HomeMy WebLinkAbout2009-107 Planning - NCDOT - Nonurbanized Area Public Transporation Agreement-Public Body Organizations Community Trans Prog Sec 5311STATE OF NORTH CAROLINA
COUNTY OF WAKE
NORTH CAROLINA
DEPARTMENT OF TRANSPORTATION
and
ORANGE COUNTY
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Please return this copy to
Clerk to the Board's office for PAF
NONURBANIZED AREA
PUBLIC TRANSPORTATION
GRANT AGREEMENT FOR
PUBLIC BODY ORGANIZATIONS
COMMUNITY TRANSPORTATION
PROGRAM - SECTION 5311
CFDA NUMBER: 20.509
PROJECT NUMBER: 10 -CT -056
THIS AGREEMENT made this theA day of <- , 20Z� (hereinafter referred to as
AGREEMENT) by and between the NORTH CAROLINA DEPARTMENT OF
TRANSPORTATION (hereinafter referred to as "Department ", an agency of the State of North
Carolina) and ORANGE COUNTY, (acting in its capacity as the designated Section 5311
recipient hereinafter referred to as the "Contractor ").
WHEREAS, Chapter 53 of 49 U.S.C. app 5311 et seq. (formerly Section 18 program)
provides federal administrative, operating, and capital assistance for public transportation in
rural and small urban areas by way of a formula grant program to be administered by the State;
and
WHEREAS, the purpose of 49 U.S.C. 5311 is to enhance access of people in
nonurbanized areas for purposes such as health care, shopping, education, recreation, public
services, and employment by encouraging the maintenance, development, improvement, and
use of public passenger transportation systems; and
WHEREAS, the Contractor has been designated as the recipient of 49 U.S.C. 5311
funds, and
WHEREAS, Article 2B of Chapter 136 of the North Carolina General Statutes (N.C.G.S.)
designated the Department of Transportation as the agency of the State of North Carolina
responsible for administering all Federal and /or State programs relating to public transportation,
and granted the Department authority to do all things required under applicable Federal and /or
State legislation to properly administer the public transportation within the State of North
Carolina; and
WHEREAS, the Governor of North Carolina, in accordance with Section 631.4 of the Safe,
Accountable, Flexible, and Efficient Transportation Equity Act - A Legacy for Users (SAFETEA-
LU), Public Law 109 -59, August 10, 2005, and the Transportation Equity Act for the 21St Century
(TEA -21), Public Law 105 -178, June 1998, as amended, has designated the North Carolina
Department of Transportation as the agency to receive and administer Federal funds under this
program; and
WHEREAS, in order to assist in providing transportation services, the Department, under
the terms of this Agreement shall make grants of administrative, operating and capital
assistance to the Contractor; and
WHEREAS, the Department and the Contractor desire to secure and utilize Section 5311
grant funds and State funds for the above referenced purposes.
NOW, THEREFORE, in consideration of the mutual covenants herein set forth, the
Department and the Contractor agree as follows:
Section 1. Purpose of Agreement. The purpose of this Agreement is to provide for the
undertaking of nonurbanized area public transportation services as described in the project
application (hereinafter referred to as "Project ") properly prepared, endorsed, approved, and
0 5 c-,
transmitted by the Contractor to the Department, and to state the terms and conditions as to the
manner in which the Project will be undertaken and completed.
Section 2. Project Implementation. The Contractor shall carry out the Project as follows:
a. Scope of Project. The Contractor shall undertake and complete the
nonurbanized area public transportation services in accordance with the procedures and
guidelines set forth in the following documents:
(1) Federal Transit Administration (hereinafter referred to as "FTA ")
Circular 9040.1 E, dated October 1, 1998, at:
(www.fta. dot. gov / publications / publications_ circulars_guidance.html);
(2) FTA Master Agreement, FTA MA (15), October 1, 2008),
at (www.fta. dot .gov /documents /15- Master.doc);
(3) The State Management Plan for Federal and State Transportation
Programs (hereinafter referred to as "State. Management Plan ");
(4) The Section 5311 grant application for financial assistance; and
(5) The Community Transportation Improvement Plan for Orange County.
The aforementioned documents, and any subsequent amendments or revisions thereto, are
herewith incorporated by reference, and are on file with and approved by the Department in
accordance with the terms and conditions of this Agreement. Nothing shall be construed under
the terms of this Agreement by the Department or the Contractor that shall cause any conflict
with Department, State, or Federal statutes, rules, or regulations.
b. Cost of Project. The total cost of the Project approved by the Department is
ONE HUNDRED EIGHTY -NINE THOUSAND TWENTY -FIVE DOLLARS (189,025) as set forth
in the Project Description and Budget, incorporated into this Agreement as Attachment A. The
Department shall provide, from Federal and State funds, the percentages of the actual net cost
of the Project as indicated below, not in excess of the identified amounts for eligible
administrative, operating, and capital expenses. The Contractor hereby agrees that it will
provide the percentages of the actual net cost of the Project, as indicated below, and any
amounts in excess of the Department's maximum (Federal plus State shares). The net cost is
the price paid minus any refunds, rebates, or other items of value received by the Contractor
which have the effect of reducing the actual cost.
Administration
WBS
Administration
Total
Administration
Federal 65%
Administration
State 20%
Administration
Local 15%
36233.80.6.1
$185,525
$120,220
$37,476
$27,829
PO V300054003
Operating
WBS
Operating
Total
Operating
Federal 0%
Operating
State 0%
Operating
Local 0%
$0
$0
$0
$0
PO
Capital
WBS
Capital
Total
Capital
Federal 65%
Capital
State 25%
Capital
Local 10%
36233.80.6.3
$3,500
$2,268
$882
$350
PO ooeo5oo
Facility
WBS
Facility
Total
Facility
Total Federal
Facility
Total State
Facility
Total Local
$0
$0
$0
$0
Project
Total
Project
Total
Project
Total Federal
Project
Total State
Project
Total Local
$189,025
$122,488
$38,358
$28,179
Page 2 of 36
C. Period of Performance. This Agreement shall commence upon the date of
execution, unless specific written authorization from the Department to the contrary is received.
The period of performance for all expenditures shall extend from July 1, 2009 to June 30,
2010, unless written authorization to the contrary is provided by the Department. Any requests
to change the Period of Performance must be made in accordance with the policies and
procedures established by the Department or FTA. The Contractor shall commence, carry
on, and complete the approved Project with all practicable dispatch, in a sound, economical,
and efficient manner.
d. Contractor's Capacity. The Contractor agrees to maintain sufficient legal,
financial, technical, and managerial capability to:
(1) Plan, manage, and complete the Project and provide for the use of
Project property;
(2) Carry out the safety and security aspects of the Project; and
(3) Comply with the terms of this agreement, the Master Agreement
between the FTA and the Department, the Approved Project Budget,
the Project schedules, the Contractor's annual Certifications and
Assurances to the Department, and applicable Federal and State laws,
regulations, and directives.
e. Administrative Requirements. The Contractor agrees to comply with the
following Federal and State administrative requirements:
°(1). U.S. DOT regulations, "Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local
Governments," 49 C.F.R. Part 18 at
(http: / /www. access. gpo. gov /nara /cfr /cfr- table- search.htmI #page1).
(2) Title 19A North Carolina Administrative Code (N.C.A.C.) Subchapter
5B at (http: // reports .oah.state.nc.us /ncac.asp).
f. Application of Federal. State. and Local Laws. Regulations and Directives.
To achieve compliance with changing federal requirements, the Contractor makes note that
federal, state and local requirements may change and the changed requirements will apply to
this Agreement as required.
g. Contractor's Primary Responsibility to Comply with Federal and State
Requirements. Irrespective of involvement by any other participant in the Project, the Contractor
agrees that it, rather than the participant, is ultimately responsible for compliance with all
applicable Federal and State laws, regulations, and directives, the Master Agreement between
the FTA and the Department, and this Agreement, except to the extent that the Department
determines otherwise in writing. Unless otherwise authorized in writing by the Department, the
Contractor shall not assign any portion of the work to be performed under this Agreement, or
execute any contract, amendment, or change order thereto, or obligate itself in any manner with
any third party with respect to its rights and responsibilities under this Agreement without the
prior written concurrence of the Department. Further, the Contractor shall incorporate the
provisions of this Agreement into any lease arrangement and shall not enter into any lease
arrangement without the prior concurrence of the Department. Any lease approved by the
Department shall be subject to the conditions or limitations governing the lease as set forth by
the FTA and the Department. If the Contractor leases any Project asset to another party, the
Contractor agrees to retain ownership of the leased asset, and assure that the Lessee will use
the Project asset to provide mass transportation service, either through a "Lease and
Supervisory Agreement" between the Contractor and Lessee, or another similar document. The
Contractor agrees to provide a copy of any relevant documents.
Page 3 of 36
(1) Significant Participation by a Third Party Contractor. Although the
Contractor may enter into a third party contract, after obtaining approval from the Department, in
which the third party contractor agrees to provide property or services in support of the Project,
or even carry out Project activities normally performed by the Contractor (such as in a turnkey
contract), the Contractor agrees that it, rather than the third party contractor, is ultimately
responsible to the Department for compliance with all applicable Federal and State laws,
regulations, and directives, except to the extent that the Department determines otherwise in
writing.
(2) Significant Participation by a Subcontractor. Although the Contractor
may delegate any or almost all Project responsibilities to one or more subcontractors, the
Contractor agrees that it, rather than the subcontractor, is ultimately responsible for compliance
with all applicable Federal and State laws, regulations, and directives, except to the extent that
the Department determines otherwise in writing.
(3) Significant Participation by a Lessee of a Contractor. Although the
contractor may lease project property and delegate some or many project responsibilities to one
or more lessees, the Contractor agrees that it, rather than any lessee, is ultimately responsible
for compliance with all applicable Federal laws, regulations, and directives, except to the extent
that FTA determines otherwise in writing.
h. Contractor's Responsibility to Extend Federal and State Requirements to
Other Entities.
(1) Entities Affected. Only entities that are signatories to this Agreement
for the Project are parties to this agreement. To achieve compliance with certain Federal and
State laws, regulations, or directives, however, other Project participants, such as subrecipients
and third party contractors, will necessarily be involved. Accordingly, the Contractor agrees to
take the appropriate measures necessary to ensure that all Project participants comply with
applicable Federal and State laws, regulations, and directives affecting their performance,
except to the extent the Department determines otherwise in writing.
(2) Documents Affected. The applicability provisions of Federal and State
laws, regulations, and directives determine the extent to which their provisions affect a Project
participant. Thus, the Contractor agrees to include adequate provisions to ensure that each
Project participant complies with those Federal and State laws, regulations, and directives,
except to the extent that the Department determines otherwise in writing. In addition, the
Contractor also agrees to require its third party contractors, subrecipients, and lessees to
include adequate provisions to ensure compliance with applicable Federal and State laws,
regulations, and directives in each lower tier subcontract and subagreement for the Project,
except to the extent that the Department determines otherwise in writing. Additional
requirements include the following:
(a) Third Party Contracts. Because Project activities performed by a
third party contractor must comply with all applicable Federal and State laws, regulations, and
directives, except to the extent the Department determines otherwise in writing, the Contractor
agrees to include appropriate clauses in each third party contract stating the third party
contractor's responsibilities under Federal and State laws, regulations, and directives, including
any provisions directing the third party contractor to extend applicable requirements to its
subcontractors at the lowest tier necessary. When the third party contract requires the third
party contractor to undertake responsibilities for the Project usually performed by the
Contractor, the Contractor agrees to include in that third party contract those requirements
applicable to the Contractor imposed by the Grant Agreement for the Project or the FTA Master
Agreement and extend those requirements throughout each tier except as the Department
determines otherwise in writing. Additional guidance pertaining to third party contracting is
contained in the FTA's "Best Practices Procurement Manual." FTA and the Department caution,
however, that FTA's "Best Practices Procurement Manual" focuses mainly on third party
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procurement processes and may omit certain other Federal requirements applicable to the work
to be performed.
(b) Subagreements. Because Project activities performed by a
subcontractor/ subrecipient must comply with all applicable Federal and State laws, regulations,
and directives except to the extent that the Department determines otherwise in writing, the
Contractor agrees as follows:
1 Written Subagreement. The Contractor agrees to enter
into a written agreement with each subrecipient (subagreement) stating the terms and
conditions of assistance by which the Project will be undertaken and completed.
2 Compliance with Federal Requirements. The Contractor
agrees to implement the Project in a manner that will not compromise the Contractor's
compliance with Federal and State laws, regulations, and directives applicable to the Project
and the Contractor's obligations under this Agreement for the Project and the FTA Master
Agreement. Therefore, the Contractor agrees to include in each subagreement appropriate
clauses directing the subrecipient to comply with those requirements applicable to the
Contractor imposed by this Agreement for the Project or the FTA Master Agreement and extend
those requirements as necessary to any lower level subagreement or any third party contractor
at each tier, except as the Department determines otherwise in writing.
i. No Federal /State Government Obligations to Third Parties. In connection
with performance of the Project, the Contractor agrees that, absent the Federal /State
Government's express written consent, the Federal /State Government shall not be subject to
any obligations or liabilities to any subrecipient, third party contractor, lessee or other person or
entity that is not a party to this Agreement for the Project. Notwithstanding that the
Federal /State Government may have concurred in or approved any solicitation, subagreement,
or third party contract, the Federal /State Government has no obligations or liabilities to such
entity, including any subrecipient, third party contractor, or lessee.
j. Changes in Proiect Performance (i.e., Disputes, Breaches Defaults or
Litigation). The Contractor agrees to notify the Department immediately, in writing, of any
change in local law, conditions (including its legal, financial, or technical capacity), or any other
event that may adversely affect the Contractor's ability to perform the Project as provided in this
Agreement for the Project. The Contractor also agrees to notify the Department immediately, in
writing, of any current or prospective major dispute, breach, default, or litigation that may
adversely affect the Federal /State Government's interests in the Project or the Federal /State
Government's administration or enforcement of Federal /State laws or regulations; and agrees to
inform the Department, also in writing, before naming the Federal or State Government as a
party to litigation for any reason, in any forum.
k. Limitations of Agreement. This Agreement shall be subject to the availability
of Federal and State funds, and contingent upon the terms and conditions of the Master
Agreement between the FTA and the Department.
Section 3. Ethics.
a. Code of Ethics. The Contractor agrees to maintain a written code or
standards of conduct that shall govern the actions of its officers, employees, board members, or
agents engaged in the award or administration of third party contracts, subagreements, or
leases financed with Federal /State assistance. The Contractor agrees that its code or
standards of conduct shall specify that its officers, employees, board members, or agents may
neither solicit nor accept gratuities, favors, or anything of monetary value from any present or
potential third party contractor at any tier, any subrecipient at any tier or agent thereof, or any
lessee. Such a conflict would arise when an employee, officer, board member, or agent,
including any member of his or her immediate family, partner, or organization that employs, or
intends to employ, any of the parties listed herein has a financial interest in the firm selected for
award. The Contractor may set de minimis rules where the financial interest is not substantial,
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or the gift is an unsolicited item of nominal intrinsic value. The Contractor agrees that its code
or standards shall also prohibit the its officers, employees, board members, or agents from
using their respective positions in a manner that presents a real or apparent personal or
organizational conflict of interest or personal gain. As permitted by State or local law or
regulations, the Contractor agrees that its code or standards of conduct shall include penalties,
sanctions, or other disciplinary actions for violations by its officers, employees, board members,
or their agents, its third party contractors or sub - recipients or their agents.
(1) Personal Conflicts of Interest. The Contractor agrees that its code or
standards of conduct shall prohibit the Contractor's employees, officers, board members, or
agents from participating in the selection, award, or administration of any third party contract, or
sub - agreement supported by Federal /State assistance if a real or apparent conflict of interest
would be involved. Such a conflict would arise when an employee, officer, board member, or
agent, including any member of his or her immediate family, partner, or organization that
employs, or intends to employ, any of the parties listed herein has a financial interest in the firm
selected for award.
(2) Organizational Conflicts of interest. The Contractor agrees that its
code or standards of conduct shall include procedures for identifying and preventing real and
apparent organizational conflicts of interest. An organizational conflict of interest exists when
the nature of the work to be performed under a proposed third party contract or sub - agreement,
may, without some restrictions on future activities, result in an unfair competitive advantage to
the third party contractor or sub - recipient or impair its objectivity in performing the contract work.
b. Debarment and Suspension. The Contractor agrees to comply, and assures
the compliance of each third party contractor, sub - recipient, or lessee at any tier, with Executive
Orders Nos. 12549 and 12689, "Debarment and Suspension," 31 U.S.C. § 6101 note, and U.S.
DOT regulations, "Government -wide Debarment and Suspension (Non- procurement)," 49
C.F.R. Part 29. The Contractor agrees to, and assures that its third party contractors, sub -
recipients, and lessees will, review the Excluded Parties Listing System at
(http: / /epls.arnet.gov /) before entering into any contracts.
C. Bonus or Commission. The Contractor affirms that it has not paid, and
agrees not to pay, any bonus or commission to obtain approval of its Federal /State assistance
application for the Project.
d. Lobbying Restrictions. The Contractor agrees that: .
(1) In compliance with 31 U.S.C. 1352(a), it will not use Federal assistance
to pay the costs of influencing any officer or employee of a Federal agency, Member of
Congress, officer of Congress or employee of a member of Congress, in connection with
making or extending the Grant Agreement;
(2) It will comply with other applicable Federal laws and regulations
prohibiting the use of Federal assistance for activities, designed to influence Congress or a
State legislature with respect to legislation or appropriations, except through proper, official
channels; and
(3) It will comply, and will assure the compliance of each sub - recipient,
lessee, or third party contractor at any tier, with U.S. DOT regulations, "New Restrictions on
Lobbying," 49 C.F.R. Part 20, modified as necessary by 31 U.S.C. § 1352.
e. Employee Political Activity. To the extent applicable, the Contractor agrees
to comply with the provisions of the Hatch Act, 5 U.S.C. §§ 1501 through 1508, and 7324
through 7326, and U.S. Office of Personnel Management regulations, "Political Activity of State
or Local Officers or Employees," 5 C.F.R. Part 151. The Hatch Act limits the political activities
of State and local agencies and their officers and employees, whose principal employment
activities are financed in whole or part with Federal funds including a Federal grant, cooperative
agreement, or loan. Nevertheless, in accordance with 49 U.S.C. § 5307(k)(2)(B) and 23 U.S.C.
§ 142(g), the Hatch Act does not apply to a non - supervisory employee of a public transportation
Page 6 of 36
system (or of any other agency or entity performing related functions) receiving FTA assistance
to whom the Hatch Act would not otherwise apply.
f. False or Fraudulent Statements or Claims. The Contractor acknowledges
and agrees that:
(1) Civil Fraud. The Program Fraud Civil Remedies Act of 1986, as
amended, 31 U.S.C. §§ 3801 et seq., and U.S. DOT regulations, "Program Fraud Civil
Remedies," 49 C.F.R. Part 31, apply to its activities in connection with the Project. By executing
this Agreement for the Project, the Contractor certifies or affirms the truthfulness and accuracy
of each statement it has made, it makes, or it may make in connection with the Project. In
addition to other penalties that may apply, the Contractor also understands that if it makes a
false, fictitious, or fraudulent claim, statement, submission, certification, assurance, or
representation to the Federal /State Government concerning the Project, the Federal /State
Government reserves the right to impose on the Contractor the penalties of the Program Fraud
Civil Remedies Act of 1986, as amended, to the extent the Federal /State Government deems
appropriate.
(2) Criminal Fraud. If the Contractor makes a false, fictitious, or fraudulent
claim, statement, submission, certification, assurance, or representation to the Federal /State
Government or includes a false, fictitious, or fraudulent statement or representation in any
agreement with the Federal /State Government in connection with a Project authorized under 49
U.S.C. chapter 53 or any other Federal law, the Federal /State Government reserves the right to
impose on the Contractor the penalties of 49 U.S.C. § 5323(1), 18 U.S.C. § 1001 or other
applicable Federal /State law to the extent the Federal /State Government deems appropriate.
Section 4. Proiect Expenditures.
a. General. The Department shall reimburse the Contractor for allowable costs
for work performed under the terms of this Agreement which shall be financed with Federal
Section 5311 funds and State matching funds. The Contractor shall expend funds provided in
this Agreement in accordance with the approved Project Budget(s), included as Attachment C to
this Agreement. It is understood and agreed that the work conducted pursuant to this
Agreement shall be done on an actual cost basis by the Contractor. Expenditures submitted
for reimbursement shall include all eligible cost incurred within the Period Covered. The
Period Covered represents the monthly or quarterly timeframe in which the project
reports expenditures to the Department. All payments issued by the Department will be on a
reimbursable basis unless the Contractor requests and the Department approves an advance
payment. The Department allows grantees in good standing to request advance payment (prior
to issuing payment to the vendor) for vehicles and other high -cost capital items. The Contractor
agrees to deposit any advance payments into its account when received and issue payment to
the vendor within 3 (three) business days. The amount of reimbursement from the Department
shall not exceed the funds budgeted in the approved Project Budget. The Contractor shall
initiate and prosecute to completion all actions necessary to enable the Contractor to provide its
share of project costs at or prior to the time that such funds are needed to meet project costs.
The Contractor shall provide its share of project costs from sources other than FTA and State
funds from the Department. Any costs for work not eligible for Federal and State participation
shall be financed one hundred percent (100 %) by the Contractor.
b. Administrative Expenditures. In order to assist the Contractor in financing the
administrative costs of the project, the Department shall reimburse the Contractor up to the
percentage specified in the Approved Project Budget of allowable administrative costs which
shall be determined by available funding.
C. Operating Expenditures. In order to assist in financing the operating costs of
the project, the Department shall reimburse the Contractor for the lesser of the following when
providing Section 5311 operating assistance:
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(1) The balance of unrecovered operating expenditures after deducting all
farebox and other operating revenues, or
e. Payment and Reimbursement. The Contractor shall submit a request for
reimbursement to the Department for the Period Covered not more frequently than monthly, nor
less frequently than quarterly, reporting on the Department's Uniform Public Transportation
Accounting System (UPTAS) invoicing forms furnished by the Department for work performed
under this Agreement. Expenditures submitted for reimbursement shall include all eligible
cost incurred within the Period Covered. Failure to request reimbursement for expenses
incurred within the Period Covered may result in non - payment. All requests for
reimbursement must be submitted within (30) days following the end of the project's
reporting period.
Additional forms must be submitted with reimbursement requests to report on contracting
activities with Disadvantaged Business Enterprise (DBE) firms. Invoices shall be supported by
documentation of costs unless otherwise waived by the Department. All requests must be
submitted within thirty (30) days following the end of the quarter. Failure to request
reimbursement for eligible projects costs as outlined may result in termination of the Project.
Invoices shall be approved by the Department's Public Transportation Division and reviewed by
the Department's External Audit Branch prior to payment.
f. Excluded Costs. The Contractor understands and agrees that, except to the
extent the Department determines otherwise in writing, ineligible costs will be treated as follows:
(1) In determining the amount of Federal /State assistance the Department
will provide, the Department will exclude:
(a) Any Project cost incurred by the Contractor before the effective
date of the grant;
(b) Any cost that is not included in the latest Approved Project
Budget;
(c) Any cost for Project property or services received in connection
with a third party contract, sub - agreement, lease, or other
arrangement that is required to be, but has not been, concurred
in or approved in writing by FTA;
(d) Any non - project cost consistent with the prohibitions of 49
U.S.C. § 5323(h); and
(e) Any cost ineligible for FTA/Department participation as provided
by applicable Federal /State laws, regulations, or directives.
(2) The Contractor shall limit reimbursement for meals, lodging and travel to
the rates established by the State of North Carolina Travel Policy. Costs incurred by the
Contractor in excess of these rates shall be borne by the contractor.
(3) The Contractor understands and agrees that payment to the Contractor
for any Project cost does not constitute the Federal /State Government's final decision about
whether that cost is allowable and eligible for payment and does not constitute a waiver of any
violation by the Contractor of the terms of this Agreement. The Contractor acknowledges that
the Federal /State Government will not make a final determination about the allowability and
eligibility of any cost until an audit of the Project has been completed. If the Federal /State
Government determines that the Contractor is not entitled to receive any portion of the
Federal /State assistance the Contractor has requested or provided, the Department will notify
the Contractor in writing, stating its reasons. The Contractor agrees that Project closeout will
not alter the Contractor 's responsibility to return any funds due the Federal /State Government
as a result of later refunds, corrections, or other transactions; nor will Project closeout alter the
Page 8 of 36
Federal /State Government's right to disallow costs and recover funds on the basis of a later
audit or other review. Unless prohibited by Federal /State law or regulation, the Federal /State
Government may recover any Federal /State assistance funds made available for the Project as
necessary to satisfy any outstanding monetary claims that the Federal /State Government may
have against the Contractor.
g. Federal /State Claims Excess Payments Disallowed Costs, including
Interest.
(1) Contractor's Responsibility to Pay. Upon notification to the Contractor
that specific amounts are owed to the Federal /State Government, whether for excess payments
of Federal /State assistance, disallowed costs, or funds recovered from third parties or
elsewhere, the Contractor agrees to remit to the Department promptly the amounts owed,
including applicable interest and any penalties and administrative charges.
(2) Amount of Interest. The Contractor agrees to remit to the Department
interest owed as determined in accordance with N.C.G.S. 147 - 86.23. Upon notification to the
Contractor that specific amounts are owed to the Federal Government, whether for excess
payments of Federal assistance, disallowed costs, or funds recovered from third parties or
elsewhere, the Contractor agrees to remit to the Federal Government promptly the amounts
owed, including applicable interest, penalties and administrative charges.
(3) Payment to FTA. Upon receipt of repayment from the Contractor, the
Department shall be responsible to remit amounts owed to FTA.
h. De- obligation of Funds. The Contractor agrees that the Department may de-
obligate unexpended Federal and State funds before Project closeout.
Section 5. Accounting Records.
a. Establishment and Maintenance of Accounting Records. The Contractor
shall establish and maintain separate accounts for the public transportation program, either
independently or within the existing accounting system. All costs charged to the program shall
be in accordance with most current approved Annual Budget and shall be reported to the
Department in accordance with UPTAS.
b. Documentation of Project Costs. All costs charged to the Project, including
any approved services performed by the Contractor or others, shall be supported by properly
executed payrolls, time records, invoices, contracts, or vouchers evidencing in detail the nature
and propriety of the charges, as referenced in 49 C.F.R. 18, the Office of Management and
Budget Circulars A -87, "Costs Principles for State, Local, and Indian Tribal Governments" and
A -102 "Grants and Cooperative Agreements with State and Local Governments."
C. Allowable Costs. Expenditures made by the Contractor shall be reimbursed
as allowable costs to the extent they meet all of the requirements set forth below. They must
be:
(1) Consistent with the Project Description, plans, specifications, and
Project Budget and all other provisions of this Agreement;
(2) Necessary in order to accomplish the Project;
(3) Reasonable in amount for the goods or services purchased;
(4) Actual net costs to the Contractor, i.e., the price paid minus
any refunds (e.g., refundable sales and use taxes pursuant to N.C.G.S.
105 - 164.14), rebates, or other items of value received by the
Contractor that have the effect of reducing the cost actually incurred;
(5) Incurred (and be for work performed) within the period of performance
and period covered of this Agreement unless specific authorization
from the Department to the contrary is received;
Page 9 of 36
(6) Satisfactorily documented;
(7) Treated uniformly and consistently under accounting principles and
procedures approved or prescribed by the Department; and
(8) In compliance with U.S. DOT regulations pertaining to allowable costs
at 49 C.F.R. § 18.22(b) or 49 C.F.R. § 19.27, which regulations specify
the applicability of U.S. Office of Management and Budget (U.S. OMB)
circulars and Federal Acquisition Regulation (FAR) provisions are
follows:
(a1) U.S. OMB Guidance for Grants and Agreements, "Cost
Principles for State, Local, and Indian Tribal Governments
(OMB Circular A -87) ", 2 C.F.R. Part 225, applies to Project
costs incurred by a Contractor that is a State, local, or
Indian tribal government.
(b1) U.S. OMB Guidance for Grants and Agreements, "Cost
Principles for Educational Institutions
(OMB Circular A -21), "2 C.F.R. Part 220,
applies to Project costs incurred by a Contractor
that is an institution of higher education.
(c1) U.S. OMB Guidance for Grants and Agreements "Cost
Principles for Non - profit Organizations (OMB Circular
A- 122)," 2 C.F.R. Part 230, applies to Project costs
incurred by a Contractor that is a private nonprofit
organization.
(d1) FAR, at 48 C.F.R., Subpart 31.2, "Contracts with
Commercial Organizations" applies to Project costs
incurred by a Contractor that is a for - profit organization.
Section 6. Reporting, Record Retention, and Access.
a. Reports. The Contractor shall advise the Department regarding the progress
of the Project at a minimum quarterly and at such time and in such a manner as the
Department may require. Such reporting and documentation may include, but not be
limited to: operating statistics, equipment usage, meetings, progress reports, and monthly
performance reports. The Contractor shall collect and submit to the Department such financial
statements, data, records, contracts, and other documents related to the Project as may be
deemed necessary by the Department. Such reports shall include narrative and financial
statements of sufficient substance to be in conformance with the reporting requirements of the
Department. Progress reports throughout the useful life of the project equipment shall be used,
in part, to document utilization of the project equipment. Failure to fully utilize the project
equipment in the manner directed by the Department shall constitute a breach of contract, and
after written notification by the Department, may result in termination of the Agreement or any
such remedy as the Department deems appropriate.
b. Record Retention. The Contractor and its third party contractors shall retain
all records pertaining to this Project for a period of five (5) years from the date of final payment
to the Contractor, or until all audit exceptions have been resolved, whichever is longer, in
accordance with "Records Retention and Disposition Schedule — Public Transportation Systems
and Authorities, April 1, 2006," at (http: / /www.ah.dcr.state.nc.us /records /local /).
C. Access to Records of Contractor and Subcontractors. The Contractor shall
permit and shall require its third party contractors to permit the Department, the Comptroller
General of the United States, and the Secretary of the United States Department of
Transportation, or their authorized representatives, to inspect all work, materials, payrolls, and
other data and records with regard to the Project, and to audit the books, records, and accounts
Page 10 of 36
of the Contractor pertaining to the Project. The Department shall reserve the right to reject any
and all materials and workmanship for defects and incompatibility with Project Description or
excessive cost. The Department shall notify the Contractor, in writing, if materials and /or
workmanship are found to be unacceptable. The Contractor shall have ninety (90) days from
notification to correct defects or to provide acceptable materials and /or workmanship. Failure by
the Contractor to provide acceptable materials and /or workmanship, or to correct noted defects,
shall constitute a breach of contract.
d. Project Closeout. The Contractor agrees that Project closeout does not alter
the reporting and record retention requirements of this Section 6 of this Agreement.
Section 7. Proiect Completion Audit, Settlement, and Closeout.
a. Project Completion. Within ninety (90) calendar days following Project
completion, the end of the Project's period of performance, or termination by the Department,
the Contractor agrees to submit a final reimbursement request to the Department for eligible
Project expenses.
b. Financial Reporting and Audit Requirements. In accordance with OMB
Circular A -133, "Audits of State, Local Governments and Non - Profit Organizations," revised on
June 27, 2003, and N.C.G.S. 159 -34, the Contractor shall have its accounts audited as soon as
possible after the close of each fiscal year by an independent auditor. The Contractor agrees to
submit the required number of copies of the audit reporting package to the Local Government
Commission four months after the Contractor's fiscal year -end.
C. Audit Costs. Unless prohibited by law, the costs of audits made in
accordance with the provisions of OMB Circular A -133 are allowable charges to State and
Federal awards. The charges may be considered a direct cost or an allocated indirect cost, as
determined in accordance with cost principles outlined in OMB Circular A -87 "Cost Principles for
State, Local, and Indian Tribal Governments." The cost of any audit not conducted in
accordance with OMB Circular A -133 and N.C.G.S. 159 -34 is unallowable and shall not be
charged to State or Federal grants.
d. Funds Owed to the Department. The Contractor agrees to remit to the
Department any excess payments made to the Contractor, any costs disallowed by the
Department, and any amounts recovered by the Contractor from third parties or from other
sources, as well as any penalties and any interest required by Subsection 4g of this Agreement.
e. Proiect Closeout. Project closeout occurs when the Department issues the
final project payment or acknowledges that the Contractor has remitted the proper refund. The
Contractor agrees that Project closeout by the Department does not invalidate any continuing
requirements imposed by this Agreement.
Section 8. Civil Rights. The Contractor agrees to comply with all applicable civil rights
laws and implementing regulations including, but not limited to, the following:
a. Nondiscrimination in Federal Public Transportation Programs. The
Contractor agrees to comply, and assures the compliance of each third party contractor at any
tier and each subrecipient at any tier of the Project, with the provisions of 49 U.S.C. § 5332,
which prohibit discrimination on the basis of race, color, creed, national origin, sex, or age, and
prohibits discrimination in employment or business opportunity.
b. Nondiscrimination — Title VI of the Civil Rights Act. The Contractor agrees to
comply, and assures the compliance of each third party contractor at any tier and each
subrecipient at any tier of the Project, with all provisions prohibiting discrimination on the basis
of race, color, or national origin of Title VI of the Civil Rights Act of 1964, as amended, 42
U.S.C. §§ 2000d et seq., and with U.S. DOT regulations, "Nondiscrimination in Federally -
Assisted Programs of the Department of Transportation — Effectuation of Title VI of the Civil
Rights Act," 49 C.F.R. Part 21.
C. Equal Employment Opportunity. The Contractor agrees to comply, and
assures the compliance of each third party contractor at any tier of the Project and each
Page 11 of 36
subrecipient at any tier of the Project, with all equal employment opportunity (EEO) provisions of
49 U.S.C. § 5332, with Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000e,
and implementing Federal regulations and any subsequent amendments thereto. Accordingly:
(1) General. The Contractor agrees that it will not discriminate against any
employee or applicant for employment because of race, color, creed, sex, disability, age, or
national origin. The Contractor agrees to take affirmative action to ensure that applicants are
employed and that employees are treated during employment without regard to their race, color,
creed, sex, disability, age, or national origin. Such action shall include, but not be limited to,
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.
(2) Equal Employment Opportunity Requirements for Construction
Activities. For activities determined by the U.S. Department of Labor (U.S. DOL) to qualify as
"construction," the Contractor agrees to comply and assures the compliance of each third party
contractor at any tier or subrecipient at any tier of the Project, with all applicable equal
employment opportunity requirements of U.S. DOL regulations, "Office of Federal Contract
Compliance Programs, Equal Employment Opportunity, Department of Labor," 41 C.F.R. Parts
60 et seq., which implement Executive Order No. 11246, "Equal Employment Opportunity," as
amended by Executive Order No. 11375, "Amending Executive Order No. 11246 Relating to
Equal Employment Opportunity," 42 U.S.C. § 2000(e) note, and also with any Federal laws,
regulations, and directives affecting construction undertaken as part of the Project.
d. Disadvantaged Business Enterprises.
(1) Policy. It is the policy of the North Carolina Department of Transportation
that Disadvantaged Business Enterprises (DBEs) as defined in 49 CFR Part 26 shall have the
equal opportunity to compete fairly for and to participate in the performance of contracts
financed in whole or in part by Federal Funds.
The Firm is also encouraged to give every opportunity to allow DBE participation in
Supplemental Agreements.
(2) Obligation The Firm, subconsultant, and subfirm shall not discriminate
on the basis of race, religion, color, national origin, age, disability or sex in the performance of
this contract. The Firm shall comply with applicable requirements of 49 CFR Part 26 in the
award and administration of federally assisted contracts. Failure by the Firm to comply with
these requirements is a material breach of this contract, which will result in the termination of
this contract or such other remedy, as the Department deems necessary.
(3) Goals. Even though specific DBE goals are not established for this
project, the Department encourages the Firm to have participation from DBE contractors and /or
suppliers.
(4) Listing of DBE Subcontractors. The firm, at the time the Letter of Interest
is submitted, shall submit a listing of all known DBE firms that will participate in the performance
of the identified work. The participation shall be submitted on the Department's Form RS -2. In
the event the firm has no DBE participation, the firm shall indicate this on the Form RS -2 by
entering the word `None' or the number 'zero' and the form shall be signed. Form RS -2 may be
accessed on the website at https:/ /apps.dot.state.nC.us /guickfind /forms /DefauIt.aspx.
(5) Certified Transportation Firms Directory. Real -time information about
firms doing business with the Department and firms that are certified through North Carolina's
Unified Certification Program is available in the Directory of Transportation Firms. The Directory
can be accessed by the link on the Department's homepage or by entering
https: / /apps.dot.state.nC.us /vendor /directory) in the address bar of your web browser. Only
firms identified as DBE certified in the Directory shall be listed in the proposal.
Page 12 of 36
The listing of an individual firm in the Department's directory shall not be construed as an
endorsement of the firm's capability to perform certain work.
(6) Reporting Disadvantaged Business .Enterprise Participation. When
payments are made to Disadvantaged Business Enterprise (DBE) firms, including material
suppliers, firms at all levels (Firm, subconsultant or subfirm) shall provide the Contract
Administrator with an accounting of said payments. The accounting shall be listed on the
Department's Subcontractor Payment Information Form (Form DBE -IS). In the event the firm
has no DBE participation, the firm shall indicate this on the Form DBE -IS by entering the word
'None' or the number'zero' and the form shall be signed. Form DBE -IS may be accessed on the
website at https:// apps. dot. state. nc. us /guickfind /forms /DefauIt.aspx.
A responsible fiscal officer of the payee Firm, subconsultant or subfirm who can attest to the
date and amounts of the payments shall certify that the accounting is correct. A copy of an
acceptable report may be obtained from the Department of Transportation. This information
shall be submitted as part of the requests for payments made to the Department.
g. Access for Individuals with Disabilities. The Contractor agrees to 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. The Contractor also agrees to comply with all applicable provisions of Section
504 of the Rehabilitation Act of 1973, as amended, with 29 U.S.C. § 794, which prohibits
discrimination on the basis of disability; with 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 with 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. In addition, the Contractor
agrees to comply with applicable Federal regulations and directives and any subsequent
amendments thereto, except to the extent the Department determines otherwise in writing, as
follows:
(1) U.S. DOT regulations, "Transportation Services for Individuals with
Disabilities (ADA)," 49 C.F.R. Part 37;
(2) U.S. DOT regulations, "Nondiscrimination on the Basis of Handicap in
Programs and Activities Receiving or Benefiting from Federal Financial
Assistance," 49 C.F.R. Part 27;
(3) Joint U.S. Architectural and Transportation Barriers Compliance Board
(U.S. ATBCB) /U.S. DOT regulations, "Americans With Disabilities
(ADA) Accessibility Specifications for Transportation Vehicles," 36
C.F.R. Part 1192 and 49 C.F.R. Part 38;
(4) U.S. DOJ regulations, "Nondiscrimination on the Basis of Disability in
State and Local Government Services," 28 C.F.R. Part 35;
(5) U.S. DOJ regulations, "Nondiscrimination on the Basis of Disability by
Public Accommodations and in Commercial Facilities," 28 C.F.R.
Part 36;
(6) U.S. General Services Administration (U.S. GSA) regulations,
"Accommodations for the Physically Handicapped," 41 C.F.R.
Subpart 101 -19;
(7) U.S. Equal Employment Opportunity Commission, "Regulations to
Implement the Equal Employment Provisions of the Americans with
Disabilities Act," 29 C.F.R. Part 1630;
Page 13 of 36
(8) U.S. Federal Communications Commission regulations,
"Telecommunications Relay Services and Related Customer Premises
Equipment for the Hearing and Speech Disabled," 47 C.F.R. Part 64,
Subpart F; and
(9) U.S. ATBCB regulations, "Electronic and Information Technology
Accessibility Standards," 36 C.F.R. Part 1194;
(10) FTA regulations, "Transportation for Elderly and Handicapped
Persons, 49 C.F.R. Part 609; and
(11) Federal civil rights and nondiscrimination directives implementing the
foregoing regulations.
h. Drug or Alcohol Abuse - Confidentiality and Other Civil Rights Protections. To
the extent applicable, the Contractor agrees to comply with the confidentiality and other civil
rights protections of the Drug Abuse Office and Treatment Act of 1972, as amended, 21 U.S.C.
§§ 1101 et seq., with the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment
and Rehabilitation Act of 1970, as amended, 42 U.S.C. §§ 4541 et seq., and with the Public
Health Service Act of 1912, as amended, 42 U.S.C. §§ 201 et seq, and any subsequent
amendments to these acts.
i. Access to Services for Persons with Limited English Proficiency. To the
extent applicable and except to the extent that the Department determines otherwise in writing,
the Contractor agrees to comply with the policies of Executive Order No. 13166, "Improving
Access to Services for Persons with Limited English Proficiency, 42 U.S.C. § 2000d -1 note,
and with the provisions of U.S. DOT Notice, "DOT Guidance to Recipients on Special Language
Services to Limited English Proficient (LEP) Beneficiaries," 66 Fed. Reg. 6733 et seq., January
22, 2001.
j. Environmental Justice. The Contractor agrees to comply with the policies of
Executive Order No. 12898, "Federal Actions to Address Environmental Justice in Minority
Populations and Low- Income Populations," 42 U.S.C. § 4321 note, except to the extent that the
Department determines otherwise in writing.
k. Other Nondiscrimination Laws. The Contractor agrees to comply with all
applicable provisions of other Federal laws, regulations, and directives pertaining to and
prohibiting discrimination that are applicable, except to the extent the Department determines
otherwise in writing.
Section 9. Planninq and Private Enterprise.
a. General. To the extent applicable, the Contractor agrees to implement the
Project in a manner consistent with the plans developed in compliance with
the Federal planning and private enterprise provisions of the following:
(1) 49 U.S.C. §§ 5303, 5304, 5306, and 5323(a)(1);
(2) Joint Federal Highway Administration (FHWA) /FTA document,
"Interim Guidance for Implementing Key SAFETEA -LU Provisions on
Planning, Environment, and Air Quality for Joint FHWA/FTA
Authorities," dated September 2, 2005, as amended by joint
FHWA/FTA guidance, "SAFETEA -LU Deadline for New Planning
Requirements (July 1, 2007)," dated May 2, 2006 [clarifying Guidance
on Implementation of SAFETEA -LU Planning Provisions], and
subsequent Federal directives implementing SAFETEA -LU, except to
the extent FTA determines otherwise in writing;
(3) Joint FHWA/FTA regulations, "Planning Assistance and
Standards," 23 C.F.R. Part 450 and 49 C.F.R. Part 613 to the extent
that those regulations are consistent with the SAFETEA -LU
amendments to public transportation planning and private enterprise
Page 14 of 36
laws, and subsequent amendments to those regulations that may be
promulgated; and
(4) FTA regulations, "Major Capital Investment Projects," 49 C.F.R.
Part 611, to the extent that those regulations are consistent with the
SAFETEA -LU amendments to the public transportation planning and
private enterprise laws, and any subsequent amendments to those
regulations that may be subsequently promulgated.
b. Governmental and Private Nonprofit Providers of Nonemergency
Transportation. In addition to providing opportunities to participate in planning as described in
Subsection 9a of this Agreement, to the extent feasible the Contractor agrees to comply with the
provisions of 49 U.S.C. § 5323(k), which afford governmental agencies and nonprofit
organizations that receive Federal assistance for nonemergency transportation from Federal
Government sources (other than U.S. DOT) an opportunity to be included in the design,
coordination, and planning of transportation services.
C. Infrastructure Investment. During the implementation of the Project, the
Contractor agrees to take into consideration the recommendations of Executive Order
No. 12803, "Infrastructure Privatization," 31 U.S.C. § 501 note, and Executive Order No. 12893,
"Principles for Federal Infrastructure Investments," 31 U.S.C. § 501 note.
Section 10. Preference for United States Products and Services. To the extent applicable,
the Contractor agrees to comply with the following U.S. domestic preference requirements:
a. Buy America. The Contractor agrees to comply with 49 U.S.C. § 53230) and
FTA regulations, "Buy America Requirements," 49 C.F.R. Part 661 to the extent those
regulations are consistent with SAFETEA -LU provisions, and subsequent amendments to those
regulations that may be promulgated. The Contractor also agrees to comply with FTA directives
to the extent those directives are consistent with SAFETEA -LU provisions, except to the extent
that FTA or the Department determines otherwise in writing.
b. Cargo Preference -Use of United States -Flap Vessels. The Contractor agrees
to comply with U.S. Maritime Administration regulations, Cargo Preference - U.S. -Flag Vessels,"
46 C.F.R. Part 381, to the extent those regulations apply to the Project.
C. Fly America. The Contractor understands and agrees that the Federal /State
Government will not participate in the costs of international air transportation of any individuals
involved in or property acquired for the Project unless that air transportation is provided by
U.S. -flag air carriers to the extent service by U.S. -flag air carriers is available, in accordance
with the requirements of the International Air Transportation Fair Competitive Practices Act
of 1974, as amended, 49 U.S.C. § 40118, and with U.S. GSA regulations, "Use of United States
Flag Air Carriers," 41 C.F.R. §§ 301 - 10.131 through 301- 10.143.
Section 11. Procurement. To the extent applicable, the Contractor agrees to comply with
the following third party procurement provisions:
a. Federal Standards. The Contractor agrees to comply with the third party
procurement requirements of 49 U.S.C. chapter 53 and other applicable Federal laws in effect
now or as subsequently enacted; with U.S. DOT third party procurement regulations of 49
C.F.R. §§ 18.36 and other applicable Federal regulations pertaining to third party procurements
and subsequent amendments thereto, to the extent those regulations are consistent with
SAFETEA -LU provisions; and Article 8 of Chapter 143 of the North Carolina General Statutes.
The Contractor also agrees to comply with the provisions of FTA Circular 4220.1 E, "Third Party
Contracting Requirements, to the extent those provisions are consistent with SAFETEA -LU
provisions and with any subsequent amendments thereto, except to the extent the Department
or the FTA determines otherwise in writing. Although the FTA "Best Practices Procurement
Manual' provides additional procurement guidance, the Contractor understands that the FTA
"Best Practices Procurement Manual" is focused on third party procurement processes and may
omit certain Federal requirements applicable to the third party contract work to be performed.
Page 15 of 36
The Contractor shall establish written procurement procedures that comply with the required
Federal and State standards.
b. Full and Open Competition. In accordance with 49 U.S.C. § 5325(a), the
Contractor agrees to conduct all procurement transactions in a manner that provides full and
open competition as determined by the Department and FTA.
C. Exclusionary or Discriminatory Specifications. Apart from inconsistent
requirements imposed by Federal laws or regulations, the Contractor agrees to comply with the
requirements of 49 U.S.C. § 5325(h) by not using any Federal assistance awarded by FTA to
support a procurement using exclusionary or discriminatory specifications.
d. Geographic Restrictions. The Contractor agrees that it will not use any State
or local geographic preference, except State or local geographic preferences expressly
mandated or as permitted by FTA. However, for example, in procuring architectural,
engineering, or related services, the Contractor's geographic location may be a selection
criterion, provided that a sufficient number of qualified firms are eligible to compete.
e. In -State Bus Dealer Restrictions. The Contractor agrees that in accordance
with 49 U.S.C. § 5325(i), any State law requiring buses to be purchased through in -State
dealers will not apply to purchases of vehicles acquired with funding authorized under 49 U.S.C.
chapter 53.
f. Neutrality in Labor Relations. To the extent permitted by law, the Contractor
agrees to comply with Executive Order No. 13202, "Preservation of Open Competition and
Government Neutrality Towards Government Contractors' Labor Relations on Federal and
Federally Funded Construction Projects," Executive Order No. 13202, as amended by Executive
Order No. 13208, 41 U.S.C. § 251 note, which among other things prohibits requirements for
affiliation with a labor organization as a condition for award of any third party contract or
subcontract for construction or construction management services, unless the Federal
Government determines otherwise in writing.
g. Federal Supply Schedules. State, local, or nonprofit Recipients may not use
Federal Supply Schedules to acquire federally assisted property or services except to the extent
permitted by U.S. GSA, U.S. DOT, or FTA laws, regulations, directives, or determinations.
h. Force Account. The Contractor agrees that FTA may determine the extent to
which Federal assistance may be used to participate in force account costs.
i. Department Technical Review. The Contractor agrees to permit the
Department to review and approve the Contractor 's technical specifications and requirements
to the extent the Department believes necessary to ensure proper Project administration. The
Contractor agrees to submit the following to the Department for its review and approval prior to
solicitation:
(1) New /adapted specifications for equipment, supplies, apparatuses and
new -type rolling stock. This requirement does not apply to equipment, supplies, or apparatuses
with cost of less than $30,000; or to Minivans; Conversion and Lift Vans; Center Aisle Vans and
Standard Vans; and Light Transit Vehicles (Cutaway -type Bus).
(2) Drawings, designs, and /or description of work for construction, renovation,
or facility improvement projects, including the purchase or construction of bus shelters.
j. Department Pre -award Approval. The Contractor agrees to submit
procurement documents to the Department for its review and approval prior to award of a
contract/ subcontract under this Agreement for any of the following:
(1) All new -type rolling stock, excluding Minivans; Conversion and Lift
Vans; Center Aisle Vans and Standard Vans; and Light Transit
Vehicles (Cutaway -type Bus).
(2) All construction projects equal to or greater than $30,000;
(3) Any "brand name" product or sole source purchase equal to or greater
than $2,500;
Page 16 of 36
(4) Any contract/subcontract to other than apparent lowest bidder equal to
or greater than $2,500;
(5) Any procurement equal to or greater than $90,000;
(6) Any contract modification that would change the scope of a contract or
increase the contract amount up to or over the formal (sealed) bid
threshold of $90,000.
k. Project Approval/Third Party Contract Approval. Except to the extent the
Department determines otherwise in writing, the Contractor agrees that the Department's award
of Federal and State assistance for the Project does not, by itself, constitute pre - approval of any
non - competitive third party contract associated with the Project.
I. Preference for Recycled Products. To the extent applicable, the Contractor
agrees to comply with U.S. EPA regulations, Comprehensive Procurement Guidelines for
Products Containing Recovered Materials," 40 C.F.R. Part 247, which implements Section 6002
of the Resource Conservation and Recovery Act, as amended, 42 U.S.C. § 6962, and with
subsequent Federal regulations that may be promulgated. Accordingly, the Contractor agrees
to provide 'a competitive preference for products and services that conserve natural resources,
protect the environment, and are energy efficient.
M. Clean Air and Clean Water. The Contractor agrees to include in each third
party contract and subagreement exceeding $100,000 adequate provisions to ensure that each
Project participant will agree to report the use of facilities placed on or likely to be placed on the
U.S. Environmental Protection Agency (U.S. EPA) "List of Violating Facilities," to not use any
violating facilities, to report violations to the Department and the Regional U.S. EPA Office, and
to comply with the inspection and other applicable requirements of:
(1) Section 306 of the Clean Air Act, as amended, 42 U.S.C. § 7414, and
other applicable provisions of the Clean Air Act, as amended, 42 U.S.C. §§ 7401 through
7671q; and
(2) Section 508 of the Clean Water Act, as amended, 33 U.S.C. § 1368,
and other applicable requirements of the Clean Water Act, as amended, 33 U.S.C. §§ 1251
through 1377.
n. 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 subsequent further implementing
directives, except to the extent FTA or the Department determines otherwise in writing.
o. Rolling Stock. In acquiring rolling stock, the Contractor agrees as follows:
(1) Method of Acquisition. The Department's Public Transportation
Division, through the North Carolina Department of Administration, Purchase and Contract
Division, awards vehicle contracts for its grant recipients to purchase public transit vehicles.
These vehicle contracts comply with FTA and State requirements. The Contractor will utilize
these vehicle contracts to purchase public transit vehicles included in the Approved Budget for
this Project. For public transit vehicles not included in these contracts, the Contractor shall
conduct a competitive procurement process in accordance with this Agreement.
(2) Multi -year Options. In accordance with 49 U.S.C. § 5325(e)(1), the
Contractor may not enter into a multi -year contract with options, exceeding five (5) years after
the date of the original contract, to purchase additional rolling stock and replacement parts.
(3) Pre -Award and Post - Delivery Requirements. The Contractor agrees to
comply with the requirements of 49 U.S.C. § 5323(m) and FTA regulations, "Pre -Award and
Post - Delivery Audits of Rolling Stock Purchases," 49 C.F.R. Part 663 and, when promulgated,
any amendments to those regulations. The Contractor understands and agrees that to the
extent the provisions of 49 U.S.C. § 5323(m), as amended by SAFETEA -LU conflict with FTA's
Page 17 of 36
implementing regulations, as currently promulgated, the provisions of 49 U.S.C. § 5323(m), as
amended, prevail.
(4) Bus Testing. To the extent applicable, the Contractor agrees to comply
with the requirements of 49 U.S.C. § 5318(e) and FTA regulations, "Bus Testing," 49 C.F.R.
Part 665, and any amendments to those regulations that may be promulgated.
p. Bonding. For construction projects, the Contractor agrees to provide bid
guarantee bond (5% of bid price) and performance and payment bonds (100% of contract price)
and comply with any other construction bonding provisions as the Department may determine.
q. Architectural Engineering Design or Related Services. For all architectural,
engineering, design, or related services the Contractor shall use qualifications -based
competitive proposal [Request for Qualifications (RFQ) in accordance with the Brooks Act]
procedures. The Contractor shall follow applicable statutes, N.C.G.S. 143- 64.31 -34 and
requirements set forth in FTA Circular 4220.1E, to retain a qualified, registered architect or
professional engineer.
(1) The Contractor agrees to comply with qualifications -based competitive
proposal procedures, which require:
(a) An offeror's qualifications be evaluated;
(b) Good faith effort to use minority -owned businesses;
(c) Price be excluded as an evaluation factor;
(a) Negotiations be conducted with only the most qualified offeror;
and
(b) Failing agreement on price, negotiations with the next most
qualified offeror be conducted until a contract award can be
made to the most qualified offeror whose price is fair and
reasonable.
(2) Geographic location may be a selection criterion in procurements for
architectural and engineering (A &E) services provided its application leaves an appropriate
number of qualified firms, given the nature and size of the project, to compete for the contract.
(3) The Contractor acknowledges and agrees that qualifications -based
competitive proposal procedures can only be used for procurement of the following services:
(a) Program management;
(b) Construction management;
(c) Feasibility studies; and
(d) Preliminary engineering, design, architectural, engineering,
surveying, mapping, and related services.
(4) The Contractor also agrees to:
(a) Include applicable Federal requirements and certifications in the
solicitation;
(b) Submit procurement documents to the Department for its review
and approval prior to the award of any contract for A &E services
for the Project; and
(c) Maintain written documentation to support each step of the
procurement process.
r. Desiqn- Bid -Build Projects. The Design- Bid -Build method of construction is
where there are separate contracts and procurement processes for the design and construction.
Typically the designer coordinates the numerous prime contractors that are involved in the
construction process. The Contractor may use design- bid -build procurements to implement its
projects after it has complied with applicable Federal and State requirements and obtains
approval from the Department prior to solicitation and award of the contract.
S. Design -Build Projects. The Design -Build method of construction is where a
single contractor is given responsibility for both design and construction, thus eliminating an
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intermediate procurement step with possible time saving, and more effective coordination and
opportunities for cost savings. Currently, this procurement method is not an allowable method
of procurement by the State of North Carolina. The Contractor may request to use the design -
build method as an "alternate" method. Submission of justification must be presented to the
State Building Commission for a 2/3- majority vote of approval. One of the drawbacks of design -
build is that the owner does not have an independent source (the A/E in traditional construction)
overseeing design implementation and verifying conformance with the drawings and
specifications.
t. Competitive Proposal /Request for Proposal (RFP). The competitive proposal/
request for proposal (RFP) method of procurement is normally conducted with more than one
source submitting an offer, i.e., proposal. Either a fixed price or cost reimbursement type
contract is awarded. This method of procurement is generally used when conditions are not
appropriate for the use of sealed bids. The Contractor acknowledges that certain restrictions
apply under North Carolina law for use of the RFP method and these restrictions and exceptions
are discussed below.
(1) The Contractor agrees that the RFP Method may not be used in lieu of
an invitation for bids (IFB) for:
(a) Construction /repair work; or
(b) Purchase of apparatus, supplies, materials or equipment. See
Subsection 11t(2), this Agreement, regarding information
technology goods as services.
(2) The Contractor agrees that the RFP method of solicitation may be used
(in addition to or instead of any other procedure available under North Carolina law) for the
procurement of information technology goods and services [as defined in N.C.G.S. 147-
33.81(2)]. This applies to electronic data processing goods and services, telecommunications
goods and services, security goods and services, microprocessors, software, information
processing, office systems, any services related to the foregoing, and consulting or other
services for design or redesign of information technology supporting business processes. The
Contractor will comply with the following minimum requirements [N.C.G.S. 143 - 129.8]:
(a) Notice of the request for proposals shall be given in accordance
with N.C.G.S. 143- 129(b).
(b) Contracts shall be awarded to the person or entity that submits the
best overall proposal as determined by the awarding authority.
Factors to be considered in awarding contracts shall be identified
in the request for proposals.
(c) The Contractor may use procurement methods set forth in
N.C.G.S. 143 -135.9 in developing and evaluating requests for
proposals.
(d) The Contractor may negotiate with any proposer in order to
obtain a final contract that best meets the needs of the
Contractor.
(e) Any negotiations shall not alter the contract beyond the scope of
the original request for proposals in a manner that deprives the
proposers or potential proposers of a fair opportunity to compete
for the contract; and would have resulted in the award of the
contract to a different person or entity if the alterations had been
included in the request for proposals.
(f) Proposals submitted shall not be subject to public inspection until
a contract is awarded.
(3) The Contractor agrees that the RFP method, in accordance with FTA
Circular 4220.1 E, under the guidelines of FTA "Best Practices Procurement Manual," should be
Page 19 of 36
used for procurements of professional services, such as consultants for planning activities and
for transit system operations /management. The Contractor acknowledges that certain
restrictions apply under North Carolina law for use of the RFP method and these restrictions
and exceptions are discussed in Subsections 11t(1) and 11t(2) of this Agreement. For all
architectural, engineering, design, or related services, the Contractor agrees that the
qualifications -based competitive proposal process shall be used (see Subsection 11q, this
Agreement).
(4) When the RFP method is used for procurement of professional
services, the Contractor agrees to abide by the following minimum requirements:
(a) Normally conducted with more than one source submitting an
offer (proposal);
(b) Either fixed price or cost reimbursement type contract will be
used;
(c) Generally used when conditions are not appropriate for use of
sealed bids;
(d) Requests for proposals will be publicized;
(d) All evaluation factors will be identified along with their relative
importance;
(e) Proposals will be solicited from an adequate number (3 is
recommended) of qualified sources;
(f) A standard method must be in place for conducting technical
evaluations of the proposals received and for selecting
awardees;
(g) Awards will be made to the responsible firm whose proposal is
most advantageous to the Contractor's program with price and
other factors considered; and
(h) In determining which proposal is most advantageous, the
Contractor may award to the proposer whose proposal offers the
greatest business value (best value) to the agency. "Best value"
is based on determination of which proposal offers the best
tradeoff between price and performance, where quality is
considered an integral performance factor.
U. Award to Other than the Lowest Bidder. In accordance with Federal and
State statutes, a third party contract may be awarded to other than the lowest bidder, if the
award furthers an objective (such as improved long -term operating efficiency and lower long-
term costs). When specified in bidding documents, factors such as discounts, transportation
costs, and life cycle costs will be considered in determining which bid is lowest. Prior to the
award of any contract equal to or greater than $2,500 to other than apparent lowest bidder, the
Contractor shall submit its recommendation along with basis /reason for selection to the
Department for pre -award approval.
V. Award to Responsible Contractors. The Contractor agrees to award third
party contracts only to responsible contractors who possess potential ability to successfully
perform under the terms and conditions of the proposed procurement. Consideration will be
given to such matters as contractor integrity, compliance with public policy, record of past
performance, and financial and technical resources. Contracts will not be awarded to parties
that are debarred, suspended, or otherwise excluded from or ineligible for participation in
Federal assistance programs or activities in accordance with the Federal debarment and
suspension rule, 49 C.F.R. 29. For procurements over $25,000, the Contractor shall comply,
and assure the compliance of each third party contractor and subrecipient at any tier, with the
debarment and suspension rule. FTA and the Department recommend that grantees use a
certification form for projects over $25,000, which are funded in part with Federal funds. A
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sample certification form can be obtained from the Department. The Contractor also agrees to
check a potential contractor's debarment/suspension status at the following Web site:
http: / /epls.arnet.gov /.
W. Procurement Notification Requirements. With respect to any procurement for
goods and services (including construction services) having an aggregate value of $500,000 or
more (in Federal funds), the Contractor agrees to:
(1) Specify the amount of Federal and State funds that will be used to
finance the acquisition in any announcement of the contract award for such goods or services;
and
(2) Express the said amount as a percentage of the total costs of the
planned acquisition.
X. Contract Administration System. The Contractor shall maintain a contract
administration system that ensures that contractors /subcontractors perform in accordance with
the terms, conditions, and specifications of their contracts or purchase orders.
y. Access to Third Party Contract Records. The Contractor agrees, and agrees
to require its third party contractors and third party subcontractors, at as many tiers of the
Project as required, to provide to the Federal and State awarding agencies or their duly
authorized representatives, access to all third party contract records to the extent required by 49
U.S.C. § 5325(g), and retain such documents for at least five (5) years after project completion.
Section 12. Leases.
a. Capital Leases. To the extent applicable, the Contractor agrees to comply
with FTA regulations, "Capital Leases," 49 C.F.R. Part 639, and any revision thereto.
b. Leases Involving Certificates of Participation. The Contractor agrees to
obtain the Department's concurrence before entering into any leasing arrangement involving the
issuance of certificates of participation in connection with the acquisition of any capital asset.
Section 13. Hold Harmless. Except as prohibited or otherwise limited by State law or
except to the extent that FTA or the Department determines otherwise in writing, upon request
by the Federal or State Government, the Contractor agrees to indemnify, save, and hold
harmless the Federal and State Government and its officers, agents, and employees acting
within the scope of their official duties against any liability, including costs and expenses,
resulting from any willful or intentional violation by the Contractor of proprietary rights,
copyrights, or right of privacy, arising out of the publication, translation, reproduction, delivery,
use, or disposition of any data furnished under the Project. The Contractor shall not be required
to indemnify the Federal or State Government for any such liability caused by the wrongful acts
of Federal or State employees or agents.
Section 14. Use of Real Property. Equipment, and Supplies. The Contractor understands
and agrees that the Federal /State Government retains a Federal /State interest in any real
property, equipment, and supplies financed with Federal /State assistance (Project property)
until, and to the extent, that the Federal /State Government relinquishes its Federal /State interest
in that Project property. With respect to any Project property financed with Federal /State
assistance under this Agreement, the Contractor agrees to comply with the following provisions,
except to the extent FTA or the Department determines otherwise in writing:
a. Use of Project Property. The Contractor agrees to maintain continuing
control of the use of Project property to the extent satisfactory to FTA. The Contractor agrees to
use Project property for appropriate Project purposes (which may include joint development
purposes that generate program income, both during and after the award period and used to
support public transportation activities) for the duration of the useful life of that property, as
required by FTA or the Department. Should the Contractor unreasonably delay or fail to use
Project property during the useful life of that property, the Contractor agrees that it may be
required to return the entire amount of the Federal and State assistance expended on that
property. The Contractor further agrees to notify the Department immediately when any Project
Page 21 of 36
property is withdrawn from Project use or when any Project property is used in a manner
substantially different from the representations the Contractor has made in its Application or in
the Project Description for this Agreement for the Project. In turn, the Department shall be
responsible for notifying FTA.
b. General. The Contractor agrees to comply with the property management
standards of 49 C.F.R. §§ 18.31 through 18.33, including any amendments thereto, and with
other applicable Federal and State regulations and directives. Any exception to the
requirements of 49 C.F.R. §§ 18.31 through 18.33 requires the express approval of the Federal
Government in writing. The Contractor also consents to the Department's reimbursement
requirements for premature dispositions of certain Project equipment, as set forth in Subsection
14i of this Agreement.
C. Maintenance and Inspection of Vehicles, Facilities and Other Proiect
Equipment . The Contractor shall maintain all project equipment at a high level of cleanliness,
safety, and mechanical soundness in accordance with the minimum maintenance requirements
recommended by the manufacturer. The Contractor shall register all vehicle maintenance
activities in a Comprehensive Maintenance Record or an electronic version of same. The
Department shall conduct frequent inspections to confirm proper maintenance pursuant to this
Subsection 15c of this Agreement and the State Management Plan. The Contractor shall collect
and submit to the Department at such time and in such manner as it may require information for
the purpose of the Department's Public Transportation Management System (PTMS).
The Contractor shall maintain the facility, including any and all equipment installed into or added
on to the facility as part of the Project, in good operating order and at a high level of cleanliness,
safety and mechanical soundness in accordance with good facility maintenance and upkeep
practices and in accordance with the minimum maintenance requirements recommended by the
manufacturer for all equipment installed in or added to the facility as part of the Project. Such
maintenance shall be in compliance with applicable Federal and state regulations or directives
that may be issued, except to the extent that the Department determines otherwise in writing.
The Department shall conduct inspections as it deems necessary to confirm proper
maintenance on the part of the Contractor pursuant to Subsection 14c of the Agreement and the
State Management Plan. Such inspections may or may not be scheduled ahead of time, but will
be conducted such that they shall not significantly interfere with the ongoing and necessary
functions for which the Project was designed. The Contractor shall make every effort to
accommodate such inspections by the Department in accordance with the Department's desired
schedule for such inspections. The Contractor shall collect and submit to the Department at
such time and in such manner as the Department may require information for the purpose of the
Department's Public Transportation Management System (PTMS) and any and all other reports
the Department deems necessary. The Contractor shall also maintain and make available to
the Department upon its demand all documents, policies, procedures, purchase orders, bills of
sale, internal work orders and similar items that demonstrate the Contractor's maintenance of
the facility in good operating order and at a high level of cleanliness, safety and mechanical
soundness.
d. Records. The Contractor agrees to keep satisfactory records pertaining to
the use of Project property, and submit to the Department upon request such information as
may be required to assure compliance with this Section 14 of this Agreement.
e. Incidental Use. The Contractor agrees that:
(1) General. Any incidental use of Project property will not exceed that
permitted under applicable Federal and State laws, regulations, and directives.
(2) Alternative Fueling_ Facilities. As authorized by 49 U.S.C. § 5323(p),
any incidental use of its federally financed alternative fueling facilities and equipment by non -
transit public entities and private entities will be permitted, only if the:
Page 22 of 36
(a) Incidental use does not interfere with the Contractor's Project or
public transportation operations;
(b) Contractor fully recaptures all costs related to the incidental use
from the non - transit public entity or private entity;
(c) Contractor uses revenues received from the incidental use in
excess of costs for planning, capital, and operating expenses that are incurred in providing
public transportation; and
(d) Private entities pay all applicable excise taxes on fuel.
f. Title to Vehicles. The Certificate of Title to all vehicles purchased under the
Approved Budget for this Project shall be in the name of the Contractor. The Department's
Public Transportation Division shall be recorded on the Certificate of Title as first lien- holder. In
the event of project termination or breach of contract provisions, the Contractor shall, upon
written notification by the Department, surrender Project equipment and /or transfer the
Certificate(s) of Title for Project equipment to the Department or the Department's designee.
g. Encumbrance of Project Property. The Contractor agrees to maintain
satisfactory continuing control of Project property as follows:
(1) Written Transactions. The Contractor agrees that it will not execute
any transfer of title, lease, lien, pledge, mortgage, encumbrance, third party contract,
subagreement, grant anticipation note, alienation, innovative finance arrangement (such as a
cross border lease, leveraged lease, or otherwise), or any other obligation pertaining to Project
property, that in any way would affect the continuing Federal and State interest in that Project
property.
(2) Oral Transactions. The Contractor agrees that it will not obligate itself
in any manner to any third party with respect to Project property.
(3) Other Actions. The Contractor agrees that it will not take any action
adversely affecting the Federal and State interest in or impair the Contractor's continuing control
of the use of Project property.
h. Transfer of Project Property. The Contractor understands and agrees as
follows:
(1) Contractor Request. The Contractor may transfer any Project property
financed with Federal assistance authorized under 49 U.S.C. chapter 53 to a local governmental
authority to be used for any public purpose with no further obligation to the Federal
Government, provided the transfer is approved by the Federal Transit Adminsitrator and
conforms with the requirements of 49 U.S.C. §§ 5334(h)(1) through 5334(h)(3).
(2) _ Federal /State Government Direction. The Contractor agrees that the
Federal or State Government may direct the disposition of, and even require the Contractor to
transfer title to any Project property financed with Federal /State assistance under this
Agreement.
(3) Leasing Project Property to Another Party.
(a) General. Prior to entering into any third party contract for leasing
Project property to another party, the Contractor agrees to obtain approval from the Department.
If the Contractor leases any Project property to another party, the Contractor agrees to retain
ownership of the leased Project property, and assure that the lessee will use the Project
property appropriately, through a written lease between the Contractor and lessee. The
Contractor agrees to use the standard lease agreement form provided by the Department and to
provide a copy of the signed, executed lease agreement to the Department. In accordance with
Subsection 2g of this Agreement, regardless of assignment of work to be completed under this
Project or lease of Project assets to a third party, it is the Contractor's primary responsibility to
comply with Federal and State requirements of this Agreement and assure the compliance of
any third party contractors.
Page 23 of 36
(b) Lease of Vehicles. The lease of vehicles acquired with financial
assistance authorized for 49 U.S.C. 5311 to any third party is contingent upon approval of the
Department. It is allowable to lease vehicles to another Community Transportation System
providing general public service in the State of North Carolina, upon approval of the
Department. It is also allowable for vehicles to be leased to a third party operator or
transportation management company that operates the transit service within a county /region
under contract to the Contractor, upon approval of the Department. The Contractor agrees to
use the vehicle lease agreement provided by the Department when vehicles are leased, even if
on a short-term basis, to another Community Transportation System or a management
company. The Contractor agrees to obtain written approval from the Department before the
lease is executed and forward a copy of the signed, executed lease agreement to the
Department. The Contractor, as a Community Transportation System, shall not lease vehicles
to human service agencies, county agencies /government, community agencies or school
systems. The Contractor agrees not to loan vehicle(s) to other agencies /individuals for short -
term use, even during hours that the transportation system is not providing service, as the
vehicle(s) will generally be used to provide service that is "closed- door," i.e., not open to the
general public.
i. Disposition of Project Property. With prior Department approval, the
Contractor may sell, transfer, or lease Project property and use the proceeds to reduce the
gross project cost of other eligible capital public transportation projects to the extent permitted
by 49 U.S.C. § 5334(h)(4). The Contractor also agrees that the Department shall determine
"useful life" for all Project property and that the Contractor will use Project property continuously
and appropriately throughout the useful life of that property. Upon the end of the period of
useful life, the Contractor may dispose of Project property after notifying and receiving
disposition instructions from the Department.
(1) Project Property Whose Useful Life Has Expired. When the useful life
of Project property has expired, the Contractor agrees to comply with the Department's
disposition requirements.
(2) Project Property Prematurely Withdrawn from Use. For Project
property withdrawn from appropriate use before its useful life has expired, the Contractor agrees
as follows:
(a) Notification Requirement. The Contractor agrees to notify the
Department immediately when any Project property is prematurely withdrawn from appropriate
use, whether by planned withdrawal, misuse, or casualty loss.
(b) Calculating the Fair Market Value of Prematurely Withdrawn
Project Property. The Contractor agrees that the Federal /State Government retains a
Federal /State interest in the fair market value of Project property prematurely withdrawn from
appropriate use. The amount of the Federal /State interest in the Project property shall be
determined by the ratio of the Federal /State assistance awarded for the property to the actual
cost of the property. The Contractor agrees that the fair market value of Project property
prematurely withdrawn from use will be calculated as follows:
1. Equipment and Supplies. The Contractor agrees that the
fair market value of Project equipment and supplies shall be calculated by straight -line
depreciation of that property, based on the useful life of the equipment or supplies as
established by the Department. The fair market value of Project equipment and supplies shall
be the value immediately before the occurrence prompting the withdrawal of the equipment or
supplies from appropriate use. In the case of Project equipment or supplies lost or damaged by
fire, casualty, or natural disaster, the fair market value shall be calculated on the basis of the
condition of that equipment or supplies immediately before the fire, casualty, or natural disaster,
or the amount of insurance coverage, whichever is greater.
Page 24 of 36
2. Real Property. The Contractor agrees that the fair market
value of real property financed under the Project shall be determined by FTA either on the basis
of competent appraisal based on an appropriate date approved by FTA, as provided by 49
C.F.R. Part 24, by straight line depreciation of improvements to real property coupled with the
value of the land as determined by FTA on the basis of appraisal, or other Federal law or
regulations that may be applicable.
3. Exceptional Circumstances. The Contractor agrees that
the Department may require the use of another method to determine the fair market value of
Project property. In unusual circumstances, the Contractor may request that another
reasonable valuation method be used including, but not limited to, accelerated depreciation,
comparable sales, or established market values. In determining whether to approve such a
request, the Department may consider any action taken, omission made, or unfortunate
occurrence suffered by the Contractor with respect to the preservation of Project property
withdrawn from appropriate use.
(c) Financial Obligations to the Federal /State Government. The
Contractor agrees to remit to the Department the Federal and State interest in the fair market
value of any Project property prematurely withdrawn from appropriate use. In turn, the
Department shall be responsible to remit the Federal interest to the FTA. In the case of fire,
casualty, or natural disaster, the Contractor may fulfill its obligations to remit the Federal and
State in by either:
1. Investing an amount equal to the remaining Federal and
State interest in like -kind property that is eligible for
assistance within the scope of the Project that provided
Federal /State assistance for the Project property
prematurely withdrawn from use; or
2. Returning to the Department an amount equal to the
remaining Federal and State interest in the withdrawn
Project property.
j. Insurance Proceeds. If the Contractor receives insurance proceeds as a
result of damage or destruction to the Project property, the Contractor agrees to:
(1) Apply those insurance proceeds to the cost of replacing the damaged or
destroyed Project property taken out of service, or
(2) Return to the Department an amount equal to the remaining Federal and
State interest in the damaged or destroyed Project property.
k. Transportation - Hazardous Materials. The Contractor agrees to comply with
applicable requirements of U.S. Pipeline and Hazardous Materials Safety Administration
regulations, "Shippers - General Requirements for Shipments and Packagings," 49 C.F.R. Part
173, in connection with the transportation of any hazardous materials.
I. Misused or Damaged Project Property. If any damage to Project property
results from abuse or misuse occurring with the Contractor's knowledge and consent, the
Contractor agrees to restore the Project property to its original condition or refund the value of
the Federal and State interest in that property, as the Department may require.
M. Responsibilities after Project Closeout. The Contractor agrees that Project
closeout by the Department will not change the Contractor's Project property management
responsibilities as stated in Section 14 of this Agreement, and as may be set forth in
subsequent Federal and State laws, regulations, and directives, except to the extent the
Department determines otherwise in writing.
Section 15. Insurance. The Contractor shall be responsible for protecting the state and /or
federal financial interest in the facility construction /renovation and equipment purchased under
this Agreement throughout the useful life. The Contractor shall provide, as frequently and in
such manner as the Department may require, written documentation that the facility and
Page 25 of 36
equipment are insured against loss in an amount equal to or greater than the state and /or
federal share of the real value of the facility or equipment. Failure of the Contractor to provide
adequate insurance shall be considered a breach of contract and, after notification may result in
termination of this Agreement. In addition, other insurance requirements may apply, the
Contractor agrees as follows:
a. Minimum Requirements. At a minimum, the Contractor agrees to comply with
the insurance requirements normally imposed by North Carolina State and local laws,
regulations, and ordinances, except to the extent that the Department determines otherwise in
writing.
b. Flood Hazards. To the extent applicable, the Contractor agrees to comply
with the flood insurance purchase provisions of Section 102(a) of the Flood Disaster Protection
Act of 1973, 42 U.S.C. § 4012a(a), with respect to any Project activity involving construction or
an acquisition having an insurable cost of $10,000 or more.
Section 16. Relocation. When relocation of individuals or businesses is required, the
Contractor agrees as follows:
a. Relocation Protections. The Contractor agrees to comply with 49 U.S.C. §
5324(a), which requires compliance with the Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970, as amended, 42 U.S.C. §§ 4601 et seq.; and U.S. DOT
regulations, Uniform Relocation Assistance and Real Property Acquisition for Federal and
Federally Assisted Programs," 49 C.F.R. Part 24, which provide for fair and equitable treatment
of persons displaced and persons whose property is acquired as a result of Federal and
federally assisted programs. [See, new U.S. DOT final rule, "Uniform Relocation Assistance
and Real Property Acquisition for Federal and Federally Assisted Programs," 49 C.F.R. Part 24,
at 70 Fed. Reg. 590 et seq., January 4, 2005.] These requirements apply to relocation in
connection with all interests in real property acquired for the Project regardless of Federal
participation in the costs of that real property.
b. Nondiscrimination in Housing. In carrying out its responsibilities to provide
housing that may be required for compliance with Federal relocation requirements for
individuals, the Contractor agrees to comply with Title VIII of the Civil Rights Act of 1968, as
amended, 42 U.S.C. §§ 3601 et seq., and with Executive Order No. 12892, "Leadership and
Coordination of Fair Housing in Federal Programs: Affirmatively Furthering Fair Housing," 42
U.S.C. § 3608 note.
C. Prohibition Against Use of Lead -Based Paint. In undertaking construction or
rehabilitation of residential structures on behalf of individuals affected by real property
acquisition in connection with implementing the Project, the Contractor agrees that it will not use
lead -based paint, consistent with the prohibitions of Section 401(b) of the Lead -Based Paint
Poisoning Prevention Act, 42 U.S.C. § 4831(b), and the provisions of U.S. Housing and Urban
Development regulations, "Lead -based Paint Poisoning in Certain Residential Structures,"
Section 17. Real Property. For real property acquired with Federal assistance, the
Contractor agrees as follows:
a. Land Acquisition. 'The Contractor agrees to comply with 49 U.S.C. § 5324(a),
which requires compliance with the Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970, as amended, 42 U.S.C. §§ 4601 et seq.; and with U.S. DOT
regulations, "Uniform Relocation Assistance and Real Property Acquisition for Federal and
Federally Assisted Programs, 49 C.F.R. Part 24. [See, new U.S. DOT final rule, "Uniform
Relocation Assistance and Real Property Acquisition for Federal and Federally Assisted
Programs," 49 C.F.R. Part 24, 70 Fed. Reg. 590 et seq., January 4, 2005.] These requirements
apply to all interests in real property acquired for Project purposes regardless of Federal
participation in the cost of that real property.
Page 26 of 36
b. Covenant Assuring Nondiscrimination. The Contractor agrees to include a
covenant in the title of the real property acquired for the Project to assure nondiscrimination
during the useful life of the Project.
C. Recordinq Title to Real Property. To the extent required by FTA and the
Department, the Contractor agrees to record the Federal and State interest in title to real
property used in connection with the Project.
d. Department Approval of Changes in Real Property Ownership. The
Contractor agrees that it will not dispose of, modify the use of, or change the terms of the real
property title, or other interest in the site and facilities used in the Project without prior written
permission and instructions from the Department.
Section 18. Construction. Except to the extent the Department determines otherwise in
writing, the Contractor agrees as follows:
a. Drafting Review, and Approval of Construction Plans and Specifications.
The Contractor agrees to submit drawings, designs, and /or description of work for construction,
renovation, or facility improvement projects, including the purchase or construction of bus
shelters to the Department for its review and approval prior to solicitation.
b. DBE /MBE/WBE Participation. The Contractor agrees to record and report
DBE /MBE /WBE business good faith efforts in accordance with N.C.G.S. 143- 128.2(f).
C. Supervision of Construction. The Contractor agrees to provide and maintain
competent and adequate engineering supervision at the construction site to ensure that the
complete work conforms to the approved plans and specifications.
d. Construction Reports. The Contractor agrees to provide progress reports
and other data and information as may be required by the Department.
e. Project Management for Major Capital Projects. To the extent applicable, the
Contractor agrees to comply with FTA regulations, "Project Management Oversight," 49 C.F.R.
Part 633, and any subsequent Project Management Oversight regulations FTA may issue.
f. Seismic Safety. The Contractor agrees to comply with the Earthquake
Hazards Reduction Act of 1977, as amended, 42 U.S.C. §§ 7701 et seq., with Executive Order
No. 12699, "Seismic Safety of Federal and Federally- Assisted or Regulated New Building
Construction," 42 U.S.C. § 7704 note, and with U.S. DOT regulations, "Seismic Safety," 49
C.F.R. Part 41, specifically, 49 C.F.R. § 41.117.
Section 19. Employee Protections.
a. Construction Activities. The Contractor agrees to comply, and assures the
compliance of each third party contractor and each subrecipient at any tier of the Project, with
the following laws and regulations providing protections for construction employees:
(1) Davis -Bacon Act, as amended, 49 U.S.C. § 5333(a), which requires
compliance with the Davis -Bacon Act, 40 U.S.C. §§ 3141 et seq., and implementing U.S. DOL
regulations, Labor Standards Provisions Applicable to Contracts Governing Federally Financed
and Assisted Construction (also Labor Standards Provisions Applicable to Nonconstruction
Contracts Subject to the Contract Work Hours and Safety Standards Act)," 29 C.F.R. Part 5;
(2) Contract Work Hours and Safety Standards Act, as amended, 40
U.S.C. §§ 3701 et seq., specifically, the wage and hour requirements of Section 102 of that Act
at 40 U.S.C. § 3702, and implementing U.S. DOL regulations, Labor Standards Provisions
Applicable to Contracts Governing Federally Financed and Assisted Construction (also Labor
Standards Provisions Applicable to Nonconstruction Contracts Subject to the Contract Work
Hours and Safety Standards Act)," 29 C.F.R. Part 5; and the safety requirements of Section 107
of that Act at 40 U.S.C. § 3704, and implementing U.S. DOL regulations, "Safety and Health
Regulations for Construction," 29 C.F.R. Part 1926; and
(3) Copeland "Anti- Kickback ". Act, as amended, 18 U.S.C. § 874, and
implementing U.S. DOL regulations, "Contractors and Subcontractors on Public Building or
Page 27 of 36
Public Work Financed in Whole or in part by Loans or Grants from the United States," 29 C.F.R.
Part 3.
b. Activities Not Involving Construction. The Contractor agrees to comply, and
assures the compliance of each third party contractor and each subrecipient 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 the wage and hour requirements of Section 102 of that Act at 40 U.S.C. § 3702, and
with U.S. DOL regulations, "Labor Standards Provisions Applicable to Contracts Governing
Federally Financed and Assisted Construction (also Labor Standards Provisions Applicable to
Nonconstruction Contracts Subject to the Contract Work Hours and Safety Standards Act)," 29
C.F.R. Part 5.
C. Activities Involving Commerce. The Contractor agrees that the provisions of
the Fair Labor Standards Act, 29 U.S.C. §§ 201 et seq., apply to employees performing Project
work involving commerce.
d. Public Transportation Employee Protective Arrangements for Projects in
Nonurbanized Areas Authorized by 49 U.S.C. � 5311. The Contractor 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 May 31, 1979, U.S. DOL
implementing procedures, and any revisions thereto.
Section 20. Environmental Protections. The Contractor recognizes that many Federal and
State laws imposing environmental and resource conservation requirements may apply to the
Project. Some, but not all, of the major Federal laws that may affect the Project include: the
National Environmental Policy Act of 1969, as amended, 42 U.S.C. §§ 4321 through 4335; the
Clean Air Act, as amended, 42 U.S.C. §§ 7401 through7671q and scattered sections of Title 29,
United States Code; the Clean Water Act, as amended, 33 U.S.C. §§ 1251 through 1377; the
Resource Conservation and Recovery Act, as amended, 42 U.S.C. §§ 6901 through 6992k; the
Comprehensive Environmental Response, Compensation, and Liability Act, as amended, 42
U.S.C. §§ 9601 through 9675, as well as environmental provisions within Title 23, United States
Code, and 49 U.S.C. chapter 53. The Contractor also recognizes that U.S. EPA, FHWA and
other Federal agencies have issued, and in the future are expected to issue, Federal regulations
and directives that may affect the Project. Thus, the Contractor agrees to comply, and assures
the compliance of each third party contractor, with any applicable Federal laws, regulations and
directives as the Federal Government are in effect now or become effective in the future, except
to the extent the Federal Government determines otherwise in writing. Listed below are
environmental provisions of particular concern to FTA and the Department. The Contractor
understands and agrees that those laws, regulations, and directives may not constitute the
Contractor's entire obligation to meet all Federal environmental and resource conservation
requirements.
a. National Environmental Policv. Federal assistance is contingent upon the
Contractor's facilitating FTA's compliance with all applicable requirements and implementing
regulations of the National Environmental Policy Act of 1969, as amended, (NEPA) 42 U.S.C.
§§ 4321 through 4335 (as restricted by 42 U.S.C. § 5159, if applicable); Executive Order No.
11514, as amended, "Protection and Enhancement of Environmental Quality, 42 U.S.C. § 4321
note; FTA statutory requirements at 49 U.S.C. § 5324(b); U.S. Council on Environmental Quality
regulations pertaining to compliance with NEPA, 40 C.F.R. Parts 1500 through 1508; and joint
FHWA/FTA regulations, "Environmental Impact and Related Procedures, 23 C.F.R. Part 771
and 49 C.F.R. Part 622, and subsequent Federal environmental protection regulations that may
be promulgated. As a result of enactment of 23 U.S.C. §§ 139 and 326 as well as to
amendments to 23 U.S.C. § 138, environmental decision making requirements imposed on FTA
projects to be implemented consistent with the joint FHWA/FTA document, "Interim Guidance
for Implementing Key SAFETEA -LU Provisions on Planning, Environment, and Air Quality for
Page 28 of 36
Joint FHWA/FTA Authorities," dated September 2, 2005, and any subsequent applicable
Federal directives that may be issued, except to the extent that FTA determines otherwise in
writing.
b. Air Quality. Except to the extent the Federal Government determines
otherwise in writing, the Contractor agrees to comply with all applicable Federal laws,
regulations, and directives implementing the Clean Air Act, as amended, 42 U.S.C. §§ 7401
through 7671q, and:
(1) The Contractor agrees to comply with the applicable requirements of
Section 176(c) of the Clean Air Act, 42 U.S.C. § 7506(c), consistent with the joint FHWA/FTA
document, "Interim Guidance for Implementing Key SAFETEA -LU Provisions on Planning,
Environment, and Air Quality for Joint FHWA/FTA Authorities," dated September 2, 2005, and
any subsequent applicable Federal directives that may be issued; with U.S. EPA regulations,
"Conformity to State or Federal Implementation Plans of Transportation Plans, Programs, and
Projects Developed, Funded or Approved Under Title 23 US.C. or the Federal Transit Act," 40
C.F.R. Part 51, Subpart T; and "Determining Conformity of Federal Actions to State or Federal
Implementation Plans, 40 C.F.R. Part 93, and any subsequent Federal conformity regulations
that may be promulgated. To support the requisite air quality conformity finding for the Project,
the Contractor agrees to implement each air quality mitigation or control measure incorporated
in the Project. The Contractor further agrees that any Project identified in an applicable State
Implementation Plan (SIP) as a Transportation Control Measure will be wholly consistent with
the design concept and scope of the Project described in the SIP.
(2) U.S. EPA also imposes requirements implementing the Clean Air Act,
as amended, which may apply to public transportation operators, particularly operators of large
public transportation bus fleets. Accordingly, the Contractor agrees to comply with the following
U.S. EPA regulations to the extent they apply to the Project: Control of Air Pollution from Mobile
Sources," 40 C.F.R. Part 85; "Control of Air Pollution from New and In -Use Motor Vehicles and
New and In -Use Motor Vehicle Engines," 40 C.F.R. Part 86; and "Fuel Economy of Motor
Vehicles," 40 C.F.R. Part 600.
(3) The Contractor agrees to comply with notice of violating facility
provisions of Executive Order No. 11738, "Administration of the Clean Air Act and the Federal
Water Pollution Control Act with Respect to Federal Contracts, Grants, or Loans," 42 U.S.C. §
7606 note.
C. Clean Water. Except to the extent the Federal Government determines
otherwise in writing, the Contractor agrees to comply with all applicable Federal regulations and
directives issued pursuant to the Clean Water Act, as amended, 33 U.S.C. §§ 1251 through
1377. In addition:
(1) The Contractor agrees to protect underground sources of drinking
water consistent with the provisions of the Safe Drinking Water Act of 1974, as amended, 42
U.S.C. §§ 300f through 300j -6.
(2) The Contractor agrees to comply with notice of violating facility
provisions of Executive Order No. 11738, "Administration of the Clean Air Act and the Federal
Water Pollution Control Act with Respect to Federal Contracts, Grants, or Loans," 42 U.S.C. §
7606 note.
d. Use of Public Lands. The Contractor agrees that in implementing its Project,
it will not use any publicly owned land from a park, recreation area, or wildlife or waterfowl
refuge of national, State, or local significance as determined by the Federal, State, or local
officials having jurisdiction thereof, and it will not use any land from a historic site of national,
state, or local significance, unless the Federal Government makes the findings required by 49
U.S.C. §§ 303(b) and 303(c). The Contractor also agrees to comply with joint FHWA/FTA
regulations, "Parks, Recreation Areas, Wildlife and Waterfowl Refuges, and Historic Sites," 23
C.F.R. Parts 771 and 774, and 49 C.F.R. Part 622, when promulgated.
Page 29 of 36
e. Wild and Scenic Rivers. The Contractor agrees to comply with applicable
provisions of the Wild and Scenic Rivers Act of 1968, as amended, 16 U.S.C. §§ 1271 through
1287, relating to protecting components of the national wild and scenic rivers system; and to the
extent applicable, to comply with U.S. Forest Service regulations, "Wild and Scenic Rivers," 36
C.F.R. Part 297, and with U.S. Bureau of Land Management regulations, "Management Areas,"
43 C.F.R. Part 8350.
f. Coastal Zone Management. The Contractor agrees to assure Project
consistency with the approved State management program developed under the Coastal Zone
Management Act of 1972, as amended, 16 U.S.C. §§ 1451 through 1465.
g. Wetlands. The Contractor agrees to facilitate compliance with the protections
for wetlands in accordance with Executive Order No. 11990, as amended, "Protection of
Wetlands," at 42 U.S.C. § 4321 note.
h. Floodplains. The Contractor agrees to comply with the flood hazards
protections in floodplains in accordance with Executive Order No. 11988, as amended,
"Floodplain Management," 42 U.S.C. § 4321 note.
i. Endangered Species and Fisheries Conservation. The Contractor agrees to
comply with protections for endangered species set forth in the Endangered Species Act of
1973, as amended, 16 U.S.C. §§ 1531 through 1544, and the Magnuson Stevens Fisheries
Conservation Act, as amended, 16 U.S.C. §§ 1801 et seq.
j. Historic Preservation. The Contractor agrees to encourage compliance with
the Federal historic and archaeological preservation requirements of Section 106 of the National
Historic Preservation Act, as amended, 16 U.S.C. § 470f; with Executive Order No. 11593,
"Protection and Enhancement of the Cultural Environment," 16 U.S.C. § 470 note; and with the
Archaeological and Historic Preservation Act of 1974, as amended, 16 U.S.C. §§ 469a through
469c, as follows:
(1) In accordance with U.S. Advisory Council on Historic Preservation
regulations, "Protection of Historic and Cultural Properties," 36 C.F.R. Part 800, the Contractor
agrees to consult with the State Historic Preservation Officer concerning investigations to
identify properties and resources included in or eligible for inclusion in the National Register of
Historic Places that may be affected by the Project, and agrees to notify FTA of those properties
that are affected.
(2) The Contractor agrees to comply with all applicable Federal regulations
and directives to avoid or mitigate adverse effects on those historic properties, except to the
extent the Federal Government determines otherwise in writing.
k. Indian Sacred Sites. The Contractor agrees to facilitate compliance with the
preservation of places and objects of religious importance to American Indians, Eskimos,
Aleuts, and Native Hawaiians, in compliance with the American Indian Religious Freedom Act,
42 U.S.C. § 1996, and with Executive Order No. 13007, "Indian Sacred Sites," 42 U.S.C. § 1996
note, except to the extent the Federal Government determines otherwise in writing.
I. Mitigation of Adverse Environmental Effects. Should the proposed Project
cause or result in adverse environmental effects, the Contractor agrees to take all reasonable
measures to minimize the impact of those adverse effects, as required by 49 U.S.C. § 5324(b),
and other applicable Federal laws and regulations, including 23 C.F.R. Part 771 and 49 C.F.R.
Part 622. The Contractor agrees to comply with all environmental mitigation measures that may
be identified as commitments in applicable environmental documents, (i.e., environmental
assessments, environmental impact statements, memoranda of agreement, and other
documents as required by 49 U.S.C. § 303) and agrees to comply with any conditions the
Federal Government might impose in a finding of no significant impact or record of decision.
The Contractor agrees that those environmental mitigation measures are incorporated by
reference and made part of this Agreement for the Project. The Contractor also agrees that any
deferred mitigation measures will be incorporated by reference and made part of this Agreement
Page 30 of 36
for the Project as soon as agreement with the Federal Government is reached. The Contractor
agrees that those mitigation measures agreed upon may not be modified or withdrawn without
the express written approval of the Federal Government.
Section 21. Energy Conservation. The Contractor agrees to comply with the North
Carolina Energy Policy Act of 1975 (N.C.G.S. 1138) issued in accordance with the Energy
Policy and Conservation Act, as amended, 42 U.S.C. §§ 6321 et seq., except to the extent that
the Department determines otherwise in writing. To the extent applicable, the Contractor
agrees to perform an energy assessment for any building constructed, reconstructed, or
modified with FTA assistance, as provided in FTA regulations, "Requirements for Energy
Assessments," 49 C.F.R. Part 622, Subpart C.
Section 22. Charter Service Operations.
FTA defines charter service as transportation using vehicles (buses or vans), equipment,
or facilities funded under the Federal Mass Transit Act for a group of persons who pursuant to a
common purpose, under a single contract, at a fixed charged for the vehicle or service, have
acquired the exclusive use of the vehicle or service to travel together under an itinerary either
specified in advance or modified after having left the place of origin.
The Contractor acknowledges that Federal and State requirements prohibit the use of
vehicles, facilities and equipment funded by Federal or State grant programs for the provision of
charter services unless it is determined that there are no willing and able charter operators in
the service area. Federal law does not provide exceptions to these regulations for vehicles that
are loaned or leased to other agencies or entities.
The Contractor agrees that neither it nor any public transportation operator performing
work in connection with a Project financed under 49 U.S.C. chapter 53 will engage in charter
service operations, except as authorized by 49 U.S.C. § 5323(d) and FTA regulations, "Charter
Service, 49 C.F.R. Part 604, and any subsequent Charter Service regulations or FTA directives
that may be issued, except to the extent that FTA determines otherwise in writing. Any charter
service agreement required by FTA regulations is incorporated by reference and made part of
this Agreement for the Project. The Contractor 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 FTA or U.S. DOT.
Section 23. School Transportation Operations. The Contractor agrees that neither it nor
any public transportation operator performing work in connection with a Project financed under
49 U.S.C. chapter 53 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. Any school
transportation operations agreement required by FTA regulations is incorporated by reference
and made part of this Agreement for the Project. The Contractor 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.
Section 24. Geographic Information and Related Spatial Data. In accordance with U.S.
OMB Circular A -16, "Coordination of Geographic Information and Related Spatial Data
Activities," August 19,2002, the Contractor agrees to implement its Project so that any activities
involving spatial data and geographic information systems activities financed directly or
indirectly, in whole or in part, by Federal assistance, consistent with the National Spatial Data
infrastructure promulgated by the Federal Geographic Data Committee, except to the extent that
FTA determines otherwise in writing.
Page 31 of 36
Section 25. Motor Carrier Safety. To the extent applicable, the Contractor agrees to
comply with, and assures the compliance of its subrecipients, lessees, and third party
contractors with, applicable provisions of the following regulations promulgated by the U.S.
Federal Motor Carrier Safety Administration (U.S. FMCSA):
a. Financial Responsibility. The Contractor agrees as follows:
(1) To the extent that the Contractor is engaged in interstate
commerce and not within a defined commercial zone, the
Contractor agrees to comply with U.S. FMCSA regulations,
"Minimum Levels of Financial Responsibility for Motor Carriers,"
49 U.S.C. Part 387, dealing with economic registration and
insurance requirements. For recipients of Federal assistance
under 49 U.S.C. §§ 5307, 5310, or 5311, 49 C.F.R. Part 387 is
modified by 49 U.S.C. § 31138(e)(4) which reduces the amount
of insurance required of such recipients to the highest amount of
any state in which the transit provider operates.
(2) To the extent that the Contractor is engaged in interstate
commerce and not within a defined commercial zone and is not a
unit of government (defined as Federal Government, a state, any
political subdivision of a state or any agency established under a
compact between states), the Contractor agrees to comply with
U.S. FMCSA regulations, Subpart B, "Federal Motor Carrier
Safety Regulations," at 49 CFR Parts 390 through 396.
b. Driver Qualifications. The Contractor agrees to comply with U.S. FMCSA's
regulations, "Commercial Driver's License Standards, Requirements, and
Penalties," 49 C.F.R. Part 383.
C. Substance Abuse Rules for Motor Carriers. The Contractor agrees to comply
with U.S. FMCSA's regulations, "Drug and Alcohol Use and Testing
Requirements," 49 C.F.R. Part 382, which apply to transit providers that
operate a commercial motor vehicle that has a gross weight rating over
26,000 pounds or is designed to transport sixteen (16) or more passengers,
including the driver.
Section 26. Substance Abuse. To the extent applicable, the Contractor agrees to comply
with the following Federal substance abuse regulations:
a. Drug -Free Workplace. U.S. DOT regulations, "Governmentwide
Requirements for Drug -Free Workplace (Financial Assistance), 49 C.F.R. Part 32, that
implement the Drug -Free Workplace Act of 1988, 41 U.S.C. §§ 701 et seq.
b. Alcohol Misuse and Prohibited Drug Use. FTA regulations, "Prevention of
Alcohol Misuse and Prohibited Drug Use in Transit Operations," 49 C.F.R. Part 655, that
implement 49 U.S.C. § 5331.
Section 27. Seat Belt Use. In accordance with Executive Order No. 13043, "Increasing
Seat Belt Use in the United States," April 16, 1997, 23 U. S. C. § 402 note, the Contractor is
encouraged to adopt and promote on- the -job seat belt use policies and programs for its
employees and other personnel that operate company- owned, rented, or personally operated
vehicles, and to include this provision in any third party contracts, third party subcontracts, or
subagreements involving the Project.
Section 28. Protection of Sensitive Security Information. To the extent applicable, the
Contractor agrees to comply with 49 U.S.C. § 40119(b) and, implementing U.S. DOT
regulations, "Protection of Sensitive Security Information," 49 C.F.R. Part 15, and with 49 U.S.C.
§ 114(s) and implementing U.S. Department of Homeland Security, Transportation Security
Administration regulations, "Protection of Sensitive Security Information," 49 C.F.R. Part 1520.
Page 32 of 36
Section 29. Disputes Breaches Defaults or Other Litigation. The Contractor agrees that
FTA and the Department have a vested interest in the settlement of any dispute, breach,
default, or litigation involving the Project. Accordingly:
a. Notification to the Department. The Contractor agrees to no
the
Department in writing of any current or prospective major dispute, breach, default, or litigation
that may affect the Federal /State Government's interests in the Project or the Federal /State
Government's administration or enforcement of Federal /State laws or regulations. If the
Contractor seeks to name the Federal /State Government as a party to litigation for any reason,
in any forum, the Contractor agrees to inform the Department in writing before doing so. In turn,
the Department shall be responsible for notifying FTA.
b. Federal /State Interest in Recovery. The Federal /State Government retains
the right to a proportionate share, based on the percentage of the Federal /State share awarded
for the Project, of proceeds derived from any third party recovery, except that the Contractor
may return any liquidated damages recovered to its Project Account in lieu of returning the
Federal /State share to the Department.
C. Enforcement. The Contractor agrees to pursue all legal rights provided within
any third party contract.
d. FTA and Department Concurrence. The FTA and the Department reserve
the right to concur in any compromise or settlement of any claim involving the Project and the
Contractor.
e. Alternative Dispute Resolution. The Department encourages the Contractor
to use alternative dispute resolution procedures, as may be appropriate.
Section 30. Amendments /Revisions to the Project. The Contractor agrees that a change
in Project circumstances causing an inconsistency with the terms of this Agreement for the
Project will require an amendment or revision to this Agreement for the Project signed by the
original signatories or their authorized designees or successors. The Contractor agrees that a
change in the fundamental information submitted in its Application will also require an
Amendment to its Application or this Agreement for the Project. The Contractor agrees that
the project will not incur any costs associated with the amendment or revision before
receiving notification of approval from the division. The Contractor agrees that any
requests for amendments and or revisions will be submitted in accordance with the
policies and procedures established by FTA and the Department.
Section 31. Information Obtained Through Internet Links. This Agreement may include
electronic links/Web site addresses to Federal /State laws, regulations, and directives as well as
other information. The Department does not guarantee the accuracy of information accessed
through such links. Accordingly, the Contractor agrees that information obtained through any
electronic link within this Agreement does not represent an official version of a Federal /State
law, regulation, or directive, and might be inaccurate. Thus, information obtained through such
links is neither incorporated by reference nor made part of this Agreement. The Federal
Register and the Code of Federal Regulations are the official sources for regulatory information
pertaining to the Federal Government.
Section 32. Severability. If any provision of the FTA Master Agreement or this Agreement
for the Project is determined invalid, the remainder of that Agreement shall not be affected if that
remainder would continue to conform to the requirements of applicable Federal /State laws or
regulations.
Section 33. Termination of Agreement.
a. The Department of Transportation. In the event of the Contractor's
noncompliance with any of the provisions of this Agreement, the Department may suspend or
terminate the Agreement by giving the Contractor thirty (30) days advance notice. Any failure to
make reasonable progress on the Project or violation of this Agreement for the Project that
endangers substantial performance of the Project shall provide sufficient grounds for the
Page 33 of 36
Department to terminate the Agreement for the Project. In general, termination of Federal and
State assistance for the Project will not invalidate obligations properly incurred by the Contractor
before the termination date to the extent those obligations cannot be canceled. If, however, the
Department determines that the Contractor has willfully misused Federal /State assistance by
failing to make adequate progress, failing to make reasonable and appropriate use of Project
property, or failing to comply with the terms of this Agreement for the Project, the Department
reserves the right to require the Contractor to refund the entire amount of Federal and State
assistance provided for the Project or any lesser amount as the Department may determine.
Expiration of any Project time period established for the Project does not, by itself, constitute an
expiration or termination of the Agreement for the Project. The Department, before issuing
notice of Agreement termination, shall allow the Contractor a reasonable opportunity to correct
for noncompliance. Upon noncompliance with the nondiscrimination section (Section 8) of this
Agreement or with any of the said rules, regulations or orders, this Agreement may be
cancelled, terminated, or suspended in whole or in part and the Contractor may be declared
ineligible for contracts in accordance with procedures authorized in Executive Orders No. 11246
and No. 11375, and such other sanctions may be imposed and remedies invoked as provided in
the said Executive Order or by rule, regulation or order of the Secretary of Labor, or as
otherwise provided by law. In addition to the Department's rights of termination described
above, the Department may terminate its participation in the Project by notifying and receiving
the concurrence of the Contractor within sixty (60) days in advance of such termination.
b. The Contractor. The Contractor may terminate its participation in the Project
by notifying and receiving the concurrence of the Department sixty (60) days in advance of the
termination.
Page 34 of 36
Section 34. Contract Administrators. All notices permitted or required to be given by one
Party to the other and all questions about this Agreement from one Party to the other shall be
addressed and delivered to the other Party's Contract Administrator. The name, postal
address, street address, telephone number, fax number, and email address of the Parties'
respective initial Contract Administrators are set out below. Either Party may change the name,
postal address, street address, telephone number, fax number, or email address of its Contract
Administrator by giving timely written notice to the other Party.
For the Department:
IF DELIVERED BY US POSTAL SERVICE
IF DELIVERED BY ANY OTHER MEANS
Name:
MR CHARLIE WRIGHT
Name:
MR CHARLIE WRIGHT
Title:
FINANCIAL MANAGER
Title:
FINANCIAL MANAGER
Agency:
NCDOT /PTD
Agency:
NCDOT /PTD
MSC:
1550 MSC
Street
TRANSPORTATION BLDG
Address:
1 S WILMINGTON ST RM 524
City /Zip:
RALEIGH NC 27699 -1550
City:
RALEIGH NC
Phone:
919 - 733 -4713, EXTENSION 277
Fax:
919- 733 -2304
Email:
CCWRIGHT NCDOT.GOV
For the Contractor:
IF DELIVERED BY US POSTAL SERVICE
IF DELIVERED BY ANY OTHER MEANS
Name: k rh, E a
Name: -5A P"4!5
Title: y,,,,,,s vv.�i %/?�xL
Title:
Agency:�%�(,,p7-v� • `tr
Postal
Agency:
Address:21; ;�/ /4or,, ed 6fCAck {24
Street
Address:
City /Zip: 0-0100 11.11.w'C
City:
Phone: 979 rG-�7�
Fax: 7147 - q6 e- 3
Email: ,�,CE�✓'c,LS �V. o•'.tiJc
Page 35 of 36
Section 35. Federal Certification Regarding Lobbying. The Contractor certifies, by signing
this Agreement, its compliance with Subsection 3d of this Agreement.
Section 36. Federal Certification Regarding_ Debarment. The Contractor certifies, by
signing this Agreement, its compliance with Subsection 3b of this Agreement.
Section 37. Federal Certification Regarding Alcohol Misuse and Prohibited Drug Use. As
required by FTA regulations, "Prevention of Alcohol Misuse and Prohibited Drug Use in Transit
Operations, at 49 CFR part 655, subpart I, the Contractor certifies, by signing this Agreement,
that it has established and implemented an alcohol misuse and anti -drug program, and has
complied with or will comply with all applicable requirements of FTA regulations, "Prevention of
Alcohol Misuse and Prohibited Drug Use in Transit Operations," 49 CFR part 655, and Section
26 of this Agreement.
Page 36 of 36
IN WITNESS WHEREOF, this Agreement has been executed by the Department, an
agency of the State of North Carolina, and the Contractor by and through a duly authorized
representative, and is effective the date and year first above written.
ORANGE COUNTY
CONTRACTOR'S FEDERAL TAX ID NUMBER: / _ —]
CONTRACTOR'S FISCAL YEAR END:
BY:
TITLE: J2FJPcfRP N
A
ATTEST:
TITLE:
ATTEST:
TITLE: SE ETARY
DEPARTMENT OF TRANSPORTATION
-Ifterl�
TITLE: DEPUTY SECRETARY FOR TRANSIT
Page 37 of 36
This instrument has been approved as to technical content.
erry M. a smo , Department Director
This i st me t has been pre- audited in the manner required by the Local Government Budget and Fiscal
Contr Act. _
Gary HumphrjW, ifa4ce Officer
This igsf ru�pen*apb�6n approved as to legal form and sufficiency.
oore,Itaff A
APPENDIX A
NORTH CAROLINA DEPARTMENT OF TRANSPORTATION
PUBLIC TRANSPORTATION DIVISION
PROJECT NUMBER: 10 -CT -056
APPROVED BUDGET SUMMARY
EFFECTIVE DATE 7/1/2009
PROJECT SPONSOR: ORANGE COUNTY
PROJECT DESCRIPTION: FY2010 COMMUNITY TRANSPORTATION PROGRAM
I. TOTAL PROJECT EXPENDITURES
DEPARTMENT - 4521 ADMINISTRATION - 36233.80.6.1
$185,525
PERIOD OF PERFORMANCE JULY 01, 2009 - JUNE 30, 2010
I. TOTAL PROJECT EXPENDITURES
DEPARTMENT - 4523 CAPITAL I - 36233.80.6.3
$3,500
PERIOD OF PERFORMANCE JULY 01, 2009 - JUNE 30, 2010
II. TOTAL PROJECT FUNDING
TOTAL FEDERAL
STATE
LOCAL
ADMINISTRATION - 36233.80.6.1 100% 65%
20%
150%
PURCHASE ORDER- $185,525 $120,220
$37,476
$27,829
CAPITAL - 36233.80.6.3 100% 65%
25%
100%
PURCHASE ORDER $3,500 $2,268
$882
$350
TOTAL $189,025 $122,488
$38,358
$28,179
APPENDIX A
NORTH CAROLINA DEPARTMENT OF TRANSPORTATION
PUBLIC TRANSPORTATION DIVISION
PROJECT NUMBER: 10 -CT -056
APPROVED BUDGET SUMMARY
EFFECTIVE DATE 7/1/2009
PROJECT SPONSOR: ORANGE COUNTY
PROJECT DESCRIPTION: FY2010 COMMUNITY TRANSPORTATION PROGRAM
I. TOTAL PROJECT EXPENDITURES
DEPARTMENT - 4521 ADMINISTRATION - 36233.80.6.1
$185,525
PERIOD OF PERFORMANCE JULY 01, 2009 - JUNE 30, 2010
I. TOTAL PROJECT EXPENDITURES
DEPARTMENT - 4523 CAPITAL I - 36233.80.6.3
$3,500
PERIOD OF PERFORMANCE JULY 01, 2009 - JUNE 30, 2010
II. TOTAL PROJECT FUNDING
TOTAL FEDERAL
STATE
LOCAL
ADMINISTRATION - 36233.80.6.1 100% 65%
20%
15%
PURCHASE ORDER- 5700005003 $185,525 $120,220
$37,476
$27,829
CAPITAL - 36233.80.6.3 100% 65%
25%
10%
PURCHASE ORDER 5700005004 $3,500 $2,268
$882
$350
TOTAL $189,025 $122,488
$38,358
$28,179
NORTH CAROLINA DEPARTMENT OF TRANSPORTATION
PUBLIC TRANSPORTATION DIVISION
APPROVED PROJECT BUDGET
PROJECT: 10 -CT -056
SPONSOR: ORANGE COUNTY
W BS: 36233.80.6.1
•------------------------------------------------------------------------------------------------------------
DEPARTMENT 4521 -ADMINISTRATION
- - - - --
--------------
-----------------------------------------------------------------------------------------------
APPROVED
OBJECT
TITLE
BUDGET
G121
SALARIES AND WAGES - FULL TIME
$
109,991
G122
SALARIES AND WAGES - OVERTIME
$
-
G125
SALARIES AND WAGES- PART -TIME (BENEFITS)
$
-
G126
SAL. AND WAGE- TEMP /PT -TIME (NO BENEFITS)
$
-
G127
SALARIES AND WAGES - LONGEVITY
$
1,324
G181
SOCIAL SECURITY CONTRIBUTION
$
8,516
G182
RETIREMENT CONTRIBUTION
$
5,379
G183
HOSPITALIZATION INSURANCE CONTRIBUTION
$
13,705
G184
DISABILITY INSURANCE CONTRIBUTION
$
-
G185
UNEMPLOYMENT COMPENSATION
$
-
G186
WORKER'S COMPENSATION
$
-
G189
OTHER (PHYSICALS, BONUS, INS, ETC.)
$
3,653
G191
ACCOUNTING
$
-
G192
LEGAL
$
250
G195
MANAGEMENT CONSULTANT
$
-
G196
DRUG & ALCOHOL TESTING CONTRACT
$
-
G197
DRUG & ALCOHOL TESTS
$
500
G198
MEDICAL REVIEW OFFICER
$
-
G199
OTHER - PROFESSIONAL SERVICES
$
-
G211
JANITORIAL SUPPLIES - (HOUSEKEEPING)
$
250
G212
UNIFORMS
$
-
G261
OFFICE SUPPLIES AND MATERIALS
$
2,200
G281
AIR CONDITIONER / FURNACE FILTERS
$
-
G291
COMPUTER SUPPLIES
$
-
G311
TRAVEL
$
650
G312
TRAVEL SUBSISTENCE
$
1,740
G314
VEHICLE RENTAL
$
-
G321
TELEPHONE SERVICE
$
4,500
G322
INTERNET SERVICE PROVIDER FEE
$
-
G323
COMBINED SERVICE FEE
$
-
G325
POSTAGE
$
750
G329
OTHER COMMUNICATIONS
$
-
G331
ELECTRICITY
$
4,000
G332
FUEL OIL
$
-
G333
NATURAL GAS
$
-
G334
WATER
$
-
G335
SEWER
$
-
Orange County Approved Admin Budget
10 -US -056 Page 2 of 10
Orange County Approved Admin Budget
10 -US -056 Page 3 of 10
APPROVED
OBJECT
TITLE
BUDGET
G336
TRASH COLLECTION
$
-
G337
SINGLE /COMBINED UTILITY BILL
$
-
G339
OTHER UTILITIES
$
-
G341
PRINTING AND REPRODUCTION
$
1,692
G349
OTHER PRINTING AND BINDING
$
-
G355
REPAIR & MAINT- OFFICE/COMPUTER EQUIP
$
333
G357
REPAIRS & MAINTENANCE - COMM EQUIP
$
1,200
G359
OTHER REPAIRS & MAINTENANCE
$
-
G371
MARKETING - PAID ADVERTISEMENTS
$
3,620
G372
PROMOTIONAL ITEMS
$
905
G373
OTHER ADVERTISING /PROMOTION MEDIA
$
-
G381
COMPUTER PROGRAMMING SERVICES
$
-
G382
COMPUTER SUPPORT/TECH ASSISTANCE SVS
$
6,645
G391
LEGAL ADVERTISING
$
200
G393
TEMPORARY HELP
$
-
G394
CLEANING SERVICES
$
-
G395
TRAINING - EMPLOYEE EDUCATION EXPENSE
$
1,000
G396
MANAGEMENT SERVICES
$
-
G398
SECURITY SERVICES
$
-
G399
OTHER SERVICES
$
-
G411
RENT OF LAND
$
-
G412
RENT OF BUILDING
$
7,314
G413
RENT OF OFFICES
$
-
G419
OTHER RENTAL
$
-
G421
LEASE OF COMPUTER HARDWARE
$
-
G422
LEASE OF COMPUTER SOFTWARE
$
-
G431
LEASE OF REPRODUCTION EQUIPMENT
$
4,158
G432
LEASE OF POSTAL METER
$
-
G433
LEASE OF COMMUNICATION EQUIPMENT
$
-
G439
LEASE OF OTHER EQUIPMENT
$
-
G441
MAINTENANCE CONTRACTS - COMM EQUIP
$
-
G442
MAINTENANCE CONTRACTS - OFFICE EQUIP
$
-
G443
MAINTENANCE CONTRACTS - REPRO EQUIP
$
-
G445
MAINTENANCE CONTRACT- COMPUTER EQUIP
$
-
G449
OTHER SERVICE & MAINTENANCE CONTRACT
$
300
G451
INSURANCE - PROPERTY & GENERAL LIABILITY
$
-
G452
INSURANCE - VEHICLES
$
-
G453
INSURANCE - FIDELITY
$
-
G454
INSURANCE - PROFESSIONAL LIABILITIES
$
-
G455
INSURANCE - SPECIAL LIABILITIES
$
-
G481
CENTRAL SERVICES - INDIRECT COSTS
$
-
G491
DUES AND SUBSCRIPTIONS
$
750
TOTAL ADMINISTRATION
$
185,525
Orange County Approved Admin Budget
10 -US -056 Page 3 of 10
NORTH CAROLINA DEPARTMENT OF TRANSPORTATION
PUBLIC TRANSPORTATION DIVISION
APPROVED PROJECT BUDGET
SALARY AND WAGE DETAIL
PROJECT: 10 -CT -056
SPONSOR: ORANGE COUNTY
TOTAL DEPT. 4521 SALARIES AND WAGES
Orange County Approved Salary and Wage Detail
10 -US -056
$ 109,991
4of10
BUDGET
SQ_NO
POSITION _ _
NO
FTE RATE
AMOUNT____
DEPT. 4521 OBJECT CODE 121
01
DIRECTOR OF TRANS. & AGING
01
20%
$ 101,581
$
20,316
02
FINANCIAL SPECIALISTS
01
15%
$
60,715
$
9,107
03
TRANSPORTATION MANAGER
01 100%
$
49,181
$
49,181
04
ASST. TRANSPORTATION MGR.
01
75%
$
31,693
$
23,770
05
ADMINISTRATIVE ASSISTANT
01
25%
$
30,468
$
7,617
TOTAL - OBJECT CODE 121
$
109,991
DEPT. 4521 OBJECT CODE 125
01
01
25%
$
-
$
-
02
01
25%
$
-
$
-
TOTAL - OBJECT CODE 125
$
'
DEPT. 4521 OBJECT CODE 126
TOTAL - OBJECT CODE 126
$
'
TOTAL DEPT. 4521 SALARIES AND WAGES
Orange County Approved Salary and Wage Detail
10 -US -056
$ 109,991
4of10
NORTH CAROLINA DEPARTMENT OF TRANSPORTATION
PUBLIC TRANSPORTATION DIVISION
PROJECT BUDGET REVISION
PROJECT: 10 -CT -056
SPONSOR: ORANGE COUNTY
W BS: 36233.80.6.1
- - - - - - - - - - - - - - - -- M- I--------------1-------------------------------------------------------
DEPARTMENT 4521 - ADNISTRATION
-------------------------------------------------------------------------------------------------------------------------------------------------
APPROVED
+/- PROPOSED
OBJECT
TITLE
BUDGET
CHANGE
BUDGET
G121
SALARIES AND WAGES - FULL TIME
$
109,991
- $
109,991
G122
SALARIES AND WAGES - OVERTIME
$
-
- $
-
G125
SALARIES AND WAGES- PART -TIME (BENEFITS)
$
-
- $
-
G126
SAL. AND WAGE- TEMP /PT -TIME (NO BENEFITS)
$
-
- $
-
G127
SALARIES AND WAGES - LONGEVITY
$
1,324
- $
1,324
G181
SOCIAL SECURITY CONTRIBUTION
$
8,516
- $
8,516
G182
RETIREMENT CONTRIBUTION
$
5,379
- $
5,379
G183
HOSPITALIZATION INSURANCE CONTRIBUTION
$
13,705
- $
13,705
G184
DISABILITY INSURANCE CONTRIBUTION
$
-
- $
-
G185
UNEMPLOYMENT COMPENSATION
$
-
- $
-
G186
WORKER'S COMPENSATION
$
-
- $
-
G189
OTHER (PHYSICALS, BONUS, INS, ETC.)
$
3,653
- $
3,653
G191
ACCOUNTING
$
-
- $
-
G192
LEGAL
$
250
- $
250
G195
MANAGEMENT CONSULTANT
$
-
- $
-
G196
DRUG & ALCOHOL TESTING CONTRACT
$
-
- $
-
G197
DRUG & ALCOHOL TESTS
$
500
- $
500
G198
MEDICAL REVIEW OFFICER
$
-
- $
-
G199
OTHER - PROFESSIONAL SERVICES
$
-
- $
-
G211
JANITORIAL SUPPLIES - (HOUSEKEEPING)
$
250
- $
250
G212
UNIFORMS
$
-
- $
-
G261
OFFICE SUPPLIES AND MATERIALS
$
2,200
- $
2,200
G281
AIR CONDITIONER / FURNACE FILTERS
$
-
- $
-
G291
COMPUTER SUPPLIES
$
-
- $
-
G311
TRAVEL
$
650
- $
650
G312
TRAVEL SUBSISTENCE
$
1,740
- $
1,740
G314
VEHICLE RENTAL
$
-
- $
-
G321
TELEPHONE SERVICE
$
4,500
- $
4,500
G322
INTERNET SERVICE PROVIDER FEE
$
-
- $
-
G323
COMBINED SERVICE FEE
$
-
- $
-
G325
POSTAGE
$
750
- $
750
G329
OTHER COMMUNICATIONS
$
-
- $
-
G331
ELECTRICITY
$
4,000
- $
4,000
G332
FUEL OIL
$
-
- $
-
G333
NATURAL GAS
$
-
- $
-
G334
WATER
$
-
- $
-
G335
SEWER
$
-
- $
-
10 -US -056 Admin Budget Revision
Page
5 of 10
10 -US -056 Admin Budget Revision Page 6 of 10
APPROVED +/-
PROPOSED
OBJECT
TITLE
BUDGET CHANGE
BUDGET
G336
TRASH COLLECTION
$
-
$
-
G337
SINGLE /COMBINED UTILITY BILL
$
- -
$
'
G339
OTHER UTILITIES
$
-
$
-
G341
PRINTING AND REPRODUCTION
$
1,692 -
$
1,692
G349
OTHER PRINTING AND BINDING
$
- -
$
-
G355
REPAIR & MAINT- OFFICE /COMPUTER EQUIP
$
333 -
$
333
G357
REPAIRS & MAINTENANCE - COMM EQUIP
$
1,200 -
$
1,200
G359
OTHER REPAIRS & MAINTENANCE
$
- -
$
'
G371
MARKETING - PAID ADVERTISEMENTS
$
3,620 -
$
3,620
G372
PROMOTIONAL ITEMS
$
905 -
$
905
G373
OTHER ADVERTISING /PROMOTION MEDIA
$
- -
$
-
G381
COMPUTER PROGRAMMING SERVICES
$
- -
$
-
G382
COMPUTER SUPPORT /TECH ASSISTANCE SVS
$
6,645 -
$
6,645
G391
LEGAL ADVERTISING
$
200 -
$
200
G393
TEMPORARY HELP
$
- -
$
-
G394
CLEANING SERVICES
$
- -
$
-
G395
TRAINING - EMPLOYEE EDUCATION EXPENSE
$
1,000 -
$
1,000
G396
MANAGEMENT SERVICES
$
- -
$
-
G398
SECURITY SERVICES
$
- -
$
-
G399
OTHER SERVICES
$
- -
$
-
G411
RENT OF LAND
$
- -
$
-
G412
RENT OF BUILDING
$
7,314 -
$
7,314
G413
RENT OF OFFICES
$
- -
$
-
G419
OTHER RENTAL
$
- -
$
'
G421
LEASE OF COMPUTER HARDWARE
$
- -
$
-
G422
LEASE OF COMPUTER SOFTWARE
$
- -
$
-
G431
LEASE OF REPRODUCTION EQUIPMENT
$
4,158 -
$
4,158
G432
LEASE OF POSTAL METER
$
- -
$
-
G433
LEASE OF COMMUNICATION EQUIPMENT
$
- -
$
-
G439
LEASE OF OTHER EQUIPMENT
$
- -
$
'
G441
MAINTENANCE CONTRACTS - COMM EQUIP
$
- -
$
-
G442
MAINTENANCE CONTRACTS - OFFICE EQUIP
$
- -
$
-
G443
MAINTENANCE CONTRACTS - REPRO EQUIP
$
- -
$
-
G445
MAINTENANCE CONTRACT- COMPUTER EQUIP
$
- -
$
-
G449
OTHER SERVICE & MAINTENANCE CONTRACT
$
300 -
$
300
G451
INSURANCE - PROPERTY & GENERAL LIABILITY
$
- -
$
-
G452
INSURANCE - VEHICLES
$
- -
$
'
G453
INSURANCE - FIDELITY
$
- -
$
'
G454
INSURANCE - PROFESSIONAL LIABILITIES
$
- -
$
'
G455
INSURANCE - SPECIAL LIABILITIES
$
- -
$
'
G481
CENTRAL SERVICES - INDIRECT COSTS
$
- -
$
-
G491
DUES AND SUBSCRIPTIONS
$
750 -
$
750
TOTAL ADMINISTRATION
$
185,525 -
$
185,525
10 -US -056 Admin Budget Revision Page 6 of 10
NORTH CAROLINA DEPARTMENT OF TRANSPORTATION
PUBLIC TRANSPORTATION DIVISION
APPROVED PROJECT BUDGET
PROJECT: 10 -CT -056
SPONSOR: ORANGE COUNTY
W BS: 36233.80.6.3
•---------------------------------------------------------------------------------------------------------------------
DEPARTMENT 4523 - CAPITAL I
APPROVED
OBJECT
TITLE
BUDGET
G511
OFFICE FURNITURE
$ -
G512
OFFICE EQUIPMENT
$ -
G513
AUDIO - VISUAL EQUIPMENT
$ -
G514
MICRO PORTABLE PROJECTOR / LAPTOP
$ -
G521
PERSONAL COMPUTER SYSTEM
$ -
G522
PRINTER
$ -
G523
COMPUTER SOFTWARE
$ -
G525
NETWORK SERVER
$ -
G541
30 TO 40 FT TRANSIT BUS W/ LIFT (REP.) 12 -YR
$ -
G542
30 TO 40 FT TRANSIT BUS W/ LIFT (REP.) 10 -YR
$ -
G543
25 FT LIGHT TRANSIT VEHICLE (REPLACEMENT)
$ -
G544
22 FT LIGHT TRANSIT VEHICLE (REPLACEMENT)
$ -
G545
VAN CONVERSION (REPLACEMENT)
$ -
G546
STANDARD VAN (REPLACEMENT)
$ -
G547
25 FT LIGHT TRANSIT VEHICLE W/ LIFT (REP.)
$ -
G548
LIFT EQUIPPED VAN (REPLACEMENT)
$ -
G549
CENTER AISLE VAN (REPLACEMENT)
$ -
G551
VEHICLE SPARE PARTS
$ -
G552
SHOP EQUIPMENT
$ -
G553
REPEATER STATION
$ -
G554
RADIO BASE STATION
$ -
G555
RADIO UNIT (MOBILE OR HAND HELD)
$ -
G556
TELEPHONE EQUIPMENT
$ -
G557
FAREBOXES
$ -
G559
OTHER EQUIPMENT
$ -
G561
30 TO 40 FT TRANSIT BUS W/ LIFT (EXP.) 12 -YR
$ -
G562
30 TO 40 FT TRANSIT BUS W/ LIFT (EXP.) 10 -YR
$ -
G563
25 FT LIGHT TRANSIT VEHICLE (EXPANSION)
$ -
G564
22 FT LIGHT TRANSIT VEHICLE (EXPANSION)
$ -
G565
VAN CONVERSION (EXPANSION)
$ -
G566
STANDARD VAN (EXPANSION)
$ -
G567
25 FT LIGHT TRANSIT VEHICLE W/ LIFT (EXP.)
$ -
G568
LIFT EQUIPPED VAN (EXPANSION)
$ -
G569
CENTER AISLE VAN (EXPANSION)
$ -
G571
MINI -VAN (REPLACEMENT)
$ -
G572
MINI -VAN (EXPANSION)
$ -
G573
ALLOWABLE ALTERNATE VEHICLE (REP /EXP)
$ -
G574
SUPPORT VEHICLE (SPECIFY REP. OR EXP.)
$ -
G575
20 FT LT TRANSIT VEHICLE (SPECIFY REP OR EXP)
$ -
G576
22 FT LIGHT TRANSIT VEHICLE W/ LIFT (REP.)
$ -
G577
OTHER TRANSIT VEHICLE (EXPANSION)
$ -
G578
20 FT LT TRANSIT VEHICLE W/ LIFT (REP. OR EXP.)
$ -
G579
22 FT LIGHT TRANSIT VEHICLE W/ LIFT (EXP.)
$ -
G585
BUS STOP SIGNS
$ -
G591
VEHICLE LETTERING AND LOGOS
$ 3,500
G595
SERVICE VEHICLE (SPECIFY REP. OR EXP.)
$ -
G596
VEHICLE SECURITY /SURVEILLANCE EQUIPMENT
$ -
G598
28' LIGHT TRANSIT VEHICLE W /LIFT (REP. OR EXP)
$ -
G599
OTHER CAPITAL
$ -
TOTAL CAPITAL
$ 3,500
NORTH CAROLINA DEPARTMENT OF TRANSPORTATION
PUBLIC TRANSPORTATION DIVISION
PROJECT BUDGET REVISION
PROJECT: 10 -CT -056
SPONSOR: #REF!
W BS: 36233.80.6.3
•----------------------------------------------------------------------------------------------------------------------------------------------
DEPARTMENT 4523 - CAPITAL I
APPROVED
+/- PROPOSED
OBJECT
TITLE
BUDGET
CHANGE BUDGET
G511
OFFICE FURNITURE
$ -
- $ -
G512
OFFICE EQUIPMENT
$ -
- $ -
G513
AUDIO - VISUAL EQUIPMENT
$ -
- $ -
G514
MICRO PORTABLE PROJECTOR / LAPTOP
$ -
- $ -
G521
PERSONAL COMPUTER SYSTEM
$ -
- $ -
G522
PRINTER
$ -
- $ -
G523
COMPUTER SOFTWARE
$ -
- $ -
G525
NETWORK SERVER
$ -
- $ -
G541
30 TO 40 FT TRANSIT BUS W/ LIFT (REP.) 12 -YR
$ -
- $ -
G542
30 TO 40 FT TRANSIT BUS W/ LIFT (REP.) 10 -YR
$ -
- $ -
G543
25 FT LIGHT TRANSIT VEHICLE (REPLACEMENT)
$ -
- $ -
G544
22 FT LIGHT TRANSIT VEHICLE (REPLACEMENT)
$ -
- $ -
G545
VAN CONVERSION (REPLACEMENT)
$ -
- $ -
G546
STANDARD VAN (REPLACEMENT)
$ -
- $ -
G547
25 FT LIGHT TRANSIT VEHICLE W/ LIFT (REP.)
$ -
- $ -
G548
LIFT EQUIPPED VAN (REPLACEMENT)
$ -
- $ -
G549
CENTER AISLE VAN (REPLACEMENT)
$ -
- $ -
G551
VEHICLE SPARE PARTS
$ -
- $ -
G552
SHOP EQUIPMENT
$ -
- $ -
G553
REPEATER STATION
$ -
- $ -
G554
RADIO BASE STATION
$ -
- $ -
G555
RADIO UNIT (MOBILE OR HAND HELD)
$ -
- $ -
G556
TELEPHONE EQUIPMENT
$ -
- $ -
G557
FAREBOXES
$ -
- $ -
G559
OTHER EQUIPMENT
$ -
- $ -
G561
30 TO 40 FT TRANSIT BUS W/ LIFT (EXP.) 12 -YR
$ -
- $ -
G562
30 TO 40 FT TRANSIT BUS W/ LIFT (EXP.) 10 -YR
$ -
- $ -
G563
25 FT LIGHT TRANSIT VEHICLE (EXPANSION)
$ -
- $ -
G564
22 FT LIGHT TRANSIT VEHICLE (EXPANSION)
$ -
- $ -
G565
VAN CONVERSION (EXPANSION)
$ -
- $ -
G566
STANDARD VAN (EXPANSION)
$ -
- $ -
G567
25 FT LIGHT TRANSIT VEHICLE W/ LIFT (EXP.)
$ -
- $ -
G568
LIFT EQUIPPED VAN (EXPANSION)
$ -
- $ -
G569
CENTER AISLE VAN (EXPANSION)
$ -
- $ -
G571
MINI -VAN (REPLACEMENT)
$ -
- $ -
G572
MINI -VAN (EXPANSION)
$ -
- $ -
G573
ALLOWABLE ALTERNATE VEHICLE (REP /EXP)
$ -
- $ -
G574
SUPPORT VEHICLE (SPECIFY REP. OR EXP.)
$ -
- $ -
G575
20 FT LT TRANSIT VEHICLE (SPECIFY REP OR EXP
$ -
- $ -
G576
22 FT LIGHT TRANSIT VEHICLE W/ LIFT (REP.)
$ -
- $ -
G577
OTHER TRANSIT VEHICLE (EXPANSION)
$ -
- $ -
G578
20 FT LT TRANSIT VEHICLE W/ LIFT (REP. OR EXP.:
$ -
- $ -
G579
22 FT LIGHT TRANSIT VEHICLE W/ LIFT (EXP.)
$ -
- $ -
G585
BUS STOP SIGNS
$ -
- $ -
G591
VEHICLE LETTERING AND LOGOS
$ 3,500
- $ 3,500
G595
SERVICE VEHICLE (SPECIFY REP. OR EXP.)
'VEHICLE
$ -
- $ -
G596
SECURITY /SURVEILLANCE EQUIPMENT
$ -
- $ -
G598
28' LIGHT TRANSIT VEHICLE W /LIFT (REP. OR EXP;
$ -
- $ -
G599
OTHER CAPITAL
$ -
_ $ _
TOTAL CAPITAL
$ 3,500
- $ 3,500
t
DBE /MBE/WBE /HUB VENDOR PAYMENTS
PROJECT SPONSOR:
MAILING ADDRESS:
PROJECT
PERIOD COVERED
INVOICE WBS ELEMENT FROM:
TO:
PO NUMBER
VENDOR NUMBER
Payor Name
Payor Report ID
Vendor /Subcontractor Name
Vendor/
Subcontractor
Report ID
Amout Paid to Vendor/
Subcontractor this Invoice
Date Paid to Vendor/
Subcontractor this
Invoice
TOTAL
0.00
SUBMITTED BY: SUBRECIPIENT:
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