (ITS) Project is defined to include any Project that, in whole or in part,
finances the acquisition of technologies or systems of technologies that provide or
significantly contribute to the provision of one or more ITS user services as defined in
the "National ITS Architecture," and
2. Assure that, as provided in 23 U.S.C. 517(d), any ITS Project it undertakes that is
funded with appropriations made available from the Highway Trust Fund, including
amounts made available to deploy ITS facilities or equipment, will conform to the
appropriate regional ITS architecture, applicable standards, and protocols developed
under 23 U.S.C. 517(a) or (c), unless it obtains a waiver as provided in 23 U.S.C.
517(d)(2).
GROUP 08. INTEREST AND FINANCING COSTS AND ACQUISITION OF
CAPITAL ASSETS BY LEASE.
Before FTA may provide funding appropriated or made available for 49 U.S.C.
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
model. and
b. It will not authorize final acceptance of the bus until:
(1) The bus has been tested at FTA' s bus testing facility, and
(2) It has received a copy of the test report prepared on that new bus model,
3. It will ensure that the bus that is tested has met the performance standards consistent
with those regulations, including:
a. Performance standards for:
(1) Maintainability.
(2) Reliability,
(3) Performance (including braking performance),
(4) Structural integrity,
(5) Fuel economy,
(6) Emissions, and
(7) Noise, and
b. Minimum safety performance standards established under 49 U.S.C. 5329, and
4. After FTA has issued regulations authorized by 49 U.S.C. 5318(e)(2), it will ensure
that the bus that is tested has received a passing aggregate test score under the
"Pass/Fail" standard established by regulation.
GROUP 06. DEMAND RESPONSIVE SERVICE.
If your Applicant is a public entity, operates demand responsive service, and seeks FT A
fonding to acquire a non-rail vehicle that is not accessible, before FTA may provide
funding/or that Project, in addition to other Certifications and Assurances you must
select on your Applicant's behalf. you must also select the Demand Responsive Service
Certifications in Group 06, except as FTA determines otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself. any Subrecipient, or
other Third Party Participant in its Project, except as FT A determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications in Group 06 that does not apply will not be enforced
As required by U.S. DOT regulations, "Transportation Services for Individuals with
Disabilities (ADA)," 49 CFR part 37, specifically 49 CFR 37.77(d), on behalf of your
Applicant, you certify that:
1. Your Applicant offers public transportation services equivalent in level and quality of
service to:
a. Individuals with disabilities, including individuals who use wheelchairs, and
b. Individuals without disabilities, and
2. Viewed in its entirety, its service for individuals with disabilities is: •
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining siif.ficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications in Group 05 that does not apply will not be enforced.
5.A. Rolling Stock Reviews.
If your Applicant seeks FTA/unding to acquire rolling stock/or use in revenue service,
the Certifications in Group 05.A apply to your Applicant, except as FTA determines
otherwise in writing.
On behalf of your Applicant, you certify that when procuring rolling stock for use in
revenue service:
I. It will comply with:
a. Federal transit laws, specifically 49 U.S.C. 5323(m), and
b. FTA regulations, "Pre-Award and Post-Delivery Audits of Rolling Stock
Purchases," 49 CFR part 663, and
2. As provided in 49 CFR 663.7:
a. It will conduct or cause to be conducted the required pre-award and post-delivery
reviews, and
b. It will maintain on file the Certifications required by 49 CFR part 663, subparts B,
C, and D.
5.8. Bus Testing.
If your Applicant seeks FTA/unding to acquire a new bus model, the Bus Testing
Certifications in Group 05.B apply to your Applicant, except as FTA determines
otherwise in writing.
On behalf of your Applicant, you certify that:
1. Bus Testing requirements apply to all acquisitions of new buses and new bus models
that require bus testing, and it will comply with:
a. 49 U.S.C. 5318, and
b. FTA regulations, "Bus Testing," 49 CFR part 665, to the extent these regulations
are consistent with 49 U.S.C. 5318,
2. As required by 49 CFR 665. 7, when acquiring the first bus of any new bus model or a
bus model with a major change in components or configuration:
a. It will not spend any Federal funds appropriated under 49 U.S.C. chapter 53 to
acquire that bus until:
(1) That bus has been tested at FTA's bus testing facility, and
(2) That bus has received a copy of the test report prepared on that new bus
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
a. Your Applicant, when it becomes a Recipient of Federal funding appropriated or -
made available for:
(1) Federal transit laws, 49 U.S.C. chapter 53,
(2) 23 U.S.C. 133 or 142, or
(3) Any other Act that provides Federal public transportation assistance, unless
otherwise excepted, and
b. Any Third Party Participant that receives Federal funding derived from:
(1) Federal transit laws, 49 U.S.C. chapter 53,
(2) 23 U.S.C. 133 or 142, or
(3) Any other Act that provides Federal public transportation assistance, unless
otherwise excepted,
3. A Third Party Participant includes any:
a. Subrecipient at any tier,
b. Lessee,
c. Third Party Contractor or Subcontractor at any tier, and
d. Other Third Party Participant in the Project,
4. You and your Applicant agree, and will obtain the agreement of any Third Party
Participant involved in your Applicant's Project, that it will not engage in school bus
operations in competition with private operators of school buses, except as permitted
under:
a. Federal transit laws, specifically 49 U.S.C. 5323(t) and (g),
b. FTA regulations, "School Bus Operations," 49 CFR part 605, to the extent •
consistent with 49 U.S.C. 5323(t) and (g),
c. Any other Federal School Bus regulations, or
d. Federal guidance, except as FTA determines otherwise in writing,
5. You and your Applicant agree that the latest School Bus Agreement you have
selected on its behalf in FT A's latest annual Certifications and Assurances is
incorporated by reference in and made part of the underlying Agreement
accompanying an award of FT A funding, and
6. You and your Applicant agree that after it is a Recipient, if it or any Third Party
Participant has violated this School Bus Agreement, FT A may:
a. Bar your Applicant or Third Party Participant from receiving further Federal
transit funds, or
b. Require the Applicant or Third Party Participant to take such remedial measures
as FT A considers appropriate.
GROUP 05. ROLLING STOCK REVIEWS AND BUS TESTING.
Before FTA may provide funding for a Project to acquire rolling stock/or use in revenue
service or to acquire a new bus model, in addition to other Certifications and Assurances
you must selecl on your Applicant's behalf, you must also select the Rolling Stock
Reviews and Bus Testing Certifications in Group 05, except as FTA determines otherwise
in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and •
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
latest annual Certifications and Assurances, and
(2) These corrective measures and remedies may include:
(a) Barring it or any Third Party Participant operating public transportation
under the Project that has provided prohibited charter service from
receiving FT A funds,
(b) Withholding an amount of Federal funds as provided by Appendix D to
FT A's Charter Service regulations, or
(c) Any other appropriate remedy that may apply, and
2. In addition to the exceptions to the charter service restrictions in FTA's Charter
Service Regulations, FTA has established the following additional exceptions to those
restrictions:
a. FTA's Charter Service restrictions do not apply to your Applicant if it seeks
funding appropriated or made available for 49 U.S.C. 5307 and 5311, to be used
for Job Access and Reverse Commute (JARC) activities that would have been
eligible for assistance under repealed 49 U.S.C. 5316 in effect in FY 2012 or a
previous fiscal year, provided that it uses that FT A funding for those program
purposes only,
b. FTA's Charter Service restrictions do not apply to your Applicant ifit seeks
funding appropriated or made available for 49 U.S.C. 5310, to be used for New
Freedom activities that would have been eligible for assistance under repealed
49 U.S.C. 5317 in effect in FY 2012 or a previous fiscal year, provided it uses that
FTA funding for those program purposes only, and
c. An Applicant for assistance under 49 U.S.C. chapter 53 will not be determined to
have violated the FT A Charter Service regulations if that Recipient provides a
private intercity or charter transportation operator reasonable access to that
Recipient's federally funded public transportation facilities, including intermodal
facilities, park and ride lots, and bus-only highway lanes, as provided in 49 U.S.C.
5323(r).
4.C. School Bus Agreement.
If your Applicant seeks FTAfunding to acquire or operate transit facilities or equipment,
the School Bus Agreement in Group 04. C applies to your Applicant, except as FI' A
determines otherwise in writing.
To comply with 49 U.S.C. 5323(f) and (g) and FTA regulations, "School Bus
Operations," 49 CFR part 605, to the extent consistent with 49 U.S.C. 5323(f) and (g), on
behalf of your Applicant, you are entering into the following School Bus Agreement:
1. FTA's "School Bus Operations" regulations restrict school bus operations using
facilities and equipment acquired with Federal funding derived from:
a. Federal transit laws, 49 U.S.C. chapter 53,
b. 23 U.S.C. 133 or 142, or
c . Any other Act that provides Federal public transportation assistance, unless
otherwise excepted,
2. FTA's school bus operations restrictions extend to:
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
a. FT A's Charter Service regulations restrict transportation by charter service using •
facilities and equipment acquired by Recipients of FT A funding for transportation
Projects with Federal funding derived from:
(1) Federal transit laws, 49 U.S.C. chapter 53,
(2) 23 U.S.C. 133 or 142, or
(3) Any other Act that provides Federal public transportation assistance, unless
otherwise excepted,
b. FTA's charter service restrictions extend to:
(1) Your Applicant, when it becomes a Recipient of Federal funding
appropriated or made available for:
(a) Federal transit laws, 49 U.S.C. chapter 53,
(b) 23 U.S.C. 133 or 142, or
(c) Any other Act that provides Federal public transportation assistance,
unless otherwise excepted, and
(2) Any Third Party Participant that receives Federal funding derived from:
(a) Federal transit laws, 49 U.S.C. chapter 53,
(b) 23 U.S.C. 133 or 142, or
(c) Any other Act that provides Federal public transportation assistance,
unless otherwise excepted,
c. A Third Party Participant includes any:
(1) Subrecipient at any tier,
(2) Lessee,
(3) Third Party Contractor or Subcontractor at any Tier, and -
(4) Other Third Party Participant in its Project,
d. You and your Applicant agree that neither it nor any governmental authority or
publicly owned operator that receives Federal public transportation assistance
appropriated or made available for its Project will engage in charter service
operations, except as permitted under:
(1) Federal transit laws, specifically 49 U.S.C. 5323(d) and (g),
(2) FT A regulations, "Charter Service," 49 CFR part 604, to the extent consistent
with 49 U.S.C. 5323(d) and (g),
(3) Any other Federal Charter Service regulations, or
(4) Federal guidance, except as FTA determines otherwise in writing,
e. You and your Applicant agree that the latest Charter Service Agreement it has
selected in its latest annual Certifications and Assurances is incorporated by
reference in and made part of the underlying Agreement accompanying an award
ofFTA funding, and
f. You and your Applicant agree that:
( 1) FT A may require corrective measures or impose remedies on it or any
governmental authority or publicly owned operator that receives FT A
funding appropriated or made available for its Project that has engaged in a
pattern of violations of FT A's Charter Service regulations by:
(a) Conducting charter operations prohibited by Federal transit laws and
FTA's Charter Service regulations, or
(b) Otherwise violating its Charter Service Agreement it has elected in its •
•
•
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Assurances and Agreements in Group 04 that does not apply will not
be enforced.
4.A. Private Property Protections.
If your Applicant is a State, local government, or Indian tribal government and seeks
FTAfunding to acquire the property of a private transit operator or operate public
transportation in competition with or in addition to a public transportation operator, the
Private Property Protections Assurances in Group 04.A apply to your Applicant, except
as FTA determines otherwise in writing.
To facilitate FTA's ability to make the findings required by 49 U.S.C. 5323(a)(l), on
behalf of your Applicant, you assure that:
I. It has or will have:
a. Determined that the funding is essential to carrying out a Program of Projects as
required by 49 U.S.C. 5303, 5304, and 5306,
b. Provided for the participation of private companies engaged in public
transportation to the maximum extent feasible, and
c. Paid just compensation under State or local laws to the company for any franchise
or property acquired, and
2. It has completed the actions described in Group 4.A.l of this Certification before it:
a. Acquires the property or an interest in the property of a private provider of public
transportation, or
b. Operates public transportation equipment or facilities:
(I) In competition with transportation service provided by an existing public
transportation operator, or
(2) In addition to transportation service provided by an existing public
transportation operator.
4.B. Charter Service Agreement.
If your Applicant seeks FTAfunding to acquire or operate transit facilities or equipment,
the Charter Service Agreement in Group 04.B applies to your Applicant, except as FTA
determines otherwise in writing.
To comply with 49 U.S.C. 5323(d) and (g) and FTA regulations, "Charter Service,"
49 CFR part 604, specifically 49 CFR 604.4, on behalf of your Applicant, you are
entering into the following Charter Service Agreement:
I. FTA's "Charter Service" regulations apply as follows:
'
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
(4) Other third party agreements under a: •
(a) Federal grant or cooperative agreement, or
(b) Federal loan, line of credit, loan guarantee, or loan insurance,
3. It understands that:
a. This Certification is a ll!aterial representation of fact that the Federal government
relies on, and •
b. It must submit this Certification before the Federal government may award
funding for a transaction covered by 31 U.S.C. 1352, including a:
(l) Federal grant or cooperative agreement, or
(2) Federal loan, line of credit, loan guarantee, or loan insurance, and
4. It also understands that any person who does not file a required Certification will
incur a civil penalty of not less than $10 ,000 and not more than $100,000 for each
such failure.
GROUP 03. PROCUREMENT AND PROCUREMENT SYSTEMS.
We request that you select the Procurement and Procurement Systems Certification in
Group 03 on behalf of your Applicant, especially ifit is a State, local, or Indian tribal
government with a certified procurement system, as provided in 49 CFR 18.36(g)(3)(ii).
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or •
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certification in Group 03 that does not apply will not be enforced.
On behalf of your Applicant, you certify that its procurements and its procurement
system will comply with all Federal laws and regulations in accordance with applicable
Federal guidance, except to the extent FTA has approved otherwise in writing.
GROUP 04. PRIVATE SECTOR PROTECTIONS.
Before FTA may providefundingfor a Project that involves the acquisition of public
transportation property or operation of public transportation facilities or equipment, in
addition to other Certifications you must select on your Applicant's behalf, you must also
select the Private Property Protections Assurances in Group 04.A and enter into the
Agreements in Group 04. B and Group 04. Con behalf of your Applicant, except as FT A
determines otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself, any Subrecipient, or •
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Ff A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, including, but not limited to, obtaining sufficient documentation from each
Subrecipient and other Third Party Participants to assure the validity of the applicable
Certifications and Assurances selected on behalf of your Applicant.
Any provision of the Certifications in Group 02 that does not apply will not be enforced.
On behalf of your Applicant, you certify that:
1. As required by 31 U.S.C. 1352 and U.S. DOT regulations, "New Restrictions on
Lobbying," specifically 49 CFR 20.110:
a. The lobbying restrictions of this Certification apply to its requests:
(1) For $100,000 or more in Federal funding for a grant or cooperative agreement,
and
(2) For $150,000 or more in Federal funding for a loan, line of credit, or loan
guarantee, and
b. Your Certification on its behalf applies to the lobbying activities of:
(l) It,
(2) Its Principals, and
(3) Its Subrecipients at the first tier,
2. To the best of your knowledge and belief:
a. No Federal appropriated funds have been or will be paid by or on its behalf to any
person to influence or attempt to influence:
( 1) An officer or employee of any Federal agency regarding the award of a:
(a) Federal grant or cooperative agreement, or
(b) Federal loan, line of credit, loan guarantee, or loan insurance, and
(2) A Member of Congress, an employee of a member of Congress, or an officer
or employee of Congress regarding the award of a:
(a) Federal grant or cooperative agreement, or
(b) Federal loan, line of credit, loan guarantee, or loan insurance,
b. It will submit a complete 0MB Standard Form LLL (Rev. 7-97), "Disclosure of
Lobbying Activities," consistent with its instructions, if any funds other than
Federal appropriated funds have been or will be paid to any person to influence or
attempt to influence:
(1) An officer or employee of any Federal agency regarding the award of a:
(a) Federal grant or cooperative agreement, or
(b) Federal loan, line of credit, loan guarantee, or loan insurance, and
(2) A Member of Congress, an employee of a member of Congress, or an officer
or employee of Congress regarding the award of a:
(a) Federal grant or cooperative agreement, or
(b) Federal loan, line of credit, loan guarantee, or loan insurance, and
c. It will include the language of this Certification in the award documents for all
subawards at all tiers, including, but not limited to:
(1) Third party contracts,
(2) Subcontracts,
(3) Subagreements, and
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
subchapter A, parts 1, 2, 3, and 4, -
h. To the extent applicable, obtain a certificate of compliance with the seismic
design and construction requirements of U.S. DOT regulations, "Seismic Safety,"
49 CFR part 41, specifically 49 CFR 41.117( d), before accepting delivery of any
FT A funded building,
i. Comply with, and assure that its Subrecipients located in special flood hazard
areas comply with, section 102(a) of the Flood Disaster Protection Act of 1973, as
amended, 42 U.S.C. 4012a(a), by:
(1) Participating in the Federal flood insurance program, and
(2) Purchasing flood insurance if the total cost of insurable construction and
acquisition is $10,000 or more,
j. Comply with:
(1) The Hatch Act, 5 U.S.C. 1501 -1508, 7324 -7326, which limits the political
activities of State and local agencies and their officers and employees whose
primary employment activities are financed in whole or part with Federal
funds, including a Federal loan, grant agreement, or cooperative agreement,
and
(2) 49 U.S.C. 5323(1)(2) and 23 U.S.C. 142(g), which provide an exception from
Hatch Act restrictions for a nonsupervisory employee of a public
transportation system (or of any other agency or entity performing related
functions) receiving FTA funding appropriated or made available for
49 U.S.C. chapter 53 and 23 U.S.C. 142(a)(2) to whom the Hatch Act does
not otherwise apply,
k . Perform the financial and compliance audits as required by the:
(1) Single Audit Act Amendments of 1996, 31 U.S.C. 7501 et seq.,
(2) U.S. 0MB Circular A-133, "Audits of States, Local Governments, and Non-
Profit Organizations," Revised, and
(3) Most recent applicable U.S. 0MB A-133 Compliance Supplement provisions
for the U .S. DOT,
I. Comply with all other Federal laws or regulations that apply, and
m. Follow Federal guidance governing it and its Project, except to the extent that
FT A has expressly approved otherwise in writing.
GROUP 02 . LOBBYING.
Before FT A may provide funding for a Federal grant or cooperative agreement
exceeding $100,000 or a Federal loan, line of credit, loan guarantee, or loan insurance
exceeding$ I 50,000, in addition to other Certifications and Assurances you must select
on your Applicant's behalf. you must also select the Lobbying Certifications in Group 02,
unless your Applicant is an Indian Tribe exempt from the requirements of 31 U.S. C. 13 5 2
or FT A determines otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to its Project, itself. any Subrecipie nt, or
other Third Party Participant in its Project, except as FTA determines otherwise in •
•
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FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
(3) The Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C.
3701 et seq.,
f. It will comply with any applicable environmental standards that may be
prescribed to implement Federal laws and executive orders, including, but not
limited to:
(1) Following the institution of environmental quality control measures under the
National Environmental Policy Act of 1969, as amended, 42 U.S.C. 4321 -
4335 and Executive Order No. 11514, as amended, 42 U.S.C. 4321 note,
(2) Following the notification of violating facilities provisions of Executive
Order No. 11738, 42 U.S.C. 7606 note,
(3) Following the protection of wetlands provisions of Executive Order
No. 11990, 42 U.S.C. 4321 note,
(4) Following the evaluation of flood hazards in floodplains provisions of
Executive Order No. 11988, 42 U.S.C. 4321 note,
(5) Complying with the assurance of Project consistency with the approved State
management program developed pursuant to the Coastal Zone Management
Act of 1972, as amended, 16 U.S.C. 1451 -1465,
(6) Complying with the Conformity of Federal Actions to State (Clean Air)
Implementation Plans requirements under section 176( c) of the Clean Air Act
of 1955, as amended, 42 U.S.C. 7401 -767lq,
(7) Complying with the protections for underground sources of drinking water
under the Safe Drinking Water Act of 1974, as amended, 42 U.S.C. 300f-
300j-6,
(8) Complying with the protections for endangered species under the Endangered
Species Act of1973, as amended, 16 U.S.C. 1531-1544,
(9) Complying with the environmental protections for Federal transportation
programs, including, but not limited to, protections for parks, recreation
areas, or wildlife or waterfowl refuges of national, State, or local significance
or any land from a historic site of national, State, or local significance to be
used in a transportation Project, as required by 49 U.S.C. 303,
(10) Complying with the protections for national wild and scenic rivers systems,
as required under the Wild and Scenic Rivers Act of 1968, as amended,
16 U.S.C. 1271-1287, and
(11) Complying with and facilitating compliance with:
(a) Section 106 of the National Historic Preservation Act of 1966, as
amended, 16 U.S.C. 470f,
(b) The Archaeological and Historic Preservation Act of 1974, as amended,
16 U .S.C. 469 -469c, and
(c) Executive Order No. 11593 (identification and protection of historic
properties), 16 U.S.C. 470 note,
g. To the extent applicable, comply with the following Federal requirements for the
care, handling, and treatment of warmblooded animals held or used for research,
teaching, or other activities supported by Federal funding:
(1) The Animal Welfare Act, as amended, 7 U.S.C. 2131 et seq., and
(2) U.S. Department of Agriculture regulations, "Animal Welfare," 9 CFR
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
£ Displaced Partnerships, corporations, or associations, -(c) As provided by 42 U.S.C. 4625 and 49 CFR part 24, it will provide
relocation assistance programs offering the services described in the
U .S. DOT regulations to such displaced:
l Families and individuals, and
2 Partnerships, corporations, or associations,
(d) As required by 42 U.S.C. 4625(c)(3), within a reasonable time before
displacement, it will make available comparable replacement dwellings
to families and individuals,
(e) It will:
l Carry out the relocation process to provide displaced persons with
uniform and consistent services, and
2 Make available replacement housing in the same range of choices
with respect to such housing to all displaced persons regardless of
race, color, religion, or national origin,
(f) It will be guided by the real property acquisition policies of 42 U.S .C.
4651 and 4652,
(g) It will pay or reimburse property owners for their necessary expenses as
specified i n 42 U.S.C. 4653 and 4654, understanding that FTA will
provide Federal funding for its eligible costs for providing payments for
those expenses, as requ ired by 42 U.S.C. 4631,
(h) It will execute the necessary implementing amendments to FT A funded
third party contracts and subagreements,
(i) It will execute, furnish, and be bound by such additional documents as
FTA may determine necessary to effectuate or implement these
assurances,
(i) It will incorporate these assurances by reference into and make them a
part of any third party contract or subagreement, or any amendments
thereto, relat ing to any FTA funded Project involving relocation or land
acquisition, and
(k) It will provide in any affected document that these relocation and land
acquisition provisions must supersede any conflicting provisions,
c. It will comply with the Lead-Based Paint Poisoning Prevention Act, specifically
42 U .S.C. 4831 (b ), which prohibits the use of lead-based paint in the construction
or rehabilitation of residence structures,
d. It will, to the extent applicable, comply with the protections for human subjects
involved in research, development, and related activities supported by Federal
funding of:
(1) The National Research Act, as amended, 42 U.S.C. 289 et seq., and
(2) U.S. DOT regulations, ''Protection of Human Subjects," 49 CFRpart 11 ,
e . It will, to the extent applicable, comply with the labor standards and protections
for federally funded Projects of:
(1) The Davis-Bacon Act, as amended, 40 U.S.C. 3141 -3144, 3146, and 3147,
(2) Sections 1 and 2 of the Copeland "Anti-Kickback" Act, as amended,
18 U.S.C. 874, and 40 U .S.C. 3145, respectively, and •
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
(3) The prohibitions against discrimination on the basis of age in federally
funded programs, as provided in the Age Discrimination Act of 1975, as
amended, 42 U.S.C. 6101 -6107,
(4) The prohibitions against discrimination on the basis of disability in federally
funded programs, as provided in section 504 of the Rehabilitation Act
of 1973, as amended, 29 U.S.C. 794,
(5) The prohibitions against discrimination on the basis of disability, as provided
in the Americans with Disabilities Act of 1990, as amended, 42 U.S.C. 12101
et seq.,
(6) The prohibitions against discrimination in the sale, rental, or financing of
housing, as provided in Title VIII of the Civil Rights Act, 42 U.S.C. 3601
et seq.,
(7) The prohibitions against discrimination on the basis of drug abuse, as
provided in the Drug Abuse Office and Treatment Act of 1972, as amended,
21 U.S.C. 1101 et seq.,
(8) The prohibitions against discrimination on the basis of alcohol abuse, as
provided in the Comprehensive Alcohol Abuse and Alcoholism Prevention
Act of 1970, as amended, 42 U.S.C. 4541 et seq.,
(9) The confidentiality requirements for records of alcohol and drug abuse
patients, as provided in the Public Health Service Act, as amended, 42 U.S.C.
290dd -290dd-2, and
(10) The nondiscrimination provisions of any other statute(s} that may apply to its
Project,
b. As provided by the Uniform Relocation Assistance and Real Property Acquisition
Policies Act of 1970, as amended (Uniform Relocation Act}, 42 U.S.C. 4601
et seq., and 49 U.S.C. 5323(b), regardless of whether Federal funding has been
provided for any of the real property acquired for Project purposes:
(1) It will provide for fair and equitable treatment of displaced persons or
persons whose property is acquired as a result of federally funded programs,
and
(2} It has the necessary legal authority under State and local laws and regulations
to comply with:
(a) The Uniform Relocation Act. 42 U.S.C. 4601 et seq., as specified by
42 U.S.C. 4630 and 4655, and
(b) U.S. DOT regulations, "Uniform Relocation Assistance and Real
Property Acquisition for Federal and Federally Assisted Programs," 49
CFR part 24, specifically 49 CFR 24.4, and
(3) It has complied with or will comply with the Uniform Relocation Act and
implementing U.S. DOT regulations because:
(a) It will adequately inform each affected person of the benefits, policies,
and procedures provided for in 49 CFR part 24,
(b) As required by 42 U.S.C. 4622, 4623, and 4624, and 49 CFR part 24, if
an FT A funded Project results in displacement, it will provide fair and
reasonable relocation payments and assistance to :
l Displaced families or individuals, and
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
entities or individuals, as required, including, but not limited to the:
(1) FTA,
(2) The Comptroller General of the United States, and
(3) State, through an authorized representative, if appropriate,
c. It will establish a proper accounting system in accordance with generally accepted
accounting standards or FT A guidance, and
d. It will establish safeguards to prohibit employees from using their positions for a
purpose that results in:
(1) A personal or organizational conflict of interest, or personal gain, or
(2) The appearance of a personal or organizational conflict of interest or personal
gain,
2. Project Specifics. On behalf of your Applicant, you assure that:
a. Following receipt of an FTA award, it will begin and complete Project work
within the time periods that apply,
b. For FTA funded construction Projects:
(1) It will comply with FTA provisions concerning the drafting, review, and
approval of construction plans and specifications,
(2) It will provide and maintain competent and adequate engineering supervision
at the construction site to assure that the completed work conforms with the
approved plans and specifications,
(3) It will include a covenant to assure nondiscrimination during the useful life
of its Project in its title to federally funded real property,
(4) To the extent FTA requires, it will record the Federal interest in the title to
FT A funded real property or interests in real property, and
(5) It will not alter the site of the FTA funded construction Project or facilities
without permission or instructions from FT A by:
(a) Disposing of the underlying real property or other interest in the site and
facilities,
(b) Modifying the use of the underlying real property or other interest in the
site and facilities, or
(c) Changing the terms of the underlying real property title or other interest
in the site and facilities, and
c. It will furnish progress reports and other information as FT A or the State may
require, and
3. Statutory and Regulatory requirements. On behalf of your Applicant, you assure that:
a. It will comply with all Federal statutes relating to nondiscrimination that apply,
including, but not limited to:
( 1) The prohibitions against discrimination on the basis of race, color, or national
origin, as provided in Title VI of the Civil Rights Act, 42 U.S.C. 2000d,
(2) The prohibitions against discrimination on the basis of sex, as provided in:
(a) Title IX of the Education Amendments of 1972, as amended, 20 U.S.C.
1681 -1683, and 1685 -1687, and
(b) U.S. DOT regulations, "Nondiscrimination on the Basis of Sex in
Education Programs or Activities Receiving Federal Financial
Assistance," 49 CFR part 25, •
•
•
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
governmental entity (Federal, State, or local) with commission of any of the
offenses listed in the preceding subsection l .E.2. b of this Certification,
d. It has not had one or more public transactions (Federal, State, or local) terminated
for cause or default within a three-year period preceding this Certification,
e. If, at a later time, it receives any information that contradicts the statements of
subsections 2.a -2.d above, it will promptly provide that information to FT A,
f. It will treat each lower tier contract or lower tier subcontract under its Project as a
covered lower tier contract for purposes of 2 CFR part 1200 and 2 CFR part 180 if
it:
(1) Equals or exceeds $25,000,
(2) Is for audit services, or
(3) Requires the consent of a Federal official, and
g. It will require that each covered lower tier contractor and subcontractor:
(1) Comply and facilitate compliance with the Federal requirements of 2 CFR
parts 180 and 1200, and
(2) Assure that each lower tier participant in its Project is not presently declared
by any Federal department or agency to be:
(a) Debarred from participation in its federally funded Project,
(b) Suspended from participation in its federally funded Project,
( c) Proposed for debarment from participation in its federally funded
Project,
(d) Declared ineligible to participate in its federally funded Project,
(e) Voluntarily excluded from participation in its federally funded Project,
or
(f) Disqualified from participation in its federally funded Project, and
3. It will provide a written explanation as indicated on a page attached in FTA's TEAM-
Web or the Signature Page if it or any of its principals, including any of its first tier
Subrecipients or its Third Party Participants at a lower tier, is unable to certify
compliance with the preceding statements in this Certification Group 0 1.E.
1.F. U.S. 0MB Assurances in SF-424B and SF-424D.
The assurances in Group 01.F are consistent with the U.S. 0MB assurances required in
the U.S. 0MB SF-424B and SF-424D, updated as necessary to reflect changes in Federal
laws and regulations.
1. Administrative Activities. On behalf of your Applicant, you assure that:
a. For every Project described in any application it submits, it has adequate
resources to properly plan, manage, and complete its Project, including the:
(1) Legal authority to apply for Federal funding,
(2) Institutional capability,
(3) Managerial capability, and
(4) Financial capability (including funds sufficient to pay the non-Federal share
of Project cost),
b. It will give limited access and the right to examine Project-related materials to
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
5307(c)(l)(D)(ii), you assure that: •
a. It will comply with the following prohibitions against discrimination on the basis
of disability listed in Group 1.D.4.b below, of which compliance is a condition of
approval or extension of any FT A funding awarded to:
(1) Construct any facility,
(2) Obtain any rolling stock or other equipment,
(3) Undertake studies,
(4) Conduct research, or
(5) Participate in or obtain any benefit from any FTA administered program, and
b. In any program or activity receiving or benefiting from Federal funding that
U.S. DOT administers, no qualified people with a disability will, because of their
disability, be:
(1) Excluded from participation,
(2) Denied benefits, or
(3) Otherwise subjected to discrimination.
l.E. Suspension and Debarment Certification.
On behalf of your Applicant, you certify that:
1. It will comply and facilitate compliance with U.S. DOT regulations,
"Nonprocurement Suspension and Debannent," 2 CFR part 1200, which adopts and
supplements the U.S. Office of Management and Budget (U.S. 0MB) "Guidelines to •
Agencies on Governmentwide Debarment and Suspension (Nonprocurement),"
2 CFR part 180,
2. To the best of its knowledge and belief, that its Principals and Subrecipients at the
first tier:
a. Are eligible to participate in covered transactions of any Federal department or
agency and are not presently:
(1) Debarred,
(2) Suspended,
(3) Proposed for debannent,
( 4) Declared ineligible,
(5) Voluntarily excluded, or
(6) Disqualified,
b. Its management has not within a three-year period preceding its latest application
or proposal been convicted of or had a civil judgment rendered against any of
them for:
(1) Commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (Federal, State, or local)
transaction, or contract under a public transaction,
(2) Violation of any Federal or State antitrust statute, or
(3) Commission of embezzlement, theft, forgery, bribery, falsification or
destruction of records, making any false statement, or receiving stolen
property,
c. It is not presently indicted for, or otherwise criminally or civilly charged by a •
FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
(1) While the property is used for the purpose that the Federal funding is
extended, and
(2) While the property is used for another purpose involving the provision of
similar services or benefits,
e. The United States has a right to seek judicial enforcement of any matter arising
under:
(1) Title VI of the Civil Rights Act, 42 U.S.C. 2000d,
(2) U.S. DOT regulations, 49 CFR part 21, and
(3) This assurance,
f. It will make any changes in its Title VI implementing procedures, as U.S . DOT or
FT A may request, to comply with:
(1) Title VI of the Civil Rights Act, 42 U.S.C. 2000d,
(2) U.S. DOT regulations, 49 CFR part 21, and
(3) Federal transit laws, 49 U.S.C. 5332,
g. It will comply with Federal guidance issued to implement Federal
nondiscrimination requirements, except as FT A determines otherwise in writing,
h. It will extend the requirements of 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR
part 21 to each Third Party Participant, including any:
(1) Subrecipient,
(2) Transferee,
(3) Third Party Contractor or Subcontractor at any tier,
(4) Successor in Interest,
(5) Lessee, or
(6) Other participant in its Project, except FTA and the Applicant (that later
becomes the Recipient),
i. It will include adequate provisions to extend the requirements of 49 U.S.C. 5332,
42 U.S.C. 2000d, and 49 CFR part 21 to each third party agreement, including
each:
(1) Subagreement at any tier,
(2) Property transfer agreement,
(3) Third party contract or subcontract at any tier,
( 4) Lease, or
( 5) Participation agreement, and
J. The assurances you have made on its behalf remain in effect as long as FT A
determines appropriate, including, for example, as long as:
(1) Federal funding is extended to its Project,
(2) Its Project property is used for a purpose for which the Federal funding is
extended,
(3) Its Project property is used for a purpose involving the provision of similar
services or benefits,
(4) It retains ownership or possession of its Project property, or
(5) FTA may otherwise determine in writing, and
4. As required by U.S . DOT regulations, "Nondiscrimination on the Basis of Handicap
in Programs and Activities Receiving or Benefiting from Federal Financial
Assistance," 49 CFR part 27, specifically 49 CFR 27.9, and consistent with 49 U.S.C .
FT A FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
submitted or will submit each application for Federal funding to the appropriate State and •
local agencies for intergovernmental review, to facilitate compliance with those
regulations.
1.D. Nondiscrimination Assurance.
On behalf of your Applicant, you assure that:
I. It will comply with the following laws and regulations so that no person in the United
States will be denied the benefits of, or otherwise be subjected to, discrimination in
any U.S. DOT or FTA funded program or activity (particularly in the level and
quality of transportation services and transportation-related benefits) on the basis of
race, color, national origin, religion, sex, disability, or age:
a. Federal transit laws, specifically 49 U.S.C. 5332(prohibiting discrimination on the
basis of race, color, religion, national origin, sex, disability, age, employment, or
business opportunity),
b. Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000d,
c. The Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, et seq.,
d. The Americans with Disabilities Act of 1990, as amended, 42 U.S.C. 12101
et seq.,
e. 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,
f. U .S. DOT regulations, specifically 49 CFR parts 27, 37, 38, and 39, and •
g. Any other applicable Federal statutes that may be signed into law or Federal
regulations that may be promulgated,
2. It will comply with Federal guidance implementing Federal nondiscrimination laws
and regulations, except to the extent FTA determines otherwise in writing,
3. As required by 49 CFR 21.7:
a. It will comply with 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR part 21 in the
manner:
(1) It conducts each Project,
(2) It undertakes property acquisitions, and
(3) It operates its Project facilities, including:
(a) Its entire facilities, and
(b) Its facilities operated in connection with its Project,
b. This assurance applies to its entire Project and to all parts of its facilities,
including the facilities it operates to implement its Project,
c. It will promptly take the necessary actions to carry out this assurance, including:
(I) Notifying the public that discrimination complaints about transportation-
related services or benefits may be filed with U.S. DOT or FTA, and
(2) Submitting information about its compliance with these provisions to
U.S. DOT or FIA upon their request,
d. If it transfers FTA funded real property, structures, or improvements to another
party, any deeds and instruments recording that transfer will contain a covenant
running with the land assuring nondiscrimination: •
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
FEDERAL FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES FOR
FEDERAL TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS
(Signature page alternative to providing Certifications and Assurances in TEAM-Web)
Name or Applicant; C.··1 ~ l u? fflly /~....., noJ, L o/o,,.G.,J,,
The Applicant aerees to comply with applicable provisions or Groups 01-24. __
OR
The Applicant agrees to comply with applicable provisions of the Groups It has selected:
~
01.
02.
03.
04.
OS.
06.
07.
08.
09.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
21.
22.
23.
24 .
Description
Required Certifications and Assurances for Each Applicant
Lobbying.
Procurement and Procurement Systems.
Private Sector Protections.
Rolling Stock Reviews and Bus Testing.
Demand Responsive Service.
Intelligent Transportation Systems.
Interest and Financing Costs and Acquisition of Capital Assets by Lease.
Transit Asset Management Plan and Public Transportation Agency Safety Plan.
Alcohol and Controlled Substances Testing.
Fixed Guideway Capital Investment Grants Program (New Starts, Small Starts, and Core
Capacity) and Capital Investment Program in Effect before MAP-21.
State of Good Repair Program.
Fixed Guideway Modernization Grant Program.
Bus and Bus Facilities Fonnula Grants Program and Bus and Bus Related Equipment and
Facilities Grant Program (Discretionary).
Urbanized Area Fonnula Grants Programs, Passenger Ferry Grants Program, and Job Access
and Reverse Commute (JARC) Program.
Seniors/Elderly/Individuals with Disabilities Programs and New Freedom Program.
Rural/Other Than Urbanized Areas/ Appalachian Development/Over-the-Road Bus
Accessibility Programs.
Public Transportation on Indian Reservations Programs (also known as the Tribal Transit
Programs).
Low or No Emission/Clean Fuels Grant Programs.
Paul S. Sarbanes Transit in Parks Program.
State Safety Oversight Program.
Public Transportation Emergency Relief Program.
Expedited Project Delivery Pilot Program.
Infrastructure Finance Programs.
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FTA FISCAL YEAR 2014 CERTIFICATIONS AND ASSURANCES
have an opportunity to examine and submit comments on the proposed -
Program of Projects and its performance as an Applicant or Recipient,
(4) Has provided or will provide an opportunity for a public hearing to obtain the
views of individuals on the proposed Program of Projects,
(5) Has ensured or will ensure that the proposed Program of Projects provide for
coordination of public transportation services funded by FTA under
49 U.S.C. 5336 and the SIB Program with federally funded transportation
services supported by other United States Government sources,
(6) Has considered or will consider the comments and views received, especially
those of private transportation providers, in preparing its final Program of
Projects, and
(7) Has made or will make the final Program of Projects available to the public,
g. It:
(1) Has or will have the amount of funds required for the local share by the SIB
Program, but not less than twenty-five (25) percent of each capitalization
grant,
(2) Will provide the local share funds from sources approved by FT A, and
(3) Will provide the local share funds when needed,
h. It will comply with the:
(1) The Metropolitan Transportation Planning requirements of 49 U.S.C . 5303,
and
(2) The Statewide and Nonmetropolitan Planning requirements of 49 U.S.C.
5304, •
1. It has a locally developed process to solicit and consider public comment before:
( 1) Raising a fare, or
(2) Implementing a major reduction of public transportation, and
j. It will comply with the final Federal regulations, when issued, that implement the
safety plan requirements of 49 U.S.C. § 5329(d),
2. As required by 49 U.S.C. chapter 53, it certifies that it will not seek reimbursement
for interest and other financing costs incurred in connection with its Project unless:
a. It is eligible to receive Federal funding for those expenses, and
b. Its records demonstrate that it has used reasonable diligence in seeking the most
favorable financing terms underlying those costs, to the extent FT A may require,
and
3. It agrees that it will adopt a transit asset management plan that complies with
regulations implementing 49 U.S .C. 5326(d).
Selection and Signature Page(s) follow.
•
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•
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FTA FISCAL YEAR2014 CERTIFICATIONS AND ASSURANCES
FEDERAL FISCAL YEAR 2014 FTA CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE
<Required of elJ Applicants for FTA fundjng and au ffA Grantees with an active Capjtal or Formula Project)
AFFIRMATION OF APPLICANT
Name of the Applicant: __ c_· _, _,r ;1,__D_,_/ _____ E_~--::'.lf-'(_&,....-.... 0 ..... oJ--+l-c.,;:;()_/..;;;;.a_,~=J ......... o _______ _
Name and Relationship of the Authorized Representative: _,R~c.'-'-"".:J"-.:l-'l'/'---'e'-.:;..._.:..A.;::;e;... ... .;..;"'-=--+l~M.:..,.. .... IJy/ ... (i.'.:;;;.-___ _
BY SIGNING BELOW, on behalf of the Applicant, I declare that it has duly authorized me to make these
Certifications and Assurances and bind its compliance. Thus, it agrees to comply with all Federal statutes and
regulations, and follow applicable Federal guidance, and comply with the Certifications and Assurances as indicated on
the foregoing page applicable to each application its Authorized Representative makes to the Federal Transit
Administration (FTA) in Federal Fiscal Year 2014, irrespective of whether the individual that acted on his or her
Applicant's behalf continues to represent it.
FT A intends that the Certifications and Assurances the Applicant selects on the other side of this document should
apply to each Project for which it seeks now, or may later seek FT A funding during Federal Fiscal Year 2014.
The Applicant affinns the truthfulness and accuracy of the Certifications and Assurances it has selected in the
statements submitted with this document and any other submission made to FT A, and acknowledges that the Program
Fraud Civil Remedies Act of1986, 31 U.S.C. 3801 et seq., and implementing U.S. DOT regulations, "Program Fraud
Civil Remedies," 49 CFR part 31, apply to any certification, assurance or submission made to FT A. The criminal
provisions of 18 U.S.C. 1001 apply to any certification, assurance, or submission made in connection with a Federal
public transportation program authorized by 49 U.S.C. chapter 53 or any other statute
In signing this document, I declare under penalties of perjury that the foregoing Certifications and Assurances, and any
other statements made by me on behalf of the Applicant are true and accurate.
Signature ______________________ _
Name Randy P. Penn, Mayor
Authorized Representative of Applicant
AFFIRMATION OF APPLICANT'S ATTORNEY
Date: ______ _
For (Name of Applicant): __ C_i_t_y_o_f __ E_n_g_l_e_w_o_o_d_,_C_o_l_o_r_a_d_o ________ _
As the undersigned Attorney for the above named Applicant, I hereby affirm to the Applicant that it has authority under
State, local, or tribal government law, as applicable, to make and comply with the Certifications and Assurances as
indicated on the foregoing pages. I further affirm that, in my opinion, the Certifications and Assurances have been
legally made and constitute legal and binding obligations on it
I further affirm that, to the best of my knowledge, there is no legislation or litigation pending or imminent that might
adversely affect the validity of these Certifications and Assurances, or of the performance of its FT A Project or
Projects.
Signature ______________________ _ Date: ______ _
Name Daniel L. Brotzman, City Attorney
Attorney for Applicant
Each Applicant for FT A funding ond each FT A Grantee with an active Capital or Formula Project must provide an
Affirmation of Applicant's Attorney pertaining to the Applicant's legal capacity. The Applicant may enter its signature
in lieu of the Attorney's signature, provided the Applicant has on file this Affirmation, signed by the attorney and dated
this Federal fiscal year .
•
INTERGOVERNMENTAL AGREEMENT ENGLEWOOD LIGHT RAIL CORRIDOR
NEXT STEPS STUDY
PARTIES
City of Englewood, Colorado (Englewood)
City of Sheridan, Colorado (Sheridan)
This Intergovernmental Agreement ("IGA" or "Agreement") is made and entered into on
the _____________ day of _______ , 2014, by
and between the City of Englewood, a Colorado home rule municipality acting bf and
through its Community Development Department, hereinafter referred to as
"Englewood", and the City of Sheridan, a Colorado home rule municipality, hereinafter
referred to as "Sheridan"; collectively referred to as "Parties".
RECITALS
Englewood and Sheridan are authorized by state statute and their respective home rule
charters to enter into intergovernmental agreements for the sharing and or provision of
services.
Englewood and the Regional Transportation Department ("RTD") have entered into an
intergovernmental agreement regarding funding assistance for the development of a
Station Area Master Plan Next Steps Study ("Plan") for the area designated as the
Bates, Englewood and Oxford Station areas located adjacent to the Southwest Light
Rail transit line.
The Plan's objectives are to provide a strategic road map for local government actions
that can foster development, advance the design of transportation improvements all of
which support the Denver Regional Council of Governments Station Areas / Urban
Center Studies Eligibility and Evaluation Criteria and RTD's Transit Oriented
Development policy.
The Plan is funded by a grant in the amount of Two Hundred and Forty Thousand
Dollars ($240,000) from the Federal Highway Administration, which is administered by
RTD and calls for a match of Fifty Thousand Dollars ($50,000) in funds provided by
Englewood plus Ten Thousand Dollars ($10,000) of in-kind project management billable
hours.
The Denver Regional Council of Governments requested that Englewood partner with
Sheridan in order to study the following Sheridan transportation infrastructure
improvements within the scope of the Plan :
I > ..
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• Oxford Avenue Protected Bikeway-Oxford Station to Fort Logan
• Oxford Station Pedestrian Bridge (Tunnel-Station Connection to west side of Santa
Fe Drive).
Sheridan finds that the above infrastructure improvements would be of
benefit to the community and desires to enter into an intergovernmental
agreement with Englewood under which it would contribute Ten Thousand
Dollars ($10,000) which will leverage an additional Forty Thousand Dollars
($40,000) of federal grant funds for development of the Plan.
TERMS AND CONDITIONS
Englewood will serve as the PI an' s Project Manager. Sheridan will be kept apprised
of all correspondence between the Englewood project manager, RTD, and the
Consultant who will develop the Plan.
Sheridan representatives will be invited by Englewood to participate in the consultant
proposal selection process. Englewood reserves the right to have final decision
making authority over the selection of the consultant team.
Sheridan shall upon execution of the IGA submit its Ten Thousand Dollar ($10,000)
local match to Englewood, which will manage hourly consultant billing and
reimbursable expenses. Sheridan's local match will be accounted for separately
from Englewood's funds and records of such expenditures shall be provided to
Sheridan upon its request. The cost as determined by the Consultant for the "Sheridan
Transportation Improvements: Alternatives Development, Design, and Evaluation"
portion of the Plan will be paid exclusively from Sheridan's local match . Any additional
funds leveraged by Sheridan's local match will be used to f u n d the following Project
tasks that are needed to perform the "City of Sheridan Alternatives Development,
Design, and Evaluation" portion of the Plan:
• Project Kick Off: Agency Coordination and Public Involvement Plan
• Study Area Data Collection and Conditions Assessment
Should the amount of federal funds made available for the PI an be less than Two
Hundred Forty Thousand ($240,000), the federal funding shall be split between
Englewood and Sheridan at an Eighty (80) percent ratio to Englewood and Twenty (20)
percent ratio to Sheridan.
This Agreement will remain in place until the Plan's final Project deliverables from
the Consultant have been accepted by the Parties.
Should the Station Area Master Plan between Englewood and RTD be
terminated for any reason, this Ag re e m e n t shall terminate and any
unencumbered and unspent funds deposited by Sheridan shall be returned upon the
4
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closing of the Project.
Any notices, bills, invoices, or other documents required by this Agreement shall be
sufficiently delivered if sent by the parties in the United States mail, postage prepaid, or
by email to the parties at the following addresses:
Ci of Sheridan
4101 So. Federal Blvd. 1000 Englewood Parkway
Sheridan, CO 80110 En lewood, CO 8011 O
Attn: Devin Granbery, City Manager Attn: Gary Sears, City Manager
d ranbe ci.sheridan.co.us
Miscellaneous.
a. Assignment. Except as otherwise provided in this Agreement, no party may
assign the Agreement and/or any of its rights and obligations hereunder without the prior
written consent of the other parties.
b. Merger. This Agreement represents the entire agreement between the parties
with respect to the subject matter hereof and all prior agreements, understandings, or
negotiations shall be deemed merged herein. No representations, warranties, promises,
or agreements, express or implied, shall exist between the parties, except as stated
herein.
c. Amendment. No al'!lendment to this Agreement shall be made or deemed to
have been made unless in writing, as agreed upon and executed by all parties.
d. Governing Law. This Agreement shall be interpreted and enforced according to
the laws of the State of Colorado. Venue for any action hereunder shall be in Arapahoe
District Court, Colorado.
e. Authority. The parties represent that each has taken all actions that are
necessary or that are required by its procedures, bylaws, or applicable law to legally
authorize the undersigned signatories to execute this Agreement on behalf of the parties
and to bind the parties to its terms.
f. Severabi/ity. To the extent that this Agreement may be executed and
performance of the obligations of the parties may be accomplished within the intent of
the Agreement, the terms of the Agreement are severable, and should any term or
provision hereof be declared invalid or become inoperative for any reason, such
invalidity, or failure shall not affect the validity of any other terms or provision hereof .
g. Waiver. The waiver of any breach of a term hereof shall not be construed as a
'
waiver of any other term, or the same term upon a subsequent breach.
h. No Third Party Beneficiaries. It is expressly understood and agreed that
enforcement of the terms and conditions of this Agreement and all rights of action
relating to such enforcement, shall be strictly reserved to the parties hereto and nothing
contained in this Agreement shall give or allow any such claim or right of action by any
other or third person under this Agreement. It is the express intention of the parties to
this Agreement that any person or entity other than the parties receiving services or
benefits under this Agreement be deemed an incidental beneficiary only.
i. Changes in Law. This Agreement is subject to such modifications as may be
required by changes in state or federal law. Any modification shall be discussed and
agreed upon by the parties and be incorporated in this Agreement by a written
amendment signed by the parties.
j. Counterparts. This Agreement may be executed in counterparts. Signatures on
separate originals shall constitute and be of the same effect as signatures on the same
original. Electronic and faxed signatures shall constitute original signatures.
IN WITNESS WHEREOF, the parties have executed this Agreement.
-CITY OF ENGLEWOOD, COLORADO
Randy P. Penn, Mayor
ATTEST:
Loucrishia A. Ellis, City Clerk
CITY OF SHERIDAN, COLORADO
Dallas Hall, Mayor
ATTEST: APPROVED AS TO FORM:
Arlene Sagee, City Clerk William P . Hayashi, City Attorney
6
COUNCIL COMMUNICATION
Date: Agenda Item: Subject:
May 19, 2014 9 a iii Englewood Light Rail Corridor Next Steps Study
Intergovernmental Agreement (IGA) between the City of
Englewood and the Regional Transportation District
(RTD), and Intergovernmental (IGA) between the City of
Englewood and the City of Sheridan
Initiated By: Staff Source:
Community Development Department John Voboril, Planner II
PREVIOUS COUNCIL ACTION
Council was informed about the opportunity to apply for a second round of light raiktation area planning
funding for "Next Step" studies at the July 8, 2013 Council study session . Council was briefed on the
progress in developing an IGA between the City and RTD, as well as a separate agreement with the City of
Sheridan allowing Sheridan to participate as a secondary partner.
RECOMMENDED ACTION
• Staff recommends Council adopt a Bill for an Ordinance to authorize an /GA between the City of
Englewood and RTD for the purpose of conducting the Englewood Light Rail Corridor Next Steps Study,
and a separate IGA between the City of Englewood and City of Sheridan to allow the City of Sheridan to
contribute financially and participate in the plan process as a secondary partner.
BACKGROUND AND ANALYSIS
The Englewood Light Rail Corridor Next Steps Study is intended to take a closer, more comprehensive look
at various implementation projects identified in the Englewood Light Rail Corridor Station Area Master Plan.
The key project goals are described as follows:
• Provide a strategic road map of sequential actions which local governments can take to foster
redevelopment as depicted in the vision of the Englewood Light Rail Corridor Station Area Master
Plan .
• Advance the design of specific transportation improvements in a way that will maximize the
potential for project funding and implementation through the DRCOG TIP process, as well as other
direct federal grant opportunities.
• Comply with and address all of the relevant points articulated within the criteria described by the
DRCOG Station Area/Urban Center Studies Eligibility Criteria and the RTD TOD Policy.
The study will be comprised of the following elements:
• Project Kickoff: Agency Coordination And Public Involvement Plan
• Real Estate Development Feasibility Analysis and Marketing/Implementation Strategy
• Englewood Transportation Improvements: Alternatives Development, Design, and Evaluation
• Sheridan Transportation Improvements: Alternatives Development, Design, and Evaluation
• Floyd Avenue/Englewood Parkway Extension and Bus Transfer/Piazza Redesign Planning and
Environmental Linkages (PEL) Study
FINANCIAL IMPACT
The City of Englewood's matching fund contribution of $40,000 is included in the 2014 capital project
budget The City is also contributing an in-kind match of $10,000 in City project management staff time.
The City of Sheridan's matching fund contribution of $10,000 will be transferred to the City of Englewood
for the purposes of grant administration.
ATTACHMENTS
Proposed Bill for an Ordinance
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