HomeMy WebLinkAbout2017-575 OPT - FY2018 NCDOT application for Section 5310 Public Transportation GrantSTATE OF NORTH CAROLINA
COUNTY OF WAKE
NORTH CAROLINA
and
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PUBLIC TRANSPORTATION GRANT
AGREEMENT FOR ENHANCED MOBILITY
OF SENIORS & INDIVIDUALS WITH
D|88B|L|T|EG
PROGRAM — SECTION 5310
FAIN NUMBER: NC-2016-010'00
NC-2017-053'OO
CFDANUMBER: 20'613
PR0(0QCTN-U-MB3CR: 10-ED-056
DUNS # 091675191
THIS AGREEMENT made this the day of 20J (hereinafter referred to as
AGREEMENT) by and between the NORTH CAROLINA DEPARTMENT OF TRANSPORTATION
(hereinafter referre�d to as "Department', an agency of the State of North* Carolina) and ORANGE
COUNTY, (acting in its ca pacity 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 & lndividuals 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 underthe Tribal Transit Program, and/or State'grant program including, but not limited to,
Advanced Technology, /nbarn/Apprentce program, Urban State match programs, Rideshare. HOAP
and SMAP.
WHEREAS ' the funds provide federal odnlinistnative, ope[obDg, and capital assistance for public
transportation in rural and aOnaU urban areas by way ofoformula grant 'program to be administered by `
the State; and .
VVHEREAS, the purpose of this grant is to enhance 000esn of people in small urban and
nonurhanized areas for purposes such am health care, shopping, aduo�Oon' 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
WHEREAG. Article,28 of Chapter 136 of the North Carolina General Statutes (N.C.G.G)
designated the Department of Transportation as the agency of the State of North Carolina responsible
-for administering all Federal aod/or State programs na|otiOg 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 os the g 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
4.2O15. and other authorizing legislation that may beenacted, the Moving Ahead for Progress in the'
21st Century Act (K8/\P-21). Public Law No. 112-141.Juk/G,2O12.msiamendedby the "Surfama
Transportation and Veterans Health Care Choice Improvement Act of 2015," Public Law No. 114-41,
July 31.2O1S^ and the Safe, Accountable, Flexible, Efficient Transportation Equity Act: 8 Legacy for
Updated 05/27/2015
Users 0AFETEA-L0' Public Law No. 109-59, August 1O,2OO5'as amended by the SAFETEA-LU
Technical Corrections Act of20U8. Public Law Nn11D-244' June 0'2OO8. Under this program; and
WHEREAS, in orderto assist in providing transportation services, the Department, underthe 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.
N(}VV. THEREFORE, in consideration of the mutual covenants herein sot forth, the Department
and the Grantee follows:
agree �o
Section 1. The purpose of this Agreement kyto provide for the undertaking of
nnDu[baOizod and small Urban public transportation services as described in the project app|ioatoD
(hereinafter referred to as "Project") properly prepared, endorsed, oppnomsd, and bonernd±ed by the
Grantee to the DepartnneDt, and to state the terms and conditions as to the nnaDDe[ in which the Project
will be undertaken and completed.
Section The Grantee shall carry out the Project aofoUovve:
a. Scope of Projec. Orange County (operating am Orange County Public Traosportation-QPTl
will use capital funds for /1\ 28` LTV ml lift; diesel engine; bike nsch replacement vehicle,
including lettering and logo, (1) mobile radio unit; and M\farebox.
b. The Grantee shall undertake and complete the nonurbanizod 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 24.2O14;
(2) FTA Master Agreement, . dated October 1' 2010;
( ) The State Management Plan for Federal and'State Transportation Programs (hereinafter
referred to aa "State Management P|aD'); 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: The total cost of the Project appnzxedbvtheDepartment
is ONE HUNDRED SIX THOUSAND FOUR HUNDRED FIFTY-ONE THOUSAND DOLLARS ($106,461)
as set forth in the Pr oject Description and BUd8et, incorporated into this Agreement mn Attachment A.
The Department shall provide. from Federal and State fundu, the percentages of the actual not cost of
the Project on indicated. below, not in excess of the identified e[nouD1s 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 eXoeaa of the Department's
maximum (Federal plus State shan*m). 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.
05/2712016 Page %of37
Capital
WBS
Capital
Total
Capital
Federal (80%)
Capital
State (10 %)
Capital
Local (10%)
51001.66.2.3
$104,320
$83,456
$10,432
$10,432
Capital
Capital
Capital
Capital
Capital
Agreement
YR
Capital
WBS
Capital
Total
Capital
Federal (80%)
Capital
State (10%)
Capital
Local (10%)
Project
Total
Project
Total
Project
Total Federal
Project
Total State
Project
Total Local
Section 4: Period of Perfbirmance. This Agreement shall commence upon the date ofexecution,
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 b� made in accordance with the policies and prnoedOnyo established by the
DepartmentorFTA. The Grantee shall commence, carry on, and complete the approved Project vvitha|/
practicable dispatch, ina sound, economical, and efficient manner.
SecUon5. Grantee's Capacity.
a. The Grantee agrees to maintain sufficient legal, financial, technical, and managerial capability to:
(1) Plan, manage, and. complete the Project ondprovdefortheumeofProject 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 Budost^1heProject schedules,
the Grantee's annual Certifications and Assurances to the Department, and applicable
Federal and State laws, regulations, and directives,
h. . The Grantee nhnU
complete and submit to the Department a sworn written statement pursuant to N.C.G.G. 143C-0-
23(c), stating that the Grantee does not have any overdue tax debts, as defined by G.8. 105-243. 1,
et 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 Pf 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 requinarnente:
/1\ U.S. DOT naQu|otinne, Uniform Administrative Requirements, Coat Principles, and audit
Requirements for Federal Awards, .
.CD Title 19A North Carolina Administrative Code (N.C.A.C.) Subchapter 5B.
d. Application Directives. To achieve compliance
with uhang|ng 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.
u. 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 ' thewviseinmndjnQ.Unless
otherwise authorized inVvrtinAby the Dapa�nnent'the Grantee oho||not assign any portion ofthe
work toba performed under this Agreement, orexecute any contract, amendment, or change order
05/27/2015 Page 3oF37
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 FT7\ and the Department. |f the Grantee leases any Project eaootto
another party, the Grantee agrees to retain ownership of the leased asset, and assure that the
Lessee will use the Project osseƒtopFovidennaaatranopodotionaon/ive,eitherth[oughe"Leoae
and Supervisory Agreement" between the Grantee and Lessee, or another similar document. The
Grantee'aQroento provide o copy of any relevant documents,
(1) Significant Participation by a Third PartV 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 nf the Project, oremanonrryout
Project octivitieanornne||yperformedbvth*Grunta' (sVmh�aiU@tu[nkevcont the
rather
Department for compliance with all applicable Federal and State |mvvs, 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 subcontractor, is ultimately responsible for compliance with all
applicable Federal and State laws, regulations, and directives, except to the extent that the
Department determines othm�iseinvvritinB.
(3) Although the Grantee may lease project
property and delegate some or many project responsibilities to oDe or more |' ssees. fhe
�
Grantee agrees that they, rather than any |eooee, is ultimately responsible for compliance
with all applicable Federal |aws, regulations, and direntiVee, 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 to this agreement. To achieve compliance with certain Federal and State laws,
regulations, or directives, however, other Project participants, such as subrecipients and third
party Grantees, will necessarily be involved. Accordingly, the Grantee agrees to take the
appropriate measures necessary to ensure ' that all Project participants comply, with
applicable Federal and State laws, regulations, and directives affecting their performance,
- except to the extent the Department determines otherwise in writing,
(2) Documents Affected. The applicability of provisions of Federal and State laws, regulations,
and directives determine the extent-to which their requirements affect a Project participant.
Thus, the Grantee agrees to include adequate provisions to ensure that each Project
participant complies with those Federal and State laws, regulations, and directives, except
to the extent that the Department determines otherwise in writing. In addition, the Grantee
also agrees to require its third party contractors, subrecipients, and lessees to include
appropriate requirements to ensure compliance with applicable Federal and State laws,
regulations, and directives in each lower tier subcontract and subagreement for the Project,
except to the extent that the Department determines otherwise in writing. Additional
requirements include the following:
(a) Third Party Contracts. Because Project activities performed by a third party contractor
must comply with all applicable Federal and State laws, regulations, and directives,
except to the extent the Department determines otherwise in writing, the 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 to its subcontractors at the lowest tier necessary. When the third party
contract requires the third party contractor to undertake responsibilities for the Project
05127/2015 Page 4of37
usually performed by the Contractor, the Grantee agrees to include inthat third party
contract those requirements applicable to the Contractor imposed by the Grant
Agreement for the Project orthoFTAK8eoterAonee0nntaUdeXtendthosm
requirements throughout each tier except as the Department determ! , nes otherwise in
writing. Additional guidance pertaining tothird 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 onthirdpedxpvocunarnentprooesnesmnd[naynnni1onrtoin
other Federal requirements applicable to the work to be performed.
(b) Subagreements. Because Project aotiVitiesperforrnedbvasUboontrauto[/
oubrecipient must comply with all applicable Federal and State |avYa, regu|sdioOs, and
directives except to the extent that the Department determines otherwise in writing,
the Grantee agrees wsfollows:
1 The into itte t
with each subrecipient (subagree ' ment) stating the terms and conditions of
assistance by which the Project will be undertaken and completed.
3 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, nagu|atioDa, and directives applicable tothe Project and
the Grantee's obligations under this Agreement for the Project aOdtheFTA
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 orthaFTAMmater/\g[eonnendoUdextendthoseoaquirernmntsan
necessary to any lower level aubagreeDnentnr any third party contractor ateach
tier, except ae the Department determines otherwise inwriting.
(3) Iran Divestment Act compliance
kA N.C.G.8. 147-86.50 naquiPoo that all bide 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 8 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-
88.58. |M compliance with the requirements nf the Iran Divestment Act 2015 and
N.C.G.8. 8 147-85.55 and 147-80.59' the Grantee shall not utilize the per-fbrmaDceof
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
VveboU*: and will be updated every 180 days, effective
February 28'2O18.
1 By execution of this Agreement each Party certifies that neither it nor its Agents
orCoDtaotore/SubnoDtnactoro /1\ are oD the Final Divestment List nf entities that
the State Treasurer has determined engages in investment activities in'Iran; (2)
shall not utilize on any contract with the State agency subcontractor that is
identified on the Final Divestment List; and /3\thot.the undersigned are
authorized bytho 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 es
appropriate and provided for by |avv rule, or contract. Should this Act be voided
by NC General Statute, this Agreement will remain valid; however this
certification will oo longer berequired.
g. No FederaVState Government Obligations to Third Parties. /n connection with performance ofthe
Project, the Grantee agrees that, absent the Federal[State Government's express written consent,
05/27/2015 Page 5 of 37
the Federal/State Government shall not be subject to any obligations or liabilities toany
subrecipient, third party contractor, lessee or other person or entity that is not a party to this
Agreement for the Project. Notwithstanding that the FedenaVState 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, orlessee.
Changes in Project Performance (i.e., Dispu tes, Breaches, Defaults, o Litigation). The Grantee
agrees to notify the Department immediately, in writing, of any change in local lawj conditions
(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 iri this Agreement for the Project. The
Grantee also agrees to notify the Department imm ' ediately, 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 Agreemen This Agreement shall be subject fn 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.
a. Code of Ethics. The Grantee agrees to maintain e 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, subngnaennenta. or |eeeeo 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 subreciplent at
any tie[ or agent thereof, or any lessee. Such o conflict would arise when an employee, offinnr,
board rnernber, or agent, |On|udiOQ any member of his or her immediate family, partnm[, or
organization that employs, or intends to ennp/oy, any of the parties listed herein has a financial
interest in the firm selected for award. The Grantee may set do K8inirnio 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 oFstandards shall also proh|b|ttho 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 |oro| law or
regulations, the Grantee agrees that its node or standards of conduct oheU include pennitieo,
sanctions, or. other disciplinary actions for violations by its officers, eUnp|oyoee, 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 pmdx contract, or sub-agreement
supported by Federal/State assistance if roe) or apparent conflict of interest would be
involved. Gubh o conflict would arise when an emp|Uyee, officer, board nno0ber, or agent
including any member of his or her immediate family, partner, or organization that ennp|nys,
or intends to ennp|oy, 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 uhmU include prnrodunaa 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
05/2712015 Page 6of37
C8 ghfa N/C.G.S. 0 133-32 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 todo 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 hy any employees ofGrantee.
b. Debarment and Suspension., The Grantee agrees tn comply, and assures the compliance ofeach
thir'd party Grantee' sub-recipient, or lessee at any tier, with Executive Orders Nos. 12548 'and
12088' (aee2 C.F.R. § 180) "Debarment and Suspension," 31 U.S.C. §G101 note. and U.G. DOT
regulations, "Gove[n0ent-wide Debarment and Suspension (Non-procurement)," 49 C.F.R. Part
29. The Grantee agrees to, and assures that its third party contractors, sub-reciplehts, and lessees
will, review the Excluded Parties Listing System at (http:0ep|o.ernet.Onv0 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. Lobbyinq Restrictions. The Grantee agrees that:
(1) In compliance with 31 U.G.C. 1352/al, it will not use Federal assistance '
to pay the costs of influencing any officer n[employee of Federal agency, K8mnnbar of
Congresa, officer of Congress or employee of 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 opprophatioDs, except through prnper, 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.G. [)OT regulations, "New Restrictions on Lobbying," 49
C.F.R. Part 20, modified as necessary by 31 U.S.C. G 1352.
e. Political Activity. To the extent applicable, the Grantee agrees to comply with the provisions of
ih-e Hatch Act, 5 U.S.C. chapter 15, a*n*d U.S. Office of Personnel Management regulations,
"Political Activity of State orLocal Officers orErnp|oyaea,"5C.F.F<. 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, orloan. Nevertheless, in accordance with 48U.G.C.6
53O7/k1[2)/B) and 23U.G.C.§142(g). the Hatch Act does not apply toanonoupenvisory
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.
t False or Fraudulent Statements or Claims. The Grantee acknowledges and agrees that:
71\ Civil Fraud. The Program Fraud Civil Remedies Act of 1986' as amended, 31 U.S.C.
3801 etaeq., and U,G. DOT regulations, "Program Freud Civil Romediex."48 C.F.R. Part
31, apply to its activities in connection with the Project. ByexecutiDg.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 a.|so understands that ifit makes a false, fictitious, or
`
fraudulent claim, statement, submission, certificotion, assurance, or representation tothe
Federal/State Government concerning the Project, the Federal/State Gove[nUoentresen/es
the right to impose on the Grantee the penalties of the Program Fraud Civil Remedies Act of
1086,ae amended, toƒhe extent the FederaKGtote Government deernsappropriate.
' /2\ . If the Grantee makes n fo|ne, fictitious, or fraudulent n|ainn' statement,
submission, certiUcation, assurance, nr representation tu the FadereKStote Government or
includes a false, fictitious, or fraudulent statement or representation in any agreement with
' the Federal/State Government in connection' with n Project authorized under 49 U.&C.
chapter 53 or any other Federal |uvv, the Federal/State Government reserves the right to
impose on the Grantee the penalties of 49 U.S.C. § 5323/0. 18 U.S.C. § 1001 or other
applicabl& Federal/State lawto the extent the Federal/State Government deems appropriate.
0512772015 Page 7of37
Section
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 Aomaannent in accordance with the
approved Project Budget(s), included as Attachment Ato this Agreement. It is Understood and
agreed that the work conducted pursuant to this Agreement shall bmdone oDan 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 nr quarterly tinnefnnnlein
which the Grantee, reports expenditures tu the Department, All payments issued by the Department
will be on o reimbursable basis unless the Grantee naquoata and the [)opadcAeUt approves -on
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.(thnep) business doyn. 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 of project ooatsatorpriortothetirne.thadsuchfuDdoo[eneededtn
meet project coato. The Grantee shall provide its share of project costefronnnoVn:eoothe[thaD
FTA and State funds from the DepadDient. Any costs for work not eligible for Federal and State
participation ehaUbe financed one hundred percent (1 OO6/o)by 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 ofallowable administrative costs which ahu|| be determined by available
funding.
C. Operatinq Expenditures. In order to assist in financing the operating costs of the project, the
Department shall reimburse the Grantee for the lesser of the following when providing operating
assistance:
(1) The balance ufunnaoovanyd operating expenditures after deducting all farebox and other
operating revenues, or
C8 Up to the percentage specified in the Approved Project Budget of the allowable total
operating expenditures which shall be determined by available funding.
d. Payment and Reimbursement. The Grantee shall submit a request for reimbursement to the
Department for the Period Covered not more frequently than monthly, no[ |eea frequently than
quarterly, reporting on the Department's Uniform Public. Transportation Accounting System
(UPTAS) invoicing forms furnished by the Department for work performed Linder this Agreement.
Expenditures submitted for reimbursement shall include all eligible cost incurred within the Period
Covered. Failure to request reimbursement for expenses incurred within the Period Covered may
result in non-payment. All requests for reimbursement must be submitted within (30) days following
the end of the project's reporting period. Any Grantee that fails to submit a request for
�
neirnhVrmonnenLfor the ��ttwo quodensofagraennent�soa| year by January 31�oF the last two
quarters by July 30th will forfeit their ability to receive reimbursement for those periods.
Additional forms must be submitted with reimbursement requests fdreport on contracting activities
with Disadvantaged Business Enterprise (DBE] fi[Dne. Invoices shall be, supported by
documentation of costs unless otherwise waived by the Department. All requests must be
s�ubrnitted within thirty (3O) days following the end of the quarter. Failure tm request PainobUnsenlant
for eligible projects costs as outlined may result in termination of the Project. /Dvmioea uhoU be
approved by the Department's Public Transportation Division and reviewed by the Department's
External Audit Branch prior topayment.
e. Indirect Cost or Central Service Allocation. Calculation uf` Indirect o[Central Service Allocations
will be consistent with the applicable US DOT common rules in 2 C.F.R. 200. These rates must be
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 SK8P.
[ Excluded Costs. The Grantee Onderstands,and agrees that, except to the extent the Department
05127/2015 Page 8of37
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:
kA Any Project oontincurnadbvtheGranteebeforntheofectivedotaofthegnant|
(b) Any cost that is not included |U the latest Approved Project Budget;
(o) Any cost for Project propeAvorsen/inesreceivedincoDDectionvvi1hathirdpadx
contract, sub-agreement, lease, or other arrangement that is required to be, but has
not been, concurred iDor approved in writing byFTA;
(d) Any non-project cnstcnnsisteDtVviththeprohibitionsof4SU.8.C.05323(h);und
(e) Any profit or fee sought by the recipient for its services under the Grant Agree, except
tothe extent determined byapplicable.
Ui Any cost ineligible for FTAparticipation as provided by applicable Federal/State |avve,
regulations, or directives.
/2\ The Grantee shall limit reimbursement for meals, lodging and travel to rates established by
the State nfNu hCmro|inoT[ave|Po|ioy. Costs incurred by the Grantee iU excess ofthese
rates shall be borne by the Grantee.
(3) The Grantee understands and agrees that payment to the Grantee on any Project onst
does not constitute the FederallState Government's final decision about whether that cost
is e||oVvab|e and eligible for payment and does not constitute o waiver oƒ 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 hoebeenconnp|sted. |f the Federal/State
Government determines that the Grantee is not entitled to receive any portion of the
Federal/State ass ' istance the Grantee has requested or provided, the Department will notify
the Grantee iO writing, stating its reasons. The Grantee agrees that Project doseoutwi||
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 doseoxte|te[
the Federal/State Governments right to disallow costs and recover funds on the basis of a
later auditor other review. Unless. prohibited by Federal/State law orregulation, the
Federal/State Government may recover any Federal/State assistance funds made
available for the Project asnooeosarytonmtiofvanyoutatendingnnoneto[yc/8irnsthafthe
Federal/State Government may have against the Grantee.
Program Income
(1) State, Local, nr Indian Tribo|Governments. |n addition to uses of program income
authorized under 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 prograrn 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 tn
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 othemvi�ein
writing, the cost incident tnthe 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.
Federal/State Claims, Excess Payments, Disallowed Costs, including Interest.
(1) . Upon notification to the Grantee that specific amounts are
owed to the Federal/State Government, whether for excess payments ofFedereKGtmte
assistance, disallowed costs, or funds recovered from third pates or elsewhere, the Grantee
agrees to remit to the Department promptly the amounts ovvod' including applicable interest
and any penalties and administrative charges.
(2) Amount of Interest. The Grantee ogRaeo to nenn|t to the Department interest owed as
determined in accordance with N.C.G.G. 147-86.23. Upon notification to the Grantee that
05/2712015 Page 9u[37
`
amo��are owo ��eF�e�|Gmmmm��wh�herf�e�e�p�0aO�of
' � Federal assistance, disallowed costs, or funds recovered from third parties or elsewhere, the
Grantee agrees to remit ' o the Federal Government promptly the amounts owed, including
applicable intareat,,pena|tienand administrative charges.
/3\ Payment to FTA. Upon receipt of repayment from the Grantee, the Department shall be
responsible to remit amounts owed to FTA.
Funds. De-obligation of The Grantee agrees that the Department may de-obligate unexpended
Federal and State funds before Project c[oseouf.
Section �' Accounting Records.
o. 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.
_ . Documentation of Project 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, ooOtn9ota, or vouchers eVidenning in detail the nmtu' na and propriety of the charges, as
referenced in 2 C.F.R. 200` "Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards"
C. Allowable Costs,. Expenditures made by the Grantee shall bereimbursed ao allowable costs tothe
extent they meet all of the requirements set forth below. They must be:
(1) CnOeistenf� with the Project Description, p|ane, specifications, and Project Budget and e||,
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 Granfeo, i.e., the price paid minus any refunds (e.g., refundable sales
and use taxes pursuant tVN.C.G.S. 1O5-164.14}. rebates, or other items of value received
by the Grantee that have the effect of re dUoinQ the cost actually incurred;
/5> Incurred (and bo for vvmrkpe� within
of this Agreement unless specific authorization from the Department to the contrary is
received;
KB Satisfactorily documented;
(7) Treated uniformly and consistently under accounting principles and procedures approved or
prescribed bv the Department; and
(8) In compliance with U.G. [)[]T regulations pertaining to m||ovvab|e costs in 2 C�FR. 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-profif organization.
Section 9. Reporting, Record Retention, and Access.
a. . Reports* The Gra ' ntee 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 maybe deemed necessary by the Department. Reportsshall
include narrative and financial statements of sufficient substance to be in conformefnce with the
reporting requirements of the Department. reports throughout the useful life of the project
equipment shall be used, in part to document utilization of the project nqUipnnent. Foi|uretofully
u�|izethe project equipmentinthennaOnerdirectedbythnDapadnnentsha||cVDet�uteabnaachof
contract, and after written notification by the Department, may result in termination of the
Agreement or any such remedy aa the Department deems appropriate.
Non-Governmental Grantees:
05127/2015 Page IOof37
M> |n accordance with 2C.F.R. Part 2OO.5O0 Subpart F—Audit Requirements (Formerly
(]MH Circular A-133), N.{|.G.S. 143C'6' "NoO-5tate Entities Receiving State Funda".
and Title 9 North Carolina Administrative Code (N.C.A.C] Subchapter 3M (09 NCAC
. Non-Governmental Grantees shall comply with all rules and reporting
requirements established by statute or administrative [V|eo. 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
financial assistance in an amount less than twenty-five thousand dollars
($25'000) within its fiscal year.
� Level 11 —A recipient oraubnao|pient that receives, holds, uses, or expends State
financial assistance inan amount ofmt least twenty-five thousand ($25,OO[) o[
`
greater, but less than five hundred thousand dollars ($500,000) within its fiscal
� Level III —A recipient orsUbnacipinnt that receives, holds, uses, V[expends
State financial assistance in an amount equal to or greater than five hundred
thousand dollars /$5OO.00O\ within its fiscal year.
(2) Department-established reporting requirements for non-governmental Grantees shall
meet the following reporting standards oOan annual basis:
1 All recipients orsubrenipients shall provide a certification that State financial
assistance received or held was used for the purposes for which it was awarded.
2 All recipients oraubrecipieRta shall provide an accounting of all State financial
assistance received, held, used, orexpended.
3 Level || and III recipients oreuUreoip|ents shall report oO activities and
accomplishments undertaken by the recipient, including reporting on any
performance measures established in the contract.
4 Love] ||| recipients nruub[ecipients shall have o single or program-specific audit
prepared and completed in accordance with Generally Accepted Government
Auditing Standards, also known ms the Yellow Book,
(3) AUrepo�oshall be�/edvvi1h the disbursing agency in the format and nOethod
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:
/5\ The Grantee agrees to 0ekm avail able and naqu|na its 6uUGnnnteeatn make
available audit work papers in the possession of any auditor to the Department or
other federal or state agencies eorequested.
'(0) Department-established reporting requirements to meet the standards set forth in
Paragraph (i) of this Rule shall be specified in e�oh Grantee's contract.
vv
(7) Unless prohibited by|a. the costs ofaudits nnod�in accordance with the provisions of
this Rule shall be allowable charges to State and Federal awards. The charges may be
considered a direct cost oran allocated indirect cost, aa 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 foreperiodnffive/5\yeersfroonthedsdeoffinoipmyrneOttqtheBrantme.orUOU|aU
audit exceptions have been resolved, whichever is longer, in accordance with "Records Retention
and Disposition Schedule — Public Transportation Systems and Authorities, April 1' 2006." at:
05/27/2015 Page II u[37
d.- , Access to Records of Grantee and SubGrantees. The Grantee shall permit and shall require its
third party contractors to permit the Department, the Comptroller General of the United States, and the
Secretary of the United States Department of Transportation, or their authorized representatives, to
inspect all work, materials, payrolls, and other data and records with regard to the Project, and to audit
the books, records, and accounts 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 to be unacceptable. The Grantee shall have ninety (90) days from notification to
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. Project 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 Reportinq 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. Proiecf 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 Vl 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.
05/2712015 Page 12 of 37
C. The Grantee agrees to comply, and assures the compliance of
each third party Grantee at any tier of the Project and each nuhrecipient at any tier of the
with all equal employment opportunity (EEO) provisions of 49 U.G.C. § 5332. with Title V1| of the
Civil Rights Act of1SO4. as amended, 42 U.S.C. 82UOUo mtonq.' and implementing Federal
regulations and any subsequent enoeDdnnenta thereto. Except to the extend FT/\ determines
otherwise in vvhtiDO' the recipient also agrees to follow all applicable Federal EEO directives that
may baissued, Accordingly:
/1> General, TbeGneDteeognaasthaditwi||Dotd/acri|niD8teagainatonyernp|oyeenrapp|icant
for employment because of race, color, nnaed, 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 raoe, 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;
[edea of pay or other forms of. compensation; and selection for training, including
apprenticeship.
/2\ Equal Employment OpportunitV Requirements for Construction Activities. For activities
determined by the U.S. Department of Labor (U.G. D{)[) to qualify as "construction," the
Grantee agrees to unrnp|y and assures the compliance of each third party Grantee at any,
tier oruUb[ecipleDtat any tier of the Project, wjtha||appUooh|eequa|ernp|oynnantopportunitv
requirements of U.S. DOL naQu/atinnn' "Office of Federal Contract Compliance P[ogranno,
Equal Employment Opportunity' Department ofLabor'"41 C.F.R. Parts GO ot.auq., vvh|nh
implement Executive Order No. 11240' "Equal Employment OppoduDitv'"es amended by
Executive Order No. 11375. "Amending Executive Order No. 11246 Relating to Equal
Employment OpportVnity'" 42 U.S.C. § 2000(e) Dota, and also with any Federal laws, regu/atiune.mnddi[ectivoaeffeotinQoonatruotioDuodeduhenoaportoftheProject.
d. Disadvantaged Business Enterprise '
(1) PoUcv. 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 oonnpo1m fairly for and to participate in the padbrnnonoe of contracts financed in whole or
in part bvFederal Funds. The Grantee ioalso encouraged to give every opportunity tn allow
DBE participation in Supp|enneUta|Agreements.
(2) Obligation. The Gnantee, suboonsuKont, and subcontractor shall not discriminate on the
basis of race, ra|i0ion, no|nr' national origin, age, disability or sex in the performance ofthis
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 tm
comply with these requirements isematerial breach nf this contract, which will n3sultinthe
termination of this contract or such other remedy, es 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 Unna the Letter of Interest iosubmitted,
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-/S. In the event the Grantee has no [)BE participation, the Grantee shall indicate this
on the Form DBE-IS by entering the word "None' or the numberzero' and the form shall be
signed. Form DBE-IS may be accessed on the vveboite.
/5\ 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 800eoaed by the link on the Department's honnepage or by entering
in the address bar of your web browser. Only
Grantees identified as OBE certified inthe Directory shall be listed in the proposal. The
listing of an individual Grantee in the OopartnneOƒu directory shall not be construed as on
endorsement of the Grantee's capability to perform certain work.
0512712015 Page I3of37
e.
t
(6) Reporting Disadvantaged Business Enterprise Participation. When payments are made to
Disadvantaged Business Enterprise (VBE) c,nsnzees. including material suppliers,
Grantees at all |ave|n (Grantee, 3UbCo0suUunt nrGubGranhae\ shall provide the Contract
Administrator with an accounting of said payments. The accounting shall be listed onthe
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 [)BE-|G by
entering the word'None'or the number'zero'and the form shall he signed. Form DBE-IS
may be accessed on the vvebsihaat:
A responsible fiscal officer of the payee Grantee, nubconoultoUdorGUbGrantoavVho can
at��stto the date and aO0ountsof the payn/entnshall cod�vthat the annountin8is correct. /\
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.
Age Discrimination. The Grantee agrees to comply with the Age Discrimination in-Employment Act
K\OEAl 28 U.S.C. Section 821 through 034 and with implementing U.O. Equal Employment
Opportunity Commission (U.S. EEOC\ regulations, "Age Discrimination in Employment Act," 29
C.F.R. Port 1625' which prohibits discrimination against individuals nn the basis of age.
Disabilities. Access for Individuals with The Grantee agrees to comply with 49 U.S.'C. § 5301 (d),
which states the Federal policy that elderly individuals and individuals with disabilities have the
same right as other individuals to use public transportation services and facilities, and that special
efforts shall be made in planning and designing -those services and facilities to implement
transportation accessibility rights for elderly individuals and individuals with disabilities. The
Grantee also agrees to comply with all applicable provisions of Section 504 of the, Rehabilitation
Act of1S73. as amended, with 29 U.S.C. G7A4. which prohibits discrimination on the basis of
disability; with the Americans with Disabilities Act nf1Q&D(ADA).as amended, 42U.8.C. §§12101
etaeq.. which requires that accessible facilities and services be mode available to individuals with
disabilities; and with the Architectural Barriers Act of1QG8'ao amended, 42U.S.C.G§4151otseq.,
which requires that buildin gs and pub/in accommodations be accessible to individuals with
disabilities. In addition, the Grantee eAroeo to comply with applicable Federal regulations and
directives and any subsequent amendments thereto, except to the extent the Department
dete[minesoƒheminein writing, aefoUomo:
/1\ U.S. DOT regulations, "Transportation Services for Individuals with Disabilities (ADA)," 48
C.F.R. Part 37;
i2\ U.S. DOT regulations, "Nondiscrimination on the Basis of Handicap in Programs and
Activities Receiving or Benefiting from Federal Financial Assistance," 49 C.F.R. Part 27;
/3\ Joint U.S. Architectural and Transportation Barriers Compliance Board (U.B./\TBCB)/U.G.
DOT regulations, "Americans With Disabilities (ADA) Accessibility Specifications for
Transportation Vehicles," 36 C.F.R. Pad 1192 and 49 C.F.R. Part 38;
/4\ U.S. DOJ regulations, "Nondiscrimination on the Basis of Disability in State and Local
Government Oen/icex'"28 C.F.R. Part 35;
/5\ U.G. OOJ regulations, "Nondiscrimination on the Basis of Disability by Public
Accommodations and iO Commercial Feo||i1iaa,"28C.F.R. Part 38;
/O\ U.S. General Gnrviooa Administration (U.S. GSA) nsgu|nt|oDe. "Accommodations for -the
Physically Hondioopped."41C.F.R. Subpart 1O1'1S;
/7l U.O. 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.G. Federal Cnrnonuniuobono Commission regulations, "Telecommunications Relay
Services and Related Custorner Premises Equipment forthe Hearing and Speech Disabled,"
47C.F.R. Part O4. Subpart F;and
(8) U.G. ATBCB regulations, "Electronic and Information Technology Accessibility Standards,"
36C.F.R. Part 11Q4;
(1[) FTA regulations, "Transportation for Elderly and Handicapped Persons," 49 C.F.R. Part 609;
and
05/27/2015 Page I4uf 37
(11) Federal civil rights and nondiscrimination directives implem enting the foregoing regulations.
O. To 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.S.C. §§ 1101 m/eeq'' with the
Comprehensive Alcohol Abuse and /Vooho||nnn Prevention, Tnaotnlant and Rehabilitation Act of
107O.aa amended, 42U.S.C. §§4541 etoeq., and with the Public Health Service Act of1912.qx
amended, 42U.O.C.§§2U1dd-2SOdd-2st seq. and any subsequent amendments tn these acts. Access to Services for Persons with Limited English Proficiency. To h x± applicable d
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) Beneficiari'es," 70Fed. Reg. 74087 et seq., December 14, 2005.
�'
iEnvironmental 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 dctn[Dlinwx
otherwise in writing.
Other Nondiscrimination Laws. The Grantee agrees to uon?ply with all applicable provisions of
other Federal laws, regulations, and directives pe�aiDingtnand prohibiting discrimination that are
applicable, except to the extent the Department determines otherwise in writing.
Section 12. Planning d Private En!2rprlise.
m. General. To the extent applicable, the Grantee agrees to implement the Project iOemanner
consistent with the plans developed |n compliance with the Federal okanninQand private enterprise
provisions nf the following:
(1) 49 U.S.C. Chapter 53;
C8 Joint Federal Highway Administration /F document,
"|Otehnn 'Guidance for Implementing Key SAFETEArLU Provisions on Planning,
Environment, and Air Quality for Joint FHWA/FTA Authorities," dated September 2, 2.005, as
amended by joint FHV&A/FTA guidance, "8AFETEA-LU Deadline for New Planning
Requirements (July 1, 2007)," dated May 2, 2006 [clarifying Guidance on Implementation of
8AFETEArLU Planning Provisions], and subsequent Federal directives implementing
OAFETEA-LU. except to the extent FTA determines otherwise iUwriting;
/3\
Joint FH\8A/FT7\ regulations, "Planning Assistance and Stendanjo'^'23C.F.R. Part 450
and 49 C.F.R. Part 613 to the extent that those regulations are consistentwith the
SAFETEA-LU amendments to public transportation planning and private enterprise laws,
and subsequent amendments * to those regu|mUonsthat Doayhopozrnu|geted;and
(4) FTAreQV|ationo. "Major Capito/ 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 NonemergencV Transportation. In addition
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.
G. Infrastructure Investment. During the implementation of the Project, 1heGroOteoagramsfotake
into consjdenatio'D the recommendations of Executive Order No. 12803, "Infrastructure
Privatization," 31 U.G.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
05/27/2015 Page l5oF37
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 BAFETEA-LU provisions, except to the extent that FTA nrthe'
Department determines otherwise in writing.
b. . The Grantee agrees to comply with
U.G. K8mr|bnne Administration regulations, "Cargo Preference-U.S.-Flag Vessels," 46 C1.[{.
Part 381.to the extent those regulations apply to the Project. `
C. 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 avmi|ab|e, in accordance with the requirements of the
International Air Transportation Fair Competitive Practices Act of 1974, as amended, 49 U.S.C.
840118. and with U.G. G88 [egO|e1iona. "Use of United States Reg Air Carriers," 41 C.F.R.
§§3O1-1U.131 through 3O1-1O.143.
Section 14. To the extent applicable, the Grantee agrees
to comply with the following third party procurement provisions:
e. Statutory and RegulatorV Standards. The Grantee shall establish written procurement procedures
that comply with the required Federal and State standards as found on the Department's website:
.
The Grantee agrees to comply with the third pmdv procurement requirements with 2 C.F.R. 200.
"Uniform Administrative F<eqoiFoDlenta, Cont Principles, and Audit Requirements for Federal
Ave(rda" (replaces 4QC.F.F{.18 and 1g. effective December 2O.2O14\;49U.S.C. Chapter 53,as
amended by FAST Act; FTA'u Master Agreement, FTA ; and other applicable Federal laws
'
in effect now oroo subsequently enacted; and other applicable Federal regulations pertaining to
third party procurements and subsequent amen drn e nts'thereto, to the extent those regulations are
consistent with SAFETEA-LU provisions and N.C.G.8. 143 Article 8. The Grantee also agrees to
comply with the provisions of FTA' Circular 4220.1F' "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 tnbeperformed.
b. Full and Open Competition. |n accordance with 4SU.8.C.05325(u), the Grantee agrees toconduct
'
all procurement transactions in a manner that provides full and open competition as determined by
the Department and FTA.
C. Exclusionary or DiscriminatbrV Specifications. Apart from inconsistent requirements imposed by
Federal laws or regulations, the Grantee uQnsea to comply with the requirements of 49 U.S.0 §
5325(h) by not using any Federal assistance awarded by FTA to support procurement using.
exclusionary nr discriminatory specifications.
d. Geographic Restrictions. In accordance with N'C.G.G. 143 Article 3O. the Grantee agrees that it
will not use any State o[ local geographic preference, except State o[ local geographic preferences
expressly mandated or as permitted by FTA. 8ovvovor, for example, in procuring architectural,
engineering' or related services, the Grantee's geographic location may be ase|eotion oriterion,
provided that a sufficient number of qualified firms are eligible to compete.
e. . The Grantee agrees that in accordance with 4BU.8.C.85325/0,
any State law requiring buses to be purchased through in-.State dealers will not apply to purchases
of vehicles acquired with funding authorized under 4QU.S.C. Chapter 53.
05/27%2015 Page I0of]7
f. Neutrality in Labor Relations. Tn the extent permitted bvlaw, the Grantee agrees to comply with
Executive Order No. 13502. "Use of Project Labor Agreements (PLA) for Federal ConetruoUnn
Projects", February 0, 2009' 74 Fed. Reg. 6085 etseq. As e naeUlt. the Recipient is no longer
prohibited from requiring anafO|iotion\witho labor organization, such asa project |mboragnse[noDt.
as o 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 inwriting.
Q. . State, |oce|' or nonprofit Recipients may not use Federal Supply
Schedules to acquire federally assisted property or services except to the extent permitted by U.S.
G38, U.S. DOT' or FTA |axYo, 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 iD force account costs.
i. Onit the Oepu�mentto 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, nr 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 (Cudsowmy-tVpeBu:).
CU Drawings, designs, and/or description of work for construction, renovation, or facility
improvement pr 'eoto.ino|udingthepUrchaseoroonatructionofbussha|tero,
j. Department Pre-award Approval, The Grantee agrees to submit procurement documents, including
the Procurement CheoNist, to the Department for its review and approval prior to award of e
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 Venn; and Light Transit Vehicles (Cutaway-type Bus) not available on PTD
State contracts. .
(2) All specOhoebonn, d[avVinga, p/onu, and/or description of work required for all construction.
renovation, facility improvement or related type projects;
(3) All construction projects equal toor greater ƒhan'$30,0O0;
(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 greeter than
$3.500|$2'000 if itism construction related project
/O\ Any procurement equal ton[ greater than $SU.000;
(7) Any contract modification that would change the scope of.a contract or increase the contract
amount uptoor over the formal (oee|od) bid threshold of$0O'OOO.
/8\ All |noa| procurements over Q3'500 using grant funds, federal and/or state must submit o
Procurement Checklist with claim tobe eligible for reimbursement
k. Except fnLhe extent the Department determines
otherwise in writing, the Grantee agrees that the Department's mvvand of Federal and State
assistance for the Project domsnot.byitse|f,ronstitutnpna-opp[ova|ofmnynon-nonnpetitiVeth(rd
party contract associated with the Project.
|. Preference for Recycled Products. To the extent applicable, the Grantee aQnaeo to comply with
U.S. EPA regulations, "Comprehensive PnooU[ernant Guidelines for Products Containing
Recovered Materials'; 40 C.F.R. Part 247' which implements Section 6002 of the Roxnu[oe
Conservation and Recovery Act, as amended; 42 U.S.C. � 8 G8U2; and with subsequent Federal
/
regulations that may bepromulgated. 'Accordingly, the Grantee agrees to provide a competitive
preference-for products and oen/ioeo that conserve natural resources, protect the env1roOnOent,
and are energy efficient.
rn. Clean Air and Clean Water. The Grantee agrees to include in each third party contract and
suheAreeDlentexoeeding $100.000 adequate provisions to ensure that each Project participant
will agree to report the use of facilities'p faced 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
05/27/2015 Page l7of37
a
I
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. §7GO0' and other applicable
provisions of the Clean Air Act, ao amended, 42U.8.C, §74O1 through 7871q; and
(2) Section 508 of the Clean Water Act' as amended, 33 U.G.C. § 1308, and other applicable
requirements of the Clean Water Act, as amended, 33 U.G.C. 0 1251 through 1377.
Standards. National Intelligent Transportation SVstems Architecture and To the extent applicable,
the Grantee agrees to conform to the National Intelligent Transportation Systems (ITS) Architecture
and Standards as required by8AFETEA-LU 0 5307(d, 23 U.S.C. 8 512 note' and comply with
FT7\ Notice, ''FTA National ITS Architecture Policy on Transit Projects" 66 Fed. Reg. 1455 etsaq.'
January 8, 2001, and any subsequent further implementing directives, except to the extent FTA or
the Department determines otherwise inwriting.
Rolling Stoc . |n acquiring rolling stock, the Grantee agrees mofollows:
/1\ Method of Acquisition. The Department's Public Transportation Division, through the North
Carolina Department of Administration, Purchase end Contract UiviaioD, awards vehicle
contracts for its grant recipients fo 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 |D the Approved Budget for this Project. For public
transit vehicles not included in those contracts, the Grantee shall conduct a competitive
procurement process in accordance with this Agreement.
(2) . 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 tile original
contract, tn purchase additional rolling stock and replacement parts.
(3)� The Grantee agrees to comply with the
requirements of 49 U.S.C. § 5323(m) and FT7\regulations, "Pre-Award and Post-Delivery
Audits of Rolling Stook Purchases," 49 C.F.R. Pert 003 and, when promulgated, any
amendments to those regulations. The Grantee understands and agrees that to the extent
the provisions of48U.G.C.§5323(m),Gn amended by the FAST Act, K8/\P-21o[8AFETEA-
LUoonflirtwithFTA^simp|ementingnagu|otiona.aaourpent|yprorno|gated'theprovimionanf
4QU.S.C.G5323/nn\,aa 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[eQu|aUoDs' "Bus TesUng,''4D C.F.R. Part 665, and any
amendments to those regulations that may bepromulgated.
Bonding. For construction projects, thaG|anteemgroeotuprovidebid'guansnteebond(5Y6ofbid
price) and performance-and payment bonds U00% of contract price) and comply with any other
construction bonding provisions oa the Department may determine.
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.E).S. 143-64.31-34. and requirements set forth inFTA Circular 422O.|Fms
amended, to fatain a qualified, registered architect orprofessional engineer:
(1) The Grantee egrmoo to comply with qualifications-based competitive proposal procedures,
which require:
/eA An ofharor'squa|ihnetionn be evaluated;
(6) Good faith effort to use minority-owned businesses;
/u\ Price be excluded aaan evaluation factor;
(d) Negotiations ba 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 qfferor whose
price ia fair and reasonable.
(2) Geographic |uosdion may be u selection nh1ohon in procurements for architectural and
engineering (4&E) services provided its application leaves an appropriate number of
qualified firms, given the nature and size Vf the project, tocornpntefortherontract.
05/27/2016 Page l8u[37
[
.�
t
(3) The Grantee acknowledges and agrees that qualifications-based competitive>roposa
procedures can only be used for procurement of the following services:
(a) Program nnanagenlen1;
8d Construction management;
(c) Feasibility studies; and
k8 Preliminary engineering, design, orchitoctU/a'eDg , surveying, rnapp|ng'and
related services.
(4) The Grantee also ag[oosto:
kA Include applicable Federal requirements and certifications in the solicitation;
/LA Submit procurement documents to the Department for its review and approval prior
fo the award of any contract for A&E services for the Project; and
(6 Maintain written documentation to support each step of the procurement process.
Design-Bid-Build Proiects. The Design-Bid-Build method Of oonotructino 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 denign-bid-bUi/d procurements to implement its projects aftecithmsoonnp|ied
with applicable Federal and State requirements and obtains approval from the Department prior to
solicitation and award of the contract.
.TheOenign-BuUdnnsdhodofonnsirUttioninvvhernosing|eBnanteeingiveD
responsibility for both design and oonntruotio' , thus eliminating �n intermediate �nonunannentotep
with possible time saving, and more effective coordination and opportunities for cost savings.
Current|y, this procurement method in nof an a|/ovvah|e method of procurement by the State of
North Carolina. The Grantee may r6'uest to use the design-build method as an "alternate" method.
Sub[niss|on of justification must be pre sented to the State Building Commission fora 213-majority
vote of apprnYa|. One of-the drawbacks of design-build is that the owner dons not have an
independent source (the /VE in traditional construction) overseeing design implementation and
verifying conformance with the drawings and specifications.
Competitive Proposal/Request for Proposal . The competitive proposal/ request for proposal
/RFP\ method of procurement is normally conducted with more than one source submitting an
offer, i.e., pnopnsa|. 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
bidn. 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 GraOtee8gnees that the RFP Method may not be used in lieu of an invitation for bids.
UFEAfoc
kd ConstnuuboOlrepairvvork; or
/h\ Purchase of apparatus, supplies, materials orequipment, See Subsection 14ti2\.nf
this /\D[eenoent. 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. 147-33.01(2)]. This
app|ieo to e|eot|onic 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 o[ 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. 143-120.8]:
/a0 Notice' of the request for proposals shall be given in accordance with N.C.G.,S. 143
12Q(b).
/h\ ContractauhaUbeew/ardedtotheperooOoreDhtvthotsUbrnitethebeotovena||
proposal ea determined by the awarding authority. Factors tobe considered /n
awarding contracts shall bm identified in the request for proposals.
/d The Grantee may use procurement methods set forth in N.C.G.S. 143-135.8 in
developing and evaluating requests for proposals.
05/27/2015 Page }9of37
LE
V.
(d) The Grantee may negotiate with any proposer in order to obtain a final contract that
best meets the needs of the Grantee.
kA 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; en d 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.
AD Proposals submitted shall not be subject to public inspection until m contract is
awarded.
CB The Grantee agrees that the RFP mothod, in accordance with FlA Circular 4220.117 as
mcnended. under the guidelines of FTA "Bost 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, enQinoering, desigD, 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 beused;
/c\ Generally used when conditions are not appropriate for use of sealed bids;
(d) Requests for proposals will bepublicized;
/cA All evaluation factors will be identified along with their relative importance;
Ai Proposals will be solicited from an adequate number (3 is recommended) of qualified
sources;
kb /\ standard method must be in place for conducting bnnhnioo| evaluations of the
proposals received and for selecting evvonjees;
(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 |a most advantageous, the Grantee may award to the
proposer whose proposal offer 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 perfornnmDne, where quality is considered an integral
performance factor.
Bidder. Award to Other than the Lowest In accordance with Federal and State statutes, athipd
party contract may be awarded to other than the |nYvost bidder, if the award furthers an objective
(such as improved long-term operating efficiency and lower long-term costs). When specified in
bidding dooUnnonts, tantnco such an discounts, transportation costs. and life cycle costs will be
considered in determining which bid is lowest. . Prior to -the award of any conftact equal to or greater
than $3,500 ($2'000 for construction-related projects) to other than appeKsDL 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 tm award third party contracts only to
responejb|e(�nanteeavvho possess potential ability tosucoesafUOype�ornn under the terms and
oonditionaof the proposed procurement according tmN.C.G.O.143-12Q. Consideration will be
given to such matters as Grantee integdty, compliance with public policy, record of past
performance, and financial and technical resources. Contracts will not be awarded to,parties that
are debarned, suspended, or otherwise excluded from or ineligible for participation in Federal
assis ' tance programs or activities in accordance with the Federal debarment and suspension rule,
49C.F.R.29. For procurements over $25,UOO. 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
05/27/2015 Page 3Oof37
projects. over $25,000, Which are funded in part with Federal funds. A sample certification form
can he obtained from the Department. The Grantee also agrees to check potential Grantee's
debarment/suspension status ut the Federal vvebsite:
https:/Iwww.dol.govlofccp/regs`/compliance/preaward/debarist.hfm and the State bi
W. 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 uf the contract award for such goods or services; and
(2) Express the said amount aam percentage of the total costs of the planned acquisition.
X. Contract Administration System. The Grantee shall maintain ocontract, administration system that
ensures that Grantoeo/SVbG[anteen perform in accordance with the terms, conditions' and
specifications of their contracts or purchase orders,
y. Access to Third Party Contract Records. The Grantee agrees, and agrees to require its third party
Grantees and third podv GUbGnanteeo, at as many tiers of the Project as [equired, 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 43 U.G.C. 8 5325(o), and retain such
documents for at least five (5) years after project completion.
Section 16.
a. Capital Leases. To the extent bletheGranteeagreestocomply with FTAregulations,
"Capital Lemsns."4QC£R. Part O30. and any revision thereto.
b. Leases Involvinn 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 o cost
analysis will be presented to evaluate the terms and conditions prior to entering into any lease
Section 16. Hold Harmless. Except as prohibited or otherwise limited by State law V[except to the
extent that FTA or the Department determines otherwise in writing,'upon request by the Federal or State
Government, the Grantee ognaee 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, Vr right ofprivacy, arising out nf the publication, translation, naproduntion.'
de|ivary, use, or disposition of any data furnished under the Project. The Grantee ahoU not be required
to indemnify the Federal or State Government for any Such liability caused by the wrongful acts of Federal
or State employees oragents.
Section 17. Use.of Real Property, Eguipment, and Supplies. The Grantee understands and agrees
that the Federal/State Government retains o FederoV8tate 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 FedenaK8tate interestinthotProject p[o| erty. With respect
to any Project propedvfinancedVVithFedere|/Statoass|otanneunderthisAoneeromnt,theGranteeeQrees
to comply with the following provisions, except tn the extent FT&nr the Department determines otherwise
in writing:
a. Use of Project Property. The Grantee agrees to maintain continuing control of the use ofProject
property to the extent satisfactory to Fl7\. 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 ofthe useful life of that property, an required byFTAnr the Department.
Should the Grantee unreasonably delay or fall to use Project propedvduringtheuseful|ifeofthat
05/27/2815 Page ZIo[37
propprty, the Grantee agrees that it may borequired to return the entire amount of the Federal and
State assistance expeOdedon that property. The Grantee further agrees to notify the Department
immediately when any Project propedvksvvithd[avVDfronnProjectUneorvvheneOyProject property
is used in o manner substantially different from the representations the Grantee his made in its
Application o[in the Project DescdptionforthioAgreernentfortheProject. /n turn, the Department
shall be responsible for notifying FT7\.
b. General. TheGnanteeogreentonomp|ywiththepropertvnnonagernmDtotandardeof49C.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 of48C.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, aa set forth in Subsection 17i of this Agreement,
c. � Th�Gnantee
shall maintain all project equipment at o high level of cleanliness, safetv, and nnechmD/oa|
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 0ran electronic version ofsame. The Department shall conduct frequent
inspections to confirm proper maintenance pursuant to this Subsection 17G of this Agreement
and the State Management Plan. The Grantee shall collect and submit tm 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 (PTMG).
The Grantee shall maintain the facility, including any and all equipment installed into or added on
to the facility on part of the Project, iDgoodnperotingordorondatahighiave|ofc|eun|inesa.00fety
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 port 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 pod 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 vvasdesigned. The Grantee shall make every effort toaccommodate such
inspections by the Department in accordance with the Department's desired schedule for such
inspections. The Grantee ahoU collect and submit tothe 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, po|ioies, pronedures, purchase orders, bills of sale, internal work orders
and ainni|e[ 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� . The Grantee agrees to keep satisfactory records pertaining tothe use ofProject
property, and submit to the Department upon.request such information as may be required to
assure compliance With this Subsection 17of this Agreement.
n. 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. Aa authorized hv49U.G.C.85323(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 ifthe:
6J Incidental use does not interfere with the Grantee's Project orpub|iotranoportoton
operations;
(b) Grantee fully recaptures all costs related to the incidental use from the non-transit
public entity orprivate entity;
0512712015 Page 32u[37
� Gm������nu����ed�nm�ein��m�|use �������r
planning, capital, and operating expenses that are incurred in providing public
transportation; and;
(d) Private entities pay all applicable excise taxes onfuel.
t Title to Vehicles. The Certificate of Title to all vehicles purchased under the Approved Budget for
this Project ahe||be in the name uf the Grantee. The Department's Public Transportation Division
shall he recorded nn the Certificate of Title ao first |ieD-ho|dcr. In the event of project termination
or breach of contract provisions, the'Gnantee shall, upon written notification by the Department,
surrender Project equiprnentand/orl[aOsfertheCertifiomte(s)ofTit|eforPr 'eoteqUipnnenttothe
Department or the Department's designee.
g. Encumbrance of Project Property. The Grantee to maintain satisfactory continuing
pontrol of Project property as follows:
/1\ The Grant e-e 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 cross border lease, leveraged
|aase, 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 propedv.
(2) ' Transactions. The Grantee agrees that it will not obligate itself |D any manner tnany
third party with respect to Project p[opedv. _
(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. The Grantee understands and agrees asfollows:
(1) Request. The Grantee may transfer any Project property financed vvith Federal
assistance authorized under 49 U.S.C. chapter 53 to o 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 nf49U.S.C.085334(h)(1) through 5334(h)(3).
(Z) 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 propedvfinoncedwithFedens|/8tateeanietanoeunderthis/\gnsonlent.
(3)
/eA General. Prior toentehnginto any third party contract for leasing Project propedvto
another party, the Grantee agrees to obtain approval from the Department. If the
Grantee leases any Project propedvtuenothe[padx,theGnanteeagnaeetnretain
ownership of the leased Project property'andasoU[ethetthe|eeseeviUusefha
Project property appropriately, through a written lease between the Grantee and
lessee. The Grantee agrees to use the standard lease agreement form provided by
theDepmrtrnentandtbpPoV|deacopynftheoiUned.exeoUted|eaaaagreerneMttnthe
Department. |n accordance with Subsection 5eof this Agreement, regardless of
assignment of work to be completed under this P ject or lease of"ProjeGt aeoebstoe
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 .The|easenfvmhir|enecqubadvith�nencie|asaistaDceauthohzed
for 48 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 0ann|ine' upon approval
of the Department. /tis also allowable for vehicles tobe|e �sed1nathirdpadvoperator
or transportation management company that operates the transit service within 8
county/regio'n 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 booia' to another Community
Transportation System ora management company. The Grantee agrees to obtain
05/27/2015 Page Z]nf37
written approval from the Department before the lease is executed and forward a copy
of the signed, executed /naaa agreement to the Department. The GcaDtae, on 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
vehio(e/s> will generally heused. tn provide service that im"dosed-door."ie., not open
to the general public.
Disposition of Project . With prior Department approval, the Grantee may sell, transfer,
or lease Project property and use the proceeds to reduce the gross p jeotnostofofhere|iQib|e
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 propedxond
that the E)oaOtoe will use Project property continuously and appropriately throughout the useful
life ofthatproperty. Upon the end of the period of useful life, the Grantee may dispose ofProject
property after notifying and receiving disposition instructions from the Department.
(1) Project Property Whose Useful Life Has Expired. When the useful life of Project propeds
has expired, the Grantee agrees to comply with the Department's disposition requirements.
(2) . For Project property withdrawn from
appropriate use before its useful life has expired, the Grantee agrees asfollows:
/o\ . The Grantee agrees to notify the Department immediately
when any Project prnpedvispremmture|ywithdrmvvOfroOnapprnpriatnqse'vVhsdherbv
planned withdrawal, noiouaa, or casualty loss.
/h\ Calculating the Fair Market Value of Prematurely Withdrawn Project Propert . Th&
Grantee agrees that the RadocmKGtabe Government retains a Federal/State interest in,
the fair market value of Project prnpedvpn*rnotuna|yvvithdravvnfrunOappPophateuoe.
The amount of the Federal/State interest iO the Project propedvsho||bedete[nnined
by the ratio of the Federal/State assistance awarded for the property tothe actual cost
of the property. The Grantee agrees that the fair market value of Project property
prematurely withdrawn from use VWU be calculated as follows:
1. The Grantee agrees that the hni[ market value of
Project equipment and supplies shall be calculated by straight-line depreciation
of that pnnpedx, based on the useful life of the equipment or supplies an
established by the Department. The fair market value of Project equipnlontand
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 nrdamaged by fire, ceoue|tv' orDotOro|
disomter, the fair market value shall be cm|nU|eted on the basis of the condition
of that equipment or supplies immediately before the fire, neuuu|ty' or Dedu[o|
disaster, or the amount of insurance coverage, whichever ingreater.
2. Real PropertV. The Grantee agrees that the fair market Value of real property
financed under the Project shall be determined by FTy\ either on the basis of
competent appraisal based on an appropriate date approved byFTA' an
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 FIA on the
basis of appraisal, or other Federal law or regulation.s that ma"y be applicable.
8. Exceptional Circumstances. The Grantee agrees that the Department may
require the use of another method to determine the fair market value ofProject
property. In unusual circumstances, the Grantee may request that another
reasonable valuation method be used |nn/uding, but not limited to, accelerated
depreciation, comparable sa|as, or established market values. In determining
whether to approve such a naqUnst. the Department may consider any action
tmheo^ omission made, or unfortunate Occurrence suffered by the Grantee with
respect tn the preservation of Project pnopedxwithdravvnfronnoppnopriatauna.
(o) , The Grantee agrees turemit
05/2712015 Page 24u[37
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
ba responsible to remit the Federal interest to the FTA. |n the case of fire, casualty,
or natural disaster, the Grantee may fulfill its obligations to remit the Federal and State
interest byeither:
1. Investing on amount equal tothe remaining Federal and State interest in like-
kind property that is eligible for assistance within the scope of the P jec[that
provided FederaVBtate assistance for the Project pnopedvpnanoatunn|y
withdrawn from use; or
2 Returning tu the Depa�mentanannnuDt equal tn the remaining Federal and
State interest in the withdrawn Project property.
j. Insurance Proceeds. If the Grantee [oneiVoo insurance proceeds as e result of damage or
destruction to the Project pFoperty,theGranteeaQFeeoto:
(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 1othe remaining Federal and State Interest in
the damaged or destroyed Project propertv.
k. . The Grantee agrees to comply with applicable requirements
of U.G. Pipeline and Hazardous Materials Safety Administration regulations, "Shippers - Gene/a|
Requirements for Shipments and Packaging," 49 C.F.R. Pad 173' in connection with the
transportation of any hazardous materials.
|. Misused or Damaged Project Propert . 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 inthat
property, ms the Department may require.
M. Responsibilities after Proiect Closeout. The Grantee agrees that Project closeout by the
DepadnneDt will not change the Grantee's Project propertvcnanagomentrenponsibi/itiesas stated
in Section 14 of this Aonaernmnt' and as may be oat forth in subsequent Federal and State laws,
regulations, and directives, except to the extent the Department determines otherwise in writing.
Section 18. InsuranGe, The Grantee shall be responsible for protecting the state and/or federal financial
interest in the facility constructio n1ren ovation and equipment purchased under this Agreement throughout
the useful life. The Grantee shall prov|de, ao frequently and in such manner ax the Department may
require, written documentation thot the facility and equipment are insured against loss in an amount equal
to or greater than the state and/or federal share of the ree| value of the facility or equipment. Fo||una 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 aofollows:
o. Minimum Requirements. At a nniDiDnurn' the Grantee agrees to onrnp|y with the insurance
requirements normally imposed by North Carolina State and !noe| /amm, regU|otions, 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 D|aes1or Protection /\ct of 1973` 42 U.S.C. §
4012o(a)' with respect to any Project activity involving construction or an acquisition having an
insurable cost of$1O.0OOnrmore.
Section 19. Relocation. When relocation of individuals orbusinesses is required, the Grantee agrees
as follows:
a. Relocation Protections. The Grantee agrees to comply with 4QU.G.C.05324(a), which requires
compliance with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of
1870. an amended, 42 U.S.C. 8§ 4601 etoeq.; and U.S. DOT Ragu|adioon. "Uniform Relocation
Assistance and Real Property Acquisition for Federal and Federally Assisted Programs," 49 C.F.R.
Port 24' which provide for fair and equitable treatment of persons. displaced and peusohs whose
property is acquired as e result ofFederal and federally assisted programs. [See' new U.G. DOT
06/27/2015 Page 25of37
final rule, "Uniform Relocation Assistance and Real Property Acquisition for Federal and Fe dana|k/
Assisted Programs," 49 C.F.R. Part 24, at 70 Fed. Fem. 500 otooq, 2005.] Jmnuery4' 2OO�Theso
requirements apply to relocation in connection vvlth all interests in naa| 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 noqVi[ecOoOts for individuals, the Grantee agrees
to comply with Title VIII ofthe Civil Rights Act of 1968, as amended, 42 U.S.C. §§ 3601 etaeq.'
and with Executive Order No. 12892, "Leadership and Coordination of Fair Housing in Federal
Programs: Affirmatively Furthering Fair Housing.''42U.S.C. §36O8note.
c. . |V undertaking construction or rehabilitation of
residential structures on behalf ofindividuals affected by real property acquisition in connection
with implementing the Project, tUeGrunhaeegrecothatitvvi||notume|ead-baaedpmint.00nsiotont
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 inCertain Residential Structures."
Smo1no3O. Real Property. For real property acquired with Federal assistance, the Grantee agrees oa
follows:
e. Land Acquisition. The Grantee agrees to comply with 49 U.S.C. � 5324(a), which requires
oornp|iaDum with the UOhbnn Re|onu1|oD Assistance and Real Property Acquisition Policies Act of
1Q7O.aaoDneUded.42U.G.<�. §§40O1atneq.; and Vv�hU.G.D(lT regulations, "Uniform Relocation
Assistance and Real Property Acquisition for Federal and Federally Assisted Programs," 49 C. F.R.
Part 24. [Gee. 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 at
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 nfthe
oaa| property acquired for the Project t000surenbndiscrirninat|onduringtheuoufU!Ufeofthe
Project.
C, Recordinq Title to Real Property. 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 end/oFexecuteed-thereqUeatoftheDapertrDen[anyinmtrunneDtVrducurnento
evidencing o[ related tothe State's interest in the Project' o property.
U\.. Aso condition of its participation ina Facility Project, theDepartnnontvi||retainasecurod
interest in the Project for the estimated life of the Project, expected tobe forty (4O)years,
following completion of the Project; or the prorated share of the original investment or
current fair market value (the higher value uf the two); whichever comes first.
e. Department Approval of Changes in Real PropertV 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 vv[ittaD permission and instructions from the
Department.
— Disposal of Real PropertV.
(1} |f useful life in not attai0ed,upoU the sale or disposition of any Project fecihh/theDepadnloDt
.aho|| be entitled toa refund ofthenri ina|otateand/orfodena|inveatnnmntorthesteteend/or
federal prorated oha.remf the current fair market value of the project feri|dv'vvhicheverie
greater.
C8 For the purpose of this Agreement, the term "any sale or disposition nf the Project tnni|itv"
shall mean any sale or disposition of the facility for a use not consistent with purposes for
which the state andfor federal share was original,ly 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.
0512712015 Page 2hof9?
SmoUom 21. Except to the -exhantthe Department determines
otherwise in writing, the Grantee agrees aafollows:
a. The Grantee agrees to
submit drawings, dooigna, and/o[ description of work for *znotnuobon, rAnovation, or facility
improvement projects, inc|udin8thepunchooeor000etnuctynnofbusohelterstntheOepertD)entfbr
its review and approval prior tosolicitation.
b. . The Grantee agrees ƒo record and report Minority-owned BUsinaaa
good faith efforts in accordance with N.C.E).G. 143-128.2(O.
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 vvoFh
conforms tu the approved plans and specifications.
d. Construction Reports. The Grantee agrees to provide progress reports and other data and
information na may be required by the Department.
o. 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 &1anmgernent[)vnrsiQbtrngu/a1ionsFTAmayissUe.
t Seismic Safety, The Grantee agrees to comply with the Earthquake Hazards Reduction /\uf of
1977, as amended. 42 U.S.C. §§ 7701 etsnq.. with Executive Order No. 12099. "Seismic Safety
of Federal and Federally-Assisted or Regulated New Building Construction," 42 U.S.0 § 7704
note, and with U.S. DOT regulations, "Seismic Ga#stv'''4QCF.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 nf each third
party Grantee and each subrmcipienƒ at any tier of the Project, with the following lams and
regulations providing protections for construction employees:
(1\ , as amended, 48 U.S. ' C. § 5333/a\, which requires uonnp|ioncevvifhthe
Davis-Bacon /\ct,4OU.G.C.§§3141atoeq.' and implementing U.G.O[}L regulations, "Labor
Standards Provisions Applicable to Contracts Governing Federally Financed and Assisted
Construction /o|oo Labor Standards Provisions Applicable to Nonoonntruction Gontreoto
Subject to the Contract Work Hours and Safety Standards 8cd'''20C.F.R. Part 5;
(2) Contract Work Hours and Safety Standards Act, as amended, 40 U.G.C. §§J701 etseq.,
specifically, the wage and hour requirements of Section 1O2of that Act at 40 U.S.C. §37O2,
and implementing U.S. DDL regulations, "Labor Standards Provisions Applicable 10
Contracts Governing Federally Financed and Assisted Construction /o|ao Labor Standards
Provisions Applicable to Nonconstruction Contracts Subject to the Contract Work Hours and
Safety Standards AoM,"29 C.F.R. Part 5; and the safety requirements ofSection 1O7ofthat
Act at 40 U.G.C. 0 3704, and implementing U.G. DOL regulations, "Safety and Health
Regulations for Constructioo'"29CF.R. Part 1020;and
CD ' as amended, 18 U.S.C. § 874 and 4O U.S.C. Section 3145
and implementing U.S. OOL regulations, "Grantees and SubGnantaexon Public Building or
Public Work Financed in VVho|o or in part by Loans nr Grants from the United States," 29
G.F.R. Part 3.
b. Activities Not Involving Construction. The Grantee agrees to comply, and assures the compliance
of each third party Grantee and each uubrocipiantat any tier of the Project, vviththeernp|oyee
protection requirements for nnUoonotrUntinn employees of the Contract Work Hours and Safety
Standards Act, as amended, 40U.S.C. §§37O1et-aeq..in particular the wage and hour
requirements of Section 1O2of that Act at4OU.S.C. 837O2. and with U.8.D{lLregulations, "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 AoM,"2BC.F.R. Part 5.
G. Activities Involving Commerce. The Grantee agrees thutthm provisions nf the Fair Labor Standards
Act, 20U.8.C.§§2O1ptaeq.. apply to employees performing Project vvorkinvok/ingrornrnoroa
d. . The Grantee.
05127/2015 Page Z7of37
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 ProteGtions. The Grantee recognizes that many Federal and State laws
imposing environmental and resource conservation requirements may apply to the Project. Boone, but
not aU, of the major Federal /avvo that may affect the Project include: the National Environmental Policy
Act nf1QGS/NEPA\^aa amended, 42U.S.C.G§4321 through 4335; the Clean Air Act, ao amended, 42
U.S.C. 8§ 7401 thrnVQh7671q and scattered sections-of Title 29, United States Coda; the Clean Water
Act, as amended, 33 U,3.C. §§ 1251 through 1377; the Resource Conservation and Recovery Act, as
amended, 42 U.S.C. Q§ 6901 through 0802k; the Comprehensive ExVinonnneDto| F<auponoa'
CoUlpeDmation.aDdLiabUitvAnt.aaarnended,42U.8.C.0890O1throuQh8S75.aovVe|/esnDVironD1aOta|
provisions within Title 23, United States Code, and 49 U.S.C, chapter 5.3. The Grantee also recognizes
that U.S. EF9\' FHVVA and other Federal oOeno|ae have issued, and in the future are expected to issue,
Federal regulations and directives that may affect the Project. Thus, the Grantee agrees toonO0p|y'and
assures the compliance of each third party Grantee, with any applicable Federal laws, regulations and
dinantiveo'oo1he Federal Gove[nment are in effect now nr become effective in the future, except to the
extent the Federal Government determines otherwise in writing. Listed below are environmental
provisions nf particular concern to FTA and the Department. The Grantee understands and agrees that
those |8vvs, regulations, and directives may not constitute the Grantee's entire obligation to rnaot all
Federal environmental and resource conservation requirements.
a. National Environmental Poli . Federal assistance is contingent Upon the Grantee's facilitating
FTA'a compliance with all applicable requirements and implementing regulations of the National
Environmental Policy Act of 1909, as amended, (NEPA) 42 U.G.C. 004321 through 4335 (as
restricted by42U.<S.C. §515Q'ifapp|inmb|e); Executive Order No. 11514.as amended, "Protection
and Enhancement of Environmental Quality," 42 U.S.C. § 4321 note; FTAntotutory requirements
et49U.3.C.§ 5324(b); U.S. Council on Environmental Quality regulations pertaining to compliance
with NEFA.4OC.F.R. Parts 15OO through 158O; and joint FHVVA/FTA regulations, "Environmental
Impact and Related Procedures," 23 C.FR/ Part 771 and 49 C.F.R. Po�S22, and subsequent
Federal environmental protection regulations that may be promulgated.
The Recipient agrees tn comply with the applicable provisions of23 U.S.C. Section 139 pertaining
to environmental procedures, and 23 U.S.C. Section 326. pertaining to State responsibility for
categorical eXciuoiono, in accordance with the provisions of joint FHVV/VFT7\ final guidance,
"S/\FE7ALU Environmental Review Process (Public Law 1U8-59)."71 fed. Reg. 66576 etseq..
November15.2OOSondaUyapp|ioab|eFedero|dinentiVeothatnneybeiaouedotd!oterdate.exceot
tn the extent that FTAdetermines otherwise inwriting.
b. Air Qualit . Except to the extent the Federal Government determines otherwise in writing' the
Grantee agrees tn comply with all applicable Federal |Gvvs' regulations, and directives
implementing the Clean Air Act, as amended, 42U.8.C.§§74O1 through 7871q.and:
/1\ The Grantee agrees to comply with the applicable requirements of Section 176/u\ of the
Clean Air Act, 42U.8.C.§75O0(o), consistent with the joint FHVV/VFT& document, "Interim
Guidance for Implementing Key SAFETEA-LU Provisions on Planning, Environment, and Air
Quality for Joint PHVV/VFTAAVthu[itieu." 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 P|one^ Programs, and Projects
Developed, Funded or Approved Under Title 23 US.C. or the Federal Transit Act," 40 C.F.R.
Pad 51, Subpart T; and "Determining Conformity of. Federal Actions to State or Federal
Implementation Plans," 40 C.F.R. Pmt 93' and any subsequent Federal conformity
�
regulations that may be promulgated. To support the requisite air quality conformity finding
for the Project, the Grantee agreen to implement each air quality mitigation of control
measure incorporated in the Project. the Grantee further agrees that any Project identified
in an applicable State Implementation Plan 05|P\ as aTroDspodaUon Control Measure will
be wholly consistent with the design concept and scope of the Project described/ntheS|P.
05/2712015 Page %8nf37
(2) U.S. EPA also imposes requirements implementing the Clean Air Act, as amended, which
may apply to public transportation operators, 9orbnu|odv operators of large public
transportation bus fleets. Accordingly, the Grantee agrees to comply with the following U.S.
EPA regulations to the exteOtthey apply to the Project: "Contrn|ofAirPoUutinnfronnMnhUe
Sources," 40 C.F.R. Port 85; "Control of Air Pollution from New and |n-Use Motor Vehicles
and New and In-Use Motor Vehicle Engines," 40 C.F.R. Part 86; and "Fuel Economy of Motor
Vehicles," 40 C.F.R. Port GOO-
(3) The Grantee agrees to connp(y 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, orLoane."42 U.G.C. § 7806 note.
G. Clean Water. Except to the extent the Federal Government determines otherwise in writing, the
6rantee agrees to comply with all app licable Federal regulations and directives issued pursuant
tb the Clean Water Act, as amended, 33U.8.(}.§§1251 through 137Y. In addition:
(1) The Grantee agrees to protect underground sources of drinking water consistent with the
provisionsoftheSofeD[iDking\8/atnr/\ctof1Q74'asarnendeU.42U.G.C.§83OOfthrough
300-G.
(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 PnU��nn Control /\ut
with Respect to Federal Contracts, Grants, or Loans." 42 U�8.(�. § 7606 note.
d. Use of Public Lands. The Grantee agrees that |n implementing its Project, it will not use any
publicly owned /and from a pork, recreation area' or wildlife or waterfowl refuge of national, State,
or |ooe| significance an determined by the Federal, State, or /woa| officials having jurisdiction
thereof, and it will not use any land from a historic site of national, state, or local significance, unless
the Federal Government makes the findings required by 49 U.S.C. 88 303(b) and 303(u). The
Grantee also agrees to comply with joint FHVV/VFTAregulations, "Parke' Recreation Areas, Wildlife
and Waterfowl Refuges, and Historic Sites," 23 C.F.R. Parts 771 and 774, and 49 C.F.R. Part 622,
when promulgated.
e. Wild and Scenic Rivers. The Grantee agrees to comply with applicable provisions of the Wild and
Scenic Rivers Act of 1968, as amended, 16 U.S.C. §$ 1271 through 1287, relating to protecting
components of the national wild and scenic rivers system; and to the extent applicable, to comply
with U.S. Forest Service regulations, "VV||d and Scenic Rivers," 36 C.F.R. Part 297, and with U.S.
Bureau of Land Management regulations, "Management Areas," 43�C.F.R. Part 8350.
[ Coastal Zone Managemen . The Grantee agrees to assure Project noUm|otenoyvviththaopproned
State rnenaAmrnent program developed under the Coastal Zone Management Act of 1872, as
amended, 16 U.8.C.8§1451 through 1465.
g. Wetlands. The Grantee agrees to facilitate compliance with the protections for wetlands in
accnFdentevithExerutiveO[dmrNn.11Q0O.anaonende4."Pnzbertio0ofVVet|8Ddo'"at42U.G.C.
§4321note. ,
h. Floodplains. The Grantee agrees to comply with the flood hazards protections inflVpdp/ains iD
accordance with Executive Order No. 11888.as amended, ''F/oodp|oinK8aDaUennent'"42U.3.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.
§§ 1531 through 1544. and the Magnuson Stevens Fisheries Conservation Act, as amended, 16
U.G.C&8 1801 etoeg.
Historic Preservation. The Grantee agrees to encourage compliance with the Federal historic and
archaeological preservation requirements of Section 106 of the Netione[Historir Preservation Act,
as amended, 16 U.S.C. §47Of;with Executive Order No. 11593. ,Protertion and Enhancement of
the Cultural Environment," 16 U.S.C. G 470 note; and with the Archaeological and Historic
Preservation Act of1U74'as amended, 1GU.S.C.§§48Oa through 48Ao'msfollows:
(1) In accordance with U.G. Advisory Council on Historic Preservation regulations, "Protection
of Historic and Cultural Properties," 36 C.F.R. Part 80 O, the Grantee ogro�s to. consult with
thoStmte Historic Preservation Officer concerning investigations to `identify properties and
05127/2015 Page 29 of 37
resources included inry eligible hninc|uoioniUtheNatona|RooisterofUistohcPlace«thmt
may beaffected by the Project, andngrees to notify FTA of those properties that are affected.
C8 The Grantee agrees to comply with all applicable Federal regulations and directives to avoid
or mitigate adverse effects on those historic properties, exompttV,the extent the Federal
Government determines otherwise inwriting.
k. Indian Sacred Sites. The Grantee agrees tofacilitate compliance with the preservation of places
and objects of religious importance to A[nahoan |OdieDo' Eskimos, Aleuts, and Native Havvaiions,
in compliance with the American Indian Religious Fnswdono Act, 42 U.S.C. § 1088' and with
Executive Order No. 13OU7, "Indian Sacred 8itos,"42U.S.C. §1Q86 note, except to the extent the
Federal Government determines otherwise inwriting.
�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 /avvo and regulations, including 23 C.F.R. Part 771 and 49 C.F.R. Part 022. 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 e finding of no significant hnpao1 or record of decision. The Grantee agrees that those
environmental mitigation measures are incorporated by reference and made part of this Agreement
fortheProject. 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, EnergV 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. §§ 8321 et seq., except to the extent that the Department determines otherwise in
writing. To the extent applicable, the Grantee agrees to perform nn energy assessment for any building
uonstruoted, reooUatruoted, or modified with FTA assistance, as provided in FTA nagu/ot|ona.
"Requirements for Energy /4oaeaornenta.°4SC.F.R. Part G22. Subpart C
Section 25. Charter Service Operations.
The Grantee acknowledges that Federal and State requirements prohibit the use of v*hidsm, fecUO§ea
and equipment funded by Federal or State grant progra mis for the provision of charter services unless it
ia determined that there are nowi|UOQ and able nha�eroperators in the service area. Federal |oVVdoes
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 u Project financed uoder48 U.S.C. chapter 53 will engage in charter service operations, s(oept as
authorized by 49 U.G.C. § 5323(j) and FTA regulations, "Charter Sen/ice,'49 C.F.R. Pod 64.
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 Vf 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 io found, the violator will be barred from receiving Federal transit assistance
inen amount tobe determined by FTA urU.S.DOT.
Section 26. School Transportation Operations. The Grantee agrees that neither if nor any public
transportation operator performing work in connection with a Project financed under 49 U.S.C. chapter
53 will engage in school transportation operations for the transportation of students or school personnel
exclusively in competition with private school transportation operators, except ms authorized by49U.S.C.
§§5323dDor(z)'ae applicable, and FTA regulations, "School Bus [}peretionn."49C.F.R. Part 6O5,and
05/27%2015 Page 30u[37
eDysubnequeDt8ohoo|TnsOxportatonOperobonsregu|abononrFl7\directiveathsdMnaybe 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 mgnaeothatifitoran
operatdr violates that. school transportation operations agreement the violator will be barred from
receiving Federal transit assistance in an amount to be determined by FTA or U.S. DOT.
Section 27. GeographiG Information and Related Spatial Data. In accordance with U.S. OMB
Cinou|a[A-1G, "Coordination of Geographic Information and Related Spatial Data Activities," August
19'2002. the Grantee agrees to |nnp|arnent its Project so that any artivitieo involving spatial data and
geographic information systems activities financed directly or indireot|y, in whole or in pod. 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 20. Motor Carrier Safety. To the extent applicable, the Grantee ognaen to comply with, and
assures the compliance of its subroc|pionto. lessees, an' d third podvGrantees vvith'applicable provisions
of the fbU0viDD regulations promulgated by the U.S. Federal Motor Carrier Safety Administration (U.S.
F�W(�SA):
o. Financial Responsibilit . The Grantee agrees as follows.
(1) To the extent that the Grantee is engaged in interstate oorncneroe and not within a defined
nonornerria| zone, the Grantee agrees to comply with U.G. FMC8A 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 48U.8.C. §85307'531O' nr5311'48C.F.R. Part 387io modified by4QU.8.C.G
31138(e)(4) which reduces the amount of insurance required of such recipients to the highest
amount nf any state in which the transit provider operates.
i2\ To the extent that.the Grantee in 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 state or any agency established under compact between
states), the Grantee agrees to comply with U.G. F&0C8A regulations, Subpart B. "Federal
Motor Carrier Safety Regu(qtions." at 49 C.F.R. Parts 390 through 396.
b. The (�rnnteeagrees to comply with U.S.FK8CSA'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 ognaea to comply with U.G. FK8CSA'a
regulations, "[)rug and Alcohol Use and Testing Raquinarnanta," 4S C.F.R. Part 382, which apply
to transit providers that operate m ooOonnoroia| 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.
Seubmo 29. Substance Abuse. To the extent applicable, the Grantee agrees to comply with the
followin 'g Federal substance abuse regulations:
a. U.G. OMB Guidance, "Govenernnlentmidu Requirements for Drug-Free
Workplace (Financial /\nsintanoe\."2 C.F. R. Part 182, U.G. DOT regulations, ^GoveFnnnenbmidb
Requirements for Drug-Free Workplace (Financial Assistance), 49 C.F.R. Part 32, that implement
the Drug-Free Workplace Act of1Q8B,41 U.S.C.§G7O1e2seq.
b. Alcohol Misuse and Prohibited Drug Use. FlArogu|ationa^ "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. /n accordance with Executive Order No. 13O43, "Increasing Seat Belt Use
in the United 8tetes."Aph| 10, 1897' 23 U. S. C. 8482 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, rerted, or persona/|y operated vah|c|oo' and to include this provision in any
third party contracts, third party subcontracts, or subagreements involving the Project.
Section 31, Text Messaging While Drivin . In accordance with Executive Order No. 13513. "Federal
Leadership on Reducing Text Messaging While [)rivin0,''October 1. 2009, 23 U.8.C.A. §402 note' and
05/2712015 Page 3Iof]7
DOT Order 39O2.1U' "Text Messaging While DrivinQ'" December @0.2OO9` the Grantee iy encouraged to
comply with the term of the following Special Provision.
o. Definitions. Ae used in this Special Provision:
(1) "Driving" means operating a motor vehicle oneroadway, including while temporarily
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
itissafe 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 nneasoQe aen/ino tex±ing. e-ulo||iOg' instant
rneaaaginQ, obtaining navigating infornnotinn, 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 hyStaba- o[ local
|ovv
b. The Grantee is encouraged to:
(1) Adopt and enforce workplace safety, policies to decrease cras hes caused by distracted
drivers inc|Uding pn|iciestobnntnzL[neaaogingVvhi/edriViOQ:
(a) . Grantee-owned or Grantee-rented vehicles or Government-owned, leased or rented
vehicles;
(b) Privately-owned vehicles vvben onof�ca|Project dbuoinooaorwhenpedbnniDg
any vvo[kfor oroD behalf of the Project; or
(o) 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 10 employees about the safety risks
associated with tex±inQ while driving.
(3) Include this Special Provision in its subagneenlenfawith its subrecipiente and third pedv
contracts and also encourage its subrecipients, lessees, and third party Grantees to comply
Vviththa'ta[nny 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 oppUmabk*. the Grantee
agrees to comply with 49 U.G.C. � 40118(b) and impksnnenTflnQ U.S. [)OT regulations, "Protection of
Sensitive Security |nfnmnm1ion."4S C.F.R. Part 15. and with 40 U.S.C. § 114kd and innp1onnenbn8 U.S.
Deportment of Homeland Security, Transportation Security Administration regulations, "Protection of
Sensitive Security |nfurcnation,"4UC.F.R. Part 152O'
Section .33. 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 Dep ` . artment in writing of any
ou[nerd or prospective major dispute, bn*aoh, default, litigation that may affect the Federal/State
Government's interests in the Project orthe Federal/State Government's administration or enforcement
of Federal/State laws n}regulations. |f the Grantee seeks to name the Federal/State Government aoa
party to litigation for any reason, in any forum, the Grantee agrees to inform the Department in writing
before doing so. |n turn, the Department shall be responsible for notifying FTA.
b. FederallState Interest in Recove . The Federal/State Government retains the fight to a
proportionate nheFe' based on the percentage of the Federal/State share awarded for the Project, of
proceeds derived from any third party nacnVeFy, except that the Grantee may return. any liquidated
damages recovered to its Project Acoountin|/euofreturnjngtheFoderml/GtateohonetotheDeportment.
C. Enforcement. The Grantee ay[eaa to pursue all legal rights provided within any third party contract.
05/27/2015 Page 32nf37
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 andtheGnantee`
e. Alternative Dispute Resolution. The Deportment encourages the Grantee to use alternative
dispute resolution procedures, os may beappropriate.
Section 34. The Grantee agrees that a ohm1Qe in Project
circumstances causing an inconsistency With the terms of this Agreement for the Project will require eD
amendment or revision to this Agreement for the Project signed by the original signatories or their
authorized designees orsuccessors. The Grantee agrees that echange in the fundamental information
submitted in its Application will also require on Amendment to its Application o[ this Agreement for the
Project. The Grantee agrees that the project vvi/|nntincuranycostoaeaociatedvviththwmnnendnoontor
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 byFTA and the Department.
Section 36. Information Obtained Through Internet Links. This Agreement may include electronic
linksA/Veb site addresses to FederaYState laws, regulations, and directives as well as other information.
The Department does not guarantee the accuracy of information accessed thno4gh such links.
Accordingly, the Grantee agrees that information obtained through any electronic link within this
Agreement does not represent an nfhoie| version of m Federal/State iavv regulation, ordinactivo' and
might beinaccurate. 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
nffiria| sources for regulatory information pertaining to the Federal Government.
Section 36. Severability. If any provision of the FTA Master Agreement or this Agreementfor the Project
is determined invo|kj, the remainder of that Agreement ah8U not be affected if that remainder would
continue to conform to the requirements of applicable FederallState 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, |n general, termination of Federal and State assistance for the Project will not invalidate
ob|igatiohu properly incurred by the Grantee before the termination date to the extent those
obligations cannot be canceled, |f, however, the Department determines that the Grantee has
willfully misused Federal/State assistance byfailing to make adequate progress, failing to make
reasonable and appropriate use nfProject pnopadv, or failing to comply with the terms of this
Agreement for the Project, theDepadrnentreson/eothe['httonaquiretheGranƒeatonafundthe
entina amount of Federal and State aoeiatoOoe provided for the Project or any lesser amount an
the Department may determine. Expiration of any Project time pehod established for the Project
does Rot, by itself, constitute an expiration or termination uf 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) ofthis 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'ondauohothorsandionannaybeinnpoaedmqdrenned|euinvnkodaoprovidodiD
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 bvOctifv(n0andn*oeivingtheoonournenoo
of the Grantee within sixty /WO\ days in advance of such termination.
05/27Y2015 Page 33o[37
b. 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 34 of 37
Section 38. Contract Administrators. All notices permitted or required tobo given bv one Party tothe
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, streei 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 addrees, street address, telephone number, fexnunAber' or
enloi/ address of its Contract Administrator by giving timely written notice to the other Party.
Fmthe
IF DELIVERED BY US POSTAL SERVICE
Name: MS MYRA,FR EEMAN
Title: FINANCIAL MANAGER
Agency: NCD0T/PTD
MSG: 1550 MSC
For the Grantee:
IF DELIVERED BY US POSTAL SERVICE
RALEIGH NC276AQ455O
Phone:
919-707-4672
Fax:
919-733-2304
Email:
K8GFREEW1AN1(�iNCDOT.GOV
For the Grantee:
IF DELIVERED BY US POSTAL SERVICE
IF DELIVERED BY ANY OTHER- MEANS
|F DELIVERED BY ANY OTHER MEANS
Name:
K8GMYRAFREEMAN
Tit l*:
FINANCIAL MANAGER
Agency:
NCOOT/PTO
8tnamt
TRANSPORTATION BLDG
Address.
1 SVV|LK8|NGTON 8TRyW524
City:
RALEIGH NC27GO1
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,
Address:
PO Box 8181
Address: 600 NC Highway 86N
CitylZiP:
Hillsborough NG 27278
City: Hillsborough NC 27278
Phone:
919.245.2008
Fax-,
919.723.2137
Section 39. Federal Certification Regardlnq_Lq�b �in . 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 1, 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 Om of this
Agreement.
05/27/2015 Page 35uf37
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 repreooUtetive, and is effective the
date and year first above written.
GRANTEE'S FEDERAL TAX ID NUMBER:
GRANTEE'S FISCAL YEAR END:
ATTEST:
TITLE: , '
ATTEST: 1A LrAl Lt
TITLE: SECRETARY
TITLE:
JUNE 3C\2O1D
(ear OVW�
DEPARTMENT OFTRANSPORTATION
TITLE: DEPUTY SECRETARY FOR TRANSIT
05/27/2015 Page 36o[37
Attachment
Certification Regarding Lobbying
(for bids and/or awards)
The Grantee certifies, to the best of his or her knowledge and belief, that:
M\ No Federal appropriated funds have been paid or will be paid, by oron behalf of the
undersigned, to any person for influencing or attempting to influence an officer or'employee of
an agency, e Member ofCongress, an officer or employee of Congress, or an employee of s
Member of Congress iO connection with the awarding of any Federal contract, the making mfany
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 bepaid 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 inthe award
documents for all subevvardsat all tiers (including subcontracts, subonsnte` and contracts under
grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose
This certification is a material representation of fact upon which reliance was placed when this
banoaotionvvasnladooreDteredintn.GubnlisainnnfthiaoedificetioniaaprerequioitafornnaNhQbr
entering into this transaction imposed by section 1352, title 31,- U.S. Code. Any person who falls 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 . ' z , Re7Zative:
sY7.
Title:
05/27/2015 Page 37of37
Local Share Certification for Funding
(This Lorin is required for ['/\C11 separate funding request)
Orange County
(Legal Naine of Applicant)
Local matching funds will be required for all application submittals. For projects requiring capital funds, the
required local match is 10 percent of the net cost of the project, subject to the availability of state funds. Applicants
should be prepared to incur a 20 percent local match in case state funds are not available.
The local match must be provided from sources other than federal Department of Transportation funds. Guidance
is provided ETA's website about eligible sources of matching funds. Applicants are responsible for verifying the
eligibility of non -USDOT federal fronds the applicant proposes to use as their local match..
Net
Project
Cost
Capital $ 212,902
(Vehicles & Other)
TOTAL 1 $ 212,902
Requested Funding Amounts
Local Share
-- _.... ......
$ 21,290 (10 %)
$ 21 290
Local Source(s)
1, Local General Operating
Fund
2.
3.
1, the undersigned representing (Legal Nante of Applicant) Orange County do hereby certify to the North Carolina
Department of Transportation, that the required local funds will be available as of July 1, 2017.
Signature of Authorized Official
Farl McKee Chair of the Board of County Commissioners
Type Name and Title of Authorized Official
Date
APPENOD(A
NORTH CAROLINA DEPARTME0TOFTRANSPORTATION
PUBLIC TRANSPORTATION DIVISION
PROJECT NUMBER: 18'ED-056
APPROVED BUDGET SUMMARY
EFFECTIVE DATE 7/1/28i7
PROJECT SPONSOR: ORANGE COUNTY
PROJECT DESCRIPTION: FY18 ENHANCED MOBILITY OF SENIORS& INDIVIDUALS WITH DISABLITIES PROGRAM
i TOTAL PROJECT EXPENDITURES
DER4F<TyNENT-531O CAP |77\L- 61001.662.3 $104.320
PERIOD OF PERFORMANCE JULY ' O1'2U17' JUNE 3U.2018
DEPARTK8ENT-53iOCAP|TAL' 51001.86.2.4 $1'469
PERIOD UF PERFORMANCE JULY U1.2O17- JUNE 3O.2O18
DEPARTMENT -531OCAPITAL- 51001.86.2.5 $662
PERIOD OF PERFORMANCE JULY O1,2D17' JUNE 3[\2O18
11. TOTAL PROJECT FUNDING
BUS'ROLLNGSTOCK -
51001.682.3
{APTIAL'
LOCAL
AGREEyNENT#
8096
SUPP EQUIP AND FAC|LT
51001.66.24
CAPTL4L'
$83.456
AGREE88ENT#
A OWO JL414w" ��
SIGNAL &CDyN[W EQUIP
51001.66.2.5
CAPT/&L-
A 44'�'�
AGREE&YENT#
AO[W
TOTAL
TOTAL
FEDERAL
STATE
LOCAL
100Y6
8096
10Y6
10%
$104'320
$83.456
$10,432
$10.432
10096
80Y6
10%
1OY&
$1.468
$1.175
$147
$147
100%
80%
10%
1096
$662
$529
$06
$67
NORTH CAROLINA DEPARTMENT (}FTRANSPORTATION
PUBLIC TRANSPORTATION DIVISION
APPROVED PROJECT BUDGET
PROJECT: 18-EC-058
SPONSOR: ORANGE COUNTY
\8DBG:510O1.00.23
EFFECTIVE DATE 7//2O17
OEpART WENT 5310-CAPITAL
APPROVED
OBJECT TITLE BJlJGHE!
G575 28ftLtTrDmVeh (Rep/Exp). 103'820.00
G591 VehLettering/Logos 500
CAPITAL $ 104,320
\8/BG: 51001.80-2/4
EFFECTIVE DATE 7M12O17
OE RTK8ENT531O
CAPITAL
APPROVED
OBJECT TITLE BUDGET
G557 Fmrebnxes 1.488.00
CAPITAL $ 1,469
VVB8: 51001.06-2.5
EFFECTIVE DATE 7D/2017
OBJECT
G555 Mobile Radio Unit 662.00
CAPITAL
TOTAL CAPITAL
ANION) m,
Approved Capital Budget
Page 2 of 2