HomeMy WebLinkAbout2017-574 OPT - FY2018 NCDOT application for Section 5339 Public Transportation Grant2, / -7 .5-7 q
STATE OF NORTH CAROLINA PUBLIC TRANSPORTATION GRANT
AGREEMENT FOR BUSES AND BUS
FACILITIES
COUNTY OF WAKE PROGRAM — SECTION 5339
NORTH CAROLINA
DEPARTMENT OF TRANSPORTATION
FAIN NUMBER: NC- 2016 - 007 -00
NC- 2017 - 050 -00
and CFDA NUMBER: 20.526
PROJECT NUMBER: 18- 39 -056U
DUNS # 091575191
THIS AGREEMENT made this the day of U91M 20-P7, (hereinafter referred to as
AGREEMENT) by and between the NO TH CAR LINA 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 grant recipient hereinafter referred to as the "Grantee ").
WHEREAS,49 U.S.C. Chapter 53 of in the above referenced Federal grant program including,
but not limited to; section 5305 (5303 & 5304) Metropolitan & Statewide Planning and Non -
Metropolitan Transportation Planning, 5307 Urbanized Area Formula Grants, 5310 Enhanced Mobility
of Seniors & Individuals with Disabilities, 5311 Formula Grants for Rural Areas, 5339 Buses and Bus
Facilities Grants Program, 5311(f) Intercity Bus, awards of federal discretionary grants, and
assistance under the Tribal Transit Program, and/or State grant program including, but not limited to,
Advanced Technology, Intern /Apprentice program, Urban State match programs, Rideshare, ROAP
and SMAP.
WHEREAS , the funds provide 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 this grant is to enhance access of people in small urban and
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 Grantee has been designated as the recipient of these 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 has designated the North Carolina Department of
Transportation as the agency to receive and administer Federal funds, in accordance with the relevant,
section of the Fixing America's Surface Transportation (FAST) Act, Public Law No. 114 -94, December
4, 2015, and other authorizing legislation that may be enacted, the Moving Ahead for Progress in the
21st Century Act (MAP -21), Public Law No. 112 -141, July 6, 2012, as amended by the "Surface
Transportation and Veterans Health Care Choice Improvement Act of 2015," Public Law No. 114 -41,
July 31, 2015, and the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for
Updated 05/27/2015
Users (SAFETEA -LU), Public Law No. 109 -59, August 10, 2005, as amended by the SAFETEA -LU
Technical Corrections Act of 2008, Public Law No 110 -244, June 6, 2008. 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 Grantee;
and
WHEREAS, the Department and the Grantee desire to secure and utilize grant funds for the above
referenced purposes.
NOW, THEREFORE, in consideration of the mutual covenants herein set forth, the Department
and the Grantee agree as follows:
Section 1. Purpose of Agreement. The purpose of this Agreement is to provide for the undertaking of
nonurbanized and small urban public transportation services as described in the project application
(hereinafter referred to as "Project ") properly prepared, endorsed, approved, and transmitted by the
Grantee 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 Grantee shall carry out the Project as follows:
a. Scope of Project. Orange County (operating as Orange County Public Transportation -OPT)
will use capital funds for (1) 28' LTV w/ lift; diesel engine; bike rack replacement vehicle,
including lettering and logo, (1) mobile radio unit; and (1) farebox.
b. The Grantee 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 G, dated
November 24, 2014;
(2) FTA Master Agreement, FTA MA(23), dated October 1, 2016;
(3) The State Management Plan for Federal and State Transportation Programs (hereinafter
referred to as "State Management Plan "); and
(4) The Grant application for financial assistance.
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 Grantee that shall cause any conflict with
Department, State, or Federal statutes, rules, or regulations.
Section 3: Cost of Proiect/Project Budget. The total cost of the Project approved by the Department
is ONE HUNDRED SIX THOUSAND FOUR HUNDRED FIFTY -ONE DOLLARS ($106,451) 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 Grantee 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 Grantee which have the effect of reducing the actual cost.
Capital
WBS
Capital
Total
Capital
Federal 80%
Capital
State 10%
Capital
Local 101/o
44637.15.2.3
$104,320
$83,456
$10,432
$10,432
Agreement #
Capital
WBS
Capital
Total
Capital
Federal 80%
Capital
State 10%
Capital
Local 10%
44637.15.2.4
$1,469
$1,175
$147
$147
Agreement #
05/27/2015 Page 2 of 36
Capital
WBS
Capital
Total
Capital
Federal 80%
Capital
State 10%
Capital
Local 10%
44637.15.2.5
$662
$529
$66
$67
A reement # a
y
Project
Total
Project
Total
Project
Total Federal
Project
Total State
Project
Total Local
$106,451
$85,160
$10,645
$10,646
Section 4: 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, 2017 to June 30, 2018, 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 Grantee shall commence, carry on, and complete the approved Project with all
practicable dispatch, in a sound, economical, and efficient manner.
Section 5. Grantee's Capacity.
a. The Grantee 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 Grantee's annual Certifications and Assurances to the Department, and applicable
Federal and State laws, regulations, and directives.
b. No Overdue Tax Debts Certification — Non - Governmental Grantees Only. The Grantee shall
complete and submit to the Department a sworn written statement pursuant to N.C.G.S. 143C -6-
23(c), stating that the Grantee does not have any overdue tax debts, as defined by G.S. 105 - 243.1,
at the Federal, State, or local level. The Grantee acknowledges that the written statement must
be submitted to the Department prior to execution of this Agreement and disbursement of funds.
The certification will be incorporated into this Agreement as Attachment B.
C. Administrative Requirements. The Grantee agrees to comply with the following Federal and State
administrative requirements:
(1) U.S. DOT regulations, Uniform Administrative Requirements, Cost Principles, and audit
Requirements for Federal Awards, 2 C.F.R. Part 200.
(2) Title 19A North Carolina Administrative Code (N.C.A.C.) Subchapter 5B.
d. Application of Federal State and Local Laws Regulations and Directives. To achieve compliance
with changing federal requirements, the Grantee makes note that federal, state and local
requirements may change and the changed requirements will apply to this Agreement as required.
e. Grantee's Primary Responsibility to Comply with Federal and State Requirements. Irrespective of
involvement by any other participant in the Project, the Grantee 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 Grantee 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 Grantee 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 Grantee leases any Project asset to
another party, the Grantee 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
05/27/2015 Page 3 of 36
and Supervisory Aoreement"betwxaentheGron[eeandLessee.oronothora|mi|aFdncurnent The
Grantee agrees to provide o copy of any relevant documents.
/1\ Significant Participation by a Third Party Contractor. Although the Grantee 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, n[evencarryout
Project activities normally performed by the Grantee (such as in a turnkey contract), the
Grantee agrees that it, rather than the third party Contractor, is ultimately responsible to the
Department for compliance with all applicable Federal and State |avva, regulations, and
directives, except to the extent that the Department determines otherwise inwriting.
(2) Significant Participation by a Subcontractor. Although the Grantee may delegate any or
almost all Project responsibilities to one or more subcontractors, the Grantee agrees that
they, rather than the subnoOt[ector, is u|tinnohm|y responsible for compliance with all
applicable Federal and State |avvn' nagu|ntions, and directives, except to the extent that the
Department determines otherwise inwriting.
(3) Significant Participation bV a Lessee of a Grantee. Although the Grantee may lease project
property and delegate some or many project responsibilities to one or more lessees, the
Grantee ognaus that they, rather than any |eosee, is ultimately responsible for compliance
with all applicable Federal lows' reyu|ofioDn, and directives, except to the extent that FTA
determines otherwise in writing.
Grantee'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 tnthis agreement. To achieve compliance with certain Federal and State |evve'
regulations, or directives, however, other Project pedicipeDtu'euohaaoubronipientsandthind
party Grantees, will necessarily boinvolved. Accordingly, the Grantee agrees to take the
appropriate measures necessary to ensure that all Project porticipantaoonnp|yvvith
applicable Federal and State |avvn, nagu|aUons, and directives affecting their performance,
except tothe extent the Department determines otherwise inwriting.
/2\ Documents Affected. The applicability of provisions of Federal and State |avvm, negu|atione,
and directives determine the extent to which their requirements affect Project participant.
Thus, the Grantee agrees to include adequate provisions to ensure that each Project
participant complies with those Federal and State |avva' negu|otions, and directives, except
to the extent that the Department determines otherwise in writing. In addition, the Grantee
also agrees to require its third pmdv cnntraotnre, eubrecipients, and lessees to include
appropriate requirements to ensure compliance with applicable Federal and State |ovvo,
regulations, and directives in each lower tier subcontract and subagreement for the Project,
except fo the extent that the Department determines otherwise inwriting. Additional
requinAnnents include the following:
(a) Third Party Contracts. Because Project gctivitiaoparfnrmedbyathirdpartyrontrootur
must comply with all applicable Federal and State |avvs' regulations, and directivoo,
except iothe extent the Department determines otherwise in writing, the Grantee
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 tu its subcontractors ot 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 Grantee agrees to include in that third party
contract those requirements applicable to the Contractor imposed by the Grant
Agreement for the Project orthoFTAMeoterAgoaementendextendthooe
requirements throughout each tier except as the Department determines otherwise in
writing. Additional guidance pertaining to third party contracting is contained in the
FTA`a "Best Practices Procurement Manual"
-
FTA and the Department caution, however, that FTA's "Best Practices Procurement
Manual" focuses mainly on third party 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 Grantee agrees as follows:
1 Written Subaareement. The Grantee 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 Grantee agrees to implement the
Project in a manner that will not compromise the Grantee's compliance with
Federal and State laws, regulations, and directives applicable to the Project and
the Grantee's obligations under this Agreement for the Project and the FTA
Master Agreement. Therefore, the Grantee agrees to include in each
subagreement appropriate clauses directing the subrecipient to comply with
those requirements applicable to the Grantee 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.
(3) Iran Divestment Act compliance
(a) N.C.G.S. 147 -86.59 requires that all bids or contracts or renewals with the State of
North Carolina, North Carolina local governments, or any other political subdivision of
the State of North Carolina have a certification that the Grantee is not on the Final
Divestment List as created by the NC State Treasurer pursuant to N.C.G.S. § 147 -
86.58. In compliance with the requirements of the Iran Divestment Act 2015 and
N.C.G.S. § 147 -86.55 and 147 - 86.59, the Grantee shall not utilize the performance of
the contract of any subcontractor that is identified on the Final Divestment List.
The State Treasurer's Final Divestment List can be found on the State Treasurer's
website: www.nctreasurer.com /Iran and will be updated every 180 days, effective
February 26, 2016.
1 By execution of this Agreement each Party certifies that neither it nor its Agents
or Contactors /Subcontractors (1) are on the Final Divestment List of entities that
the State Treasurer has determined engages in investment activities in Iran; (2)
shall not utilize on any contract with the State agency any subcontractor that is
identified on the Final Divestment List; and (3) that the undersigned are
authorized by the Parties to make this Certification.
2 During the term of this Agreement, should the Parties receive information that a
person is in violation of the Act as stated above, the Department will offer the
person an opportunity to respond and the Department will take action as
appropriate and provided for by law, rule, or contract. Should this Act be voided
by NC General Statute, this Agreement will remain valid; however this
certification will no longer be required.
No Federal /State Government Obligations to Third Parties. In connection with performance of the
Project, the Grantee 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.
Changes in Project Performance (i.e., Disputes, Breaches, Defaults, or Liti ation ). The Grantee
agrees to notify the Department immediately, in writing, of any change in local law, conditions
05/27/2015 Page 5 of 36
(including its legal, financial, or technical capacity), or any other event that may adversely affect
the Grantee's ability to perform the Project as provided in this Agreement for the Project. The
Grantee 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.
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 6. Ethics.
a. Code of Ethics. The Grantee 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 Grantee 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 Grantee 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 Grantee may set de Minimis rules where the financial
interest is not substantial, or the gift is an unsolicited item of nominal intrinsic value. The Grantee
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 Grantee 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 Grantee agrees that its code or standards of conduct
shall prohibit the Grantee'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 Grantee 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 Grantee or sub - recipient or impair its objectivity in performing the contract
work.
(3) Gifts. N.C.G.S. § 133 -32 and Executive Order 24, of October 1, 2009, prohibit the offer to,
or acceptance by, any State Employee of any gift from anyone with a contract with the State,
or from any person seeking to do business with the State. By execution of this Agreement,
Grantee attests, for its entire organization and its employees or agents, that it is not aware
that any gift in violation of N.C.G.S. § 133 -32 and Executive Order 24 has been offered,
accepted, or promised by any employees of Grantee.
b. Debarment and Suspension. The Grantee agrees to comply, and assures the compliance of each
third party Grantee, sub - recipient, or lessee at any tier, with Executive Orders Nos. 12549 and
12689, (see 2 C.F.R. § 180) "Debarment and Suspension," 31 U.S.C. § 6101 note, and U.S. DOT
05/27/2015 Page 6 of 36
regulations, "Government -wide Debarment and Suspension (Non - procurement)," 49 C.F.R. Part
29. The Grantee agrees to, and assures that its third party contractors, sub- recipients, and lessees
will, review the Excluded Parties Listing System at (http: / /epls.arnet.govn before entering into any
contracts.
C. Bonus or Commission. The Grantee 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 Grantee 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. Political Activity. To the extent applicable, the Grantee agrees to comply with the provisions of
the Hatch Act, 5 U.S.C. chapter 15, 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 nonsupervisory
employee of a public transportation 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 Grantee 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 Grantee 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 Grantee 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 Grantee 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 Grantee 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 Grantee 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 7. Project Expenditures /Payment/Reimbursement.
a. General. The Department shall reimburse the Grantee for allowable costs for work performed under
the terms of this Agreement which shall be financed with Federal funds and /or State matching
funds. The Grantee shall expend funds provided in this Agreement in accordance with the
approved Project Budget(s), included as Attachment A 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 Grantee. 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 Grantee reports expenditures to the Department. All payments issued by the Department
05/27/2015 Page 7 of 36
will be on a reimbursable basis unless the Grantee 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 construction projects, vehicles, and other high-cost
capital items. The Grantee 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 Grantee shall initiate and prosecute to completion all actions necessary to enable the
Grantee to provide its share nfproject costs at or prior to the time that such funds are needed to
meet project onote. The Grantee shall provide its share of project coatafronoaourcaaotherthan
FTA and State funds from the Department, Any costs for work not eligible for Federal and State
participation shall bn financed one hundred percent (100%)bv the Grantee.
b. Administrative Expenditures. In order to assist the Grantee in financing the administrative costs of
the project, the Department shall reimburse the Grantee uptothe percentage specified in the
Approved Project Budget of allowable administrative costs which oho|| 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 Grantee for the |eooec of the following when providing operating
assistance:
/1\ The balance ofunnocowan*d operating expenditures after deducting all fonabox and other
operating navenuee. nr
(2) Up to the percentage specified in the Approved Project Budget of the allowable total
operating expenditures which shall be determined by available funding.
U. Payment and Reimbursement. The Grantee eho|| submit o request for reimbursement to the
Deportmant for the Period Covered not more frequently than monthly, nor |*so 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 innon-paynnnnL All requests forreimbursement must be submitted within (30) days following
the end of the project's reporting period. Any Grantee that fails to submit e request for
reimbursement for the first two quarters of agreement fiscal year by January 31 st or the last two
quarters by July 3D m Will forfeit their ability to receive reimbursement for those periods.
Additional forms must be submitted with reimbursement requests to report on contracting activities
with 0aodvoDfoged Business Enterprise (DBE) firms. Invoices ahmU be supported by
documentation of costs unless otherwise waived by the Department. All requests must be
submitted within thirty (3O) days following the end of the quarter. Failure to request reimbursement
for eligible projects costs as outlined may naau|t 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 topayment.
m. Indirect Cost or Central Service Allocation. Calculation of Indirect or Central Service Allocations
will be consistent with the applicable U8 DOT common rules iU2C.F.R. 2OO. These rates must bo
approved by NCDOT PTD or cognizant agency prior to the beginning or the period of performance.
Approved rates will be retained as outlined in the GMP.
f. Excluded Costs. The Grantee 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 Grantee before the effective date of the grant;
/b\ Any cost that is not included in the latest Approved Project Budget;
(o) Any cost for Project propertyoraen/iceoreoeivedinconnectionvvithethirdpadv
contract, sub-agreement, lease, or other arrangement that is,required to be, but has
not been, concurred inor approved in writing byFTA;
(d) Any non-project cnetoonnietmntvviththeprohibiboneof49U.B.C.§5323/h\;aDd
05127/2015 Page 8u[36
(e) Any profit or fee sought by the recipient for its services under the Grant Agree, except
to the extent determined by applicable.
(f) Any cost ineligible for FTA participation as provided by applicable Federal /State laws,
regulations, or directives.
(2) The Grantee shall limit reimbursement for meals, lodging and travel to rates established by
the State of North Carolina Travel Policy. Costs incurred by the Grantee in excess of these
rates shall be borne by the Grantee.
(3) The Grantee understands and agrees that payment to the Grantee on 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 Grantee of the terms of this Agreement. The Grantee 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 Grantee is not entitled to receive any portion of the
Federal /State assistance the Grantee has requested or provided, the Department will notify
the Grantee in writing, stating its reasons. The Grantee agrees that Project closeout will
not alter the Grantee'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 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 Grantee.
g. Program Income
(1) State, Local, or Indian Tribal Governments. In addition to uses of program income
authorized under 2 C.F.R. Part 200.80, FTA reserves the right to permit the Department
to add program income to the funds FTA and the recipient have committed to that Grant
agreement and use that program income for the purposes of and under the conditions of
the grant agreement.
(2) Institutions of Higher Education, private Non - Profit Organizations, and Private For Profit
Organizations. FTA reserves the right to permit a recipient to add the program income to
the funds FTA and the recipient have committed to that Grant agreement and use that
program income to further eligible project or program objectives.
.(3) Cost Associated With Program Income. Except to the extent FTA determines otherwise in
writing, the cost incident to the earning program income may be deducted from the
Recipient's gross income to determine program income, provided these costs have not
been charged to the Grant Agreement.
h. Federal /State Claims, Excess Payments, Disallowed Costs, including Interest.
(1) Grantee 's Responsibility to Pay. Upon notification to the Grantee 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 Grantee
agrees to remit to the Department promptly the amounts owed, including applicable interest
and any penalties and administrative charges.
(2) Amount of Interest. The Grantee agrees to remit to the Department interest owed as
determined in accordance with N.C.G.S. 147 - 86.23. Upon notification to the Grantee 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
Grantee 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 Grantee, the Department shall be
responsible to remit amounts owed to FTA.
De- obligation of Funds. The Grantee agrees that the Department may de- obligate unexpended
Federal and State funds before Project closeout.
05/27/2015 Page 9 of 36
Section 8. Accounting Records.
a. Establishment and Maintenance of Accounting Records. The Grantee 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 Proiect Costs. All costs charged to the Project, including any approved services
performed by the Grantee 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 2 C.F.R. 200, "Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards"
G. Allowable Costs. Expenditures made by the Grantee 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 Grantee, 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 Grantee 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;
(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 in 2 C.F.R. 200,
Subpart E, "Uniform Administrative Requirements, Cost Principles, and Audit Requirements
for Federal Awards ", and FAR, at 48 C.F.R., Subpart 31,2, "Contracts with Commercial
organizations" applies to Project costs incurred by a Recipient that is a for - profit organization.
Section 9. Reporting, Record Retention, and Access.
a. Reports. The Grantee 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 Grantee 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. 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.
Non - Governmental Grantees:
(1) In accordance with 2 C.F.R. Part 200.500 Subpart F — Audit Requirements (Formerly
OMB Circular A -133), N.C.G.S. 143C -6, "Non -State Entities Receiving State Funds ",
and Title 9 North Carolina Administrative Code (N.C.A.C.) Subchapter 3M 09 NCAC
03M .0205), Non - Governmental Grantees shall comply with all rules and reporting
requirements established by statute or administrative rules. Financial reporting and
audit requirements are based on the level of State financial assistance from all
funding sources. The three (3) reporting levels are:
• Level I — A recipient or subrecipient that receives, holds, uses, or expends State
05/27/2015 Page 10 of 36
financial assistance inon amount less than twenty-five thousand dollars
($25,000) within its fiscal year.
» Level 11 —A recipient ornubrecohentthat reoeives, ho|da, uses, or expends State
financial assistance in an amount of at least twenty-five thousand ($25,000) or
greater, but less than five hundred thousand dollars ($500,000) within its fiscal
year.
" Level III —A recipient oroubrecipien1 that receives, holds, uses, orexpends
State financial assistance inon amount equal tonr greater than five hundred
thousand dollars ($50O,000) within its fiscal year,
C2> Department-established reporting requirements for non-governmental Grantees shall
meet the following reporting standards onan annual basis:
1 All recipients orsubneoipiento ahe|| provide a certification that State financial
assistance received or held was used for the purposes for which it was awarded.
2 All recipients or nubreoipients shall provide an accounting of all State financial
assistance received, held, used, or expended.
3 Level || and ||| recipients orsubreoipientashall report on activities and
accomplishments undertaken by the recipient, including reporting on any
performance measures established )n the contract.
4 Level ||| recipients oraubrecipiente aho|| have o single or program-specific audit
prepared and completed in accordance with Generally Accepted Government
Auditing Standards, also known oe the Yellow Book.
(3) All reports shall be filed with the disbursing agency in the format and method
specified by the Department no later than three months after the end of the Grantee's
fiscal year, unless the same information,is already required through more frequent
reporting. Audits must be provided to the Department no later than nine months
after the end of the recipient's fiscal year.
(4) The Grantee shall use the Office of State Budget and Management reporting forms
found under "NC Grants Annual Reporting Forms" on the Department's website:
/G\ The Grantee agrees to make available and require its GubGranteootomake
available audit work papers in the possession of any auditor to the Department or
other federal or state agencies oerequested.
(0) Department-established reporting requirements to meet the standards set forth in
Paragraph (1) of this Rule shall he specified in each Grantee's contract.
(7) Unless prohibited by law, the costs of audits made in accordance with the provisions of
this Rule shall bo allowable charges to State and Federal awards. The charges may be
considered a direct cost oraO allocated indirect cost, as determined in accordance with
cost principles outlined in'the Code of Federal Regulations, 2 C.F.R. Part 200. The cost
of any audit not conducted in accordance with this Subchapter shall not be charged to
State awards.
C. Record Retention. The Grantee and its third party Grantees shall retain all records pertaining to
this Project for e period of five (5) years from the date of final payment to the Grnntee, or until all
audit exceptions have been resolved, whichever is longer, in accordance with "Records Retention
and Disposition Schedule — Public Transportation 8yatanna and Authorities, April 1. 2006," at:
.
d. Access to Records of Grantee and SubGrantees. The Grantee shall permit and shall require its
third podv contractors to permit the Department, the Comptroller General of the United Stahao, and the
Secretary of the United States Department of TrenopndnUon, or their authorized repnmsentaUves, to
inspect all work, materials, payro||a, and other data and records with nagonj to the Project, and to audit
the books, records, and accounts of the Grantee 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 Grantee, in writing, if materials and/or
workmanship are found tobeunacceptable. The Grantee shall have ninety (QU) days from notification to
05/27/2015 Page H of 36
correct defects or to provide acceptable materials and /or workmanship. Failure by the Grantee to provide
acceptable materials and /or workmanship, or to correct noted defects, shall constitute a breach of
contract.
e. Proiect Closeout. The Grantee agrees that Project closeout does not alter the reporting and record
retention requirements of this Section 6 of this Agreement.
Section 10. Project Completion, Audit, Settlement, and Closeout.
a. Project Completion. Within thirty (30) calendar days following Project completion, the end of the
Project's period of performance, or termination by the Department, the Grantee agrees to submit
a final reimbursement request to the Department for eligible Project expenses.
b. Financial Reporting and Audit Requirements. In accordance with 2 C.F.R. 200 Subpart F, "Audit
Requirements ", effective December 26, 2014 and N.C.G.S. 159 -34, the Grantee shall have its
accounts audited as soon as possible after the close of each fiscal year by an independent auditor.
The Grantee agrees to submit the required number of copies of the audit reporting package four
months after the Grantee's fiscal year -end to:
• the Local Government Commission if a government entity, or
• NCDOT PTD per NC Grants requirements for non - governmental entities
C. Audit Costs. Unless prohibited by law, the costs of audits made in accordance with Title 2 C.F.R.
200, Subpart F, "Audit Requirements ", 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 Title 2 C.F.R. 200, Subpart E, "Cost Principles" (formerly OMB
Circular A -87). The cost of any audit not conducted in accordance with Title 2 C.F.R. 200 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 Grantee agrees to remit to the Department any excess
payments made to the Grantee, any costs disallowed by the Department, and any amounts
recovered by the Grantee from third parties or from other sources, as well as any penalties and
any interest required by Subsection 7h of this Agreement.
e. Proiect Closeout. Project closeout occurs when the Department issues the final project payment
or acknowledges that the Grantee has remitted the proper refund. The Grantee agrees that Project
closeout by the Department does not invalidate any continuing requirements imposed by this
Agreement.
Section 11. Civil Rights. The Grantee 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 Grantee agrees to comply, and
assures the compliance of each third party Grantee 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 Grantee agrees to comply, and assures
the compliance of each third party Grantee 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 Grantee agrees to comply, and assures the compliance of
each third party Grantee at any tier of the Project and each 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 of seq., and implementing Federal
regulations and any subsequent amendments thereto. Except to the extend FTA determines
otherwise in writing, the recipient also agrees to follow all applicable Federal EEO directives that
may be issued. Accordingly:
05/2712015 Page 12 of 36
(1) General. The Grantee 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
Grantee 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
Grantee agrees to comply and assures the compliance of each third party Grantee 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 C.F.R. 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 Grantee is also encouraged to give every opportunity to allow
DBE participation in Supplemental Agreements.
(2) Obligation. The Grantee, subconsultant, and subcontractor shall not discriminate on the
basis of race, religion, color, national origin, age, disability or sex in the performance of this
contract. The Grantee shall comply with applicable requirements of 49 C.F.R. Part 26 in
the award and administration of federally assisted contracts. Failure by the Grantee 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 Grantee to have participation from DBE Grantees and /or
suppliers.
(4) Listing of DBE subcontractors. The Grantee, at the time the Letter of Interest is submitted,
shall submit a listing of all known DBE contractors that will participate in the performance
of the identified work. The participation shall be submitted on the Department's Form
DBE -IS. In the event the Grantee has no DBE participation, the Grantee 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.
(5) Certified Transportation Firms Directory. Real -time information about Grantees doing
business with the Department and Grantees 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
Grantees identified as DBE certified in the Directory shall be listed in the proposal. The
listing of an individual Grantee in the Department's directory shall not be construed as an
endorsement of the Grantee's capability to perform certain work.
(6) Reporting Disadvantaged Business Enterprise Participation. When payments are made to
Disadvantaged Business Enterprise (DBE) Grantees, including material suppliers,
Grantees at all levels (Grantee, SubConsultant or SubGrantee) shall provide the Contract
Administrator with an accounting of said payments. The accounting shall be listed on the
Department's SubGrantee Payment Information Form (Form DBE -IS). In the event the
Grantee has no DBE participation, the Grantee 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
05/2712015 Page 13 of 36
may bn accessed nn the vvebsiteat:
A responsible fiscal officer of the payee Grantee, aubuonmultont or SubGrontee who can
attest tn 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.
o. Age Discrimination. The Grantee agrees to comply with the Age Discrimination in Employment Act
A\[)EA\ 29 U.S.C. Section 631 through 834 and with implementing U.S. Equal Employment
Opportunity Commission (U.S. EEOC) regulations, "Age Discrimination in Employment Act," 29
C.F.R. Part 1625, which prohibits discrimination against individuals on the basis of age.
[ Access for Individuals with Disabilities, The Grantee agrees to comply with 49 U.S.C. 8 5301(d),
which nteien 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
Grantee also agrees to comply with all applicable provisions of Section 504 of the. Rehabilitation
Act of 1075, as amended, with 20 U.S.C. 0 794. which prohibits discrimination on the basis of
disability; with the Americans with Disabilities Act of1S90(ADA)'os amended, 42U.8.C.8§121O1
etaeq.. 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. §84151etoeq.,
which requires that buildings and public accommodations be 000eaaib|e to individuals with
disabilities. In addition. the Grantee 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 C4DA\'" 49
C.F.R. Pa�37. �
(2) U.S. DOT nagu|otinna. "Nondiscrimination on the Basis of Handicap in Programs and
AotiviheeReneivingorBenefitinQhnnnFedena|Financia|Aaeiotance."4QC.F.F7.Port27;
/3\ Joint U.S. Architectural and Transportation Barriers Compliance Board (U.G./\TBCE)/U.G.
DOT regulations, 'Y\nneFioans With Disabilities (4[)A) /\ooaaaibi|itv Specifications for
Transportation Vehio|ea'"3@C.F.R. Part 1i92 and 4QC.F.R. Part 38;
(4) U.S. DOJ regulations, "Nondiscrimination on the Basis of Disability in State and Local
Government Services," Part . C.F.R. �
/5> U.S. D{}J regulations, "Nondiscrimination on the Basis of Disability by Public
Accommodations and in Cn/nnnennia| Facilities," 28 C.F.R. Part 36;
(G) U.S. General Services Administration (U.S. GSA) regulations, 'Y\coornnnndabnna for the
Physically Hendioepped,"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;
/8\ U.S. Federal Communications Connnn|auion regulations, "Telecommunications Relay
Services and Related Customer Premises Equipment for the Hearing and Speech Disabled,"
47 C.F.R. Part 64, Subpart F; and
(Q) U.S. /g'BCB regulations, "Electronic and Information Technology Accessibility Standande/"
3O [}FR Part �� �
(1O) 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.
]. the extent applicable,
the Grantee 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.G.C. O8 1101 otoeq., with the
Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act nf
197O,ms amended, 42U.S.C.8§4541 etoeq.' and with the Public Health Service Act of1012,oa
amended, 42U.8.C. §82O1dd-29Odd-2etneq' and any subsequent amendments to these acts.
0827/2015 Page l4of36
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 Grantee 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," 70Fed. Reg. 74087 et seq., December 14, 2005.
Environmental Justice. The Grantee 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.
Other Nondiscrimination Laws. The Grantee 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 12. Planning and Private Enterprise.
a. General. To the extent applicable, the Grantee 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. Chapter 53;
(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 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 12a of this
Agreement, to the extent feasible the Grantee 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 Grantee 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 13. Preference for United States Products and Services. To the extent applicable, the
Grantee agrees to comply with the following U.S. domestic preference requirements:
a. Buy America. The Grantee 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 the
FAST Act, MAP -21, or SAFETEA -LU provisions, and subsequent amendments to those regulations
that may be promulgated. The Grantee 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.
05/27/2015 Page 15 -of 36
Cargo Preference -Use of United States -Flag Vessels. The Grantee 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.
Fly America. The Grantee 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 14. Procurement and Third Party Contracting. To the extent applicable, the Grantee agrees
to comply with the following third party procurement provisions:
a. Statutory and Regulatory Standards. The Grantee shall establish written procurement procedures
that comply with the required Federal and State standards as found on the Department's website:
https:/ /connect nedot gov/ business / Transit/ Pages/Transit- Procurement.aspx.
The Grantee agrees to comply with the third party procurement requirements with 2 C.F.R. 200,
"Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal
Awards" (replaces 49 C.F.R. 18 and 19, effective December 26, 2014); 49 U.S.C. Chapter 53, as
amended by FAST Act; FTA's Master Agreement, FTA MA(23); and other applicable Federal laws
in effect now or as subsequently enacted; 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 N.C.G.S. 143 Article 8. The Grantee also agrees to
comply with the provisions of FTA Circular 4220.1 F, "Third Party Contracting Guidance "; as
amended, to the extent those provisions are consistent with the FAST ACT, MAP -21, or 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 Grantee understands that this FTA manual
is focused on third party procurement processes and may omit certain Federal requirements
applicable to the third party contract work to be performed.
b. Full and Open Competition. In accordance with 49 U.S.C. §5325(a), the Grantee 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 Grantee 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. In accordance with N.C.G.S. 143 Article 3D, the Grantee 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 Grantee'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 Grantee 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 Grantee agrees to comply with
Executive Order No. 13502, "Use of Project Labor Agreements (PLA) for Federal Construction
Projects ", February 6, 2009, 74 Fed. Reg. 6985 et seq. As a result, the Recipient is no longer
prohibited from requiring an affiliation with a labor organization, such as a project labor agreement,
as a condition for award of any third party contract or subcontract at any tier for construction or
construction management services, except to the extent that the Federal Government determines
otherwise in writing.
05/27/2015 Page 16 of 36
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 Grantee 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 Grantee agrees to permit the Department to review and
approve the Grantee's technical specifications and requirements to the extent the Department
believes necessary to ensure proper Project administration. The Grantee 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 Grantee agrees to submit procurement documents, including
the Procurement Checklist, 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) not available on PTD
State contracts.
(2) All specifications, drawings, plans, and /or description of work required for all construction,
renovation, facility improvement or related type projects;
(3) All construction projects equal to or greater than $30,000;
(4) Any "brand name" product or sole source purchase equal to or greater than $2,500;
(5) Any contract/subcontract to other than apparent lowest bidder equal to or greater than
$3,500; $2,000 if it is a construction related project
(6) Any procurement equal to or greater than $90,000;
(7) 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.
(8) All local procurements over $3,500 using grant funds, federal and /or state must submit a
Procurement Checklist with claim to be eligible for reimbursement
k. Protect Approval/Third Party Contract Approval. Except to the extent the Department determines
otherwise in writing, the Grantee 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 Grantee 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 Grantee 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 Grantee 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. § 7606, 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.
05/27/2015 Page 17 of 36
n. National Intelligent Transportation Systems Architecture and Standards. To the extent applicable,
the Grantee 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 Grantee 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 Grantee 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 Grantee 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 Grantee 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 Grantee 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 Grantee understands and agrees that to the extent
the provisions of 49 U.S.C. § 5323(m), as amended by the FAST Act, MAP -21 or SAFETEA-
LU conflict with FTA's 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 Grantee 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 Grantee 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 Grantee shall use qualifications -based competitive proposal [Request for
Qualifications (RFQ) in accordance with the Brooks Act] procedures. The Grantee shall follow
applicable statutes, N.C.G.S. 143 - 64.31 -34, and requirements set forth in FTA Circular 4220.1 F as
amended, to retain a qualified, registered architect or professional engineer:
(1) The Grantee 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;
(d) Negotiations be conducted with only the most qualified offeror; and
(e) 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 Grantee 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.
05127/2015 Page 18 of 36
S.
t.
(4) The Grantee 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.
Design- 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 Grantees that are involved in the construction process.
The Grantee 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.
Design -Build Projects. The Design -Build method of construction is where a single Grantee is given
responsibility for both design and construction, thus eliminating an 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 Grantee 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.
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 Grantee 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 Grantee 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 14t(2), of
this Agreement, regarding information technology goods as services.
(2) The Grantee 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 Grantee
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 Grantee may use procurement methods set forth in N.C.G.S. 143 -135.9 in
developing and evaluating requests for proposals.
(d) The Grantee may negotiate with any proposer in order to obtain a final contract that
best meets the needs of the Grantee.
(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.
05/27/2015 Page 19.of36
u
v
(f) Proposals submitted shall not be subject to public inspection until a contract is
awarded,
(3) The Grantee agrees that the RFP method, in accordance with FTA Circular 4220.1 F as
amended, under the guidelines of FTA "Best Practices Procurement Manual," should be
used for procurements of professional services, such as consultants for planning activities
and for transit system operations /management. The Grantee acknowledges that certain
restrictions apply under North Carolina law for use of the RFP method and these restrictions
and exceptions are discussed in Subsections 14t(1) and 14t(2) of this Agreement. For all
architectural, engineering, design, or related services, the Grantee agrees that the
qualifications -based competitive proposal process shall be used (see Subsection 14q, this
Agreement).
(4) When the RFP method is used for procurement of professional services, the Grantee 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;
(e) All evaluation factors will be identified along with their relative importance;
(f) Proposals will be solicited from an adequate number (3 is recommended) of qualified
sources;
(g) A standard method must be in place for conducting technical evaluations of the
proposals received and for selecting awardees;
(h) Awards will be made to the responsible firm whose proposal is most advantageous to
the Grantee's program with price and other factors considered; and
(i) In determining which proposal is most advantageous, the Grantee 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.
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 $3,500 ($2,000 for construction - related projects) to other than apparent lowest bidder, the
Grantee shall submit its recommendation along with basis /reason for selection to the Department
for pre -award approval.
Award to Responsible Grantees. The Grantee agrees to award third party contracts only to
responsible Grantees who possess potential ability to successfully perform under the terms and
conditions of the proposed procurement according to N.C.G.S.143 -129. Consideration will be
given to such matters as Grantee 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 Grantee shall comply, and assure the
compliance of each third party Grantee 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 sample certification form
can be obtained from the Department. The Grantee also agrees to check a potential Grantee's
debarment/suspension status at the Federal website:
https: / /www.dol.gov /ofccp /regs/ compliance /preaward /debarlst.htm and the State website:
https: / /ncadmin.ne.gov /government -a e1� �cies/ procurement /contracts /debarred- vendors.
05/27/2015 Page 20 of 36
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 Grantee 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 Grantee shall maintain a contract administration system that
ensures that Grantees /SubGrantees perform in accordance with the terms, conditions, and
specifications of their contracts or purchase orders.
y. Access to Third PartV Contract Records. The Grantee agrees, and agrees to require its third party
Grantees and third party SubGrantees, 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 15. Leases.
a. Capital Leases. To the extent applicable, the Grantee 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 Grantee 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.
C. Lease vs. Purchase. The Grantee agrees to obtain the Department's concurrence and a cost
analysis will be presented to evaluate the terms and conditions prior to entering into any lease
agreement.
Section 16. 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 Grantee 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 Grantee
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 Grantee 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 17. Use of Real Property, Equipment, and Supplies. The Grantee 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 Grantee 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 Grantee agrees to maintain continuing control of the use of Project
property to the extent satisfactory to FTA. The Grantee 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 Grantee unreasonably delay or fail to use Project property during the useful life of that
property, the Grantee agrees that it may be required to return the entire amount of the Federal and
State assistance expended on that property. The Grantee further agrees to notify the Department
immediately when any Project property is withdrawn from Project use or when any Project property
is used in a manner substantially different from the representations the Grantee 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.
05/27/2015 Page 21 of 36
b. General. The Grantee 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 Grantee also
consents to the Department's reimbursement requirements for premature dispositions of certain
Project equipment, as set forth in Subsection 17i of this Agreement:
C. Maintenance and Inspection of Vehicles, Facilities and Other Project Equipmenfi. The Grantee
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 Grantee 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 17c of this Agreement
and the State Management Plan. The Grantee 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 Grantee 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 Grantee pursuant to this Subsection 17c 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 Grantee shall make every effort to accommodate such
inspections by the Department in accordance with the Department's desired schedule for such
inspections. The Grantee 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 Grantee 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 Grantee's maintenance of the facility in good operating
order and at a high level of cleanliness, safety and mechanical soundness.
d. Records. The Grantee 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 Subsection 17 of this Agreement.
e. Incidental Use. The Grantee 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:
(a) Incidental use does not interfere with the Grantee's Project or public transportation
operations;
(b) Grantee fully recaptures all costs related to the incidental use from the non - transit
public entity or private entity;
(c) Grantee 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 Grantee. The Department's Public Transportation Division
05/27/2015 Page 22 of 36
shall be recorded on the Certificate of Title as first lien- holder. In the event of project termination
or breach of contract provisions, the Grantee 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 Grantee agrees to maintain satisfactory continuing
control of Project property as follows:
(1) Written Transactions. The Grantee 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 Grantee agrees that it will not obligate itself in any manner to any
third party with respect to Project property.
(3) Other Actions. The Grantee agrees that it will not take any action adversely affecting the
Federal and State interest in or impair the Grantee's continuing control of the use of Project
property.
h. Transfer of Project Property. The Grantee understands and agrees as follows:
(1) Grantee Request. The Grantee 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 Administrator and conforms with the
requirements of 49 U.S.C. §§ 5334(h)(1) through 5334(h)(3).
(2) Federal /State Government Direction. The Grantee agrees that the Federal or State
Government may direct the disposition of, and even require the Grantee 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 Grantee agrees to obtain approval from the Department. If the
Grantee leases any Project property to another party, the Grantee 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 Grantee and
lessee. The Grantee 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 5e 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 Grantee's primary responsibility to comply with Federal and State
requirements of this Agreement and assure the compliance of any third party
Grantees.
(b) Lease of Vehicles. The lease of vehicles acquired with financial assistance authorized
for 49 U.S.C. chapter 53 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 Grantee, upon approval of the Department. The
Grantee 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 Grantee 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 Grantee, as a
Community Transportation System, shall not lease vehicles to human service
agencies, county agencies /government, community agencies or school systems. The
Grantee 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
05/27/2015 Page 23 of 36
vehicle(s) will generally be used to provide service that is "closed- door," i.e., not open
to the general public.
Disposition of Project Property. With prior Department approval, the Grantee 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
Grantee also agrees that the Department shall determine "useful life" for all Project property and
that the Grantee will use Project property continuously and appropriately throughout the useful
life of that property. Upon the end of the period of useful life, the Grantee 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 Grantee 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 Grantee agrees as follows:
(a) Notification Requirement. The Grantee 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
Grantee 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 Grantee agrees that the fair market value of Project property
prematurely withdrawn from use will be calculated as follows:
1. Equipment and Supplies. The Grantee 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.
2. Real Property. The Grantee 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 Grantee agrees that the Department may
require the use of another method to determine the fair market value of Project
property. In unusual circumstances, the Grantee 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 Grantee with
respect to the preservation of Project property withdrawn from appropriate use.
(c) Financial Obligations to the Federal /State Government. The Grantee 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 Grantee may fulfill its obligations to remit the Federal and State
interest by either:
1. Investing an amount equal to the remaining Federal and State interest in like-
05/27/2015 Page 24 of 36
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 Grantee receives insurance proceeds as a result of damage or
destruction to the Project property, the Grantee 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 Grantee agrees to comply with applicable requirements
of U.S. Pipeline and Hazardous Materials Safety Administration regulations, "Shippers - General
Requirements for Shipments and Packaging," 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 Grantee 's knowledge and consent, the Grantee 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 Grantee agrees that Project closeout by the
Department will not change the Grantee'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 18. Insurance. The Grantee 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 Grantee shall provide, as frequently and in such manner as the Department may
require, written documentation that the facility and 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 Grantee 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
Grantee agrees as follows:
a. Minimum Requirements. At a minimum, the Grantee 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 Grantee 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 19. Relocation. When relocation of individuals or businesses is required, the Grantee agrees
as follows:
a. Relocation Protections. The Grantee 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 Grantee agrees
05/27/2015 Page 25 of 36
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 Grantee 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 20. Real Property. For real property acquired with Federal assistance, the Grantee agrees as
follows:
a. Land Acquisition. The Grantee 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.
b. Covenant Assurinq Nondiscrimination. The Grantee 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. Recording Title to Real Propert y. To the extent required by FTA and the Department, the Grantee
agrees to record the Federal and /or State's interest in title to real property used in connection with
the Project and /or execute at the request of the Department any instrument or documents
evidencing or related to the State's interest in the Project's property.
(1) As a condition of its participation in a Facility Project, the Department will retain a secured
interest in the Project for the estimated life of the Project, expected to be forty (40) years,
following completion of the Project; or the prorated share of the original investment or
current fair market value (the higher value of the two); whichever comes first.
e. Department Approval of Changes in Real Property Ownership. The Grantee 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.
e. Disposal of Real Property.
(1) If useful life is not attained, upon the sale or disposition of any Project facility, the Department
shall be entitled to a refund of the original state and /or federal investment or the state and /or
federal prorated share of the current fair market value of the project facility, whichever is
greater.
(2) For the purpose of this Agreement, the term "any sale or disposition of the Project facility"
shall mean any sale or disposition of the facility for a use not consistent with purposes for
which the state and /or federal share was originally granted pursuant to the Project
Agreement, or for a use consistent with such purposes wherein the transferee in the sale or
disposition does not enter into an assignment and assumption agreement with the Grantee
with respect to the Grantee's obligation under this Agreement or the Grant Agreement, so
that the transferee becomes obligated as if the transferee had been the original party.
Section 21. Construction — Non - Profit Grantees. Except to the extent the Department determines
otherwise in writing, the Grantee agrees as follows:
a. Drafting, Review, and Approval of Construction Plans and Specifications. The Grantee 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.
05/27/2015 Page 26 of 36
b. MBE/WBE /DBE Participation, The Grantee agrees to record and report Minority -owned Business
good faith efforts in accordance with N.C.G.S. 143- 128.2(f).
C. Supervision of Construction. The Grantee 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 Grantee 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 Grantee 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 Grantee 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 22. Employee Protections.
a. Construction Activities. The Grantee agrees to comply, and assures the compliance of each third
party Grantee 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 40 U.S.C. Section 3145
and implementing U.S. DOL regulations, "Grantees and SubGrantees on Public Building or
Public Work Financed in Whole or in part by Loans or Grants from the United States," 29
C.F.R. Part 3.
b. Activities Not Involvinq Construction. The Grantee agrees to comply, and assures the compliance
of each third party Grantee 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 Involvinq Commerce. The Grantee 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 49 U.S.C. chapter 53. The Grantee
agrees to comply with the terms and conditions of the Special Warranty for the 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 23. Environmental Protections. The Grantee recognizes that many Federal and'State laws
imposing environmental and resource conservation requirements may apply to the Project. Some, but
05/27/2015 Page 27 of 36
not all, of the major Federal laws that may affect the Project include: the National Environmental Policy
Act of 1969 (NEPA), 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 Grantee 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 Grantee agrees to comply, and
assures the compliance of each third party Grantee, 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 Grantee understands and agrees that
those laws, regulations, and directives may not constitute the Grantee's entire obligation to meet all
Federal environmental and resource conservation requirements.
a. National Environmental Policy. Federal assistance is contingent upon the Grantee'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.
The Recipient agrees to comply with the applicable provisions of 23 U.S.C. Section 139 pertaining
to environmental procedures, and 23 U.S.C. Section 326, pertaining to State responsibility for
categorical exclusions, in accordance with the provisions of joint FHWA/FTA final guidance,
"SAFETA -LU Environmental Review Process (Public Law 109 -59)," 71 fed. Reg. 66576 et seq.,
November 15, 2006 and any applicable Federal directives that maybe issued at a later date, 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
Grantee agrees to comply with all applicable Federal laws, regulations, and directives
implementing the Clean Air Act, as amended, 42 U.S.C. §§ 7401 through 7671 q, and:
(1) The Grantee 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 Grantee agrees to implement each air quality mitigation or control
measure incorporated in the Project. The Grantee 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 Grantee 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
05/27/2015 Page 28 of 36
and New and In-Use Motor Vehicle Engines."4OC.F.R. Part 86; and "Fuel Economy ofMotor
Vehio|oa."40Cf.R.Part 600.
(3) The Grantee agrees to comply with notice of violating facility provisions of Executive Order
Nn. 11738. 'Y\dnninisfnsbon of the Clean Air Act and the Federal Water Pollution Control Act
with Respect to Federal Contracts, Grants, or Loans," 42 U.S.C. 8 7006 note.
C. Clean Water. Except to the extent the Federal Government determines otherwise in writing, the
Grantee agrees to comply with all applicable Federal regulations and directives issued pursuant
to the Clean Water Act, aa amended, 33U.8.C.881251 through 1377. In addition:
(1) The Grantee agrees to protect underground sources of drinking water consistent with the
provisions of the Safe Drinking Water Act of1Q74.ao amended, 42U.G.C. 300f through
3O0j-8�
(2) The Grantee 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, nrLoone."42U.S.C. §7O0Onote.
d. Use of Public Lands. The Grantee agrees that in implementing its Project, it will not use any
publicly owned land from o park, recreation erea, or wildlife or waterfowl refuge of national, State,
or |one| 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.&C. §5 303(b) and 303(o). The
Grantee also agrees to comply withjoint FHWA/FTA regulations, "Parks, Recreation Areas, Wildlife
and Waterfowl Refugee. and Historic Sites," 23 C.F.R. Parts 771 and 774' and 49 C.F.R. Part 622,
when promulgated.
e. Wild and Scenic Rivers. The Grantee agrees to comply with applicable provisions of the Wild and
Scenic Rivers Act of 1908' as amended, 16 U.S.C. 00 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 Araaa." 43 C.F.R. Part 8350.
f. Coastal Zone Managemen . The Grantee agrees to assure Project oonointenoyvviththeapproved
Gtate management program developed under the Coastal Zone Management Act of 1972' as
amended, 16 U.S.C.O§ 1451 through 1465.
g. Wetlands. The Grantee 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.
84321 note. '
h. Floodplains. The Grantee agrees to comply with the flood hazards protections inf|modp|oins in
accordance with Executive Order No. 11988, as amended, "Floodplain Management," 42 U.S.C. §
4321 note.
i. Endangered Species and Fisheries Conservation. The Grantee agrees to comply with protections
for endangered species set forth in the Endangered Species Act of 1973, as amended, 16 U.S.C.
§§ 1631 through 1544, and the Magnuson Stevens Fisheries Conservation Act, as amended, 18
U�G�C�0G 1801 etseq.
Historic Preservation. The Grantee agrees to encourage compliance with the Federal historic and
archaeological preservation requirements of Section 106 of the National Historic Preservation Act,
an amended, 16 U.G,C. § 470f; with Executive Order No. 11583, "Protection and Enhancement of
the Cultural Environment," 10 U.S.C. § 470 note; and with the Archaeological and Historic
Preservation Act of1874.os amended, 16U.8.C. §§46Qa through 4O8o,aofollows:
(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 Grantee 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 bv the Project, andagneestonntifvFl7\ofthoneprnportiosthata[eaffected.
(2) The Grantee agrees to comply with all applicable Federal regulations and directives to avoid
or mitigate adverse effects on those historic propertias, except to the extent the Federal
Government determines otherwise inwriting.
05/27/2015 Page 29of36
k. Indian Sacred Sites. The Grantee 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 Grantee 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 Grantee
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 Grantee agrees that those
environmental mitigation measures are incorporated by reference and made part of this Agreement
for the Project. The Grantee also agrees that any deferred mitigation measures will be incorporated
by reference and made part of this Agreement for the Project as soon as agreement with the
Federal Government is reached. The Grantee agrees that those mitigation measures agreed upon
may not be modified or withdrawn without the express written approval of the Federal Government.
Section 24. Energy Conservation. The Grantee agrees to comply with the North Carolina Energy Policy
Act of 1975 (N.C.G.S. 113B) 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 Grantee 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 25. Charter Service Operations.
The Grantee 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 Grantee 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 Grantee 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 26. School Transportation Operations. The Grantee agrees that neither it nor any public
transportation operator performing work in'connection with a Project financed under 49 U.S.G. 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.G.
§§ 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 Grantee 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.
05/27/2015 Page 30 of 36
Section 27. 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 Grantee 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.
Section 28. Motor Carrier Safety. To the extent applicable, the Grantee agrees to comply with, and
assures the compliance of its subrecipients, lessees, and third party Grantees with, applicable provisions
of the following regulations promulgated by the U.S. Federal Motor Carrier Safety Administration (U.S.
FMCSA):
a. Financial Responsibility. The Grantee agrees as follows:
(1) To the extent that the Grantee is engaged in interstate commerce and not within a defined
commercial zone, the Grantee 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 Grantee 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 Grantee agrees to comply with U.S. FMCSA regulations, Subpart B, "Federal
Motor Carrier Safety Regulations," at 49 C.F.R. Parts 390 through 396.
b. Driver Qualifications. The Grantee 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 Grantee 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 29. Substance Abuse. To the extent applicable, the Grantee agrees to comply with the
following Federal substance abuse regulations:
a. Drug -Free Workplace. U.S. OMB Guidance, "Goverernmentwide Requirements for Drug -Free
Workplace (Financial Assistance)." 2 C.F. R. Part 182, 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 30. 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 Grantee 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 31. Text Messaging While Driving. In accordance with Executive Order No. 13513, "Federal
Leadership on Reducing Text Messaging While Driving," October 1, 2009, 23 U.S.C.A. § 402 note, and
DOT Order 3902.10, "Text Messaging While Driving," December 30, 2009, the Grantee is encouraged to
comply with the term of the following Special Provision.
a. Definitions. As used in this Special Provision:
(1) "Driving" means operating a motor vehicle on a roadway, including while temporarily
05/27/2015 Page 31 of 36
stationary because of traffic, a traffic light, stop sign, or otherwise. "Driving does not include
being in your vehicle (with or without the motor running) in a location off the roadway where
it is safe and legal to remain stationary.
(2) "Text Messaging" means reading from or entering data into any handheld or other electric
device, including the purpose of short message service texting, e- mailing, instant
messaging, obtaining navigating information, or engaging in any other form of electronic data
retrieval or electronic data communication. The term does not include the use of a cell phone
or other electronic device for the limited purpose of entering a telephone number to make an
outgoing call or answer an incoming call, unless the practice is prohibited by State or local
law.
Safety. The Grantee is encouraged to:
(1) Adopt and enforce workplace safety policies to decrease crashes caused by distracted
drivers including policies to ban text messaging while driving:
(a) Grantee -owned or Grantee - rented vehicles or Govern menf- owned, leased or rented
vehicles;
(b) Privately -owned vehicles when on official Project related business or when performing
any work for or on behalf of the Project; or
(c) Any vehicle, on or off duty, and using an employer supplied electronic device.
(2) Conduct workplace safety initiatives in a manner commensurate with the Grantee's size,
such as:
(a) Establishment of new rules and programs or re- evaluation of existing programs to
prohibit text messaging while driving; and
(b) Education, awareness, and other outreach to employees about the safety risks
associated with texting while driving.
(3) Include this Special Provision in its subagreements with its subrecipients and third party
contracts and also encourage its subrecipients, lessees, and third party Grantees to comply
with the terms of this Special Provision, and include this Special Condition in each
subagreement, lease, and third party contract at each tier financed with Federal assistance
provided by the Federal Government.
Section 32. Protection of Sensitive Security Information. To the extent applicable, the Grantee
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.
Section 33. Disputes, Breaches, Defaults, or Other Litigation. The Grantee 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 Grantee agrees to notify 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 Grantee seeks to name the Federal /State Government as a
party to litigation for any reason, in any forum, the Grantee 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 Grantee may return any liquidated
damages recovered to its Project Account in lieu of returning the Federal /State share to the Department.
C. Enforcement. The Grantee 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 Grantee.
e. Alternative Dispute Resolution. The Department encourages the Grantee to use alternative
dispute resolution procedures, as may be appropriate.
05/27/2015 Page 32 of 36
Section 34. Amendments /Revisions to the Project. The Grantee 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 Grantee 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 Grantee agrees that the project will not incur any costs associated with the amendment or
revision before receiving notification of approval from the division. The Grantee 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 35. Information Obtained Through Internet Links. This Agreement may include electronic
IinksNVeb 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 Grantee 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 36. Severability. If any provision of the FTA MasterAgreement orthis Agreementforthe 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 37. Termination of Agreement.
a. The Department of Transportation. In the event of the Grantee's noncompliance with any of the
provisions of this Agreement, the Department may suspend or terminate the Agreement by giving
the Grantee 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 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 Grantee before the termination date to the extent those
obligations cannot be 'canceled. If, however, the Department determines that the Grantee 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 Grantee 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 Grantee 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 Grantee 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 Grantee within sixty (60) days in advance of such termination.
o. The Grantee. The Grantee may terminate its participation in the Project by notifying and receiving
the concurrence of the Department sixty (60) days in advance of the termination.
05/27/2015 Page 33 of 36
Section 38. 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:
MS MYRA FREEMAN
Name:
MS MYRA FREEMAN
Title:
FINANCIAL MANAGER
Title:
FINANCIAL MANAGER
Agency:
NCDOT /PTD
Agency:
NCDOT /PTD
MSC:
1550 MSC
Street
TRANSPORTATION BLDG
Email: TLETMAN @ORANGECOUNTYNC.GOV
Address:
1 S WILMINGTON ST RM 524
City /Zip:
RALEIGH NC 27699 -1550
City:
RALEIGH NC 27601
Phone:
919- 707 -4672
Fax:
919- 733 -2304
Email:
MSFREEMAN1 NCDOT.GOV
For the Grantee:
IF DELIVERED BY US POSTAL SERVICE
IF DELIVERED BY ANY OTHER MEANS
Name: Theo Letman
Name: Theo Letman
Title: Transit Director
Title: Transit Director
Agency: Orange County Public Transportation
Agency: Orange County Public Transportation
Postal
Street 600 NC Highway 86N
Address: P.O Box 8181
Address:
City /Zip: Hillsborough NC 27278
City: Hillsborough NC 27278
Phone: 919.245.2008
Fax: 919.732.2137
Email: TLETMAN @ORANGECOUNTYNC.GOV
Section 39. Federal Certification Regardind Lobbying. The Grantee certifies, by signing this
Agreement, its compliance with Subsection 6d of this Agreement:
Section 40. Federal Certification Regarding Debarment. The Grantee certifies, by signing this
Agreement, its compliance with Subsection 6b of this Agreement.
Section 41. 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
C.F.R. part 655, subpart I, the Grantee 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 C.F.R. part 655, and Section 28 of this Agreement.
Section 42. Ethics Acknowledgement Policy on Gifts.
N.C.G.S. § 133 -32 and Executive Order 24 prohibit the offer to, or acceptance by, any State Employee
of any gift from anyone with a contract with the State, or from any person seeking to do business with
the State. The Grantee certifies, by signing this Agreement, its compliance with Subsection 6a of this
Agreement.
05/27/2015 Page 34 of 36
NORTH CAROLINA DEPARTMENT OF PUBLIC TRANSPORTION offers only one combined Capital
Application for 5310, 5311, and 5339 requests. In order to maximize the use of federal capital funds, we
have funded your application using 5339. By signing this agneernent, you acknowledge and understand
this funding source change and agree with the terms of this agreement.
IN WITNESS WHEREOF, this Agreement has been executed by the Department, an agency of the State
of North Carolina, and the Grantee by and through a duly authorized representative, and is effective the
date and year first above written.
ORANGE COUNTY
GRANTEE'S FEDERAL TAX |ONUMBER: _61 '17
GRANTEE'S FISCAL YEAR END:
ATTEST:
TITLE:
ATTEST: fV A LOA- JAI Z
TITLE: — SECRETARY
TITLE:
JUNE 3O,2D18
CHAIRPERSON
DEPARTMENT OFTRANSPORTATION
TITLE: DEPUTY SECRETARY FOR TRANSIT
05/27/2015 Page 35u[36
Attachment
Certification Regarding Lobbying
(for bids and/or awards)
The Grantee certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee of
an agency, a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal contract, the making of any
Federal grant, the making of any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification of any Federal contract,
grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person
for influencing or attempting to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned
shall complete and submit Standard Form -LLL, "Disclosure Form to Report Lobbying," in
accordance with its instructions.
(3) The Grantee shall require that the language of this certification be included in the award
documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose
accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file
the required certification shall be subject to a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.
Grantee's Authorized Representative:
0
Title:
05/27/2015 Page 36 of 36
APPENDIX A
NORTH CAROLINA DEPARTMENT OF TRANSPORTATION
PUBLIC TRANSPORTATION DIVISION
PROJECT NUMBER: 18- 39 -056U
APPROVED BUDGET SUMMARY
EFFECTIVE DATE JULY 1, 2017
PROJECT SPONSOR: ORANGE COUNTY
PROJECT DESCRIPTION: FY18 5339 SMALL URBAN CAPITAL
I. TOTAL PROJECT EXPENDITURES
DEPARTMENT - 4523 - CAPITAL 44637.15.2.3 $104,320
PERIOD OF PERFORMANCE JULY 1, 2017 THRU JUNE 30, 2018
DEPARTMENT - 4523 - CAPITAL 44637.15.2.4 $1,469
PERIOD OF PERFORMANCE JULY 1, 2017 THRU JUNE 30, 2018
DEPARTMENT - 4523 - CAPITAL 44637.15.2.5 662
PERIOD OF PERFORMANCE JULY 1, 2017 THRU JUNE 30, 2018
II. TOTAL PROJECT FUNDING
BUS- ROLLING STOCK
TOTAL
FEDERAL
STATE
LOCAL
CAPITAL - 44637.15.2.3
100%
80.00%
10.00%
10%
AGREEMENT*
$104,320
$83,456
$10,432
$10,432
BUS -SUPP EQUIP AND FACILITIES
TOTAL
FEDERAL
STATE
LOCAL
CAPITAL - 44637.15.2.4
100%
80.00%
10.00%
10%
AGREEMENT#
$1,469
$1,175
$147
$147
BUS-SIGNAL & COMM EQUIPMENT
TOTAL
FEDERAL
STATE
LOCAL
CAPITAL - 44637.15.2.5
100%
80.00%
10.00%
10%
AGREEMENT #
$662
$529
$66
$67
TOTAL
$106,451
$85,160
$10,645
$10,646
NORTH CAROLINA DEPARTMENT OFTRANSPORTATION
PUBLIC TRANSPORTATION DIVISION
APPROVED PROJECT BUDGET
PROJECT: 18-39-056U
SPONSOR: ORANGE COUNTY
WBS: 44637.15.2.3
D_EPARTMENT45�3__ _-CAP|T�L_ __ BUS-RK]LL|NG_ __STOCK
__________
APPROVED
OBJECT
G575 28ftLtTrnu\/eh(Reo/Exp) 103'820
(5591 VehLettering/Logoo 500
TOTAL 104,320
VVBS:44087.1524
oxes 1,469
TOTAL 1/68
VVBS: 4403715.2.5
G555 Mobile Radio Unit 662
TOTAL 662
TOTAL CAPITAL 106,451
Approved Capital Budge
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