HomeMy WebLinkAbout2016-05-24 - AGENDA REPORTS - VISTA CANYON PROJ T3020 (2)CON -6
Council Approval Date
Agenda Item
Contract Amomt
PROFESSIONAL SERVICES AGREEMENT
BETWEEN
THE CITY OF SANTA CLARITA
AND
RAILPROS
FOR
VISTA CANYON MULTI -MODAL CENTER
This AGREEMENT is entered into by and between the CITY OF SANTA CLARITA, a
municipal corporation and general law city ("CITY") and RailPros, an engineering consulting
firm ("CONSULTANT").
1. CONSIDERATION.
A. As partial consideration, CONSULTANT agrees to perform the work listed in the
SCOPE OF SERVICES, below; and
B. As additional consideration, CONSULTANT and CITY agree to abide by the
terms and conditions contained in this Agreement; and
C. As additional consideration, CITY agrees to pay CONSULTANT a sum not to
exceed eight hundred seventy six thousand seven hundred forty dollars
($876,740.00) for CONSULTANT's services. CITY may modify this amount as
set forth below. Unless otherwise specified by written amendment to this
Agreement, CITY will pay this sum as specified in the attached Exhibit "B,"
which is incorporated by reference.
2. SCOPE OF SERVICES.
A. CONSULTANT will perform services listed in the attached Exhibit "A," which is
incorporated by reference.
B. CONSULTANT will, in a professional manner, furnish all of the labor, technical,
administrative, professional and other personnel, all supplies and materials,
equipment, printing, vehicles, transportation, office space and facilities, and all
tests, testing and analyses, calculation, and all other means whatsoever, except as
herein otherwise expressly specified to be furnished by CITY, necessary or proper
to perform and complete the work and provide the professional services required
of CONSULTANT by this Agreement.
3. PERFORMANCE STANDARDS. While performing this Agreement, CONSULTANT
will use the appropriate generally accepted professional standards of practice existing at the time
of performance utilized by persons engaged in providing similar services. CITY will
continuously monitor CONSULTANT's services. CITY will notify CONSULTANT of any
deficiencies and CONSULTANT will have fifteen (15) days after such notification to cure any
shortcomings to CITY's satisfaction. Costs associated with curing the deficiencies will be home
by CONSULTANT.
4. PAYMENTS. For CITY to pay CONSULTANT as specified by this Agreement,
CONSULTANT must submit a detailed invoice to CITY which lists the hours worked and
hourly rates for each personnel category and reimbursable costs (all as set forth in
Exhibit "B") the tasks performed, the percentage of the task completed during the billing period,
the cumulative percentage completed for each task, the total cost of that work during the
preceding billing month and a cumulative cash flow curve showing projected and actual
expenditures versus time to date.
5. NON -APPROPRIATION OF FUNDS. Payments due and payable to CONSULTANT for
current services are within the current budget and within an available, unexhausted and
unencumbered appropriation of the CITY. In the event the CITY has not appropriated sufficient
funds for payment of CONSULTANT services beyond the current fiscal year, this Agreement
will cover only those costs incurred up to the conclusion of the current fiscal year.
6. ADDITIONAL WORK.
A. If CONSULTANT believes Additional Work is needed to complete the Scope of
Work, CONSULTANT will provide the CITY with written notification that
contains a specific description of the proposed Additional Work, reasons for such
Additional Work, and a detailed proposal regarding cost.
7. FAMILIARITY WITH WORK.
A. By executing this Agreement, CONSULTANT agrees that it has:
i. Carefully investigated and considered the scope of services to be
performed; and
ii. Carefully considered how the services should be performed; and
iii. Understands the facilities, difficulties, and restrictions attending
performance of the services under this Agreement.
B. If services involve work upon any site, CONSULTANT agrees that
CONSULTANT has or will investigate the site and is or will be fully acquainted
with the conditions there existing, before commencing the services hereunder.
Should CONSULTANT discover any latent or unknown conditions that may
materially affect the performance of the services, CONSULTANT will
immediately inform CITY of such fact and will not proceed except at
CONSULTANT's own risk until written instructions are received from CITY.
8. TERM. The term of this Agreement will be from May 2016 to December 2020. Unless
otherwise determined by written amendment between the parties, this Agreement will terminate
in the following instances:
Revised 1/2011 Page 2 of 25
A. Completion of the work specified in Exhibit "A."
B. Termination as stated in Section 15.
9. TIME FOR PERFORMANCE.
A. CONSULTANT will not perform any work under this Agreement until:
i. CONSULTANT furnishes proof of insurance as required under Section 22
of this Agreement; and
ii. CITY gives CONSULTANT a written notice to proceed.
B. Should CONSULTANT begin work on any phase in advance of receiving written
authorization to proceed, any such professional services are at CONSULTANT's
own risk.
10. TIME EXTENSIONS. Should CONSULTANT be delayed by causes beyond
CONSULTANT's control, CITY may grant a time extension for the completion of the contracted
services. If delay occurs, CONSULTANT must notify the Manager within forty-eight hours
(48 hours), in writing, of the cause and the extent of the delay and how such delay interferes with
the Agreement's schedule. The Manager will extend the completion time, when appropriate, for
the completion of the contracted services.
11. CHANGES. CITY may order changes in the services within the general scope of this
Agreement, consisting of additions, deletions, or other revisions, and the contract sum and the
contract time will be adjusted accordingly. All such changes must be authorized in writing,
executed by CONSULTANT and CITY. The cost or credit to CITY resulting from changes in
the services will be determined in accordance with written agreement between the parties.
12. TAXPAYER IDENTIFICATION NUMBER. CONSULTANT will provide CITY with a
Taxpayer Identification Number.
13. PERMITS AND LICENSES. CONSULTANT, at its sole expense, will obtain and
maintain during the term of this Agreement, all necessary permits, licenses, and certificates that
may be required in connection with the performance of services under this Agreement.
14. WAIVER. CITY's review or acceptance of, or payment for, work product prepared by
CONSULTANT under this Agreement will not be construed to operate as a waiver of any rights
CITY may have under this Agreement or of any cause of action arising from CONSULTANT's
performance. A waiver by CITY of any breach of any term, covenant, or condition contained in
this Agreement will not be deemed to be a waiver of any subsequent breach of the same or any
other term, covenant, or condition contained in this Agreement, whether of the same or different
character.
15. TERMINATION.
A. CITY may terminate this Agreement at any time with or without cause
Revised 1/2011 Page 3 of 25
B. CONSULTANT may terminate this Agreement at any time with CITY's mutual
consent. Notice will be in writing at least thirty (30) days before the effective
termination date.
C. Upon receiving a termination notice, CONSULTANT will immediately cease
performance under this Agreement unless otherwise provided in the termination
notice. Except as otherwise provided in the termination notice, any additional
work performed by CONSULTANT after receiving a termination notice will be
performed at CONSULTANT'S own cost; CITY will not be obligated to
compensate CONSULTANT for such work.
D. Should termination occur, all finished or unfinished documents, data, studies,
surveys, drawings, maps, reports and other materials prepared by CONSULTANT
will, at CITY's option, become CITY's property, and CONSULTANT will
receive just and equitable compensation for any work satisfactorily completed up
to the effective date of notice of termination, not to exceed the total costs under
Section l(C).
E. Should the Agreement be terminated pursuant to this Section, CITY may procure
on its own terms services similar to those terminated.
F. By executing this document, CONSULTANT waives any and all claims for
damages that might otherwise arise from CITY's termination under this Section.
16. OWNERSHIP OF DOCUMENTS. All documents, data, studies, drawings, maps, models,
photographs and reports prepared by CONSULTANT under this Agreement are CITY's
property. CONSULTANT may retain copies of said documents and materials as desired, but
will deliver all original materials to CITY upon CITY's written notice. CITY agrees that use of
CONSULTANT's completed work product, for purposes other than identified in this Agreement,
or use of incomplete work product, is at CITY's own risk.
17. PUBLICATION OF DOCUMENTS. Except as necessary for performance of service
under this Agreement, no copies, sketches, or graphs of materials, including graphic art work,
prepared pursuant to this Agreement, will be released by CONSULTANT to any other person or
public CITY without CITY's prior written approval. All press releases, including graphic
display information to be published in newspapers or magazines, will be approved and
distributed solely by CITY, unless otherwise provided by written agreement between the parties.
18. INDEMNIFICATION. CONSULTANT agrees to indemnify and hold CITY harmless from
and against any claim, action, damages, costs (including, without limitation, attorney's fees),
injuries, or liability, arising out of the performance of this agreement by CONSULTANT.
Should CITY be named in any suit, or should any claim be brought against it by suit or
otherwise, arising out of performance by CONSULTANT of services rendered pursuant to this
Agreement, CONSULTANT will defend CITY (at CITY's request and with counsel satisfactory
to CITY) and will indemnify CITY for any judgment rendered against it or any sums paid out in
settlement or costs incurred in defense otherwise. Notwithstanding any provisions of this
Agreement to the contrary, design professionals shall be required to defend and indemnify the
City only to the extent allowed by Civil Code Section 2782.8, namely for claims that arise out of
pertain to, or relate to the negligence, recklessness or willful misconduct of the design
Revised 1/2011 Page 4 of 25
professional. The term "design professional" includes licensed architects, licensed landscape
architects, registered professional engineers, professional land surveyors and the Business
entities which offer such services in accordance with the applicable provisions of the business
and Professions Code.
19. ASSIGNABILITY. This Agreement is for CONSULTANT's professional services.
CONSULTANT's attempts to assign the benefits or burdens of this Agreement without CITY's
written approval are prohibited and will be null and void.
20. INDEPENDENT CONTRACTOR. CITY and CONSULTANT agree that
CONSULTANT will act as an independent contractor and will have control of all work and the
manner in which is it performed. CONSULTANT will be free to contract for similar service to
be performed for other employers while under contract with CITY. CONSULTANT is not an
agent or employee of CITY and is not entitled to participate in any pension plan, insurance,
bonus or similar benefits CITY provides for its employees. Any provision in this Agreement that
may appear to give CITY the right to direct CONSULTANT as to the details of doing the work
or to exercise a measure of control over the work means that CONSULTANT will follow the
direction of the CITY as to end results of the work only.
21. AUDIT OF RECORDS. CONSULTANT will maintain full and accurate records with
respect to all services and matters covered under this Agreement. CITY will have free access at
all reasonable times to such records, and the right to examine and audit the same and to make
transcript therefrom, and to inspect all program data, documents, proceedings and activities.
CONSULTANT will retain such financial and program service records for at least three (3) years
after termination or final payment under this Agreement.
22. INSURANCE.
A. Before commencing performance under this Agreement, and at all other times this
Agreement is effective, CONSULTANT will procure and maintain the following
types of insurance with coverage limits complying, at a minimum, with the limits
set forth below:
Type of Insurance
Commercial general liability:
Professional Liability
Business automobile liability
Workers compensation
Limits
$1,000,000
$1,000,000
$1,000,000
Statutory requirement
B. Commercial general liability insurance will meet or exceed the requirements of
ISO -CGL Form No. CG 00 01 11 85 or 88. The amount of insurance set forth
above will be a combined single limit per occurrence for bodily injury, personal
injury, and property damage for the policy coverage. Liability policies will be
endorsed to name CITY, its officials, and employees as "additional insureds"
under said insurance coverage and to state that such insurance will be deemed
Revised 1/2011 Page 5 of 25
"primary" such that any other insurance that may be carried by CITY will be
excess thereto. Such endorsement must be reflected on ISO Form No. CG 20 10
11 85 or 88, or equivalent. Such insurance will be on an "occurrence," not a
"claims made," basis and will not be cancelable or subject to reduction except
upon thirty (30) days prior written notice to CITY.
C. Professional liability coverage will be on an "occurrence basis" if such coverage
is available, or on a "claims made" basis if not available. When coverage is
provided on a "claims made basis," CONSULTANT will continue to renew the
insurance for a period of three (3) years after this Agreement expires or is
terminated. Such insurance will have the same coverage and limits as the policy
that was in effect during the term of this Agreement, and will cover
CONSULTANT for all claims made by CITY arising out of any errors or
omissions of CONSULTANT, or its officers, employees or agents during the time
this Agreement was in effect.
D. Automobile coverage will be written on ISO Business Auto Coverage Form
CA 00 0 106 92, including symbol 1 (Any Auto).
E. CONSULTANT will furnish to CITY duly authenticated Certificates of Insurance
evidencing maintenance of the insurance required under this Agreement and such
other evidence of insurance or copies of policies as may be reasonably required
by CITY from time to time. Insurance must be placed with insurers with a current
A.M. Best Company Rating equivalent to at least a Rating of "A:Vll."
F. Should CONSULTANT, for any reason, fail to obtain and maintain the insurance
required by this Agreement, CITY may obtain such coverage at
CONSULTANT's expense and deduct the cost of such insurance from payments
due to CONSULTANT under this Agreement or terminate pursuant to Section 15.
In the alternative, should CONSULTANT fail to meet anv of the insurance
requirements under this agreement. Citv mav cancel the Agreement immediatel
with no penaltv.
G. Should CONSULTANT'S insurance reauired bv this A2reement be cancelled at
anv point prior to expiration of the Volicv, CONSULTANT must notifv Cit
within 24 hours of receipt of notice of cancellation. Furthermore,
CONSULTANT must obtain replacement coverage that meets all contractual
requirements within 10 days of the prior insurer's issuance of notice of
cancellation. CONSULTANT must ensure that there is no lapse in coverage.
23. USE OF SUBCONTRACTORS. CONSULTANT must obtain CITY's prior written
approval to use any consultants while performing any portion of this Agreement. Such approval
must approve of the proposed consultant and the terms of compensation.
24. INCIDENTAL TASKS. CONSULTANT will meet with CITY monthly to provide the
status on the project, which will include a schedule update and a short narrative description of
progress during the past month for each major task, a description of the work remaining and a
description of the work to be done before the next schedule update.
Revised 1/2011 Page 6 of 25
25. NOTICES. All communications to either party by the other party will be deemed made
when received by such party at its respective name and address as follows:
If to CONSULTANT:
RailPros
1 Ada Parkway, Suite 200
Irvine, Ca 92618
Attention: Eric Hankinson
If to CITY:
City of Santa Clarita
23920 Valencia Boulevard, Suite 300
Santa Clarita, CA 91355
Attention: Carla Ann Callahan
Any such written communications by mail will be conclusively deemed to have been received by
the addressee upon deposit thereof in the United States mail, postage prepaid and properly
addressed as noted above. In all other instances, notices will be deemed given at the time of
actual delivery. Changes may be made in the names or addresses of persons to whom notices are
to be given by giving notice in the manner prescribed in this paragraph.
26. CONFLICT OF INTEREST. CONSULTANT will comply with all conflict of interest
laws and regulations including, without limitation, CITY's Conflict of Interest Code (on file in
the City Clerk's Office). It is incumbent upon the CONSULTANT or CONSULTING FIRM to
notify the CITY pursuant to Section 25. NOTICES of any staff changes relating to this
Agreement.
A. In accomplishing the scope of services of this Agreement, all officers, employees
and/or agents of CONSULTANT(S), unless as indicated in Subsection B., will be
performing a very limited and closely supervised function, and, therefore, unlikely to
have a conflict of interest arise. No disclosures are required for any officers,
employees, and/or agents of CONSULTANT, except as indicated in Subsection B.
Initials of Consultant
B. In accomplishing the scope of services of this Agreement, CONSULTANT(S) will be
performing a specialized or general service for the CITY, and there is substantial
likelihood that the CONSULTANT'S work product will be presented, either written
or orally, for the purpose of influencing a governmental decision. As a result, the
following CONSULTANT(S) shall be subject to the Disclosure Category "l" of the
CITY's Conflict of Interest Code:
27. SOLICITATION. CONSULTANT maintains and warrants that it has not employed nor
retained any company or person, other than CONSULTANT's bona fide employee, to solicit or
secure this Agreement. Further, CONSULTANT warrants that it has not paid nor has it agreed
to pay any company or person, other than CONSULTANT's bona fide employee, any fee,
commission, percentage, brokerage fee, gift or other consideration contingent upon or resulting
from the award or making of this Agreement. Should CONSULTANT breach or violate this
warranty, CITY may rescind this Agreement without liability.
Revised 1/2011 Page 7 of 25
28. THIRD PARTY BENEFICIARIES. This Agreement and every provision herein is
generally for the exclusive benefit of CONSULTANT and CITY and not for the benefit of any
other party. There will be no incidental or other beneficiaries of any of CONSULTANT's or
CITY's obligations under this Agreement.
29. INTERPRETATION. This Agreement was drafted in, and will be construed in accordance
with the laws of the State of California, and exclusive venue for any action involving this
agreement will be in Los Angeles County.
30. COMPLIANCE WITH LAW. CONSULTANT agrees to comply with all federal, state,
and local laws applicable to this Agreement.
31. ENTIRE AGREEMENT. This Agreement, and its Attachments, sets forth the entire
understanding of the parties. There are no other understandings, terms or other agreements
expressed or implied, oral or written. There are (2) Attachment(s) to this Agreement. This
Agreement will bind and inure to the benefit of the parties to this Agreement and any subsequent
successors and assigns.
32. RULES OF CONSTRUCTION. Each Party had the opportunity to independently review this
Agreement with legal counsel. Accordingly, this Agreement will be construed simply, as a whole,
and in accordance with its fair meaning; it will not be interpreted strictly for or against either Party.
33. SEVERABILITY. If any portion of this Agreement is declared by a court of competent
jurisdiction to be invalid or unenforceable, then such portion will be deemed modified to the
extent necessary in the opinion of the court to render such portion enforceable and, as so
modified, such portion and the balance of this Agreement will continue in full force and effect.
34. AUTHORITY/MODIFICATION. The Parties represent and warrant that all necessary
action has been taken by the Parties to authorize the undersigned to execute this Agreement and to
engage in the actions described herein. This Agreement may be modified by written amendment.
CITY's executive manager, or designee, may execute any such amendment on behalf of CITY.
35. ACCEPTANCE OF FACSIMILE SIGNATURES. The Parties agree that this Agreement,
agreements ancillary to this Agreement, and related documents to be entered into in connection
with this Agreement will be considered signed when the signature of a party is delivered by
facsimile transmission. Such facsimile signature will be treated in all respects as having the
same effect as an original signature.
36. CAPTIONS. The captions of the paragraphs of this Agreement are for convenience of
reference only and will not affect the interpretation of this Agreement.
37. TIME IS OF ESSENCE. Time is of the essence for each and every provision of this
Agreement.
Revised 1/2011 Page 8 of 25
Disclosure Act of 1995, and DOT implementing regulation, "New Restrictions on Lobbying," at
49 CFR § 20. 11 0(d)
0 Language in Lobbying Certification is mandated by 49 CFR Part 19, Appendix A,
Section 7, which provides that contractors file the certification required by 49 CFR Part 20,
Appendix A.
Modifications have been made to the Lobbying Certification pursuant to Section 10 of the
Lobbying Disclosure Act of 1995.
0 Use of "Disclosure of Lobbying Activities," Standard Form -LLL set forth in
Appendix B of 49 CFR Part 20, as amended by "Government wide Guidance For New
Restrictions on Lobbying," 61 Fed. Reg. 1413 (1/19/96) is mandated by 49 CFR Part 20,
Appendix A.
Byrd Anti -Lobbying Amendment, 31 U.S.C. 1352, as amended by the Lobbying Disclosure
Act of 1995, P.L. 104-65 [to be codified at 2 U.S.C. § 1601, et seq.] - Contractors who apply or bid
for an award of $100,000 or more shall file the certification required by 49 CFR part 20, "New
Restrictions on Lobbying." Each tier certifies to the tier above that it will not and has not used
Federal appropriated funds to pay any person or organization for influencing or attempting to
influence an officer or employee of any agency, a member of Congress, officer or employee of
Congress, or an employee of a member of Congress in connection with obtaining any Federal
contract, grant or any other award covered by 31 U.S.C. 1352. Each tier shall also disclose the
name of any registrant under the Lobbying Disclosure Act of 1995 who has made lobbying
contacts on its behalf with non -Federal funds with respect to that Federal contract, grant or award
covered by 31 U.S.C. 1352. Such disclosures are forwarded from tier to tier up to the recipient.
APPENDIX A, 49 CFR PART 20 --CERTIFICATION REGARDING LOBBYING
Certification for Contracts, Grants, Loans, and Cooperative Agreements
The undersigned [Contractor] certifies, to the best of his or her knowledge and belief,
that:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf of
the undersigned, to any person for influencing or attempting to influence an officer or
employee of an agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any Federal loan, the entering into
of any cooperative agreement, and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid
to any person for making lobbying contacts to 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 [as amended by "Government wide Guidance
for New Restrictions on Lobbying," 61 Fed. Reg. 1413 (1/19/96). Note: Language in
Revised 1/2011 Page 11 of 25
available to the public, rather than to restrict the benefits resulting from the work to
participants in that work. Tberefore, unless FTA determines otherwise, the Purchaser and
the Contractor performing experimental, developmental, or research work required by the
underlying contract to which this Attachment is added agrees to permit FTA to make
available to the public, either FTA's license in the copyright to any subject data developed
in the course of that contract, or a copy of the subject data first produced under the
contract for which a copyright has not been obtained. If the experimental, developmental,
or research work, which is the subject of the underlying contract, is not completed for any
reason whatsoever, all data developed under that contract shall become subject data as
defined in subsection (a) of this clause and shall be delivered as the Federal Government
may direct. This subsection (c) , however, does not apply to adaptations of automatic data
processing equipment or programs for the Purchaser or Contractor's use whose costs are
financed in whole or in part with Federal assistance provided by FTA for transportation
capital projects.
d. Unless prohibited by state law, upon request by the Federal
Government, the Purchaser and the Contractor agree to indemnify, save, and hold
harmless the Federal Government, 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 Purchaser or Contractor of proprietary
rights, copyrights, or right of privacy, arising out of the publication, translation,
reproduction, delivery, use, or disposition of any data furnished under that contract.
Neither the Purchaser nor the Contractor shall be required to indemnify the Federal
Government for any such liability arising out of the wrongful act of any employee,
official, or agents of the Federal Government.
e. Nothing contained in this clause on rights in data shall imply a license
to the Federal Government under any patent or be construed as affecting the scope of any
license or other right otherwise granted to the Federal Government under any patent.
f. Data developed by the Purchaser or Contractor and financed entirely
without using Federal assistance provided by the Federal Government that has been
incorporated into work required by the underlying contract to which this Attachment has
been added is exempt from the requirements of subsections (b), (c), and (d) of this clause
provided that the Purchaser or Contractor identifies that data in writing at the time of
delivery of the contract work.
9. Unless FTA determines otherwise, the Contractor agrees to include
these requirements in each subcontract for experimental, developmental, or research work
financed in whole or in part with Federal assistance provided by FTA.
3. Unless the Federal Government later makes a contrary determination in writing,
irrespective of the Contractor's status (i.e. , a large business, small business, state
government or state instrumentality, local government, nonprofit organization, institution
of higher education, individual, etc.), the Purchaser and the Contractor agree to take the
necessary actions to provide, through FTA, those rights in that invention due the Federal
Government as described in
Revised 1/2011 Page 22 of 25
IN WITNESS WHEREOF, the parties hereto have executed this Agreement on this date
of
FOR CONSULTANT:
In
Print Name & Title
Date:
FOR CITY OF SANTA CLARITA:
KENNETH W. STRIPLIN, CITY MANAGER
By:
City Manager
Date:
APPROVED AS TO FORM:
JOSEPH M. MONTES, CITY ATTORNEY
By:
City Attorney
Date:
Revised 1/2011 Page 25 of 25
SCRRAFileNo. S0001502
SCRRA Project No. 860888
DESIGN SERVICES AGREEMENT
BETWEEN
SOUTHERN CALIFORNIA REGIONAL RAIL
AUTHORITY
AND THE CITY OF SANTA CLARITA
For
VISTA CANYON MULTI -MODAL CENTER
(METROLINK STATION)
SCRRA VALLEY SUBDIVISION
MILE POST 37.9 TO 40.4
Vista Canyon Metrolink Station -I- Design Services Agreement
5-10.16
SCRRAFileNo. S0001502
SCRRA Project No. 860888
This Design Services Agreement ("AGREEMENT") is made and entered into on this
day of 1 2016 ("Effective date"), by and between the
SOUTHERN CALIFORNIA REGIONAL RAIL AUTHORITY ("SCRRA"), to be addressed at
One Gateway Plaza, Floor 12, CA 90012, and the CITY OF SANTA CLARITA, a general law
city and a municipal corporation organized and existing under the laws of the State of California
(hereinafter referred to as "CITY"), to be addressed at the City of Santa Clarita, 23920 Valencia
Boulevard, Suite 300, Santa Clarita, CA 91355. Herein CITY and SCRRA are sometimes
individually referred to as "PARTY", and collectively referred to as "PARTIES".
RECITALS:
SCRRA is a five -county joint powers authority, created pursuant to the California Public Utilities
Code Section 130255 and California Government Code Section 6500 et seq., to build, maintain,
administer, and operate the "METROLINK" commuter train system on railroad right-of-ways
owned by the member agencies and through other shared use and joint operation agreements.
The five -county member agencies are comprised of the following: Los Angeles County
Metropolitan Transportation Authority ("MTA"), Ventura County Transportation Commission
("VCTC"), Orange County Transportation Authority ("OCTA"), San Bernardino Associated
Governments ("SANBAG"), and Riverside County Transportation Commission ("RCTC").
SCRRA and the "Operating Railroads" [as used herein "Operating Railroads" means any
passenger or freight -related railroad company(s) operating on SCRRA track(s), including the
National Railroad Passenger Corporation (AMTRAK), the Union Pacific Railroad Company
(UPRR), the BNSF Railway (BNSF)] operate trains and rail equipment on right-of-way owned
by MTA, in accordance with Shared Use Agreements dated April 18, 1991, December 16, 1992,
and October 30, 1992 and the Agreement between SCRRA, its Member Agencies, and the
National Railroad Passenger Corporation (AMTRAK), otherwise known as the "Intercity
Agreement".
Vista Canyon Metrolink Station -2- Design Services Agreement
5-10.16
SCRRAFileNo. S0001502
SCRRA Project No. 860888
SCRRA controls, administers, operates, and maintains the railroad track, structures, signals,
communication systems, and appurtenances on the rail line known as the Valley Subdivision and
in the areas of future development of Vista Canyon Multi -Modal Center.
The City of Santa Clarita is partnering with the Los Angeles County Metropolitan Transportation
Authority (Metro) and Vista Canyon Ranch, LLC to develop the Vista Canyon Multi -Modal
Center as part of the approved transit -oriented development (TOD), Vista Canyon. The location,
conceptual design of the Vista Canyon Multi -Modal Center, and associated improvements and
appurtenances collectively define the "PROJECT", which is further shown in Attachment A-1,
and A-2.
The installation of the Multi -Modal Center may involve the removing and relocation of the
existing Via Princessa Metrolink Station. It is located at SCRRA's MP. 37.9 on the Valley
Subdivision in the City of Santa Clarita.
The proposed Vista Canyon Metrolink Station Project is near Valley Subdivision MP. 40.00,
being undertaken to implement the City's DEVELOPMENT OF THE VISTA CANYON
MULTI -MODAL CENTER Master Site Plan that was adopted by the City Council of the City of
Santa Clarita in May 2011. The Multi -Modal Center will serve as a regional hub for numerous
modes of transportation, including commuter rail, local and commuter bus transit, and bicycle
and pedestrian trails in the Santa Clarita Valley.
The term "PROJECT" as used in this AGREEMENT is to identify the engineering
design services contemplated for the following improvements: (a) Railroad track design
(approximately 1 mile); (b) Coordinate Railroad signal design with SCRRA including signal,
communication facilities and Positive Train Control (PTC); (c) Grade separated pedestrian
crossing; (d) New single track railroad bridge at mile post 40.13; (e) Station platform
development and design; (f) Construction phasing to maintain railroad operations throughout
construction; (g) Grading and Drainage modifications; (h) Any and all necessary changes to
utility; (i) Railroad coordination; 0) Via Princessa Station abandonment plans if required; (k) any
and/or all other work of every kind and character necessary to accomplish the conceptual
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designs and preliminary engineering and preparation of Plans, Specifications and
Estimates ("PS&E") for Vista Canyon Metrolink Station Project.
In conjunction with the PROJECT, SCRRA, at CITY's sole cost and expense, agrees to design
signal facilities, provide design support including engineering review, attend diagnostic meetings
with CPUC, undertake project management, develop the C&M Agreement and provide railroad
safety and inspection services to accommodate the PROJECT, hereinafter referred to as
"RAILROAD DESIGN SERVICES", and as detailed in Section I of this AGREEMENT.
The PARTIES desire to enter into this AGREEMENT with respect to the work to be completed
during the preliminary engineering and design phase so that any provisions for railroad
requirements can be included. Through this AGREEMENT funds will be provided by the CITY
to cover SCRRA costs to review elements of the PROJECT that impact the Metrolink operated
and maintained railroad tracks and provide railroad coordination for phasing and staging plans.
Impacts to the railroad may include track signal and communication relocations or modifications,
positive train control (PTC) facility relocations or modifications and will require railroad safety
protection and inspection services. Also, included in this AGREEMENT, after designs are
completed, but before construction begins PARTIES agree to enter into a Construction and
Maintenance Agreement which will protect the PARTIES interests during construction of the
PROJECT.
AGREEMENT
IN CONSIDERATION of the promises and mutual understandings of the PARTIES, and the
faithful performance thereof:
SECTION I
SCRRA, as part of its responsibilities, shall perform the following:
SCRRA shall provide RAILROAD DESIGN SERVICES during CITY's development of the
plans, specifications and estimate (PS&E) for the PROJECT as follows:
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1. Review and provide comments for the engineering documents (plans, specifications, and
reports) for the proposed demolition of the existing SCRRA's Via Princessa Station for
compliance with SCRRA requirements and operating train service.
2. Review and provide comments for the engineering documents for the Vista Canyon
Multi -Modal Center for compliance with SCRRA requirements and operating train
service
3. Review and provide comments for the construction phasing plans
4. Review and provide comments for plans, scope of work and cost estimates for any
modifications to track(s) required to accommodate the PROJECT.
5. Provide plans, specifications, and cost estimates for any modifications to the signal and
communication system required to accommodate the PROJECT.
6. Provide plans, specifications, scope of work and cost estimates for any and all necessary
changes to positive train control (PTC) facilities and appurtenances required to
accommodate the PROJECT, including FCC/FAA antenna permits.
7. Administer and process as necessary. Provide safety training to CITY and its Consultant
and Contractors on As -Needed basis. Locate and mark signal and communications
cables for LACMTA's Consultant and Contractors on As -Needed basis.
8. Provide Railroad protective and inspection services, including flagging, railroad safety
training to third party personnel working on the railroad right of way, and SCRRA utility
markings required for the PROJECT.
9. Provide project management, coordination and review of City submittals for compliance
to SCRRA standards, attend project development and coordination meetings, diagnostic
meetings and coordinate preparation of all agreements.
10. Prepare Contract Task Orders (CTOs) for SCRRA Engineering Consultants and
Contractors and other tasks as may be required to manage and coordinate SCRRA
interests.
11. Provide Agency administrative support for the project necessary to assist the CITY in the
development of the PROJECT and including all interdepartmental support.
12. Develop Construction and Maintenance (C&M) Agreement for the PROJECT. Said
agreement must be in place prior to permitting construction on SCRRA right of way.
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13. Submit to the CITY quarterly expense reports of SCRRA and its Engineering Consultants
and Contractors for work in connection with the PROJECT and the RAILROAD
DESIGN SERVICES on the basis of items set forth in Attachment B and per guidelines
set forth in Attachment C. Expense reports shall be delivered to the CITY within 30
days of the end of the preceding quarter. The first quarter will begin the first day of the
month that this AGREEMENT is executed. Expense reports shall include detailed
information including description, date of the expense, business purpose and amount.
SCRRA shall attach supporting documents substantiating the expense such as itemized
receipts, paid invoices or paid credit card statements (if description has sufficient detail).
Travel -related expenses are not allowed unless pre -approved by the CITY prior to travel.
SECTION 11
CITY as part of its responsibilities, shall perform the following:
1. CITY shall fund one hundred percent (100%) of all RAILROAD DESIGN SERVICES
included in Attachment B and any other costs associated with the PROJECT. The costs
associated with the line items in Attachment B are only estimates and may vary, for
which the CITY shall be responsible for reimbursement of one hundred percent (100%)
of all costs incurred by SCRRA. Any costs exceeding $782,400 must be approved in
advance by the City.
2. Upon execution of this AGREEMENT, the CITY shall deposit an additional three
hundred and sixty one thousand two hundred dollars ($361,200) to bring the total deposit
amount to fifty percent (50%) of the amount of the estimate contained in Attachment B,
SCRRA Scope of Work and Estimated Costs, with SCRRA. When the actual cost and
expenses incurred, including the estimated allocated overhead, reaches fifty percent
(50%) of the estimated project costs, SCRRA shall notify CITY in writing and the CITY
shall deposit the remaining balance of the estimated amount of the RAILROAD DESIGN
SERVICES. Should the deposit be depleted before the RAILROAD DESIGN
SERVICES is completed, SCRRA may stop all work and will not recommence until
CITY's next deposit is received.
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3. Fund any other costs associated with obtaining right-of-way, encroachments, easements
and other entitlements necessary prior to construction of the PROJECT.
4. Prepare plans, specifications and estimates, PS&E for the demolition of the existing Via
Princessa Station, if required.
5. Prepare plans, specifications and estimates, PS&E for the new station.
6. Prepare plans, specifications and estimates, PS&E for track reconfiguration.
7. Prepare plans, specifications and estimates, PS&E for construction phasing plans.
8. Prepare and submit 6 sets along with a pdf electronic file of half size plans of the various
milestone submittals in the PS&E package for the PROJECT for SCRRA review at
approximately 60%, 90% and final stages of completion.
9. Comply with the most current SCRRA design manuals, standards, guidelines and other
documents in effect at each submittal phase called for herein. Additionally, if a
construction contract for the PROJECT has not been awarded and a Notice to Proceed
issued within two years of the execution of the C&M agreement, the CITY's design shall
be changed to incorporate any SCRRA revised design requirements, at CITY's expense.
10. Identify and locate all SCRRA signal and communication, and PTC facilities in the
project area. Signals determined to be obscured and or signals and communication
facilities determined to be in conflict with construction will be relocated, if necessary.
Relocations will be designed by SCRRA and relocated by SCRRA at CITY expense.
SCRRA facilities that cannot be relocated because of operational or other constrains may
require CITY to alter their design or construction procedures.
11. Shall include in the PS&E package for submittals as set forth herein all Third Party
facilities in the PROJECT. In the event that any utility work needs to be undertaken for
any existing public and/or private utility during the preliminary engineering phase of the
PROJECT, CITY will make all necessary agreements with the owners for the protection,
relocation or removal of said facilities. CITY shall also provide copies of its letter
agreements with utility companies to SCRRA and MTA showing that arrangements have
been made for the protection, relocation or removal of all conflicting facilities within the
MTA right-of-way.
12. Shall seek additional or new easement(s) from MTA to facilitate the work required to
construct the PROJECT and for other features as may be required.
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13. File a formal application for the PROJECT with the California Public Utilities
Commission (CPUC) for authority to construct the Grade Separated Pedestrian Crossing
structure.
14. Reimburse SCRRA for SCRRA's operating train service in the event that a relocation of
any utility facility performed in the design phase of the PROJECT causes an unscheduled
delay to train service. SCRRA will charge the CITY any actual delay costs incurred by
SCRRA resulting there from, including those arising from additional train crew labor
costs, additional railroad inspector costs, cost of establishing any bus bridges, lost
passenger revenues, and customer rebate costs.
15. Comply and/or execute any necessary Right of Entry forms (Form 5, 6, 37) from SCRRA
for all PARTIES performing any work under this AGREEMENT that requires entry onto
the MTA right-of-way by CITY, its consultants or contractors prior to the performance of
such work.
16. Obtain and comply with any and all necessary approvals, real estate permits, licenses or
easements and other authorizations required by applicable laws, regulations, rules, or
ordinances prior to commencement of any work within rail right-of-way from SCRRA's
member agency, MTA, UPRR, and Amtrak.
17. Should CITY disagree with SCRRA's design or design requirements or otherwise cause a
cessation of development of the RAILROAD DESIGN SERVICES, CITY shall be
responsible for any costs involved in resuming and completing the RAILROAD DESIGN
SERVICES, to the extent reasonably practicable. SCRRA and CITY shall work to
resolve any disputes in a timely manner to avoid such delay costs.
SECTION III
MUTUAL AGREEMENT:
Neither SCRRA, nor the Operating Railroads as identified by SCRRA, nor any of SCRRA's
board members, member agencies, officers, agents, volunteers, contractors, or employees, shall
be responsible for any damage or liability occurring by reason of any acts or omissions on the
part of CITY under or in connection with any aspect of the PROJECT, work, authority or
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obligation agreed to by the CITY under this AGREEMENT. CITY shall indemnify, defend and
hold harmless SCRRA, any Operating Railroads, as identified by SCRRA, as well as their
respective board members, member agencies, officers, agents, volunteers, contractors, and
employees ("SCRRA Indemnities") from any and all liability, loss, expense (including
reasonable attorneys' fees and other defense costs), demands, suits, liens, damages, costs, claims,
including but not limited to, claims for bodily injury, death, personal injury, or property damage,
that are incurred by or asserted against the SCRRA Indemnities arising out of or connected with
any negligent acts or omissions on the part of CITY, its council, officers, agents, contractors, or
employees under or in connection with any aspect of the PROJECT, work, authority or
obligation agreed to by the CITY under this AGREEMENT. This indenmity shall survive
completion of the PROJECT and RAILROAD DESIGN SERVICES and termination of this
AGREEMENT.
Neither CITY, nor its council, officers, agents, contractors, or employees shall be responsible for
any damage or liability occurring by reason of any acts or omissions on the part of SCRRA
under or in connection with any RAILROAD DESIGN SERVICES, authority or obligation
agreed to by SCRRA under this AGREEMENT. SCRRA shall indemnify, defend and hold
harmless CITY, as well as their respective council, officers, agents, contractors, and employees
("CITY Indemnities") from any and all liability, loss, expense (including reasonable attorneys'
fees and other defense costs), demands, suits, liens, damages, costs, claims, including but not
limited to, claims for bodily injury, death, personal injury, or property damage, that are incurred
by or asserted against the CITY Indemnities arising out of or connected with any negligent acts
or omissions on the part of SCRRA, its board members, officers, agents, volunteers, contractors
or employees under or in connection with any aspect of the RAILROAD DESIGN SERVICES,
authority or obligation agreed to by SCRRA under this AGREEMENT. This indenmity shall
survive completion of the PROJECT and RAILROAD DESIGN SERVICES and termination of
this AGREEMENT.
In contemplation of the provisions of Government Code §895.2 imposing certain tort liability
jointly upon public entities solely by reason of such entities being PARTIES to an agreement, as
defined in Government Code §895, each of the PARTIES hereto, pursuant to the authorization
contained in Government Code §895.4 and §895.6, will assume the full liability imposed upon it
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or any of its officers, agents or employees by law for injury caused by any negligent or wrongful
act or omission occurring in the performance of this AGREEMENT to the same extent that such
liability would be imposed in the absence of §895.2 of such code. To achieve this purpose, each
party agrees to indemnify and hold harmless the other for any cost or expense that may be
imposed upon such other solely by virtue of said §895.2. The provisions of Civil Code §2778
are made a part hereof as if incorporated herein.
The sources of funding for the PROJECT are Federal and State funds. All contracts, expenses
and invoicing for this PROJECT shall meet the requirements of CITY's funding sources which
are included in Attachment C, attached hereto and by reference incorporated herein
The PS&E associated with the RAILROAD DESIGN SERVICES and prepared, contracted for with third -
parties and/or famished by SCRRA and shall be and remain SCRRA property. The CITY shall be
permitted to retain copies, including reproducible copies and CADD copies, of the drawings, specifications
and other documents for information and reference in connection with the CITY's construction of the
Project and ownership of the new station and related improvements. SCRRA hereby grants Owner an
irrevocable, fully paid-up, perpetual and sub licensable license and right to use the drawings, specifications
and other documents furnished, including the originals thereof, and the ideas and designs contained therein,
for any purpose regardless of whether the RAILROAD DESIGN SERVICES are completed, modified or
terminated. SCRRA shall have no ownership interest in any other design services documents but shall
SCRRA shall be permitted to retain copies, including reproducible copies and CADD copies, of the
drawings, specifications and other documents for information and reference. CITY hereby grants SCRRA
an irrevocable, fully paid-up, perpetual and sub licensable license and right to use the drawings,
specifications and other documents furnished, and the ideas and designs contained therein, for any purposes
associated with the PROJECT, whether the PROJECT is completed, modified or terminated. The licenses
provided for in this paragraph shall survive the termination of this AGREENIENT.
The construction and maintenance responsibilities for the PROJECT will be covered by a
separate C&M Agreement which will be executed prior to commencement of construction of
each element of the PROJECT.
In addition to the specific provisions of this AGREEMENT, delay in performance by any party
hereunder shall not be a default where delays or defaults are due to war; insurrection; strikes;
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IN WITNESS WHEREOF, the PARTIES have executed this AGREEMENT as of the date first
written above.
SOUTHERN CALIFORNIA
REGIONAL RAIL AUTHORITY
Lo
Arthur T. Leahy
Chief Executive Officer
Date:
APPROVED AS TO FORM:
0
Don 0. Del Rio
General Counsel
Date:
CITY OF SANTA CLARITA
IN
Kenneth W. Striplin, Ed.D.
City Manager
Date:
APPROVED AS TO FORM:
IN
Deputy City Attorney
Date:
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ATTACHMENT A-1
Project Location
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ATTACHMENT A-2
Conceptual Plan
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ATTACHMENT B
SCRRA Scope of Design Services and Estimate
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The undersigned [Contractor] certifies, to the best of his or her knowledge and belief, that
1 . No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee of an
agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with the awarding of any Federal contract, the making of any Federal grant,
the making of any Federal loan, the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or
cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to any
person for making lobbying contacts to 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 [as amended by "Government wide Guidance for New Restrictions on
Lobbying," 61 Fed. Reg. 1413 (1/19/96). Note: Language in paragraph (2) herein has been modified
in accordance with Section 10 of the Lobbying Disclosure Act of 1995 (P.L. 104-65, to be codified
at 2 U. S. C. 160 1, et seq .)]
3. The undersigned shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts
under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose
accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making or
entering into this transaction imposed by 3 1, U. S. C. § 13 5 2 (as amended by the Lobbying Disclosure
Act of 1995). Any person who fails to file the required certification shall be subject to a civil penalty
of not less than $10,000 and not more than $100,000 for each such failure.
[Note: Pursuant to 31 U.S.C. § 1352(c)(l)-(2)(A), any person who makes a prohibited
expenditure or fails to file or amend a required certification or disclosure form shall be subject to a
civil penalty of not less than $10,000 and not more than $100,000 for each such expenditure or
failure.]
The Contractor, Metrolink certifies or affirms the truthfulness and accuracy of each statement of
its certification and disclosure, if any. In addition, the Contractor understands and agrees that the
provisions of 31 U.S.C. A 3801, et seq., apply to this certification and disclosure, if any.
Signature of Contractor's Authorized Official
Name and Title of Contractor's Authorized Official
Date
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any property in its possession belonging to the City of Santa Clarita, the Contractor will account for
the same, and dispose of it in the manner the City of Santa Clarita directs.
b. Termination for Default [Breach or Cause] (General Provision) If the Contractor
does not deliver supplies in accordance with the contract delivery schedule, or, if the contract is for
services, the Contractor fails to perform in the manner called for in the contract, or if the Contractor
fails to comply with any other provisions of the contract, the City of Santa Clarita may terminate this
contract for default. Termination shall be effected by serving a notice of termination on the
contractor setting forth the manner in which the Contractor is in default. The contractor will only be
paid the contract price for supplies delivered and accepted, or services performed in accordance with
the manner of performance set forth in the contract.
If it is later determined by the City of Santa Clarita that the Contractor had an excusable reason
for not performing, such as a strike, fire, or flood, events which are not the fault of or are beyond the
control of the Contractor, the City of Santa Clarita, after setting up a new delivery of performance
schedule, may allow the Contractor to continue work, or treat the termination as a termination for
convenience.
C. Opportunity to Cure (General Provision) The City of Santa Clarita in its sole
discretion may, in the case of a termination for breach or default, allow the Contractor [an
appropriately short period of time] in which to cure the defect. In such case, the notice of termination
will state the time period in which cure is permitted and other appropriate conditions
If Contractor fails to remedy to City of Santa Clarita's satisfaction the breach or default of any of
the terms, covenants, or conditions of this Contract within [ten (10) days] after receipt by Contractor
of written notice from City of Santa Clarita setting forth the nature of said breach or default, City of
Santa Clarita shall have the right to terminate the Contract without any further obligation to
Contractor. Any such termination for default shall not in any way operate to preclude City of Santa
Clarita from also pursuing all available remedies against Contractor and its sureties for said breach
or default.
d. Waiver of Remedies for any Breach In the event that City of Santa Clarita elects to
waive its remedies for any breach by Contractor of any covenant, term or condition of this Contract,
such waiver by City of Santa Clarita shall not limit City of Santa Clarita�s remedies for any
succeeding breach of that or of any other term, covenant, or condition of this Contract.
e. Termination for Convenience (Professional or Transit Service Contracts) The City
of Santa Clarita, by written notice, may terminate this contract, in whole or in part, when it is in the
Govermnent's interest. If this contract is terminated, the Recipient shall be liable only for payment
under the payment provisions of this contract for services rendered before the effective date of
termination.
f. Termination for Convenience or Default (Architect and Engineering) The City of
Santa Clarita may terminate this contract in whole or in part, for the Recipient's convenience or
because of the failure of the Contractor to fulfill the contract obligations. The City of Santa Clarita
shall terminate by delivering to the Contractor a Notice of Termination specifying the nature, extent,
and effective date of the termination. Upon receipt of the notice, the Contractor shall (1)
immediately discontinue all services affected (unless the notice directs otherwise), and (2) deliver to
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ATTACHMENT D
City of Santa Clarita's Master Agreement
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TABLE OF CONTENTS
PREFACE
GENERALLY APPLICABLE PROVISIONS
Section 1.
Dermitions.
1
Section 2.
Project
Implementation.
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a.
Effective Date.
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b.
Project Description.
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C.
Prompt Implementation.
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d.
Project Completion Dates.
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e.
The Recipient's Capacity.
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f.
U.S. DOT Administrative Requirements.
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g.
Application of Federal, State, and Local Laws, Regulations, and Guidance.
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h.
The Recipient's Responsibility to Comply with Federal Requirements.
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i.
The Recipient's Responsibility to Extend Federal Requirements to Third Party
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Participants.
j .
Situations Requiring Prior ETA or Federal Approval in Writing.
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k.
Changes in Project Performance.
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1.
Conflicts Between Federal Requirements and State, Territorial, Local, or Tribal
12
Requirements.
in.
No Federal Government Commitment or Liability to Third Parties.
12
Section 3.
Ethics.
13
a.
Code or Standards of Conduct.
13
b.
Debarment and Suspension.
13
C.
Bonus or Commission.
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d.
Lobbying Restrictions.
14
e.
Political Activity.
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f.
False or Fraudulent Statements or Claims.
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g.
Trafficking in Persons.
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Section 4.
Federal Funding.
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a.
Maximum Federal Funding.
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b.
Basis of ETA Funding.
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Section 5.
Local Share.
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a.
Amount of the Local Share.
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b.
Permissible Sources of Local Share.
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C.
Restricted Sources of Local Share.
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d.
Prohibited Sources of Local Share.
19
e.
Duty to Obtain the Local Share.
20
f.
Prompt Provision of the Local Share.
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g.
Reductions or Refunds.
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Section 6. Approved Project Budget.
a. Development and Approval.
b. Restrictions.
C. Amendments.
d. Transfer of Funds.
e. Budget Revisions.
f. Additional Federal Funding.
g. Unspent Federal Funds.
Section 7. Payments to the Recipient.
a. Conditions for Accessing ETA Funds.
b. Eligible Project Costs.
C. Ineligible Costs.
d. Bond Interest and Other Financing Costs — Limited Eligibility.
e. Payment Procedures Based on the Type of Award Made to a Recipient.
f. Payment Procedures Generally.
g. Payment Procedures for a Recipient of a Cooperative Agreement.
h. Payments to the Recipient.
i. Safeguarding Project Funds.
j. The Recipient's Duty to Pay Project Costs.
k. Effect of Federal Payments.
1. Revocation of Federal Funds.
in. Final Cost Determination.
n. Closeout.
0. Notification.
p. Recovery of Improper Payments.
q. Program Income.
r. Profits.
S. Excess Payments, Disallowed Costs, Refunds, Claims, Debts, Interest,
Penalties Administrative Charges, and Other Amounts Owed to the
Federal Government.
t. De -obligation of Federal Funds.
Section 8. Project Records and Reports.
a. Project Records.
b. Project Reports.
C. National Transit Database (NTD).
d. U.S. OMB Special Reporting Provisions.
e. Project Closeout.
Section 9. Record Retention.
a. Types of Records.
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b.
Retention Period.
C.
Project Closeout.
Section 10.
Access to Records and Sites of Project Performance.
a.
Access to Recipient and Third Party Contract Records.
b.
Access to Sites of Project Performance.
C.
Project Closeout.
Section 11.
Project Completion, Audit, Settlement, and Closeout.
a.
Project Completion.
b.
Audit of Recipients.
C.
Amounts Owed to the Federal Government.
d.
Project Closeout.
Section 12.
Right of the Federal Government to Terminate.
a.
Justification.
b.
Financial Implications.
C.
Expiration of Project Time Period.
Section 13.
Civil Rights.
a.
Nondiscrimination in Federal Public Transportation Programs.
b.
Nondiscrimination - Title VI of the Civil Rights Act.
C.
Equal Employment Opportunity.
d.
Disadvantaged Business Enterprise.
e.
Nondiscrimination on the Basis of Sex.
f.
Nondiscrimination on the Basis of Age.
g.
Nondiscrimination on the Basis of Disability.
h.
Drug or Alcohol Abuse - Confidentiality and Other Civil Rights Protections.
i.
Access to Services for People with Limited English Proficiency.
j.
Other Nondiscrimination Laws and Regulations.
k.
Remedies.
Section 14.
Planning.
a.
Standard Planning Provisions.
b.
Tribal Transit Program Planning Provisions.
Section 15.
Private Enterprise.
a.
Participation.
b.
Just Compensation.
C.
Infrastructure Investment.
Section 16.
Preference for United States Products and Services.
a.
Buy America.
b.
Cargo Preference — Use of United States -Flag Vessels.
C.
Fly America.
Section 17.
Procurement.
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a.
Federal Laws, Regulations, and Guidance.
b.
Full and Open Competition.
C.
Exclusionary or Discriminatory Specifications.
d.
Geographic Restrictions.
e.
In -State Bus Dealer Restrictions.
f.
Organizational Conflicts of Interest.
g.
Project Labor Agreements.
h.
U.S. GSA Federal Supply Schedules.
i.
State Supply Schedules.
j.
Force Account.
k.
ETA Technical Review.
1.
Relationship of Project Approval to Third Party Contract Approval.
m.
Preference for Recycled Products.
n.
Clean Air and Clean Water.
0.
National Intelligent Transportation Systems Architecture and Standards.
p.
Rolling Stock.
q.
Bonding.
r.
Architectural Engineering or Related Services.
S.
Design -Build Projects.
t.
Award to Other than the Lowest Bidder.
U.
Award to Responsible Contractors.
V.
Access to Third Party Contract Records.
w.
Electronic and Information Technology.
X.
Veterans Employment.
Section 18. Leases.
a.
Capital Leases.
b.
Leases Involving Certificates of Participation.
Section 19. Patent Rights.
a.
General.
b.
Federal Rights.
C.
License Fees and Royalties.
Section 20. Rights in Data and Copyirights.
a.
Definition of "Subject Data."
b.
Examples of "Subject Data."
C.
General Federal Restrictions.
d.
Federal Rights in Data and Copyrights.
e.
Special Federal Rights in Data for Research, Development, Demonstration,
Deployment, and Special Studies Projects.
f.
License Fees and Royalties.
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g.
Hold Harmless.
54
h.
Restrictions on Access to Patent Rights.
54
i.
Data Developed Without Federal Funding or Support.
54
j.
Requirements to Release Data.
54
Section 21.
Use of Real Property, Equipment, and Supplies.
55
a.
Use of Project Property.
55
b.
General Federal Requirements.
55
C.
Maintenance.
56
d.
Records.
56
e.
Incidental Use.
56
f.
Reasonable Access to Private Intercity Transportation Operators or Charter
57
Transportation Operators.
g.
Encumbrance of Project Property.
57
h.
Useful Life of Project Property.
58
i.
Calculating the Value of Prematurely Withdrawn Project Property.
58
j.
Insurance Proceeds.
59
k.
Misused or Damaged Project Property.
59
1.
Disposition of Project Property.
59
m.
Responsibilities After Project Closeout.
60
Section 22.
Transit Asset Management.
61
a.
Transit Asset Management Plan.
61
b.
When Compliance is Required.
61
Section 23.
Insurance.
61
a.
Flood Hazards.
61
b.
Other Insurance Requirements.
61
Section 24.
Relocation.
61
a.
Relocation Protections.
61
b.
Nondiscrimination in Housing.
62
C.
Prohibition Against the Use of Lead -Based Paint.
62
Section 25.
Real Property.
62
a.
Real Property Acquisition Protections.
62
b.
Covenant Assuring Nondiscrimination.
62
C.
Recording the Title to Real Property.
62
d.
ETA Approval of Changes in Real Property Ownership.
63
Section 26.
Construction.
63
a.
Construction Plans and Specifications.
63
b.
Seismic Safety.
63
C.
Supervision of Construction.
63
d.
Construction Reports.
63
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e. Major Capital Investment Project Regulations and Guidance.
63
Section 27.
Early Systems Work Agreement.
64
a. Statutory Requirements.
64
b. ESWA Provisions.
64
Section 28.
Employee Protections.
65
a. Construction Activities.
65
b. Activities Not Involving Construction.
65
C. Activities Involving Commerce.
66
d. Public Transportation Employee Protective Arrangements.
66
Section 29.
Environmental Protections.
67
a. General.
67
b. National Environmental Policy.
68
C. Environmental Justice.
68
d. Air Quality.
69
e. Clean Water.
69
f. Corridor Preservation.
70
g. Use of Certain Public Lands.
70
h. Wild and Scenic Rivers.
70
i. Coastal Zone Management.
70
j. Wetlands.
70
k. Floodplains.
70
1. Endangered Species and Fishery Conservation.
71
m. Waste Management.
71
n. Hazardous Waste.
71
0. Historic Preservation.
71
p. Indian Sacred Sites.
71
q. Mitigation of Adverse Environmental Effects.
72
Section 30.
Energy Conservation.
72
a. State Energy Conservation Plans.
72
b. Energy Assessment.
72
Section 31.
State Management and Monitoring Systems.
72
a. Joint Regulations.
72
b. ETA Regulations.
72
Section 32.
Charter Service.
73
a. Applicability.
73
b. Prohibitions.
73
C. Exceptions.
73
d. Charter Service Agreement.
73
e. Violations.
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Section 33. School Bus Operations.
a. Applicability.
b. Prohibitions.
C. School Bus Agreement.
d. Violations.
Section 34. Metric System.
a. Use.
b. Deliverables.
Section 35. Geographic Information and Related Spatial Data.
a. Standards.
b. Federal Guidance.
Section 36. Federal $1 Coin Requirements.
a. Federal Law.
b. Capability.
C. Publicizing.
Section 37. Public Transportation Safety Program.
a. Public Transportation Agency Safety Plan.
b. State Safety Oversight of Rail Fixed Guideway Public Transportation Systems.
Section 38. Motor Carrier Safety.
a. Financial Responsibility.
b. Safety Requirements.
C. Driver Qualifications.
d. Substance Abuse Rules for Motor Carriers.
Section 39. Safe Operation of Motor Vehicles.
a. Transportation — Hazardous Materials.
b. Seat Belt Use.
C. Distracted Driving, Including Text Messaging While Driving.
Section 40. Substance Abuse.
a. Drug -Free Workplace.
b. Alcohol Misuse and Prohibited Drug Use.
Section 41. Protection of Sensitive Security Information.
Section 42. Special Notification Requirements for States.
a. Types of Information.
b. Documents.
Section 43. Freedom of Information Act.
a. Applicability.
b. Project Records.
C. Confidentiality.
Section 44. Disputes, Breaches, Defaults, or Other Litigation.
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SPECIAL PROVISIONS FOR SPECIFIC PROGRAMS.
Section 49.
a. ETA Interest.
81
b. Notification to FTA.
81
C. Federal Interest in Recovery.
82
d. Enforcement.
82
e. ETA Concurrence.
82
Section 50.
f. Alternative Dispute Resolution.
82
Section 45.
Amendments to the Project.
82
a. Changed Circumstances.
82
b. Changed Information.
82
Section 46.
FTA's Electronic Award and Management System.
82
a. Recipient Use.
82
b. Terms in FTA's Electronic Award and Management System.
83
Section 47.
Information Obtained through Internet Links.
83
Section 52.
a. Accuracy.
83
b. Relationship to the Master Agreement.
83
C. Official Sources.
83
Section 48.
Severability.
83
SPECIAL PROVISIONS FOR SPECIFIC PROGRAMS.
Section 49.
Applicability of MAP -21 and Previous Authorization Requirements.
84
a. Source of Project Funding.
84
b. ETA Determinations.
84
C. Federal Regulations and Guidance.
86
d. Future Federal Regulations and Guidance.
86
Section 50.
Special Provisions for the Metropolitan Planning Programs.
86
a. Applicability of This Section 50.
87
b. MAP -21 Requirements Apply.
87
C. Federal Laws, Regulations, and Guidance.
87
Section 51.
Special Provisions for the Statewide Planning and Research Program.
87
a. Applicability of This Section 5 1.
87
b. MAP -21 Requirements Apply.
88
C. Federal Laws, Regulations, and Guidance.
88
Section 52.
Special Provisions for the Transit-Oiriented Development Planning Pilot
88
Program.
a. Applicability of This Section 52.
88
b. Federal Laws, Regulations, and Guidance.
89
Section 53.
Special Provisions for the Alternatives Analysis Program Formerly Authorized
89
Before MAP -21 Became Effective.
a. Applicability of This Section 53.
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b. Former 49 U.S.C. § 5328.
C. Federal Laws, Regulations, and Guidance.
Section 54. Special Provisions for the Urbanized Area Formula Grant Program
Authorized by MAP -21.
a. Applicability of This Section 54.
b. MAP -21 Amendments.
C. Federal Laws, Regulations, and Guidance.
d. Other Special Provisions for Urbanized Area Formula Projects Authorized by
MAP -21.
Section 55. Special Provisions for the Urbanized Area Formula Grant Program Formerly
Authorized Before MAP -21 Became Effective.
a. Applicability of This Section 55.
b. Former 49 U.S.C. § 5307.
C. Federal Laws, Regulations, and Guidance.
d. Other Special Provisions for Urbanized Area Formula Projects in Effect in
Fiscal Year 2012 or a Previous Fiscal Year.
Section 56. Special Provisions for the Passenger Ferry Grant Program.
a. Applicability of This Section 56.
b. Federal Laws, Regulations, and Guidance.
Section 57. Special Provisions for the Job Access and Reverse Commute (JARC) Formula
Grants Program Formerly Authorized Before MAP -21 Became Effective.
a. Applicability of This Section 57.
b. Former 49 U.S.C. § 5316.
C. Federal Laws, Regulations, and Guidance.
d. Eligible Project Activities.
e. Consistency with Transportation Plans.
f. Written Agreements with Subrecipients.
Section 58. Special Provisions for the Fixed Guideway Capital Investment Grants
Program.
a. Applicability of This Section 58.
b. MAP -21 Requirements Apply.
C. MAP -21 Amendments.
d. Federal Laws, Regulations, and Guidance.
Section 59. Special Provisions for the State of Good Repair Formula Grants Program.
a. Applicability of This Section 59.
b. Federal Laws, Regulations, and Guidance.
Section 60. Special Provisions for the Fixed Guideway Modernization Grants Program
Formerly Authorized Before MAP -21 Became Effective.
a. Applicability of This Section 60.
b. Former 49 U.S.C. § 5309.
C. Federal Laws, Regulations, and Guidance.
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Section 61.
Special Provisions for the Bus and Bus Facilities Formula Program.
100
a. Applicability of This Section 61.
100
b. Federal Laws, Regulations, and Guidance.
100
Section 62.
Special Provisions for the Discretionary Bus and Bus Facilities Grants
100
Program Formerly Authorized Before MAP -21 Became Effective.
a. Applicability of This Section 62.
100
b. Former 49 U.S.C. § 5309.
100
C. Federal Laws, Regulations, and Guidance.
100
Section 63.
Special Provisions for the Enhanced Mobility of Seniors and Individuals with
101
Disabilities Formula Program.
a. Applicability of This Section 63.
101
b. MAP -21 Amendments.
101
C. Federal Laws, Regulations, and Guidance.
102
d. Other Special Provisions for the Enhanced Mobility of Seniors and Individuals
with Disabilities Formula Program Authorized by MAP -21.
102
Section 64.
Special Provisions for the New Freedom Program Formerly Authorized Before
103
MAP -21 Became Effective.
a. Applicability of This Section 64.
103
b. Former 49 U.S.C. § 5310.
103
C. Federal Laws, Regulations, and Guidance.
104
d. Other Special Provisions for the Elderly Individuals and Individuals with
Disabilities Program in Effect in Fiscal Year 2012 or a Previous Fiscal Year.
104
Section 65.
Special Provisions for the New Freedom Program Formerly Authorized Before
105
MAP -21 Became Effective.
a. Applicability of This Section 65.
105
b. Former 49 U.S.C. § 5317.
105
C. Federal Laws, Regulations, and Guidance.
106
d. Eligible Project Activities.
106
e. Consistency with Transportation Plans.
106
f. Written Agreements with Subrecipients.
106
Section 66.
Special Provisions for the Formula Grants Program for Rural Areas.
107
a. Applicability of This Section 66.
107
b. MAP -21 Amendments.
107
C. Federal Laws, Regulations, and Guidance.
107
d. Other Special Provisions for the Rural Areas Formula Grants Program.
108
Section 67.
Special Provisions for the Other Than Urbanized Areas Formula Grant
109
Program Formerly Authorized Before MAP -21 Became Effective.
a. Applicability of This Section 67.
109
b. Former 49 U.S.C. § 5311.
109
C. Federal Laws, Regulations, and Guidance.
109
d. Other Special Provisions for the Formula Grants for Other Than Urbanized
110
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Areas Program in Effect in Fiscal Year 2012 or a Previous Fiscal Year.
113
Section 68.
Special Provisions for the Rural Transportation Assistance Program.
ill
a. Applicability of This Section 68.
ill
b. Federal Laws, Regulations, and Guidance.
ill
C. MAP -21 Requirements Apply.
ill
Section 69.
Special Provisions for the Public Transportation on Indian Reservations
114
Programs (also known as the "Tribal Transit Formula Program" and the
"Tribal "Tribal
112
Transit Discretionary Program" and collectively known as the
115
Transit Program").
115
Section 73.
a. Applicability of This Section 69.
112
b. Federal Laws, Regulations, and Guidance.
112
Section 70.
Special Provisions for the Public Transportation on Indian Reservations
115
Program Formerly Authorized Before MAP -21 Became Effective (also known
112
as the Tribal Transit Program, Discretionary Only).
115
a. Applicability of This Section 70.
112
Section 74.
b. Federal Laws, Regulations, and Guidance.
113
Section 71.
Special Provisions for the Appalachian Development Public Transportation
113
Assistance Program.
116
a. Applicability of This Section 71.
113
b. Federal Laws, Regulations, and Guidance.
113
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FTA Master Agreement MA(21),10-1-2014
C. Transfer of Funds.
113
Section 72.
Special Provisions for the Over -the -Road Bus Accessibility Program Formerly
114
Authorized Before MAP -21 Became Effective.
a. Applicability of This Section 72.
114
b. Former Section 3038 of the Transportation Equity Act for the 21st Century
(TEA -21), as Amended.
114
C. Federal Laws, Regulations, and Guidance.
114
d. Employee Protective Arrangements.
115
e. Order of Precedence.
115
Section 73.
Special Provisions for the Paul S. Sarbanes Transit in Parks Program
115
Formerly Authorized Before MAP -21 Became Effective.
a. Applicability of This Section 73.
115
b. Former 49 U.S.C. § 5320.
115
C. Federal Laws, Regulations, and Guidance.
115
d. Order of Precedence.
116
Section 74.
Special Provisions for the Clean Fuels Grant Program Formerly Authorized
116
Before MAP -21 Became Effective.
a. Applicability of This Section 74.
116
b. Former 49 U.S.C. § 5308.
116
C. Federal Laws, Regulations, and Guidance.
116
Section 75.
Special Provisions for All "Research -Type" Programs.
116
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a. Applicability of This Section 75.
116
b. Programs Covered.
116
C. "Research -Type" Project Provisions.
117
d. Protection of Human Subjects.
118
e. Protection of Animals.
118
f. Export Control.
118
Section 76.
Special Provisions for the Research, Development, Demonstration and
Deployment Program (also known as the National Research and Technology
118
Program) Authorized by MAP -21.
a. Applicability of This Section 76.
118
b. Research, Development, Demonstration, and Deployment Programs
Authorized by MAP -21.
119
C. Federal Laws, Regulations, and Guidance.
119
Section 77.
Special Provisions for the Research, Development, Demonstration and
Deployment Program (also known as the National Research and Technology
119
Program) and Other Research Programs or Special Studies Projects Formerly
Authorized Before MAP -21 Became Effective.
a. Applicability of This Section 77.
119
b. Former 49 U.S.C. §§ 5312(a) and 5314(a).
120
C. Research, Development, Demonstration, and Deployment Programs
Authorized Before MAP -21 Became Effective.
120
d. Federal Laws, Regulations, and Guidance.
120
Section 78.
Special Provisions for the Low or No Emission Vehicle Deployment Program.
121
a. Applicability of This Section 78.
121
b. Federal Laws, Regulations, and Guidance.
121
Section 79.
Special Provisions for the Transit Cooperative Research Program.
121
a. Applicability of This Section 79.
121
b. Federal Laws, Regulations, and Guidance.
121
C. MAP -21 Requirements Apply.
122
Section 80.
Special Provisions for the Technical Assistance and Standards Development
122
Program.
a. Applicability of This Section 80.
122
b. Federal Laws, Regulations, and Guidance.
122
Section 81.
Special Provisions for the Technical Assistance Program (To Support Public
122
Transportation Availabilityfor Seniors and Individuals with Disabilities).
a. Applicability of This Section 81.
122
b. Federal Laws, Regulations, and Guidance.
123
Section 82.
Special Provisions for the Public Transportation Programs to Facilitate
Compliance with the Americans with Disabilities Act (Easter Seals Program)
123
Formerly Authorized Before MAP -21 Became Effective.
a. Applicability of This Section 82.
123
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b. Federal Laws, Regulations, and Guidance.
123
Section 83.
Special Provisions for the Human Resources and Training Program
Authorized by MAP -21 and the Human Resources Program Formerly
124
Authorized Before MAP -21 Became Effective.
a. Applicability of This Section 83.
124
b. Local Share.
124
C. Federal Laws, Regulations, and Guidance.
124
Section 84.
Special Provisions for the Innovative Public Transportation Workforce
125
Development Program.
a. Applicability of This Section 84.
125
b. Federal Laws, Regulations, and Guidance.
125
Section 85.
Special Provisions for the Public Transportation Emergency Relief Program
125
(or Emergency Relief Program.
a. Applicability of This Section 85.
125
b. Federal Laws, Regulations, and Guidance.
125
Section 86.
Special Provisions for the State Safety Oversight Grant Program.
126
a. Applicability of This Section 86.
126
b. Federal Laws, Regulations, and Guidance.
126
C. Other Special Provisions for the State Safety Oversight Program.
126
Section 87.
Special Provisions for State Infrastructure Bank Projects.
127
a. Federal Laws, Regulations, and Guidance.
127
b. Limitations on Accessing Federal Funds in the Transit Account.
127
Section 88.
Special Provisions for TIFIA Projects.
128
a. Federal Laws, Regulations, and Guidance.
128
b. Default.
128
C. Order of Precedence.
128
Section 89.
Special Provisions for Recovery Act Projects.
128
a. Recovery Act.
128
b. Identification of Recovery Act Funding.
128
C. Identification of Project(s).
129
d. Prompt Implementation.
130
e. Federal Requirements.
130
f. U.S. OMB Provisions.
130
g. One -Time Funding.
131
h. Funding Limits.
131
i. Integrity.
131
j. Violations of Law.
132
k. Maintenance of Effort.
132
1. Emblems.
132
m. Contracts Financed With Recovery Act Funds.
132
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n.
Time Limit for Spending Recovery Act Funds.
132
Section 90. Special Provisions for Joint FTA - FRA Projects.
132
a.
General Legal Requirements.
132
b.
Disadvantaged Business Enterprises.
133
C.
Buy America.
133
d.
Force Account — Procurement.
133
e.
Procurement of Rolling Stock.
133
f.
Use of Real Property, Equipment, and Supplies.
134
g.
Davis -Bacon.
134
h.
Employee Protective Arrangements.
134
i.
Motor Carrier Safety.
134
j.
Railroad Safety.
134
134
APPENDIX A
TRIBAL TRANSIT PROGRAM — APPLICABLE PROVISIONS.
APPENDIX B
PRIOR FTA OR FEDERAL APPROVALS.
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FTA Master Agreement MA(21),10-1-2014
b. Amendments to existing grants and cooperative agreements for which FTA awarded
funds made available or appropriated to carry out MAP -21 programs, and
c. All "recoveries" funds FTA awards, irrespective of the fiscal year for which those funds
were appropriated,
2. Fiscal Year 2012 and previous fiscal year funding requirements apply as follows:
a. In some instances, previous program requirements apply or will apply to grants and
cooperative agreements for which FTA awarded Fiscal Year 2012 or a previous fiscal
year funding, but
b. In other instances, MAP -21 program requirements (including MAP -21 "cross -cutting
requirements" listed in section 49 of this Master Agreement) apply or will apply to grants
and cooperative agreements for which FTA awarded Fiscal Year 2012 or a previous
fiscal year funding, and
3. For more information:
a. See FTA guidance that maybe published in the future, or
b. Contact the FTA Project Manager for the Project.
Compliance
FTA and the Recipient understand and agree that:
1. Both FTA and the Recipient:
a. Must comply with all applicable Federal laws and regulations, and
b. Should follow applicable Federal guidance, except as FTA determines otherwise in
writing,
2. To assure compliance with Federal laws and regulations, the Recipient must take measures to
assure that other participants in its FTA -funded Project (Third Party Participants):
a. Comply with applicable Federal laws and regulations, and
b. Follow applicable Federal guidance, except as FTA determines otherwise in writing,
3. Third Party Participants may include any:
a. Subrecipient,
b. Third Party Contractor,
c. Third Party Subcontractor at any tier,
d. Lessee, or
e. Other type of Participant,
4. FTA may take enforcement action if the Recipient or a Third Party Participant violates
applicable Federal law(s) or regulation(s), or does not follow applicable Federal guidance,
5. FTA and the Recipient understand and agree that not every provision of this Master
Agreement will apply to every Recipient or Project for which FTA provides Federal funds:
a. FTA has divided the Master Agreement into "Generally Applicable Provisions," and
"Special Provisions for Specific Programs,"
FTA Master Agreement MA(21),10-1-2014
b. This Master Agreement has an Appendix A illustrating the specific provisions of the
Master Agreement that apply to the Tribal Transit Programs,
c. This Master Agreement has an Appendix B, which covers prior ETA or Federal
approvals, and
d. Criteria determining which Federal laws, regulations, and guidance apply include:
(1) The type of Project,
(2) The Federal law authorizing the funding for the Project,
(3) The Federal law or regulations governing how the Project must be implemented,
(4) The Federal guidance pertaining to the Project, and
(5) The Recipient's legal status as:
(a) A "State," or "State instrumentality," a "local government," or a federally
recognized Indian Tribe (Indian Tribe), or
(b) A "private non-profit entity," a "private for-profit entity," or an individual, and
6. As provided by Federal laws, regulations, and guidance:
a. ETA will enforce only those Federal laws, regulations, and guidance that apply to the
specific ETA Recipient, its Third Party Participants, or its Project activities, and
b. ETA will not enforce Federal laws, regulations, and guidance that do not apply to the
specific ETA Recipient, its Third Party Participants, or its activities related to the Project.
Terms of the Master Agreement
ETA and the Recipient understand and agree that:
1 . Each provision of this Master Agreement must be interpreted in context with all other
provisions and requirements of this Master Agreement and the Recipient's Underlying
Agreement. If a single provision is read apart from the rest of this Master Agreement or the
Underlying Agreement, that provision might not convey the extent of the Recipient's
responsibility to comply with the requirements of this Master Agreement and the Underlying
Agreement,
2. In this Master Agreement, both ETA and the Recipient understand and agree that:
a. References to "Federal law(s) ... .. Federal regulation(s)," and "Federal guidance" mean
references to the parts of those Federal laws, regulations, and guidance that apply to the
specific ETA Recipient, its Third Party Participants, or its Project,
b. Any requirement in this Master Agreement for:
(1) Compliance with "Federal law(s) and regulations," means compliance with
"applicable Federal law(s) and regulations," and
(2) Follow "Federal guidance" means adherence to "applicable Federal guidance," as the
context may require, except as the Federal Government determines otherwise in
writing, and
c. Federal law(s), regulation(s), and guidance that do not apply will not be enforced, and
3. Terms used in this Master Agreement, such as "Underlying Agreement ... .. Third Party
Participant," or "Third Party Agreement," and other terms, have the precise meaning
specifically provided in the "Definitions" section (Section 1) of this Master Agreement.
FTA Master Agreement MA(21),10-1-2014
Expiration Date
1. This Master Agreement does not have an Expiration Date, and
2. This Master Agreement continues to apply to the Recipient and its Project identified in the
Underlying Agreement until modified or superseded by a more recently enacted or issued:
a. Applicable Federal law, regulation, or guidance, or
b. Amendment to this Master Agreement or the Underlying Agreement.
FTA Master Agreement MA(21),10-1-2014
Thus, in consideration of the mutual covenants, promises, and representations herein, ETA and
the Recipient agree as follows:
GENERALLY APPLICABLE PROVISIONS
Section 1. Definitions. In addition to the definitions provided in 49 U. S.C. § 5302, as amended
by MAP -21, or in previous legislation if circumstances may require, the Recipient understands
and agrees that the following definitions apply throughout this Master Agreement, and control
the meaning of the terms and conditions in this Master Agreement:
a. Application means the Federal funding request that:
(1) Is signed and dated by the Applicant, Recipient, or an official authorized to act on the
Applicant or Recipient's behalf,
(2) Includes all:
(a) Amendments to the application, and
(b) Explanatory, supporting, and supplementary documents filed with ETA by or on
behalf of the Applicant or Recipient, and
(3) Has FTA's authorized and official acceptance or approval,
b. Approval, unless ETA determines otherwise in writing:
(1) Means a written statement of an authorized Federal official:
(a) Expressly permitting the Recipient to take or omit an action in connection with its
Project, and
(b) Made by a Federal Government official authorized to permit the Recipient to take
or omit an action that may not be taken or omitted without the Federal
Government's permission,
(2) May be transmitted in typewritten hard copy or electronically,
(3) Does not mean permission to take or omit a similar action other than the specific action
for which approval was given,
(4) Does not include an oral permission or interpretation, which has no legal force,
authority, or effect, and
(5) For purposes of this Master Agreement, the definition of "approval" also applies to
"concurrence" and "waiver,"
c. Approved Project Budget:
(1) Means the most recent statement of the:
(a) Project costs,
(b) Maximum amount of Federal funds for which the Recipient is eligible,
(c) Specific tasks (including specific contingencies) covered, and
(d) Estimated cost of each task that ETA has approved,
(2) As used in the "Approved Project Budget":
(a) "Scopes" means categories of Project activities, and
(b) "Scope Level Codes" means category codes of Project activities,
(3) Data in the "Approved Project Budget" does not establish the precise boundaries or
limits of the:
FTA Master Agreement MA(21),10-1-2014
(a) "Scope of the Project," or
(b) Eligible Project activities, and
(4) For legal and other purposes, ETA reserves the right to consider information other than
that displayed electronically or on paper in the "Approved Project Budget" to determine:
(a) The "Scope of the Project,"
(b) Eligible Project Activities, and
(c) Other terms used in connection with the Project,
d. Associated transit improvement means a project eligible for funding, as provided in
49 U.S.C. § 5302(l), as amended by MAP -21, that:
(1) Is designed to enhance public transportation service or use,
(2) Is physically or functionally related to public transportation facilities with respect to any
project or area to be served by a Project, and
(3) Will differ in some instances from the transit enhancements eligible for funding under
SAFETEA-LU, former 49 U.S.C. § 5302(a)(1),
e. Concurrence has the same meaning as the definition of Approval in section Lb of this Master
Agreement,
Cooperative Agreement, means an instrument ETA uses to award Federal funds to a specific
Recipient to support a particular Projector Projects in which, consistent with 31 U. S.C.
§ 6305:
(1) ETA takes an active role,
(2) ETA retains substantial control,
(3) Usually includes:
(a) The ETA Award establishing the Project's boundaries or limits,
(b) The Federal Role and the Recipient Role,
(c) The Recipient's signed Execution statement, and
(d) FTA's most recent Master Agreement, which is incorporated by reference and made
part of the Cooperative Agreement, and
(4) Sometimes includes Special Conditions, Requirements, Provisions, or Conditions of
Award,
g. Designated Recipient, unless more specifically defined under Federal law, regulation, or
guidance means:
(1) An entity designated to receive and apportion amounts of ETA funding under 49 U.S.C.
§ 5336 to urbanized areas of 200,000 or more in population:
(a) By the Governor of a State, responsible local officials, and publicly owned
operators of public transportation, and
(b) Consistent with the planning process required by 49 U.S.C. §§ 5303 and 5304, or
(2) A State authority or regional authority responsible under the laws of its State:
(a) For an ETA capital project, and
(b) For financing and directly providing public transportation,
h. Disability has the same meaning as in section 3(l) of the Americans with Disabilities Act of
1990, 42 U.S.C. § 12102,
FTA Master Agreement MA(21),10-1-2014
i. Federal Government means the United States of America and any of its executive
departments or agencies,
j. Federal Guidance includes any Federal document or publication signed by an authorized
Federal official providing official instructions or advice about a Federal program that:
(1) Is not defined as a "Federal Requirement" in the following section Lk of this Master
Agreement,
(2) Applies to entities other than the Federal Government,
(3) May apply to the Federal Government, and
(4) May take the form of a:
(a) Federal directive,
(b) Federal circular,
(c) Federal order,
(d) Federal published policy,
(e) Federal administrative practice,
(f) Federal guideline,
(g) Federal guidance document,
(h) Letter signed by an authorized Federal official, or
(i) Similar document,
k. Federal Requirement, for purposes of this Master Agreement, means:
(1) An applicable Federal law, regulation, or Executive Order,
(2) An applicable provision of the Underlying Agreement, including any Special Condition,
Requirement, Provision, or Condition of Award,
(3) This Master Agreement,
(4) A later Master Agreement after the award is made,
(5) Another applicable Federal mandate,
1. Federal Transit Administration:
(1) Is an operating administration of Department of Transportation (U.S. DOT), and
(2) Any reference to the "Urban Mass Transportation Administration" (also referred to as
"UNITA") refers to the "Federal Transit Administration" when appearing in any records
of the United States, including a:
(a) Law, regulation, or guidance,
(b) Map, or
(c) Document, paper, or similar writing,
m. Federal Transit Administrator:
(1) Is the head of the Federal Transit Administration, and
(2) Any reference to the "Urban Mass Transportation Administrator" refers to the "Federal
Transit Administrator" when appearing in any records of the United States, including a
(a) Law, regulation, or guidance,
(b) Map, or
(c) Document, paper, or similar writing,
FTA Master Agreement MA(21),10-1-2014
n. Federally Recognized Indian Tribe means an Indian tribe that is federally recognized by the
Bureau of Indian Affairs of the U.S. Department of the Interior in accordance with the
provisions of the Federally Recognized Indian Tribe List Act of 1994, as amended, 25 U. S.C.
§ 479a and 25 U.S.C. § 479a note,
o. Fiscal Year torFY), as used in this Master Agreement, means "Federal Fiscal Year," which
begins on October 1 of each calendar year and ends on September 30 of each calendar year,
p. FTA is the acronym for the Federal Transit Administration, an operating administration of the
U.S. DOT. "FTA" replaces the acronym "UMTA,"
q. Governor means the:
(1) Governor of a State,
(2) Mayor of the District of Columbia,
(3) Chief executive officer of a United States territory, or
(4) Designee of the Governor, Mayor of the District of Columbia, or Chief executive officer
of a United States territory,
Grant Agreement means an instrument ETA uses to award Federal funds to a specific
Recipient to support a particular Project or Projects in which FTA, consistent with 31 U.S.C.
§ 6304:
(1) Does not takes an active role,
(2) Does not retain substantial control,
(3) Usually includes:
(a) The ETA Award establishing the Project's boundaries or limits,
(b) The Recipient's signed Execution statement, and
(c) FTA's most recent Master Agreement, which is incorporated by reference and made
part of the Grant Agreement, and
(4) Sometimes includes Special Conditions, Requirements, Provisions, or Conditions of
Award,
s. Indian Tribe means an ETA Recipient or Subrecipient that receives "Tribal Transit Program"
funds authorized by 49 U.S.C. § 53 1 l(c)(1) to support an FTA -funded Project,
t. Local Government Authority includes, but is not limited to:
(1) A political subdivision of a State,
(2) An authority of at least one State or political subdivision of a State,
(3) An Indian tribe,
(4) A public corporation, public board, or public commission, or
(5) An agency or instrumentality of local government,
u. Low -Income Individual, for purposes of 49 U.S.C. § 531 10)(1)(A)(iii), means an individual
whose family income is at or below 100 percent of the poverty line, as that term is defined in
section 673(2) of the Community Services Block Grant Act, 42 U.S.C. § 9902(2), including
any revision required under that section, for a family of the size involved,
FTA Master Agreement MA(21),10-1-2014
v. Non -Tribal Service Provider, for purposes of 49 U.S.C. § 53110)(2), means a non -tribal
provider of public transportation that:
(1) Connects residents of tribal lands with surrounding communities,
(2) Improves access to employment or healthcare, or
(3) Otherwise addresses the mobility needs of tribal members,
w. Project, for purposes of this Master Agreement, means:
(1) The project activity or activities (task or tasks) listed in the Project Description of the
Underlying Agreement,
(2) The Approved Project Budget,
(3) Any provisions that apply to the Project, including Special Conditions, Requirements,
Provisions, or Conditions of Award, or modifications to the Conditions of Award, and
(4) "Each Project in the Program," or "Program," when funding is conditioned on a
statutory requirement for a "Program of Projects,"
x. Public Transportation, for purposes of the Federal transit program, has the same meaning as
"transit" or "mass transportation," and:
(1) Includes regular and continuing shared -ride surface transportation services that are:
(a) Open to the general public, or
(b) Open to a segment of the general public defined by age, disability, or low income,
but
(2) Does not include:
(a) Intercity passenger rail transportation provided by Amtrak or a successor thereof
described in 49 U.S.C. chapter 243,
(b) Intercity bus service,
(c) Charter service,
(d) School bus service,
(e) Sightseeing service,
(f) Courtesy shuttle service for patrons of one or more specific establishments, or
(g) Intra -terminal or intra -facility shuttle services,
y. Recipient means:
(1) The entity or individual that receives Federal funds directly from ETA to support its
Project, including a:
(a) Grant Recipient or Grantee that receives Federal funds directly from ETA through a
Grant Agreement,
(b) Recipient that receives Federal funds directly from ETA through a Cooperative
Agreement, or
(c) Borrower that receives a Federal Loan, Loan Guarantee, or Line of Credit, and
(2) Except as ETA determines otherwise in writing:
(a) The entire legal entity that encompasses the "Recipient," even if the Recipient
identified in the Underlying Agreement is only a single organization within that
entire legal entity, and
(b) Each party to, member of, or participant in the multi-party entity identified as the
"Recipient" in the Underlying Agreement, including a team, consortium,
partnership, joint venture, or similar multi-party organization; however, to the
FTA Master Agreement MA(21),10-1-2014
extent ETA approves, the multi-party entity may include one or more members that
will serve as a third party contractor or subcontractor, rather than as a recipient or
subrecipient, but:
1 Each multi-party entity must have at least one member that serves as the
"Recipient," and
2 Each member serving as a third party contractor or subcontractor must be
identified as a third party contractor or subcontractor,
z. State Supply Schedule means a schedule or compilation of property and services and their
respective prices that a State has obtained for use by:
(1) Its State entities, officials, and employees for the State's purposes, and
(2) Any others that the State permits to use one or more of its State Supply Schedules,
aa. Subagreement or Subgrant means:
(1) An agreement through which a Recipient awards Federal funds to a Subrecipient to
support or stimulate the Recipient's or Subrecipient's Project, but
(2) Does not include a:
(a) Third party contract,
(b) Third party subcontract, or
(c) Lease,
bb. Subrecipient or Subgrantee means:
(1) Any entity or person that receives Federal funds awarded by an ETA Recipient instead of
ETA directly, but
(2) Does not include a:
(a) Third Party Contractor,
(b) Third Party Subcontractor, or
(c) Lessee,
cc. Third Party Agreement, for purposes of this Master Agreement, includes agreements or
arrangements financed in whole or part with Federal funds awarded to a Recipient by FTA,
except as ETA determines otherwise in writing, including a:
(1) Subagreement with a Subrecipient,
(2) Third party contract,
(3) Third party subcontract,
(4) Lease, or
(5) Similar arrangement or agreement as ETA may recognize,
dd. Third Party Contract means a contract or purchase order:
(1) To which the Recipient or Subrecipient and a Third Party Contractor are parties,
(2) Is financed in whole or in part with Federal funds awarded by FTA, but
(3) Does not include a:
(a) Subgrant,
(b) Subagreement, or
(c) Lease,
FTA Master Agreement MA(21),10-1-2014
ee. Third Party Participant, except as ETA determines otherwise in writing:
(1) Means each participant in the Recipient's Project, except for ETA and the Recipient,
whose work under the Project:
(a) Is supported with ETA funding,
(b) Is supported with eligible local share dedicated to the Project, or
(c) Is dedicated as an in-kind contribution eligible for local share, and
(2) Includes a:
(a) Subrecipient,
(b) Third Party Contractor,
(c) Third Party Subcontractor,
(d) Lessee, or
(e) Similar Participant in the Recipient's Project (for example, a partner in ajoint
development venture),
ff. Third Party Subcontract means a subcontract:
(1) Entered into by the Third Party Contractor or Third Party Subcontractor at any tier, and
(2) Is financed in whole or in part with:
(a) Federal funds originally derived from FTA, or
(b) Local share dedicated to the Recipient's Project,
gg. Underlying Agreement, except as ETA determines otherwise in writing:
(1) Means the instrument awarding an amount of Federal funding for its Project, and
(2) Includes a specific:
(a) Grant Agreement for the Project,
(b) Cooperative Agreement for the Project, or
(c) Transportation Infrastructure Loan, Loan Guarantee, or Line of Credit supported
with funds made available or appropriated for the Transportation Infrastructure
Finance and Innovation Act of 1998, as amended, 23 U.S.C. §§ 601 — 609, and
hh. Waiver has the same meaning as the definition of Approval in section Lb of this Master
Agreement.
Section 2. Project Implementation. The Recipient agrees to the following Project
implementation terms:
a. Effective Date. The Effective Date of the Recipient's Underlying Agreement, or more recent
Amendment to the Underlying Agreement (Amendment):
(1) Is the date of FTA's award of Federal funds for the Project, and
(2) Appears on the Recipient's Underlying Agreement or Amendment,
b. Project Description. The "Project Description" in the "ETA Award" section of the
Recipient's Underlying Agreement often provides only a brief description of the Project or
Projects that are funded. Therefore, the Recipient agrees to perform the work described in all
of the following:
FTA Master Agreement MA(21),10-1-2014
(1) The "Project Description" in the "FTA Award" section of the Recipient's Underlying
Agreement, and
(2) The "Application" and accompanying documents that are incorporated by reference in
the Recipient's Underlying Agreement for the Project,
C. Prompt Implementation. After receiving notice that FTA has awarded Federal funds for its
Project, the Recipient agrees to undertake promptly the Project work described in:
(1) The "Project Description" in the "FTA Award" section of the Recipient's Underlying
Agreement, and
(2) The Application and accompanying documents that are incorporated by reference in the
Recipient's Underlying Agreement for the Project or Projects,
d. Project Completion Dates. The Recipient agrees to complete the Project on time as stated
below:
(1) Good Faith Estimates. Unless FTA determines otherwise in writing that the milestone
dates and other Project completion dates applicable to the Underlying Agreement(s) are
firm requirements that may be enforced, FTA and the Recipient agree that such dates:
(a) Are good faith estimates, and
(b) Are not intended to be a firm contractual requirement, but
(2) Firm Contractual Requirements. FTA and the Recipient agree that milestone dates and
other Project completion dates, such as Revenue Operations Dates, are firm
requirements that may be enforced for:
(a) Full Funding Grant Agreements,
(b) Small Starts Grant Agreements, or
(c) Specific Agreements in which FTA expressly states that the milestone dates or other
Project completion dates in the Recipient's Underlying Agreement are firm dates
that may be enforced, but
e. The Recipient's Capacity. To carry out its Project, the Recipient agrees to maintain:
(1) Sufficient legal, financial, technical, and managerial capacity, and
(2) Adequate functional capacity to:
(a) Plan, manage, and complete the Project,
(b) Provide for the use of Project property,
(c) Carry out the safety and security aspects of the Project,
(d) Comply with:
1 Its Underlying Agreement and this Master Agreement,
2 The Approved Project Budget,
3 The Project schedules,
4 Its annual Certifications and Assurances to FTA, and
I Applicable Federal laws and regulations, and
(e) Follow applicable Federal guidance, except as the Federal Government determines
otherwise in writing,
U.S. DOT Administrative Requirements. The Recipient agrees to comply with the following
U.S. DOT requirements to the extent applicable:
(1) For a State, local government, or Indian tribal government: U.S. DOT regulations,
FTA Master Agreement MA(21),10-1-2014
"Uniform Administrative Requirements for Grants and Cooperative Agreements to State
and Local Governments," 49 C.F.R. part 18,
(2) For an institution of higher education or a nonprofit organization: U.S. DOT
regulations, "Uniform Administrative Requirements for Grants and Agreements with
Institutions of Higher Education, Hospitals, and Other Non -Profit Organizations,"
49 C.F.R. part 19,
(3) Except as ETA determines otherwise in writing, for a private for-profit organization:
U.S. DOT regulations, "Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, and Other Non-profit
Organizations," 49 C.F.R. part 19, or
(4) U.S. Office of Management and Budget (U.S. OMB), "Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards," 2 C.F.R.
part 200 and U.S. DOT's implementing regulations, 2 C.F.R. part 1201, when effective,
g. Application of Federal, State, and Local Laws, Regulations, and Guidance. For purposes of
this Master Agreement:
(1) Federal Requirement. A Federal requirement includes, but is not limited to, any of the
requirements defined in section Lk of this Master Agreement,
(2) Federal Guidance. Federal guidance includes, but is not limited to, those types of
documents and information described in section 1 j of this Master Agreement,
(3) Changes to Federal Requirements and Guidance:
(a) New Requirements and Guidance. New Federal requirements and guidance may
become effective after the ETA Authorized Official signs the Recipient's
Underlying Agreement awarding funds for the Project, and apply to the Recipient or
its Project,
(b) Modifications. Federal requirements and guidance that apply to the Recipient or its
Project when the ETA Authorized Official awards Federal funds for the Recipient's
Underlying Agreement may be modified from time to time, and apply to the
Recipient or its Project, and
(c) Most Recent Provisions Take Precedence. The most recent and applicable Federal
requirements will apply to the Recipient or its Project, except as ETA determines
otherwise in writing, and
(4) Minimum Requirements. Except as ETA determines otherwise in writing, all standards
or limits are minimum requirements when those standards or limits are included in the
Recipient's Underlying Agreement, or this Master Agreement,
h. The Recipient's Responsibilitv to Comylv with Federal Requirements. Irrespective of
involvement by any other entity in the Project:
(1) General. The Recipient understands and agrees that:
(a) It must comply with all Federal requirements that apply to itself and its Project,
except as ETA determines otherwise in writing, and
(b) ETA strongly encourages the Recipient and each of its Third Party Participants to
follow Federal guidance to ensure satisfactory compliance with Federal
requirements because it may violate Federal requirements if it:
1 Adopts an alternative course of action not expressly authorized by the Federal
Government in writing, and
FTA Master Agreement MA(21),10-1-2014
2 Has not first secured FTA's approval of that alternative in writing,
(2) Primary Responsibilitv for Compliance. Except as ETA determines otherwise in
writing:
(a) Recipient. As the direct Recipient of Federal funding, the Recipient understands
and agrees that it is ultimately responsible for full compliance with Federal
requirements related to its Project and itself, even though:
1 A Third Party Participant provides property or services for the Project, or
2 Another entity or person is involved with the Project, but
(b) Exceptions. ETA and the Recipient agree that the Recipient is not responsible for
compliance with Federal requirements related to the Project when:
1 The Recipient:
a Is a Designated Recipient of funding for the Urbanized Area Formula Grant
Program authorized by 49 U.S.C. § 5307, and
b Has entered into a Supplemental Agreement with ETA and a Grant
Recipient or Grantee covering a specific Project, or
2 The Federal Government, through appropriate official action, relieves the
Recipient of part or all responsibility for compliance with one or more Federal
requirements,
The ReCiDient's ReSDonsibilitv to Extend Federal Reauirements to Third Partv ParticiDants
In certain circumstances, the Recipient's compliance with specific Federal requirements
depends on its Third Party Participants' compliance with those Federal requirements, and thus:
(1) General. The Recipient agrees to ensure that its Third Party Participants will:
(a) Comply with applicable Federal requirements, and
(b) Be expected to follow applicable Federal guidance, except as ETA determines
otherwise in writing,
(2) Performance of the Recipient's Responsibilities. If a Third Party Participant is expected
to fulfill any responsibilities typically performed by a Recipient, the Recipient agrees to:
(a) Ensure that the Third Party Participant will carry out the Recipient's responsibilities
in compliance with Federal requirements, and
(b) Provide enough information to each Third Party Participant so that it understands
that it will be expected to follow Federal guidance, except as ETA determines
otherwise in writing,
(3) Third Party Agreements. To comply with Federal requirements, the Recipient agrees to
enter into a written third party agreement with each Third Party Participant in its Project
addressing the following:
(a) Required Provisions. The third party agreement must include all appropriate
provisions stating the Third Party Participant's responsibilities to assure the
Recipient's compliance with applicable Federal requirements, and guidance,
(b) Flowdown. As determined by Federal requirements, the third party agreement must
include any necessary provisions requiring the Third Party Participant to include
Federal provisions in its third party agreements to the lowest tier necessary,
(c) Performance of the Recipient's Responsibilities. Except as ETA determines
otherwise in writing, when a third party agreement requires the Third Party
Participant to undertake Project activities or responsibilities that a Recipient
typically performs, the third party agreement must:
10
FTA Master Agreement MA(21),10-1-2014
Specify the responsibilities that the Third Party Participant will fulfill on the
Recipient's behalf, and
2 Include provisions making the Third Party Participant responsible for
complying with those requirements of this Master Agreement and the
Recipient's Underlying Agreement that would otherwise apply to the Recipient
or its Project, and
(4) Notice to Third Party Participants. Except as ETA determines otherwise in writing, it
will include notice in each third party agreement that:
(a) Federal requirements that apply to the Recipient or its Project may change due to:
1 Changes in Federal law, regulation, or guidance, or
Changes in the Recipient's Underlying Agreement or a more recent and
applicable edition of the Master Agreement, and
(b) Applicable changes to those Federal requirements will apply to each third party
agreement and parties thereto at any tier,
j. Situations Requiring Prior ETA or Federal Approval in Writing. The Recipient agrees to
obtain prior ETA or Federal approval in writing before taking an action listed in Appendix B
of this Master Agreement,
k. Changes in Project Performance. The Recipient understands and agrees that changes in
project performance may occur, and that:
(1) Types of Changes. Certain conditions can cause significant changes in Project
performance, or adversely affect its ability to carry out the Project under the terms of its
Underlying Agreement for the Project or this Master Agreement, such as a:
(a) Change in Federal requirements or guidance,
(b) Change in State, territorial, local, or tribal requirements,
(c) Change in its circumstances, including:
1 Its legal, financial, technical, or managerial capacity,
2 Its satisfactory continuing control, or
3 Another similar situation, and
(d) Any current or prospective legal matter with potentially serious consequences, such
as:
1 A major dispute, default, breach, or litigation,
2 Naming the Federal Government as a party to litigation or an adjudicative action
in any forum, for any reason,
3 Credible evidence that a Principal, Official, Employee, Agent, or Third Party
Participant of the Recipient, or other person:
a Has submitted a false claim under the False Claims Act, 31 U. S.C. § 3729
et seq., or
b Has committed a criminal or civil violation of law pertaining to fraud,
conflict of interest, bribery, gratuity, or similar misconduct involving
Federal funding,
4 Suspension, debarment, or other similar administrative or enforcement action
against a Third Party Participant (see also section 3.b(2) of this Master
Agreement), or
5 Any matter or situation, including any other change or legal action that may
FTA Master Agreement MA(21),10-1-2014
adversely affect the Federal Government's interest in the Project, and
(2) Notice. In the circumstances described in section 2.k(l) of this Master Agreement, the
Recipient agrees to provide immediate written notice to the:
(a) ETA Regional Counsel for the Region in which the Recipient operates public
transportation or implements the Project,
(b) ETA Project Manager for a Project administered by an ETA Headquarters office, or
(c) ETA Chief Counsel,
Conflicts Between Federal Reauirements and State. Territorial. Local. or Tribal
Requirements. The Recipient and ETA understand and agree that a Federal requirement may
conflict with a State, territorial, local, or tribal requirement, and that:
(1) Pre-emption. The Recipient must comply with an applicable Federal requirement that
pre-empts the conflicting State, territorial, local, or tribal requirement,
(2) Compliance with State, Territorial, Local or Tribal Requirements. Unless otherwise pre-
empted by a Federal requirement, ETA and the Recipient understand and agree that:
(a) ETA expects the Recipient to comply with applicable State, territorial, local, and
tribal requirements, and
(b) ETA does not require the Recipient to take any action involving its Project that
would violate a State, territorial, local, or tribal requirement that conflicts with a
Federal requirement,
(3) When a Conflict Arises. When a Federal requirement conflicts with a State, territorial,
local, or tribal requirement:
(a) Notice. The Recipient must notify ETA immediately in writing if compliance with
the Federal requirement would:
1 Violate a State, territorial, local, or tribal requirement, or
Require the Recipient to violate a State, territorial, local, or tribal requirement,
and
(b) Impact on the Project. The Recipient must make appropriate arrangements with
ETA to:
1 Proceed with the Project, or
2 Terminate the Project expeditiously, if necessary, and
m. No Federal Government Commitment orLiabilitvto Third Parties. Except as the Federal
Government expressly consents in writing, the Recipient agrees that:
(1) The Federal Government does not and shall not have any commitment or liability related
to:
(a) The Project,
(b) Any Third Party Participant at any tier, or
(c) Any other person or entity that is not a party (Recipient or ETA) to the Underlying
Agreement for the Project, and
(2) Notwithstanding that the Federal Government may have concurred in or approved any
solicitation or third party agreement at any tier that may affect the Project, the Federal
Government does not and shall not have any commitment or liability to any:
(a) Third Party Participant, or
(b) Other entity or person that is not a party (Recipient or ETA) to the Underlying
Agreement.
12
FTA Master Agreement MA(21),10-1-2014
Section 3. Ethics.
a. Code or Standards of Conduct. At a minimum, the Recipient agrees to, and assures that its
Subrecipients will, establish and maintain a written Code or Standards of Conduct that:
(1) Applicabilit . Applies to the following individuals who have a present or potential
financial interest, or other significant interest, such as a present or potential employment
interest:
(a) The Recipient or its Subrecipients' officers, employees, board members, or agents
engaged in the selection, award, or administration of any third party agreement,
(b) The immediate family members or partners of those listed above in section 3.a(l)(a)
of this Master Agreement, and
(c) An entity or organization that employs or is about to employ any person that has a
relationship with the Recipient or its Subrecipient listed above in sections 3.a(l)(a)
and (b) of this Master Agreement,
(2) Prohibitions. Prohibits those individuals listed above in section 3.a(l) of this Master
Agreement from the following:
(a) Third Party Agreements: Engaging in any activities involving the Recipient or any
of its Subrecipients' present or potential Third Party Participants at any tier,
including selection, award, or administration of a third party agreement in which the
individual has a present or potential financial or other significant interest, and
(b) Gift Acceptance: Accepting a gratuity, favor, or anything of monetary value from a
present or potential Third Party Participant in the Recipient's Underlying Project,
unless the gift is unsolicited, and has an insubstantial financial or nominal intrinsic
value, and
(3) Violations. As permitted by State or local law or regulations, the Recipient or its
Subrecipients' Code or Standards of Conduct will establish penalties, sanction, or other
disciplinary actions for violations that apply to:
(a) Those individuals listed in section 3.a(l) of this Master Agreement, and
(b) The Recipient or Subrecipient's Third Party Participants,
b. Debarment and Suspension. The Recipient agrees to the following:
(1) It will comply with the following requirements of 2 C.F.R. part 180, subpart C, as
adopted and supplemented by U.S. DOT regulations at 2 C.F.R. part 1200:
(a) It will not enter into any arrangement to participate in the development or
implementation of the Project with any Third Party Participant that is debarred or
suspended except as authorized by:
1 U.S. DOT regulations, "Nonprocurement Suspension and Debarment," 2 C.F.R.
part 1200,
2 U.S. OMB, "Guidelines to Agencies on Governmentwide Debarment and
Suspension (Nonprocurement)," 2 C.F.R. part 180, including any amendments
thereto,
3 Executive Orders Nos. 12549 and 12689, "Debarment and Suspension,"
31 U.S.C. § 6101 note, and
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FTA Master Agreement MA(21),10-1-2014
(a) The Hatch Act does not apply to nonsupervisory employees of a public
transportation system, or any other agency or entity performing related functions,
based upon award of Federal financial assistance under 49 U.S.C. chapter 53 or
23 U.S.C. § 142(a)(2), but
(b) Notwithstanding section 3.e(3)(a) of this Master Agreement above, the Hatch Act
does apply to a nonsupervisory employee if imposed for a reason other than
assistance under 49 U. S. C. chapter 53 or 23 U. S. C. § 142(a)(2),
False or Fraudulent Statements or Claims.
(1) Civil Fraud. The Recipient acknowledges and agrees that:
(a) Federal laws and regulations apply to itself and its Project, including:
1 The Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. § 3801
et seq., and
2 U.S. DOT regulations, "Program Fraud Civil Remedies," 49 C.F.R. part 31,
(b) By executing its Underlying Agreement, the Recipient certifies and affirms to the
Federal Government the truthfulness and accuracy of any claim, statement,
submission, certification, assurance, affirmation, or representation that the Recipient
provides to the Federal Government, and
(c) The Federal Government may impose the penalties of the Program Fraud Civil
Remedies Act of 1986, as amended, and other applicable penalties if the Recipient
presents, submits, or makes available any false, fictitious, or fraudulent information,
and
(2) Criminal Fraud. The Recipient acknowledges that 49 U. S.C. § 5323(l)(1) authorizes the
Federal Government to impose the penalties under 18 U.S.C. § 1001 if the Recipient
provides a false, fictitious, or fraudulent claim, statement, submission, certification,
assurance, or representation in connection with a Federal public transportation program
under 49 U.S.C. chapter 53 or any other applicable Federal law, and
g. Trafficking in Persons.
(1) Legal Authorities. The Recipient agrees to comply, and assures the compliance of each
Subrecipient, with Federal requirements and guidance, including:
(a) Section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as
amended, 22 U.S. C. § 7104(g), and
(b) The award terms provided in this section 3.g of this Master Agreement, from
U.S. OMB guidance, "Award Term for Trafficking in Persons," 2 C.F.R. part 175,
per U.S. OMB's direction,
(2) Definitions. The Recipient agrees that for purposes of this section 3.g of this Master
Agreement:
(a) Employee means either:
1 An individual who is employed by the Recipient or a Subrecipient, and is
participating in the Recipient's Project, or
2 Another person who is participating in the Recipient's Project and is not
compensated by the Recipient, including, but not limited to:
a A volunteer, or
b An individual whose services are contributed by the Recipient or Third
Party Participant as an in-kind contribution toward the cost sharing or
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FTA Master Agreement MA(21),10-1-2014
matching requirements of the Recipient's Underlying Agreement and this
Master Agreement,
(b) Forced labor means labor obtained by recruitment, harboring, transportation,
provision, or other means of obtaining of a person for labor or services through the
use of force, fraud, or coercion for the purpose of subjection to involuntary
servitude, peonage, debt bondage, or slavery,
(c) Private entity
1 Means any entity other than a State, local government, Indian tribe, or foreign
public entity, as those terms are defined in 2 C.F.R. § 175.25, and
2 Includes a for-profit organization, or a nonprofit organization, including any
nonprofit organization of higher education, hospital, or tribal organization other
than one included in the definition of Indian Tribe at 2 C.F.R. § 175.25(b),
(d) Severe forms of trafficking in persons has the meaning given at section 103 of the
TVPA, as amended, 22 U.S.C. § 7102,
(e) Commercial sex act has the meaning given at section 103 of the TVPA, as
amended, 22 U.S. C. § 7102, and
(f) Coercion has the meaning given at section 103 of the TVPA, as amended, 22 U.S.C.
§ 7102,
(3) Provisions Applicable to All Recipients. The Recipient agrees to, and assures that its
Subrecipients will:
(a) Provide Information. Inform ETA immediately of any information it receives from
any source alleging a violation of the prohibitions listed below in section 3.g(4) of
this Master Agreement, and
(b) Subagreement Provision. Include the following provision in any subagreement it
enters into with a private entity as defined above in section 3. g(2)(c) of this Master
Agreement:
- agrees that it and its employees that participate
in the Recipient's Underlying Agreement, may not:
Engage in severe forms of trafficking in persons during
the period of time that the Recipient's Underlying
Agreement is in effect,
2. Procure a commercial sex act during the period of time
that the Recipient's Underlying Agreement is in effect, or
3. Use forced labor in the performance of the Recipient's
Underlying Agreement or subagreements,
(4) Provisions Applicable to a Private Entity Recipient. If the Recipient is a private entity, it
agrees that:
(a) Prohibitions. It, its employees, its Subrecipients, and its Subrecipients' employees
that participate in the Underlying Agreement will not:
Engage in severe forms of trafficking in persons during the period of time that
the Recipient's Underlying Agreement is in effect,
2 Procure a commercial sex act during the period of time that the Recipient's
Underlying Agreement is in effect, or
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FTA Master Agreement MA(21),10-1-2014
3 Use forced labor in the performance of the Recipient's Underlying Agreement
or subagreements,
(b) Termination of Funding. Section 106(g) of the TVPA, as amended, 22 U.S.C.
§ 7104(g), and U.S. OMB guidance, "Award Term for Trafficking in Persons,"
2 C.F.R. part 175, provide ETA the right to unilaterally terminate the Underlying
Agreement for a violation of that Act without penalty to the Federal Government, if
ETA determines that the private entity Recipient or its Subrecipient:
1 Has violated a prohibition described in section 3.g(4)(a) of this Master
Agreement, or
2 Has an employee whose conduct is determined to have violated a prohibition
described in section 3.g(4)(a) of this Master Agreement because that employee's
conduct is either:
a Associated with performance in the Recipient's Underlying Agreement, or
b Imputed to the Recipient or Subrecipient using the standards for due process
for imputing the conduct of an individual to an organization provided in:
(i) U.S. OMB "Guidelines to Agencies on Governmentwide Debarment
and Suspension (Nonprocurement)," 2 C.F.R. part 180, and
(ii) U.S. DOT regulations, "Nonprocurement Suspension and Debarment,"
2 C.F.R. part 1200, and
(5) Provisions Applicable to a Recipient That is Not a Private Entit . A Recipient that is not a
private entity agrees that section 106(g) of the TVPA, as amended, 22 U.S. C. § 7104(g),
and U.S. OMB guidance, "Award Term for Trafficking in Persons," 2 C.F.R. part 175,
provides ETA the right to unilaterally terminate the Underlying Agreement, without
penalty to the Federal Government, for a violation of that Act if ETA determines that:
(a) A private entity that is the Recipient's Subrecipient is determined to have:
Engaged in severe forms of trafficking in persons during the period of time that
the Recipient's Underlying Agreement is in effect,
2 Procured a commercial sex act during the period of time that the Recipient's
Underlying Agreement is in effect, or
3 Used forced labor in the performance of the Recipient's Underlying Agreement
or subagreements, or
(b) An employee of a private entity that is the Subrecipient:
1 Has:
a Engaged in severe forms of trafficking in persons during the period of time
that the Recipient's Underlying Agreement is in effect,
b Procured a commercial sex act during the period of time that the Recipient's
Underlying Agreement is in effect, or
c Used forced labor in the performance of the Recipient's Underlying
Agreement or subagreements, and
2 Whose conduct described in section 3.g(5)(b).l of this Master Agreement is:
a Associated with performance in the Recipient's Underlying Agreement, or
b Imputed to the Subrecipient using the standards for due process to impute
the conduct of an individual to an organization provided in:
(i) U.S. OMB "Guidelines to Agencies on Governmentwide Debarment
and Suspension (Nonprocurement)," 2 C.F.R. part 180, and
17
FTA Master Agreement MA(21),10-1-2014
(ii) U.S. DOT regulations, "Nonprocurement Suspension and Debarment,"
2 C.F.R. part 1200, and
(6) Remedies Other Than Termination of Funding. The Recipient agrees that FTA's right to
terminate funding as provided by the TVPA and in sections 3.g(4)(b) and 3.g(5) of this
Master Agreement are in addition to all other remedies for noncompliance available to
the Federal Government under this Master Agreement.
Section 4. Federal Funding.
a. Maximum Federal Funding. The Recipient agrees that FTA's responsibility to provide
Federal funding for its Project is:
(1) The amount shown in its Underlying Agreement, as modified by the most recent
Amendment thereto, which is equal to the smallest of-.
(a) The maximum amount permitted by Federal law or regulation,
(b) The "Maximum ETA Amount Awarded," as stated in the Underlying Agreement, or
(c) The amount calculated on the basis of the requisite "Maximum Percentage(s) of
ETA Participation," if any, but
(2) Limited to the amounts listed in the most recent Approved Project Budget for the Project
identified in the Underlying Agreement and the most recent amendment thereto, if any,
b. Basis of ETA Funding. The Recipient agrees that the "Estimated Total Eligible Cost" stated
in the Underlying Agreement and modified by the latest Amendment thereto forms the basis
on which ETA determines the "Maximum ETA Amount Awarded":
(1) "Net Project Cost." If Federal law or regulation requires an FTA -funded Project to be
financed on the basis of its "Net Project Cost," as defined in 49 U.S.C. § 5302(12), as
amended by MAP -21, or former 49 U. S.C. § 5302, under applicable previous
authorizing legislation:
(a) ETA will provide Federal funds for a percentage of the portion of the "Estimated
Total Eligible Project Cost" that the Recipient cannot reasonably finance from its
revenues, which is the "Net Project Cost,"
(b) ETA will use the amount of the "Estimated Total Eligible Cost" stated on the
Underlying Agreement to calculate the "Maximum ETA Amount Awarded," and
(c) In FTA's Electronic Award and Management System, the amount stated as the
"Estimated Total Eligible Cost" on the Underlying Agreement is actually the
"Estimated Net Project Cost," and
(2) Other Basis for ETA Participation. If Federal law or ETA permits a Project to be
financed on another basis than its "Net Project Cost," as defined in 49 U. S.C. § 5302, as
amended by MAP -2 1, or under applicable previous authorizing legislation:
(a) ETA will provide Federal funds for all or part of the estimated Project cost that is
eligible for Federal funding,
(b) In some instances, ETA has discretion to determine the amount of Federal funding
to provide for a specific Project, and
(c) ETA will use the amount stated in the Underlying Agreement awarding funding for
the Project as the "Estimated Total Eligible Cost" to calculate the "Maximum ETA
Amount Awarded."
18
FTA Master Agreement MA(21),10-1-2014
Section 5. Local Share. The Recipient agrees that:
a. Amount of the Local Share. Local share requirements established by Federal statutory
requirements vary depending on the following provisions accompanying the source of
funding:
(1) Statutory and regulatory requirements of the Federal program for which funding for the
Project will be derived,
(2) Applicable Federal guidance providing interpretations of Federal laws and regulations,
including any restrictions that apply due to the specific fiscal year of the Federal
funding, and
(3) Specifically for the Tribal Transit Program:
(a) The Tribal Transit Formula Program under MAP -21 does not require a local share,
(b) Except as ETA determines otherwise in writing, the Tribal Transit Discretionary
Program under MAP -21 requires a minimum ten (10) percent local share, and
(c) The Tribal Transit Program, Discretionary Only, in effect in FY 2012 or a previous
fiscal year does not require a local share,
b. Permissible Sources of Local Share. Recipient agrees that the following are permissible
sources of local share for the Underlying Agreement:
(1) Undistributed cash surpluses,
(2) A replacement or depreciation cash fund or reserve, and
(3) New capital,
c. Restricted Sources of Local Share. Because sources of local share differ among FTA's
public transportation assistance programs, ETA will identify in an ETA circular or otherwise
whether the following sources may be used as the local share for a specific grant or
cooperative agreement program:
(1) Program income generated by an activity supported by a prior grant or cooperative
agreement, which is a form of undistributed cash surplus,
(2) Advertising revenues and concession revenues,
(3) Revenues from a service agreement from a State or local social service agency or a
private social service organization,
(4) Third party in-kind contributions,
(5) Proceeds from the issuance of revenue bonds pursuant 49 U. S.C. § 5323(e),
(6) Transportation development credits (formerly toll revenue credits) pursuant to 49 U. S.C.
§ 120(i), and
(7) Funds made available under the Federal Lands Highway Program authorized under
23 U.S.C. § 204,
d. Prohibited Sources of Local Share. Except as permitted by Federal law, regulation, or
guidance, or approved in writing by FTA, the Recipient will not provide any local share
funds for the Underlying Agreement derived from:
(1) Farebox revenues from providing public transportation services using facilities and
equipment acquired with funding provided for the Underlying Agreement,
19
FTA Master Agreement MA(21),10-1-2014
(2) Program income derived from the use facilities or equipment acquired with funding for
the Project awarded under the Underlying Agreement, except if expressly permitted by
Federal law or regulations, or ETA guidance, and
(3) Other Federal funds not authorized for use as local share by Federal law, regulation, or
guidance,
e. Dutv to Obtain the Local Share. The Recipient agrees to:
(1) Complete all proceedings necessary to provide the local share, except as ETA permits
otherwise in writing, and
(2) Notify ETA of any changed circumstances adversely affecting its ability to pay its local
share, including a:
(a) Description of the actions it has taken or will take to ensure adequate resources to
provide the local share, and
(b) Re -affirmation of its commitment to provide the local share,
f. Prompt Provision of the Local Share. Only to the extent that ETA has provided its written
consent permitting the Recipient to defer payment of the local share of its Project costs, the
Recipient agrees to provide its proportionate amount of its local share no later than the time it
draws down the proportionate Federal share to pay the costs of its project activities, and
g. Reductions or Refunds of the Local Share. Except as ETA permits otherwise in writing:
(1) Reductions. The Recipient agrees that if it reduces its local share of the Project costs,
then it must reduce the proportionate amount of Federal funding for the Project at the
same time, and
(2) Refunds. The Recipient agrees that if it accepts a refund of its local share of the Project
costs, then it must provide the Federal Government an amount of that refund
proportionate to the Federal contribution at the same time.
Section 6. Approved Project Budget. Except as ETA determines otherwise in writing, the
Recipient agrees that:
a. Development and Approval. It will prepare a Project budget that, after ETA has provided its
approval, will be:
(1) Designated the "Approved Project Budget," and
(2) Incorporated by reference and made part of its Underlying Agreement,
b. Restrictions. Only if consistent with the Approved Project Budget will it:
(1) Incur Project costs, or
(2) Withdraw Project funds,
c. Amendments. To the extent specified in applicable ETA program or project management
guidance, it must obtain prior ETA approval in writing before:
(1) Amending its Approved Project Budget, and
(2) Seeking an accompanying amendment to its Underlying Agreement,
20
FTA Master Agreement MA(21),10-1-2014
d. Transfer of Funds. It will obtain prior ETA approval in writing before transferring Project
funds if those transfers of funds are not expressly authorized by Federal law, regulation, of
guidance,
e. Budget Revisions. It will obtain prior ETA approval in writing before making any budget
revision that would require additional Federal funding,
Additional Federal Funding. An award of additional Federal funds will require a new
Approved Project Budget, and
g. Unspent Federal Funds. It will inform ETA promptly if it believes it will have unspent
Federal funds after the Project's performance period ends.
Section 7. Payments to the Recipient. Except as the Federal Government determines
otherwise in writing, the Recipient agrees to comply with all of the following:
a. Conditions for Accessing ETA Funds. In order to seek or obtain ETA funds for eligible
Project costs, the Recipient agrees that:
(1) It must execute the Underlying Agreement or Amendment to the Underlying Agreement
for the Project,
(2) It must receive and file:
(a) A properly signed document seeking payment for the expense, such as a voucher or
other appropriate record, and
(b) A properly detailed description supporting the relationship of the expense to the
Proj ect,
(3) It must identify all sources of Federal funds from which the payment is to be derived,
(4) It must provide ETA with all financial and progress reports required to date, and
(5) If the Recipient must provide a local share, unless ETA has stated otherwise in writing
that the Recipient may defer the local share:
(a) The Recipient will not request or obtain more Federal funds than justified by
eligible local share resources it has provided,
(b) The Recipient will not cause the proportion of Federal funds available to the Project
at any time to exceed the percentage authorized by the Underlying Agreement, and
(c) When combined with Federal payments, the Recipient will be able to demonstrate
that, its local share will be adequate to cover all the costs incurred for the Project,
b. Eligible Project Costs. Except as the Federal Government determines otherwise in writing,
the Recipient agrees to seek and obtain ETA funds awarded in the Underlying Agreement
only for eligible Project costs that are:
(1) Consistent with the Project Description, Approved Project Budget, Underlying
Agreement and any Amendment thereto, and this Master Agreement,
(2) Necessary to carry out the Project,
(3) Reasonable for the property or services acquired,
(4) The actual net costs minus any reduction of the costs incurred, which consists of the
price paid minus reductions of the Project costs incurred, such as any refunds, rebates, or
21
FTA Master Agreement MA(21),10-1-2014
other items of value, but excludes program income,
(5) Incurred for work performed after the Effective Date of the:
(a) Underlying Agreement or Amendment to that Underlying Agreement,
(b) Pre -award authority that ETA has provided, or
(c) Letter of No Prejudice,
(6) Satisfactorily documented,
(7) Consistent with federally approved accounting principles and procedures,
(8) Consistent with applicable provisions of 49 C. F.R. parts 18 or 19, or the applicable
provisions of 2 C.F.R. part 1201, when effective, and
(9) Consistent with other applicable Federal law, regulations, and guidance,
C. Ineligible Costs. The Recipient understands and agrees that, except as the Federal
Government determines otherwise in writing, ETA will exclude ineligible costs, such as a:
(1) Project cost the Recipient has incurred before the Effective Date of the Underlying
Agreement or an Amendment to the Underlying Agreement that is not accompanied by
FTA's written approval, including, but not limited to, pre -award authority or a Letter of
No Prejudice, and permitted by applicable Federal law, regulation, guidance, or the
Underlying Agreement or an Amendment thereto, or this Master Agreement,
(2) Cost not included in the most recent Approved Project Budget,
(3) Cost for Project property or services received in connection with any third party
agreement lacking any ETA approval or concurrence in writing that is required,
(4) Ordinary governmental or nonproject operating cost, as prohibited by 49 U.S.C.
§ 5323(h),
(5) Profit or fee for the Recipient's services provided in connection with the Underlying
Agreement, or
(6) Cost that is ineligible for ETA participation as provided by applicable Federal law,
regulation, or guidance,
d. Bond Interest and Other Financing Costs — Limited Eligibility. The Recipient agrees that:
(1) Allowability. Bond interest and other financing costs are allowable costs to the extent
permitted by applicable Federal law, regulation, and guidance, and
(2) Federal Share. FTA's share of Project interest and financing costs will be limited to an
amount that does not exceed the most favorable financing terms reasonably available for
the Project at the time of borrowing, except as the Federal Government determines
otherwise in writing,
e. Pavment Procedures Based on the Type of Award Made to a Recipient. Except as ETA
determines otherwise in writing, the Recipient understands and agrees that:
(1) All payments under the Project will be made through electronic methods,
(2) Payment procedures for a Recipient differ based upon the type of funding that is
awarded, and
(3) ETA determines which electronic system it will use to make payments to the Recipient
as follows:
(a) Except as provided below in sections 7.e(3)(b) and (c) of this Master Agreement,
for Grants and other types of funding awards: the ETA Electronic Clearinghouse
22
FTA Master Agreement MA(21),10-1-2014
Operation Web System (ECHO -Web), Automated Clearing House (ACH) payment
method,
(b) For Cooperative Agreements: the DELPHI ehivoicing System or DELPHI Mark
View System if the Recipient is granted a waiver (see the following section 7.g of
this Master Agreement for more information about payments for Cooperative
Agreements and section 7.h(2) of this Master Agreement for information about
accessing and using the DELPHI ehivoicing System), and
(c) For Grants requiring more detailed review of supporting documentation before
receiving Federal funds and as determined by the Project Manager: the DELPHI
eInvoicing System (see the following section 7.h(2) of this Master Agreement for
more information about accessing and using the DELPHI ehivoicing System),
Pavment Procedures Generall . The Recipient understands and agrees that if payment is
made through ECHO -Web using an ECHO Control Number:
(1) Federal Guidance. It will comply with the "ECHO Web User Manual For ETA and
FAA," July 2012,
(2) Limited to Project Expenses. It will withdraw Federal funds only to pay eligible Project
expenses,
(3) Major Withdrawals. When a single withdrawal will exceed $50,000,000, it will notify
the appropriate ETA Regional or Program Office at least three (3) days before the
withdrawal is anticipated,
(4) Immediate Use. The Recipient:
(a) Will not withdraw Federal funds until actually needed for immediate payment of
Project expenses, and
(b) Will use those funds to pay for Project expenses no later than three (3) days after
receipt, except as the Federal Government permits otherwise in writing,
(5) Limits. It will not withdraw more than the sum of Federal funds the Federal
Government has awarded in the Underlying Agreement for its Project or the current
available balance for its Project, whichever is less,
(6) Control. It will provide for the control and accountability of all Federal funds awarded
for the Proj ect consistent with Federal requirements and procedures for using ECHO -Web,
(7) Reporting. Unless ETA determines otherwise in writing, it will report its cash payments
and balances promptly, and
(8) Penalties. If it failed to comply with this section 7 of this Master Agreement, it may
incur or be subj . ected to penalties, including, but not limited to the following:
(a) Access to ECHO -Web. The Federal Government may revoke or suspend the
Recipient's ECHO Control Number and access to the ECHO -Web if the Federal
Government determines that:
1 Fraud, waste, mismanagement, or abuse exists in the Recipient's use and
application of Federal funds,
2 The Recipient failed to use those funds to pay Project costs within three (3) days
of withdrawing funding,
3 The Recipient failed to return withdrawn but unspent funds to the Federal
Government within a reasonable time,
4 The Recipient failed to establish procedures to minimize the time between
advances of Federal funds and payments of Project costs,
23
FTA Master Agreement MA(21),10-1-2014
5 The Recipient has a Cooperative Agreement project type with ETA and will use
eInvoicing or DELPHI Mark View System as its payment method instead of the
ECHO -Web System (see the following section 7.g of this Master Agreement for
more information about Cooperative Agreement payments and section 7.h(2) for
information about accessing and using eInvoicing), or
6 For Grants requiring a more detailed review of supporting documentation before
receiving Federal funds, and as determined by the Project Manager, the
Recipient will use eInvoicing (see section Th of this Master Agreement for
more information about accessing and using the DELPHI ehivoicing System),
(b) Interest. The Recipient agrees to pay interest to the Federal Government on any
Federal funds withdrawn prematurely, irrespective of whether the Federal funds
have been deposited in an interest-bearing account:
1 A State or State instrumentalitv. If it is a State or State instrumentality, it agrees
to pay interest calculated as provided by:
a Section 5(b) of the Cash Management Improvement Act of 1990, as
amended, 31 U.S.C. § 6503(b), or
b U.S. Treasury regulations, "Rules and Procedures for Efficient Federal -State
Funds Transfers," 31 C.F.R. part 205, or
2 Other than a State or State instrumentalit . If it is not a State or State
Instrumentality, it agrees to pay prejudgment common law interest determined
by the Federal Government, as authorized by j oint U. S. Treasury and
U. S. Department of Justice 0 oint U. S. Treasury and U. S. DOJ) regulations,
"Standards for the Administrative Collection of Claims," 31 C.F.R. § 901.9(i).
The amount of interest due may be determined by:
a The amount of interest the Recipient demonstrates it earned on its premature
withdrawals of Federal funds,
b The amount of interest based on the "Treasury tax and loan account" rate
prescribed under 31 U.S.C. § 3717 for debts owed to the United States, or
c An amount of interest as the Federal Government otherwise determines,
g. Payment Procedures for a Recipient of a Cooperative Agreement. A Recipient of a
Cooperative Agreement must use the DELPHI eInvoicing System to obtain Federal payments
for Project costs, unless a waiver is granted:
(1) Standard Procedures. To make and receive payments through the DELPHI eInvoicing
System, the following procedures must be followed:
(a) Recipient's Responsibilities. The Recipient's responsibilities include the following:
1 Access to the DELPHI eInvoicing System. To access the DELPHI ehivoicing
System, the Recipient:
a Must have internet access to register and submit payment requests through
the DELPHI ehivoicing System,
b Should contact its ETA Project Manager to obtain the required DELPHI
User access form and approval,
c Must complete the required forms that the FAA, Enterprise Service Center's
(ESC) Help Desk uses to verify the Recipient's identity, and present it to a
Notary Public for verification,
24
FTA Master Agreement MA(21),10-1-2014
b DOT/FAA (FTA Account)
6500 South MacArthur Blvd.
AMZ- 150, HQ Room 272
PO Box 269041 Oklahoma City, OK 73125-69041,
and
(b) Federal Responsibilities. ETA and U.S. DOT have the following responsibilities:
1 The Director, OST, Office of Financial Management, will confirm or deny the
request within approximately 30 days, and
2 If the request is confirmed, then payments will be made after receipt of the
required ETA reporting forms, provided the Recipient has complied with:
a 49 C.F.R. § 18.21 or 49 C.F.R. § 19.22, or the applicable provisions of
2 C.F.R. part 1201, when effective, and
b The requirements of this section 7 of this Master Agreement,
h. Pavments to the Recipient.
(1) ECHO System. If the Recipient is authorized to receive payments through ECHO -Web,
ETA does not generally review the drawdown when made; however, ETA may review
the drawdown at a later time, and subject that drawdown to an audit under financial
oversight review, a triennial review, or another audit,
(2) DELPHI ehivoicing Svstem or DELPHI Mark View Svstem. If the Recipient is not
receiving payments through ECHO -Web, for the Recipient to obtain Federal payments
of its Project costs:
(a) It must submit a request for payment with adequate supporting information for ETA
to determine that it has:
1 Complied and is complying with the Underlying Agreement and this Master
Agreement,
2 Made and is making adequate progress toward Project completion, and
3 Satisfied ETA that the Federal funds requested are needed for Project purposes
in that requisition period, and
(b) After it has demonstrated satisfactory compliance with this section 7 of this Master
Agreement, ETA may reimburse the Federal share of the Recipient's apparent
allowable costs incurred or to be incurred in the requisition period if:
1 Those apparent allowable costs are consistent with the Approved Project Budget
for the Project, and
2 Those apparent allowable costs do not exceed the maximum amount of Federal
funds that may be paid through the Federal fiscal year of that requisition,
Safeguarding Project Funds. The Recipient:
(1) Agrees to deposit all Federal funds it receives in a financial institution and in an insured
account whenever possible, and
(2) Understands that ETA encourages it to use financial institutions owned at least fifty
(50) percent by minority group members,
j. The Recipient's Duty to Pay Project Costs. When accompanied by appropriate
documentation, the Recipient agrees that it will pay eligible Project costs when due, using
Federal funding available through the Underlying Agreement and local share,
26
FTA Master Agreement MA(21),10-1-2014
k. Effect of Federal Payments. The Recipient understands and agrees that any Federal payment
made for a Project cost does not constitute:
(1) The Federal Government's final decision about the eligibility of the cost for payment
under the Project, or
(2) A waiver of any violation of:
(a) Any Federal law, regulation or guidance, or
(b) The Underlying Agreement or this Master Agreement,
Revocation of Federal Funds. The Federal Government may revoke the unexpended portion
of Federal funds awarded for the Project,
m. Final Cost Determination. The Recipient acknowledges that the Federal Government will
not make a final determination about the eligibility of any cost until the Project audit has
been completed,
n. Closeout. The Recipient agrees that Project closeout will not alter:
(1) The Recipient's obligation to return any amounts it owes the Federal Government for
later refunds, corrections, or other similar actions, and
(2) The Federal Government's right to disallow costs and recover funds based on a later
audit or other review,
o. Notification. If the Federal Government determines that the Recipient is not entitled to any
portion of Federal funds paid, the Federal Government will notify the Recipient in writing,
p. Recovery of Improper Pavments. Unless prohibited by Federal law or regulation, the Federal
Government may recover any funds necessary to satisfy any outstanding monetary claims it
may have against the Recipient,
q. Program Income. The Recipient understands and agrees that it may use its program income
derived from the Project, which is a form of undistributed cash surplus, as ETA permits:
(1) During the Award Period ' A Recipient may use program income earned during the
award period (which extends from the date ETA awards Federal funding for the Project
until the ending date of the Recipient's final Federal financial report) as follows:
(a) To retain the income for other capital or operating public transportation expenses; if
the Recipient chooses not to use program income for current or future ETA grants
or cooperative agreements or for other public transportation purposes, then the
amount of program income used for non-public transportation related purposes will
be deducted from the total allowable costs to determine the net allowable costs,
(b) For research projects to reduce the net project cost of the grant or cooperative
agreement,
(c) Under the conditions set forth in section 5.c of this Master Agreement, for the local
share for a future FTA -assisted public transportation project,
Except as ETA determines otherwise in writing, in determining the total amount of
program income a Recipient has earned under its Project, costs incident to earning
27
FTA Master Agreement MA(21),10-1-2014
program income that have not been charged to the Underlying Agreement may be
deducted from the Recipient's gross income,
(2) After the Award Period. The Recipient has no obligation to the Federal Government
regarding the disposition of program income earned after the end of the period of
performance for the grant or cooperative agreement (i.e., after the ending date of the
final Federal Financial Report),
Profits. Except as ETA determines otherwise in writing and except as specified in
section 7.c(5) of this Master Agreement, the Recipient and Subrecipient may earn or keep
profits it may derive as a result of the Project supported by the Underlying Agreement, but
any such profits must be used in a manner consistent with the provisions of this Master
Agreement or applicable Federal guidance,
s. Excess Pavments. Disallowed Costs. Refunds. Claims. Debts. Interest. Penalties
Administrative Charges, and Other Amounts Owed to the Federal Government.
(1) The Recipient's Responsibility to Pay. The Recipient agrees that after receiving notice
of specific amounts due, it will pay the amount it owes the Federal Government for:
(a) Excess Federal payments for disallowed costs,
(b) Refunds due and amounts recovered from third parties or other sources,
(c) Federal claims or debts,
(d) Interest assessed,
(e) Penalties,
(f) Administrative charges, or
(g) Other amounts it owes the Federal Government, and
(2) Amount of Interest Due. The amount of interest to be assessed depends on the
procedures used to pursue payment:
(a) The Debt Collection Act. When the Federal Government uses the procedures of the
Debt Collection Act of 1982, as amended, 31 U. S.C. § 3701 et seq., to collect
claims or debts owed by the Recipient for any reason authorized under that Act
(including excess payments and disallowed costs), the Recipient agrees that the
amount of interest it will owe will be determined by:
1 Joint U. S. Treasury and U. S. DOJ regulations, "Standards for the
Administrative Collection of Claims," 31 C.F.R. part 900, specifically 31 C.F.R.
§ 901.9(a) — (g), or
2 Common law interest authorized by 31 C.F.R. § 901.9(i), as the Federal
Government determines, and
(b) Other Collection Processes. When the Federal Government uses methods or
procedures other than those described in 31 U.S.C. § 3701 et seq. to recover moneys
the Recipient owes the Federal Government, the Recipient agrees that:
1 General Requirement. Common law interest will be due as authorized by
U.S. DOJ regulations, "Standards for the Administrative Collection of Claims,"
31 C.F.R. § 901.9(i), but
Exception. Interest for premature withdrawals of Federal funds by States or
State instrumentalities will be calculated as required under:
a Section 5(b) of the Cash Management Improvement Act of 1990, as
amended, 31 U.S.C. § 6503(b), and
28
FTA Master Agreement MA(21),10-1-2014
b U.S. Department of the Treasury regulations, "Rules and Procedures for
Efficient Federal -State Funds Transfers," 31 C.F.R. part 205, and
t. De -obligation of Federal Funds. The Recipient understands and agrees that the Federal
Government may de -obligate Federal funds the Recipient has not spent before Project
closeout.
Section 8. Project Records and Reports. Except as the Federal Government determines
otherwise in writing:
a. Project Records. The Recipient agrees to maintain satisfactory records of Project activity to
the extent ETA requires, including:
(1) Financial Records. Accurate financial records in its Project account, including records
of:
(a) Project Assets Received. The amount of all assets it receives for Project use,
including, but not limited to:
1 All funds or the value of any property the Federal Government provides for the
Project, and
2 All other funds and the value of any property or services it has received from
sources other than the Federal Government provided for, accruing to, or
otherwise received on account of the Project,
(b) Project Costs. Information about Project costs, including:
1 All Project costs incurred for Project property or services,
2 Detailed descriptions of the type of property or services acquired, including, but
not limited to properly executed payrolls, time records, invoices, contracts,
vouchers, and other appropriate records, and
3 Detailed justifications for those Project costs, and
(c) Program Income. All program income derived from Project implementation, except
income ETA determines to be exempt from Federal program income record
requirements,
(2) Other Records Needed for Reports. Sufficient Project records as needed to prepare
adequate Project reports it must submit to the Federal Government,
(3) Formats. Using formats satisfactory to ETA; project records subject to these
requirements include, but are not limited to, records on paper, electronic records,
including any emails pertaining to the Project, and records created in other formats, and
(4) Availability of Project Records. Maintaining Project records that are readily accessible
for review, and as feasible, keeping them separate from other records not related to the
Proj ect,
b. Project Reports. The Recipient agrees to provide to ETA and others if ETA so directs:
(1) All reports required under:
(a) Applicable Federal law or regulation,
(b) The Underlying Agreement or this Master Agreement, or
(c) FTA's express direction,
(2) Any other reports, whether identified in applicable ETA or Federal guidance, and
29
FTA Master Agreement MA(21),10-1-2014
(3) In the number and format as ETA specifies, whether in:
(a) Electronic formats that comply with:
1 Section 508 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794d,
and
2 U.S. Architectural and Transportation Barriers Compliance Board (ATBCB)
regulations, "Electronic and Information Technology Accessibility Standards,"
36 C.F.R. part 1194,
(b) Typewritten hard copy formats, and
(c) Other formats as ETA determines,
c. National Transit Database (NTD). For each fiscal year the Recipient receives or provides to
any public transportation operator funding appropriated or made available under 49 U. S.C.
§ 5307 or any provision of 49 U.S.C. § 5311 (including the Tribal Transit Program):
(1) Reporting Requirements. The Recipient agrees to and assures it will require the public
transportation operators participating in its Project to:
(a) Facilitate compliance with 49 U.S.C. § 5335(a), which authorizes the NTD,
(b) Conform to the NTD reporting system and the Uniform System of Accounts and
Records,
(c) Comply with ETA regulations, "Uniform System of Accounts and Records and
Reporting System," 49 C.F.R. part 630,
(d) After ETA promulgates final regulations under the Transit Asset Management
Program authorized by 49 U.S.C. § 5326, the Recipient must report information
relating to, and the condition of, its public transportation assets, as provided by
those regulations,
(e) Comply with any other applicable reporting regulations, and
(f) Follow ETA guidance, and
(2) Voluntary Compliance. ETA encourages any Recipient that is not required to provide
information for the NTD, to provide that information voluntarily,
d. U.S. OMB Special Reporting Provisions.
(1) Authority. U.S. OMB has issued regulatory guidance in 2 C. F.R. § 25.220 instructing
Federal agencies to include special "award terms" as authorized under Federal laws,
including:
(a) The Federal Funding Accountability and Transparency Act of 2006 (FFATA),
Pub. L. 109-282,
(b) Section 6202 of the Department of Defense Appropriations Act for Fiscal Year
2008, Pub. L. 110-252, June 30, 2008, which amended the FFATA, and
(c) Section 872 of the Duncan Hunter National Defense Authorization Act for Fiscal
Year 2009, Pub. L. 110-417, Oct. 14, 2008, which further amended the FFATA,
(2) Universal Identifier and Central Contractor Registration. The Recipient agrees to
comply with award terms in U.S. OMB guidance, "Universal Identifier and Central
Contractor Registration," 2 C.F. R. part 25, appendix A, which ETA has included in this
Master Agreement at the direction of U.S. OMB:
(a) Requirement for Central Contractor Registration (CCR). Unless exempted from the
CCR as provided by 2 C.F.R. § 25. 110, the Recipient agrees:
1 To maintain the currency of its information in the CCR until the later of the:
30
FTA Master Agreement MA(21),10-1-2014
a Date it submits its final financial report required under this Master
Agreement, or
b Date it receives its final Federal payment for the Project, and
2 That it must review and update its information in the CCR:
a At least annually after the initial registration, and
b More frequently if required by changes in:
(i) Its information,
(ii) Another provision of an applicable Federal or federally -funded
agreement, and
(iii) An applicable Federal law or regulation, or U.S. OMB guidance, and
(b) Requirement for Data Universal Numbering Svstem (DUNS) Numbers. If the
Underlying Agreement is intended to be used for subawards, the Recipient agrees to
notify each potential Subrecipient and entity that:
The potential Subrecipient or entity must provide its DUNS number to the
Recipient,
2 The Recipient may not make any subaward to any potential Subrecipient or
entity unless that Subrecipient or entity has provided its DUNS number to the
Recipient, and
3 No Subrecipient or entity, as defined in section 8.d(4) of this Master Agreement,
may receive a subaward through the Underlying Agreement, unless that entity
has provided its DUNS number to the Recipient,
(3) Reporting Subawards and Executive Compensation. The Recipient agrees to comply
with the award terms in U.S. OMB guidance, "Reporting Subaward and Executive
Compensation Information," 2 C.F.R. part 170, appendix A, which ETA has included in
this Master Agreement at the direction of U.S. OMB:
(a) Reporting of First -Tier Subawards.
Applicabilit . The Recipient agrees that when it takes an action that obligates
$25,000 or more in Federal funds for a subaward to an entity:
a General Requirement. It must report each such action as provided in
section 8.d(3)(b) and (c) of this Master Agreement, but
b Exception. It need not report an obligation of $25,000 or more in Federal
funds, if:
(i) The Recipient is exempt from U.S. OMB's Special Reporting
Requirements as provided in section 8.d(3)(c)l of this Master
Agreement, or
(ii) Funds authorized under the American Recovery and Reinvestment Act
of 2009 (Recovery Act), Pub. L. 111-5, § 1512(a)(2), are obligated for
the subaward (see definitions in § 8.d(4) of this Master Agreement),
2 Where and when to report.
a The Recipient agrees to report each obligating action described in
section 8.d(3)(a)3 of this Master Agreement to http://www.fsrs.Rov, and
b The Recipient agrees to report subaward information no later than the end of
the month after the month in which the obligation was made, (for example, if
the obligation was made on November 7, 2014, the obligation must be
reported by no later than December 31, 2014), and
31
FTA Master Agreement MA(21),10-1-2014
the Transparency Act (and subawards), as defined in 2 C.F.R.
§ 170.320, and
b The public does not have access to information about the compensation of
the Subrecipient's executives through periodic reports filed under:
(i) Section 13(a) of the Securities Exchange Act of 1934, 15 U.S.C.
§ 78m(a),
(ii) Section 15(d) of the Securities Exchange Act of 1934, 15 U. S.C.
§ 78o(d), or
(iii) Section 6104 of the Internal Revenue Code of 1986, 26 U. S.C. § 6104
(to determine if the public has access to the compensation information,
see the U.S. Securities andExchange Commission total compensation
filings athttp://�ww.sec.2ovlanswerslexecomp.htm , and
2 Where and when to report. The Recipient agrees to report the Subrecipient's
executives' total compensation described in section 8.d(3)(c)_j of this Master
Agreement:
a To ETA and elsewhere as may be determined by the Federal Government,
and
b By the end of the month following the month during which the Recipient
makes the subaward (for example, if a subaward is obligated on any date
during the month of October of a given year ti. e., betiveen October I
and 31), the Recipient must report any required compensation information
about the Subrecipient by November 30 of thatyear), and
3 Exemptions. Any Recipient that had gross income under $300,000 from all
sources in the previous tax year is exempt from these Federal requirements to
report subawards, and the total compensation of the five highest compensated
executives of any Subrecipient, and
(4) Definitions. For purposes of section 8.d of this Master Agreement, the Recipient agrees
that the following definitions apply:
(a) Central Contractor Registration (CCR), which is now apart of the System for
Awards Management (SAM), means the Federal repository into which an entity
must provide information required for the conduct of business as a recipient
(additional information about registration procedures may befound at the CCR
Internet site: httP:11www.sam.gov),
(b) Data Universal Numbering System (DUNS) number means the nine -digit number
established and assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify
business entities (you may obtain a DUNS numberfrom D&B by telephone (866-
705-5711) or the Internet site http://f`ed.Qov.dnb. com/webrorm ,
(c) Entity, as used in this section 8.d of this Master Agreement, and as defined in
2 C.F.R. part 25, subpart C, includes:
1 A governmental organization that is a State, local government, or Indian tribe,
2 A foreign public entity,
3 A domestic or foreign nonprofit organization,
4 A domestic or foreign for-profit organization, or
5 A Federal agency, but only as a Subrecipient under an award or subaward to a
non -Federal entity,
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FTA Master Agreement MA(21),10-1-2014
(d) Executive means officers, managing partners, or any other employees in
management positions,
(e) Subaward as it is used in section 8.d of this Master Agreement:
1 Means a legal instrument that provides support for the performance of any
portion of the Project or Program of Projects for which the Recipient awards
Federal funds that it received through the Underlying Agreement to an eligible
Subrecipient,
2 Does not include the Recipient's procurement of property and services
necessary to carry out its Project or Program, and
May be provided through any legal agreement, including an agreement that the
Recipient considers to be a contract, when using FTA funds (See subpart B,
§ .2l0ofU.SOMBCircularA-l33, "Audits ofStates, Local Governments,
and Non-Profii t Organizations'),
(f) Subrecivient means an entity that receives a subaward from the Recipient through
the Underlying Agreement and is accountable to the Recipient for the use of Federal
funds provided under the subaward, and
(g) Total compensation means the cash and noncash dollar value earned by the
executive during the Recipient's or Subrecipient's preceding fiscal year and
includes:
1 Salary,
2 Bonus(es),
3 The value of awards of stock, stock options, and stock appreciation rights, based
on the dollar amount recognized for its financial statement reporting purposes
that apply to its fiscal year as required for the Statement of Financial
Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based
Payments,
4 Earnings for services under non -equity incentive plans (this does not include
group life, health, hospitalization or medical reimbursementplans that do not
discriminate infavor of executives, and are available generally to all salaried
employees),
Change in pension value (this is the change in present value of defined benefit
and actuarial pension plans),
6 Above -market earnings on deferred compensation that is not tax -qualified, and
2 Any other compensation for the executive, if the aggregate value of all such
other compensation (e.g. severance, termination payments, the value of life
insurance paid on behalf of that employee, perquisites, or property) for the
executive exceeds $10,000, and
(5) Other Prospective U.S. OMB Reporting Guidance. Proposed guidance, "Recipient
Integrity and Performance Matters," to be published in 2 C.F.R. part 35, contains a
mandatory "award term" that would affect the Recipient's reporting requirements (for
more information, see 17 C-F.R. § 229.402(c) (2), and
e. Project Closeout. The Recipient agrees that closeout of its Project does not alter the record-
keeping and reporting requirements of this section 8 of this Master Agreement.
34
FTA Master Agreement MA(21),10-1-2014
Section 9. Record Retention. The Recipient agrees to all the following:
a. Types of Records. The Recipient will retain, and will require its Third Party Participants to
retain, complete and readily accessible records related in whole or in part to the Project,
including:
(1) Data,
(2) Documents,
(3) Reports,
(4) Statistics,
(5) Subagreements,
(6) Leases,
(7) Third party contracts,
(8) Arrangements,
(9) Other third party agreements of any type, and
(10) Supporting materials related to those records,
b. Retention Period. Until U.S. DOT promulgates new regulations that will supersede and
apply in lieu of 49 C.F.R. parts 18 and 19, all records listed in section 9.a of this Master
Agreement, as provided by 49 C.F.R. § 18.36(i)(1 1) or 49 C.F.R. § 19.53(b), must be
retained from the beginning of the Project, through the course of the Project, until:
(1) Three years after the Recipient has submitted its last or final expenditure report, and
(2) Other pending matters are closed, and
C. Project Closeout. All records described in sections 9.a of this Master Agreement must be
retained in accordance with section 9.b, even if the Project has been closed out.
Section 10. Access to Records and Sites of Project Performance.
a. Access to Recipient and Third Partv Participant Records. The Recipient agrees to, and
assures its Subrecipients will agree to:
(1) Provide, and require its Third Party Participants at each tier to provide, sufficient access
to inspect and audit records and information pertaining to the Project to the:
(a) U.S. Secretary of Transportation or the Secretary's duly authorized representatives,
(b) Comptroller General of the United States, and the Comptroller General's duly
authorized representatives, and
(c) Recipient and its Subrecipients, if any,
(2) Permit those individuals listed in section 10.a(l) of this Master Agreement to:
(a) Inspect all Project work and materials, and
(b) Audit any information related to the Project under the control of the Recipient or
Third Party Participant within books, records, accounts, or other locations, and
(3) Otherwise comply with:
(a) 49 U.S.C. § 5325(g), and
(b) 49 C.F.R. 49 C.F.R. § 18.36(i)(10) and 49 C.F.R. § 19.53(e), until U.S. DOT
promulgates new regulations that will supersede and apply in lieu of 49 C.F.R.
parts 18 and 19,
35
FTA Master Agreement MA(21),10-1-2014
b. Access to Sites of Project Performance. The Recipient agrees to permit, and to require its
Third Party Participants to permit, Federal awarding agencies, specifically FTA, to make site
visits as needed in compliance with 49 C.F.R. § 18.40(e) or 49 C.F.R. § 19.51(g) until
U.S. DOT promulgates new regulations that will supersede and apply in lieu of 49 C.F.R.
parts 18 and 19,
c. Project Closeout. Project closeout does not alterthe access requirements of this section 10 of
this Master Agreement.
Section 11. Project Completion, Audit, Settlement, and Closeout.
a. Project Completion. Within ninety (90) calendar days after Project completion or
termination, the Recipient agrees to submit:
(1) Its final Federal Financial Report, either electronically or on Federal Financial Report
Standard Form 425 (SF -425),
(2) A certification of Project expenses, and
(3) The necessary Project audit reports,
b. Audit of Recipients. Except as the Federal Government determines otherwise in writing, the
Recipient acknowledges and agrees that:
(1) Audits Required. It will obtain the following audits:
(a) Annual "Single Audit." A financial and compliance audit that:
Complies with the Single Audit Act Amendments of 1996, 31 U. S.C. § 7501
et seq.,
Complies with applicable U.S. DOT "Single Audit" requirements:
a 49 C.F.R. § 18.26, if the Recipient is a State, Local, or Indian Tribal
Government,
b 49 C.F.R. § 19.26, if the Recipient is an institution of higher leaming or a
private nonprofit entity, or
c 2 C.F.R. part 1201, when effective,
3 Follows the guidance of:
a U.S. OMB Circular A-133, Revised, "Audits of States, Local Governments,
and Non -Profit Organizations," and
b The most recent U.S. OMB A-133 Compliance Supplement for U.S. DOT,
and any revision to that Compliance Supplement, and
(b) Other Audits. Other audits the Federal Government may require,
(2) Auditing Standards. The Recipient understands and agrees as follows:
(a) The "Audit Requirements" of 2 C.F.R. part 200, subpart F, apply to ETA and will
apply to audits of Recipients as of December 26, 2014, until U.S. DOT promulgates
new regulations implementing these U.S. OMB requirements, and
(b) It will conform to U.S. Government Accountability Office (U.S. GAO)
"Government Auditing Standards" in conducting Project audits, and
(3) Costs of Audits. Until U.S. DOT promulgates new regulations that will supersede and
apply in lieu of U.S. OMB's cost principles provided in 49 C.F.R. parts 18 and 19, audit
36
FTA Master Agreement MA(21),10-1-2014
costs for Project administration and management are allowable as authorized by Federal
Cost Principles in 2 C.F.R. part 200,
c. Amounts Owed to the Federal Government. The Recipient agrees to return to the Federal
Government:
(1) Any excess Federal payments it receives for disallowed costs,
(2) The Federal Government's proportionate part of any amounts it recovers from third
parties or other sources, and
(3) Any interest assessed, penalties, and administrative charges required under
section 7.s(l)(d) — (f) of this Master Agreement, and
d. Project Closeout. The Recipient agrees that Project closeout:
(1) Occurs when FTA notifies the Recipient that the Project is closed, and:
(a) Approves the final Federal payment, or
(b) Acknowledges receipt of the proper refund,
(2) Does not alter its audit responsibilities, and
(3) Does not invalidate any continuing requirements of-.
(a) Applicable Federal law or regulations,
(b) The Underlying Agreement or this Master Agreement, or
(c) FTA's final notice or acknowledgment of Project closeout.
Section 12. Right of the Federal Government to Terminate. The Recipient agrees that:
a. Justification. After providing written notice to the Recipient, the Federal Govermnent may
suspend, suspend then terminate, or terminate all or any part of the Federal funding awarded
for the Project if-.
(1) The Recipient has violated the Underlying Agreement or this Master Agreement,
especially if that violation would endanger substantial performance of the Project,
(2) The Recipient has failed to make reasonable progress implementing the Project, or
(3) The Federal Government determines that continuing to provide Federal funding for the
Project does not adequately serve the purposes of the law authorizing the Project,
b. Financial Implications.
(1) In general, termination of Federal funding for the Project will not invalidate obligations
properly incurred before the termination date to the extent the obligations cannot be
canceled, but
(2) Notwithstanding section 12.b(l) of this Master Agreement above, the Federal
Government may:
(a) Recover Federal funds it has provided for the Project if it determines that the
Recipient has willfully misused Federal funds by:
Failing to make adequate progress,
Failing to make appropriate use of the Project property, or
Failing to comply with the Underlying Agreement or this Master Agreement, and
(b) Require the Recipient to refund the entire amount or a lesser amount of Federal
funds provided for the Project, as the Federal Government may determine, and
37
FTA Master Agreement MA(21),10-1-2014
c. Expiration of Project Time Period. Except for a Full Funding Grant Agreement, expiration
of any Project time period established for the Project does not, by itself constitute an
expiration or termination of the Underlying Agreement.
Section 13. Civil Rights.
The Recipient understands and agrees that it must comply with applicable Federal civil rights
laws and regulations, and follow applicable Federal guidance, except as the Federal Government
determines otherwise in writing. Therefore, unless a Recipient or Program, including an Indian
Tribe or the Tribal Transit Program Recipient, is specifically exempted from a civil rights statute,
ETA requires compliance with that civil rights statute, including compliance with equity in service,
a. Nondiscrimination in Federal Public Transportation Programs. The Recipient agrees to
comply with and assures that it and each Third Party Participant will:
(1) Prohibit discrimination based on:
(a) Race,
(b) Color,
(c) Religion,
(d) National origin,
(e) Sex,
(f) Disability, or
(g) Age,
(2) Prohibit the:
(a) Exclusion from participation in employment or business opportunity for reasons
identified in 49 U. S.C. § 5332,
(b) Denial of program benefits in employment or business opportunity identified in
49 U.S.C. § 5332, or
(c) Discrimination, including discrimination in employment or business opportunity
identified in 49 U. S.C. § 5332, and
(3) Follow:
(a) The most recent edition of ETA Circular 4702. 1, "Title VI Requirements and
Guidelines for Federal Transit Administration Recipients," to the extent consistent
with applicable Federal laws, regulations, and guidance, and
(b) Other applicable Federal guidance that may be issued, but
(c) ETA does not require an Indian Tribe to comply with ETA program -specific
guidelines for Title VI when administering its projects funded under the Tribal
Transit Program,
b. Nondiscrimination — Title VI of the Civil RiWits Act. The Recipient agrees to, and assures
that each Third Party Participant will:
(1) Prohibit discrimination based on:
(a) Race,
(b) Color, or
(c) National origin,
38
FTA Master Agreement MA(21),10-1-2014
(2) Comply with:
(a) Title VI of the Civil Rights Act of 1964, as amended, 42 U. S.C. § 2000d et seq.,
(b) U.S. DOT regulations, "Nondiscrimination in Federally -Assisted Programs of the
Department of Transportation — Effectuation of Title VI of the Civil Rights Act of
1964," 49 C.F.R. part 21, and
(c) Federal transit law, specifically 49 U.S.C. § 5332, as provided in section 13.a of this
Master Agreement, and
(3) Follow:
(a) The most recent edition of ETA Circular 4702. 1, "Title VI Requirements and
Guidelines for Federal Transit Administration Recipients," to the extent consistent
with applicable Federal laws, regulations, and guidance,
(b) U.S. DOJ, "Guidelines for the enforcement of Title VI, Civil Rights Act of 1964,"
28C.F.R. § 50.3, and
(c) All other applicable Federal guidance that may be issued,
c. Equal Emylovment Opportunitv.
(1) Federal Requirements and Guidance. The Recipient agrees to prohibit, and assures that
each Third Party Participant will prohibit, discrimination on the basis of race, color,
religion, sex, or national origin, and:
(a) Comply with Title VII of the Civil Rights Act of 1964, as amended, 42 U.S. C.
§ 2000e et seq.,
(b) Facilitate compliance with Executive Order 11246, "Equal Employment
Opportunity," as amended by Executive Order 11375, "Amending Executive
Order 11246, Relating to Equal Employment Opportunity," 42 U.S.C. § 2000e note,
and as further amended by Executive Order 13672, "Further Amendments to
Executive Order 11478, Equal Employment Opportunity in the Federal
Government, and Executive Order 11246, Equal Employment Opportunity,"
July 21, 2014,
(c) Comply with Federal transit law, specifically 49 U.S.C. § 5332, as provided in
section 13.a of this Master Agreement, and
(d) Follow Federal guidance pertaining to Equal Employment Opportunity laws and
regulations, and prohibitions against discrimination on the basis of disability,
(2) Specifics. The Recipient agrees:
(a) Prohibited Discrimination. As provided by Executive Order 11246, as amended,
and as specified by U.S. Department of Labor regulations, to ensure that applicants
for employment are employed and employees are treated during employment
without discrimination on the basis of their:
1 Race,
2 Color,
3 Religion,
4 National origin,
5 Disability,
6 Age,
7 Sexual origin,
8 Gender identity, or
9 Status as a parent, and
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FTA Master Agreement MA(21),10-1-2014
funded contracts,
(c) Its DBE program, as required under 49 C.F.R. part 26 and as approved by
U.S. DOT, is incorporated by reference and made part of its Underlying
Agreement, and
(d) Implementation of its DBE program approved by U.S. DOT is a legal
obligation and failure to carry out its terms shall be treated as a violation of
this Master Agreement, and
(5) Upon notification to the Recipient of its failure to carry out its approved
program, ETA or U.S. DOT may:
(a) Impose sanctions as provided for under 49 C.F.R. part 26, and
(b) In appropriate cases, refer the matter for enforcement under either or both:
1 18 U.S.C. § 1001, and
2 The Program Fraud Civil Remedies Act of 1986, 31 U.S.C. § 3801 et seq., but
(6) Exception for the Tribal Transit Program. ETA exempts Indian tribes from the
U.S. DOT regulations, "Participation by Disadvantaged Business Enterprises in
Department of Transportation Financial Assistance Programs," 49 C.F.R. part 26,
e. Nondiscrimination on the Basis of Sex. The Recipient agrees to comply with Federal
prohibitions against discrimination on the basis of sex, including:
(1) Title IN of the Education Amendments of 1972, as amended, 20 U.S. C. § 1681 et seq.,
(2) U.S. DOT regulations, "Nondiscrimination on the Basis of Sex in Education Programs
or Activities Receiving Federal Financial Assistance," 49 C.F.R. part 25, and
(3) Federal transit law, specifically 49 U.S.C. § 5332, as provided in section 13.a of this
Master Agreement,
Nondiscrimination on the Basis of Age. The Recipient agrees to comply with Federal
prohibitions against discrimination on the basis of age, including:
(1) The Age Discrimination in Employment Act, 29 U.S.C. §§ 621 — 634, which prohibits
discrimination on the basis of age,
(2) U.S. Equal Employment Opportunity Commission (U.S. EEOC) regulations, "Age
Discrimination in Employment Act," 29 C.F.R. part 1625, which implements the Age
Discrimination in Employment Act,
(3) The Age Discrimination Act of 1975, as amended, 42 U.S.C. § 6101 et seq., which
prohibits discrimination against individuals on the basis of age in the administration of
programs or activities receiving Federal funds,
(4) U.S. Health and Human Services regulations, "Nondiscrimination on the Basis of Age in
Programs or Activities Receiving Federal Financial Assistance," 45 C.F.R. part 90,
which implements the Age Discrimination Act of 1975, and
(5) Federal transit law, specifically 49 U.S.C. § 5332, as provided in section 13.a of this
Master Agreement,
g. Nondiscrimination on the Basis of Disabilit . The Recipient agrees to comply with the
following Federal prohibitions against discrimination on the basis of disability:
(1) Federal laws, including:
(a) Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794, which
prohibits discrimination on the basis of disability in the administration of federally
41
FTA Master Agreement MA(21),10-1-2014
funded programs or activities,
(b) The Americans with Disabilities Act of 1990 (ADA), as amended, 42 U.S.C.
§ 12101 et seq., which requires that accessible facilities and services be made
available to individuals with disabilities:
1 For ETA Recipients generally, Titles 1, 11, and III of the ADA apply, but
2 For Indian Tribes, Titles 11 and III of the ADA apply, but Title I of the ADA
does not apply because it exempts Indian Tribes from the definition of
"employer,"
(c) The Architectural Barriers Act of 1968, as amended, 42 U.S.C. § 4151 et seq.,
which requires that buildings and public accommodations be accessible to
individuals with disabilities,
(d) Federal transit law, specifically 49 U.S.C. § 5332, which now includes disability as
a prohibited basis for discrimination, and
(e) Other applicable laws and amendments pertaining to access for seniors or
individuals with disabilities,
(2) Federal regulations, including:
(a) U.S. DOT regulations, "Transportation Services for Individuals with Disabilities
(ADA)," 49 C.F.R. part 37,
(b) U.S. DOT regulations, "Nondiscrimination on the Basis of Disability in Programs
and Activities Receiving or Benefiting from Federal Financial Assistance,"
49 C.F.R. part 27,
(c) U.S. DOT regulations, "Transportation for Individuals with Disabilities: Passenger
Vessels," 49 C.F.R. part 39,
(d) Joint U.S. Architectural and Transportation Barriers Compliance Board
(U.S. ATBCB) and U.S. DOT regulations, "Americans With Disabilities (ADA)
Accessibility Specifications for Transportation Vehicles," 36 C.F.R. part 1192 and
49 C.F.R. part 38,
(e) U.S. DOJ regulations, "Nondiscrimination on the Basis of Disability in State and
Local Government Services," 28 C.F.R. part 35,
(f) U.S. DOJ regulations, "Nondiscrimination on the Basis of Disability by Public
Accommodations and in Commercial Facilities," 28 C.F.R. part 36,
(g) U.S. EEOC, "Regulations to Implement the Equal Employment Provisions of the
Americans with Disabilities Act," 29 C.F.R. part 1630,
(h) U.S. Federal Communications Commission regulations, "Telecommunications
Relay Services and Related Customer Premises Equipment for Persons with
Disabilities," 47 C.F.R. part 64, Subpart F,
(i) U.S. ATBCB regulations, "Electronic and Information Technology Accessibility
Standards," 36 C.F.R. part 1194, and
ETA regulations, "Transportation for Elderly and Handicapped Persons," 49 C.F.R.
part 609, and
(3) Other applicable Federal civil rights and nondiscrimination guidance,
h. Drug or Alcohol Abuse - Confidentialitv and Other Civil Rights Protections. The Recipient
agrees to comply with the confidentiality and civil rights protections of-.
(1) The Drug Abuse Office and Treatment Act of 1972, as amended, 21 U. S.C. § 110 let seq.,
(2) The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
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FTA Master Agreement MA(21),10-1-2014
Rehabilitation Act of 1970, as amended, 42 U.S.C. § 4541 et seq., and
(3) The Public Health Service Act, as amended, 42 U.S.C. §§ 290dd — 290dd-2,
Access to Services for People with Limited English Proficiency. The Recipient agrees to
promote accessibility of public transportation services to people with limited understanding
of English by following:
(1) Executive Order 13166, "Improving Access to Services for Persons with Limited
English Proficiency," August 11, 2000, 42 U.S.C. § 20OOd-1 note, and
(2) U.S. DOT Notice, "DOT Policy Guidance Concerning Recipients' Responsibilities to
Limited English Proficiency (LEP) Persons," 70 Fed. Reg. 74087, December 14, 2005,
j. Other Nondiscrimination Laws and Regulations. The Recipient agrees to:
(1) Comply with other applicable Federal nondiscrimination laws and regulations, and
(2) Follow Federal guidance prohibiting discrimination, and
k. Remedies. Remedies for failure to comply with applicable Federal Civil Rights laws and
regulations may be enforced as provided in those Federal laws or regulations.
Section 14. Planning. Except as ETA determines otherwise in writing:
a. Standard Planning Provisions. The Recipient understands and agrees to the following:
(1) Planning Requirements and Guidance. To assure that its Project is consistent with the
Planning requirements that apply, the Recipient agrees to:
(a) Comply with the Metropolitan planning requirements of-.
1 49 U.S.C. § 5303, as amended by MAP -21, and
2 Joint FHWA and ETA regulations, "Planning and Assistance Standards"
(for Metropolitan Transportation Planning and Programming), 23 C.F.R.
part 450 and 49 C.F.R. part 613, to the extent those regulations are consistent
with the metropolitan planning requirements of 49 U.S.C. § 5303, as amended
by MAP -21,
(b) Comply with the Statewide and nomnetropolitan planning requirements of-.
1 49 U.S.C. § 5304, as amended by MAP -21, and
2 Joint FHWA and ETA regulations, "Planning and Assistance Standards"
(for Statewide Transportation Planning and Programming), 23 C.F.R. part 450
and 49 C.F.R. part 613, to the extent those regulations are consistent with the
State planning requirements of 49 U. S.C. § 5304, as amended by MAP -21, and
(c) Follow, except as ETA determines otherwise in writing:
1 ETA "Policy Guidance on Metropolitan Planning Organization (MPO)
Representation," 79,Fed. Reg. 31214, June 2, 2014,
Any applicable guidance ETA adopts to implement the MAP -21 amendments to
49 U.S.C. §§ 5303 or 5304 that may add perform ance-based planning and other
planning changes, when issued,
Applicable guidance ETA adopts to implement the MAP -21 amendments to the
joint FHWA/FTA regulations, "Planning and Assistance Standards," 23 C.F.R.
part 450 and 49 C.F.R. part 613, and
43
FTA Master Agreement MA(21),10-1-2014
4 Other applicable Federal guidance, and
(2) Participation of State or Local Governmental and Private Nonprofit Providers of
Nonemergencv Transportation. The Recipient agrees to comply with 49 U.S.C.
§ 5323(k) by assuring that it will, as feasible:
(a) Provide the opportunity to:
1 Participate and coordinate with the Recipient in the design and the delivery of
FTA-fianded transportation services, and
2 Be included in planning for the Recipient's FTA-fianded transportation services,
and
(b) Make that opportunity available to federally -funded State or local governmental
agencies and nonprofit organizations that:
1 Receive funds for nonemergency transportation, but
2 Do not receive funds for nonemergency transportation from U.S. DOT, and
b. Tribal Transit Pro uam Planning Provisions. The Indian Tribe agrees that:
(1) Planning Requirements. Its Projects that use of Tribal Transit Program funding:
(a) Will be consistent with its documents, including any formal plan provided to ETA
in support of the development and basis of its Tribal Transit Project, and
(b) Are or will be coordinated with transportation service funded by other Federal
sources to the maximum extent feasible, and
(2) Participation of State or Local Governmental and Nonprofit Providers of Nonemergency
Transportation. The Indian Tribe agrees to comply with 49 U.S.C. § 5323(k) by:
(a) Assuring, as feasible, the opportunity to:
1 Participate and coordinate with the Indian Tribe in the design and delivery of
FTA-fianded transportation services, and
2 Be included in planning for the Indian Tribe's FTA-fianded transportation
services, and
(b) Make that opportunity available to federally -funded State or local governmental
agencies and nonprofit organizations that:
1 Receive funds for nonemergency transportation, but
2 Do not receive funds for nonemergency transportation from U.S. DOT.
Section15. PirivateEnterpirise. The Recipient agrees to protect the interests of private
enterprise affected by Federal public transportation programs by:
a. Participation. Encouraging private enterprise to participate in the planning of public
transportation and the programs that provide public transportation, to the extent permitted
under 49 U.S.C. § 5306,
b. Just Compensation. Providing just compensation for the Project property acquired, including
the franchises of private providers of public transportation, as required under 49 U.S.C.
§ 5323(a)(1)(C), and
c. Infrastructure Investment. Except as ETA determines otherwise in writing, following the
infrastructure investment recommendations of:
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FTA Master Agreement MA(21),10-1-2014
(1) Executive Order 12803, "Infrastructure Privatization," 31 U.S.C. § 501 note, and
(2) Executive Order 12893, "Principles for Federal Infrastructure Investments," 31 U.S.C.
§ 501 note.
Section 16. Preference for United States Products and Services.
Except as the Federal Government determines otherwise in writing, the Recipient agrees to comply
with FTA's U.S. domestic preference requirements and follow Federal guidance, including:
a. Buv America. Domestic preference procurement requirements of:
(1) 49 U.S.C. § 53230), as amended by MAP -21, and
(2) ETA regulations, "Buy America Requirements," 49 C.F.R. part 661, to the extent
consistent with MAP -21,
b. Cargo Preference —Use of United States -Flag Vessels. Shipping requirements of:
(1) 46 U.S.C. § 55305, and
(2) U.S. Maritime Administration regulations, "Cargo Preference - U.S.-Flag Vessels,"
46 C.F.R. part 381, and
c. Flv America. Air transportation requirements of:
(1) Section 5 of the International Air Transportation Fair Competitive Practices Act of 1974,
as amended, 49 U.S.C. § 40118, and
(2) U.S. General Services Administration (U.S. GSA) regulations, "Use of United States
Flag Air Carriers," 41 C.F.R. §§ 301-10.131 — 301-10.143.
Section 17. Procurement. The Recipient agrees that it will not use ETA funds for third party
procurements unless there is satisfactory compliance with Federal requirements. Therefore,
except as ETA determines otherwise in writing:
a. Federal Laws, Regulations, and Guidance , The Recipient agrees:
(1) To comply with the requirements of 49 U.S.C. chapter 53 and other applicable Federal
laws and regulations in effect now or later that affect its third party procurements,
(2) The following U.S. DOT requirements will apply to the Recipient and its Project:
(a) 49 C.F.R. § 18.36, if the Recipient is a State, Local, or Indian Tribal Government,
(b) 49 C.F.R. §§ 19.40 — 19.48, if the Recipient is an institution of higher leaming or a
private nonprofit entity, or
(c) Applicable provisions of 2 C.F.R part 1201, when effective,
(3) To follow the most recent edition and any revisions of ETA Circular 4220. 1,
"Third Party Contracting Guidance," to the extent consistent with applicable Federal
laws, regulations, and guidance, and
(4) That although the ETA "Best Practices Procurement Manual" may provide some
additional third party contracting guidance, that Manual may lack the necessary
information for compliance with certain Federal requirements that apply to specific third
party contracts at this time,
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FTA Master Agreement MA(21),10-1-2014
b. Full and Open Competition. The Recipient agrees to conduct all its third party procurements
using full and open competition as provided in 49 U.S.C. § 5325(a), and as determined by
FTA,
c. Exclusionary or Discriminatory Specifications. The Recipient agrees that it will not use any
ETA Project funds for any procurement based on exclusionary or discriminatory
specifications, as provided by 49 U. S.C. § 5325(h), unless authorized by other applicable
Federal laws or regulations,
d. Geographic Restrictions. The Recipient agrees that it will not use any State or local
geographic preference, except:
(1) A preference expressly mandated by applicable Federal law, or
(2) A preference permitted by ETA; for example, a contractor's geographic location maybe
a selection criterion for a Recipient that is procuring architectural engineering or related
services, provided that a sufficient number of qualified firms are eligible to compete for
that contract,
e. In -State Bus Dealer Restrictions. The Recipient agrees that any State law requiring buses to
be purchased through in -State dealers will not apply to purchases of vehicles supported with
funding made available or appropriated for 49 U. S.C. chapter 53, as provided under
49 U.S.C. § 5325(i),
f. Organizational Conflicts of Interest. The Recipient agrees that it will not enter into a
procurement that involves a real or apparent organizational conflict of interest described as
follows:
(1) When It Occurs. An organizational conflict of interest occurs when the Project work,
without appropriate restrictions on certain future activities, results in an unfair
competitive advantage:
(a) To that Third Party Participant or another Third Party Participant performing the
Project work, and
(b) That impairs that Third Party Participant's objectivity in performing the Project
work, or
(2) Other. An organizational conflict of interest may involve other situations resulting in
fundamentally unfair competitive conditions,
g. Project Labor Agreements. As a condition of contract award, the Recipient may require a
Third Party Contractor or Subcontractor to have an affiliation with a labor organization, such
as a project labor agreement, consistent with Executive Order 13502, "Use of Project Labor
Agreements for Federal Construction Projects," February 6, 2009, 41 U.S.C. chapter 39,
Refs. & Annos.,
h. U.S. GSA Federal Supylv Schedules. The Recipient agrees that:
(1) Federal restrictions apply to the use of U. S. GSA Federal Supply Schedules by a State,
local government, or nonprofit entity, and
(2) If it is a State, local government, or nonprofit entity, it may not use U.S. GSA Federal
46
FTA Master Agreement MA(21),10-1-2014
Supply Schedules to acquire federally funded property or services, except as permitted by:
(a) Applicable Federal law, regulations, or guidance, or
(b) Applicable determinations issued by U. S. GSA, U. S. DOT, FTA, or another
authorized Federal department or agency,
State Suvvlv Schedules. The Recipient agrees that:
(1) Permissions. It may use a State Supply Schedule, as defined in section Lz of this Master
Agreement only if:
(a) That Supply Schedule has been established by the State in which the Recipient is
located,
(b) The State permits the Recipient to use its State Supply Schedule, and
(c) That State Supply Schedule includes all required Federal clauses and certifications
in the contract documents when ETA funding will be used to support the third party
procurement, and
(2) Prohibitions. It may not use:
(a) A State Supply Schedule established by a State in which the Recipient is not
located, or
(b) A Supply Schedule that:
1 Has been established by entities that are not a State, whether they are located
entirely within or partially within the State, and
2 Has not been formally adopted by the State as a Supply Schedule,
j. ForceAccount. The Recipient agrees:
(1) To develop a Force Account Plan under which it will perform work with its own labor
forces when the total cost of that work exceeds $100,000 for implementing a capital
proj ect,
(2) To seek ETA approval of the Force Account Plan for workforce costs exceeding
$10,000,000 on a project prior to incurring costs, and
(3) To comply with applicable Federal laws, regulations, and guidance,
k. ETA Technical Review. The Recipient agrees that ETA may review and approve the
Recipient's technical specifications and requirements as ETA believes necessary to ensure
proper Project administration,
1. Relationship of Project Approval to Third Party Contract Approval. The Recipient agrees
that FTA's award of Federal funds for the Project does not, by itself constitute approval of
any non-competitive third party contract associated with the Project, unless ETA indicates
otherwise in writing.
m. Preference for Recvcled Products. The Recipient agrees to provide a competitive preference
for those products and services that conserve natural resources, protect the environment, and
are energy efficient by complying with and facilitating compliance with:
(1) Section 6002 of the Resource Conservation and Recovery Act, as amended, 42 U. S.C.
§6962,and
(2) U.S. Environmental Protection Agency (U.S. EPA), "Comprehensive Procurement
Guideline for Products Containing Recovered Materials," 40 C.F.R. part 247,
47
FTA Master Agreement MA(21),10-1-2014
n. Clean Air and Clean Water. The Recipient agrees to include adequate provisions in each
third party agreement exceeding $100,000 to ensure that each Third Party Participant will
agree to the following:
(1) It will not use any violating facilities,
(2) It will report the use of facilities placed on or likely to be placed on the U.S. EPA "List
of Violating Facilities,"
(3) It will report violations of use of prohibited facilities to ETA and the Regional U.S. EPA
Office, and
(4) It will comply with the inspection and other requirements of:
(a) Section 306 of the Clean Air Act, as amended, 42 U.S.C. § 7606, and other
requirements of the Clean Air Act, as amended, 42 U.S.C. §§ 7401 — 7671q, and
(b) Section 508 of the Clean Water Act, as amended, 33 U.S.C. § 1368, and other
requirements of the Clean Water Act, as amended, 33 U.S.C. §§ 1251 — 1377,
o. National Intelligent Transportation Svstems Architecture and Standards. The Recipient
agrees to:
(1) Conform to the National Intelligent Transportation Systems (ITS) Architecture
requirements of 23 U.S.C. § 517(d), as amended by MAP -21, unless it obtains an
exemption from those requirements, and
(2) Follow:
(a) ETA Notice, "ETA National ITS Architecture Policy on Transit Projects,"
66,Fed. Reg. 1455, January 8, 200 1, and
(b) All other applicable Federal guidance,
p. Rolling Stoc . The Recipient agrees that:
(1) Basis for Award. hi compliance with 49 U.S.C. § 5325(f), each third party contract
award for rolling stock will be based on any of the following factors:
(a) Initial capital costs,
(b) Performance, standardization, life cycle costs, and other relevant factors, or
(c) Another competitive procurement process,
(2) Multi-year Options. Funds authorized by 49 U.S.C. chapter 53 may be used to finance
options to purchase additional rolling stock or replacement parts, only if:
(a) Bus Procurements. An option to purchase additional buses does not exceed five (5)
years, as limited by 49 U. S.C. § 5325(e), and
(b) Rail Procurements. An option to purchase additional railcars or replacement parts,
as limited under 49 U.S.C. § 5325(e)(1)(B), as amended by MAP -21:
1 Does not exceed seven (7) years, and
2 Does not allow for significant changes or alterations to the rolling stock,
(3) Pre -award and Post Delivery Requirements. Except for Projects using funds
appropriated or made available for any Tribal Transit Program, it will conduct the Pre-
award and post -delivery reviews as required under:
(a) Federal transit law, specifically 49 U.S.C. § 5323(m), and
(b) ETA regulations, "Pre -Award and Post -Delivery Audits of Rolling Stock
Purchases," 49 C.F.R. part 663, and
(4) Bus Testing. It will complete the bus testing required under:
48
FTA Master Agreement MA(21),10-1-2014
(a) Federal transit law, specifically 49 U.S.C. § 5318(e), as amended by MAP -21, and
(b) ETA regulations, "Bus Testing," 49 C.F.R. part 665, to the extent they are
consistent with 49 U. S.C. § 5318(e), as amended by MAP -21,
q. Bonding. The Recipient agrees to comply with the following bonding requirements and
restrictions as provided in Federal regulations and guidance:
(1) Construction. As provided by Federal regulations and modified by ETA guidance, for
Project activities involving construction, it will provide:
(a) Bid guarantee bonds,
(b) Contract performance bonds, and
(c) Payment bonds, and
(2) Activities Not hivolving Construction. For Project activities not involving construction:
(a) It will not impose excessive bonding, and
(b) It will follow ETA guidance,
Architectural Engineering or Related Services. When procuring architectural engineering or
related services supported with funds made available or appropriated for 49 U.S. C.
chapter 53 or provided under any other law requiring the Project to be administered under
49 U.S.C. chapter 53, the Recipient agrees that it will comply, and assures its Subrecipients
will comply, with 49 U.S.C. § 5325(b) as follows:
(1) The Recipient and its Subcontractors at any tier:
(a) Will negotiate for those services in the same manner as a contract for those services
negotiated under chapter 11 of Title 40, United States Code, or
(b) Will comply with an equivalent State qualifications -based requirement for
contracting for those services, if the State has adopted that type of law before
August 10, 2005,
(2) Upon awarding a contract for architectural engineering or related services, the Recipient
and its Subcontractors at any tier:
(a) Will use the FAR cost principles of 48 C.F.R. part 31 when carrying out and
auditing its third party contracts or subcontracts,
(b) Will accept the indirect cost rates established by a cognizant Federal or State
government agency consistent with FAR requirements that apply for one-year
accounting periods, if those rates are not currently under dispute,
(c) Will use indirect cost rates accepted by a cognizant Federal or State government
agency for contract or subcontract:
1 Estimation,
2 Negotiation,
3 Administration,
4 Reporting, and
5 Payment without limitation by administrative or de facto ceilings, and
(d) As required under 49 U.S.C. § 5325(b)(2)(D), together with the members of any
group of entities sharing indirect cost or rate data described in section 17.r(2)(c) of
this Master Agreement, the Recipient agrees that it:
1 Will notify any affected firm before requesting or using accepted indirect cost or
rate data,
2 Will maintain the confidentiality of that indirect cost or rate data, and assure that
49
FTA Master Agreement MA(21),10-1-2014
the indirect cost or rate data is not accessible or provided to others, and
3 Will not disclose that cost or rate data under any circumstances if prohibited by
49 U.S.C. § 5325(b) or other applicable law,
s. Design -Build Projects. As provided by 49 U.S.C. § 5325(d)(2), the Recipient may use a
design -build procurement to carry out its Project, provided that it:
(1) Complies with applicable Federal laws and regulations, and
(2) Follows Federal guidance,
t. Award to Other than the Lowest Bidder. As permitted under 49 U.S.C. § 5325(c), the
Recipient may award a third party contract to other than the lowest bidder, if that award
furthers an objective (for example, improved long-term operating efficiency and lower long-
term Project costs) consistent with the purposes of 49 U. S.C. chapter 53 and any
implementing Federal regulations or guidance that ETA may issue,
u. Award to Responsible Contractors. The Recipient agrees that:
(1) Capabilit . It will award third party contracts only to contractors able to carry out the
procurement successfully, as provided by 49 U.S.C. § 53250), and
(2) Criteri . Before awarding a third party contract, it will consider the proposed
contractor's:
(a) Integrity,
(b) Compliance with public policy,
(c) Past performance, and
(d) Financial and technical resources,
v. Access to Third Partv Contract Records. The Recipient agrees to require, and assures that its
Subrecipients will require its Third Party Contractors at each tier to provide:
(1) The U.S. Secretary of Transportation and the Comptroller General of the United States,
the State, or their duly authorized representatives, access to all third party contract
records (at any tier) as required under 49 U. S. C. § 5325(g), and
(2) Sufficient access to all third party contract records (at any tier) as needed for compliance
with applicable Federal laws and regulations or to assure proper Project management as
determined by FTA,
w. Electronic and Information Technology. The Recipient agrees that reports or information it
provides to or on behalf of the Federal Government will use electronic or information
technology that complies with the accessibility requirements of:
(1) Section 508 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794d, and
(2) U.S. ATBCB regulations, "Electronic and Information Technology Accessibility
Standards," 36 C.F.R. part 1194, and
x. Veterans Employment. As provided by 49 U.S.C. § 5325(k), to the extent practicable, the
Recipient agrees and assures that its Subrecipients:
(1) Will give a hiring preference to veterans, as defined in 5 U.S.C. § 2108, who have the
skills and abilities required to perform construction work required under a third party
contract in connection with a capital project supported with funds made available or
50
FTA Master Agreement MA(21),10-1-2014
appropriated for 49 U.S.C. chapter 53, and
(2) Will not require an employer to give a preference to any veteran over any equally
qualified applicant who is a member of any racial or ethnic minority, female, an
individual with a disability, or a former employee.
Section 18. Leases. The Recipient agrees as follows:
a. Capital Leases. It will comply with ETA regulations, "Capital Leases," 49 C.F.R. part 639,
and
b. Leases Involving Certificates of Participation. It will obtain ETA approval in writing before
entering into any FTA -funded leasing arrangement involving certificates of participation or
any other type of innovative financing arrangements.
Section 19. Patent Rights.
a. General. The Recipient agrees that:
(1) Depending on the nature of the Project, the Federal Government may acquire patent
rights when the Recipient or Third Party Participant produces a patented or patentable
invention, improvement, or discovery,
(2) The Federal Government's rights arise when the patent or patentable information is
conceived or reduced to practice under the Project, or
(3) When a patent is issued or patented information becomes available as described in the
preceding section 19.a(2) of this Master Agreement, the Recipient will:
(a) Notify ETA immediately, and
(b) Provide a detailed report satisfactory to FTA,
b. Federal Rights. The Recipient agrees that:
(1) Its rights and responsibilities, and each Third Party Participant's rights and
responsibilities, in that federally funded invention, improvement, or discovery will be
determined as provided by applicable Federal laws, regulations, and guidance, including
any waiver thereof, and
(2) Unless the Federal Government determines otherwise in writing, irrespective of the its
status or the status of any Third Party Participant as a large business, small business,
State government, State instrumentality, local government, Indian tribe, nonprofit
organization, institution of higher education, or individual, the Recipient will transmit
the Federal Government's patent rights to FTA, as specified in:
(a) 3 5 U.S. C. § 200 et seq., and
(b) U.S. Department of Commerce regulations, "Rights to Inventions Made by
Nonprofit Organizations and Small Business Firms Under Government Grants,
Contracts and Cooperative Agreements," 37 C.F.R. part 401, and
c. License Fees and Royalties. Except as ETA determines otherwise in writing, and
(1) Consistent with 49 C.F.R. parts 18 and 19:
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FTA Master Agreement MA(21),10-1-2014
(a) ETA considers income earned from license fees and royalties for patents, patent
applications, and inventions produced under the Project to be program income, and
(b) Except to the extent ETA determines otherwise in writing, the Recipient has no
obligation to the Federal Government with respect to that program income, apart
from compliance with 35 U.S.C. §§ 200 et seq., which applies to patent rights
developed under a research project, and
(2) When the applicable provisions of 2 C.F.R. part 1201 become effective, the provisions
of section 19.c(l) of this Master Agreement above will no longer be in effect.
Section 20. Rights in Data and Copyirights.
a. Definition of "Subject Data." As used in this section 20 of this Master Agreement, "subject
data"means recorded information:
(1) Whether or not copyrighted, and
(2) That is delivered or specified to be delivered under the Underlying Agreement or this
Master Agreement,
b. Examples of "Subject Data." Examples of "subject data":
(1) Include, but are not limited to:
(a) Computer software,
(b) Standards,
(c) Specifications,
(d) Engineering drawings and associated lists,
(e) Process sheets,
(f) Manuals,
(g) Technical reports,
(h) Catalog item identifications, and
(i) Related information, but
(2) Do not include:
(a) Financial reports,
(b) Cost analyses, or
(c) Other similar information used for Project performance or administration,
c. General Federal Restrictions. The following restrictions apply to all subject data first
produced in the performance of the Recipient's Project supported by the Underlying
Agreement:
(1) Prohibitions. The Recipient may not:
(a) Publish or reproduce any subject data, in whole, in part, or in any manner or form, or
(b) Permit others to do so, but
(2) Exceptions. The prohibitions of the preceding section 20.c(l) of this Master Agreement
do not apply to:
(a) Publications or reproductions for the Recipient's own internal use,
(b) An institution of higher learning,
(c) The portion of subject data that the Federal Government has previously released or
approved for release to the public, or
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FTA Master Agreement MA(21),10-1-2014
(d) The portion of data that has the Federal Government's prior written consent for
release,
d. Federal RiWits in Data and Copvrights. The Recipient agrees that:
(1) License Rights. It must provide a license to its "subject data" to the Federal
Government that is:
(a) Royalty -free,
(b) Non-exclusive, and
(c) Irrevocable, and
(2) Uses. The Federal Government's license must permit the Federal Government to take the
following actions provided those actions are taken for Federal Government purposes:
(a) Reproduce, publish, or otherwise use the subject data, and
(b) Permit other entities or individuals to use the subject data,
e. SDecial Federal Ri2hts in Data for Research. DevelODMent. Demonstration. DeDIOVMent. and
Special Studies Projects. In general, FTA's purpose in providing Federal funds for a
research, development, demonstration, deployment, or special studies Project is to increase
transportation knowledge, rather than limit the benefits of the Project to the Recipient and its
Third Party Participants; therefore, the Recipient agrees that:
(1) Publicly Available Report. When a Project of these types is completed, it must provide
a Project report that ETA may publish or make available for publication on the Internet,
(2) Other Reports. It must provide other reports pertaining to the Project that ETA may
request,
(3) Availability of Subject Data. ETA may make available to any ETA Recipient or any of
its Third Party Participants at any tier of the Project:
(a) FTA's copyright license to the subject data, and
(b) A copy of the subject data, except as the Federal Government determines otherwise
in writing,
(4) Identification of Information. It must identify clearly any specific confidential,
privileged, or proprietary information submitted to FTA,
(5) Incomplete Project. If the Project is not completed for any reason whatsoever, all data
developed under the Project becomes "subject data" and must be delivered as the
Federal Government may direct, but
(6) Exception. This section 20.e of this Master Agreement does not apply to an adaptation
of automatic data processing equipment or program that is both:
(a) For the Recipient's use, and
(b) Acquired with ETA capital program funding,
f. License Fees and Royalties. Except as ETA determines otherwise in writing, and
(1) Consistent with 49 C.F.R. parts 18 and 19:
(a) ETA considers income earned from license fees and royalties for patents, patent
applications, and inventions produced under the Project to be program income, and
(b) Except to the extent ETA determines otherwise in writing, the Recipient has no
obligation to the Federal Government with respect to that program income, apart
from compliance with 35 U.S.C. §§ 200 et seq., which applies to patent rights
developed under a research project, and
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(2) When the applicable provisions of 2 C.F.R. part 1201 become effective, the provisions
of section 20.11(l) of this Master Agreement above will no longer be in effect.
g. Hold Harmless. Upon request by the Federal Government, the Recipient agrees that:
(1) Violation by the Recipient.
(a) If it willfully or intentionally violates any:
Proprietary rights,
Copyrights, or
Right of privacy, and
(b) If its violation under section 20.g(l)(a) of this Master Agreement occurs from any
of the following uses of Project data:
1 Publication,
2 Translation,
3 Reproduction,
4 Delivery,
5 Use, or
6 Disposition, then
(c) It will indemnify, save, and hold harmless against any liability, including costs and
expenses of the Federal Government's officers, employees, and agents acting within
the scope of their official duties, but
(2) Exceptions. It will not be required to indemnify the Federal Government for any
liability described in section 20.g(l) of this Master Agreement if-.
(a) Violation by Federal Officers, Emplovees or Agents. The violation is caused by the
wrongful acts of Federal employees or agents, or
(b) State law. If indemnification is prohibited or limited by applicable State law,
h. Restrictions on Access to Patent Rights. Nothing in this section 20 of this Master Agreement
pertaining to rights in data either:
(1) Implies a license to the Federal Government under any patent, or
(2) May be construed to affect the scope of any license or other right otherwise granted to
the Federal Government under any patent,
Data Developed Without Federal Funding or Support. The Recipient understands and agrees
that in certain circumstances it may need to provide data developed without any Federal
funding or support to FTA. Nevertheless:
(1) Protections. Sections 20.a, b, c, and d of this Master Agreement generally do not apply
to data developed without Federal funding, even though that data may have been used in
connection with the Project, and
(2) Identification of Information. The Recipient agrees that the Federal Government will
not be able to protect data developed without Federal funding from unauthorized
disclosure unless that data is clearly marked "Proprietary," or "Confidential," and
j. Requirements to Release Data. The Recipient understands and agrees that the Federal
Government may be required to release Project data and information the Recipient submits to
the Federal Government as required under:
(1) The Freedom of Information Act, 5 U.S.C. § 552,
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(2) U.S. DOT regulations, "Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, and Other Non -Profit
Organizations," 49 C.F.R. part 19, specifically 49 C.F.R. § 19.36(d), until U.S. DOT
regulations, 2 C.F.R. part 1201, supersede and apply in lieu of 49 C.F.R. part 19, or
(3) Other Federal laws, regulations, and guidance concerning access to Project records.
Section 21. Use of Real Property, Equipment, and Supplies.
The Recipient understands and agrees that the Federal Government retains a Federal interest in
all federally funded real property, equipment, and supplies (Project property) until, and to the
extent, that the Federal Government removes that Federal interest:
a. Use of Project Provert . The Recipient agrees that:
(1) Satisfactory Continuing Control. It will maintain continuing control of the use of
Project property satisfactory to FTA,
(2) Use for Project Purposes. It will use Project property for appropriate Project purposes
(including joint development purposes as well as uses that provide program income to
support public transportation):
(a) For the duration of the useful life of that Project property, which may extend
beyond the duration of the Underlying Agreement, and
(b) Consistent with other requirements ETA may impose,
(3) Delay or Failure to Use Project Propertv. The Federal Government may require it to
return the entire amount of Federal funds spent on that Project property if, during the
useful life of that Project property, the Recipient has:
(a) Unreasonably delayed using its Project property, or
(b) Failed to use its Project property, and
(4) Notification. It will notify ETA immediately when:
(a) It uses any Project property in a manner substantially different from:
1 The representations in its Application or other documents submitted in support
of the Underlying Agreement, or
2 The requirements of the Underlying Agreement and this Master Agreement, or
(b) It withdraws any Project property from Project use,
b. General Federal Requirements. The Recipient agrees to comply with the following
U.S. DOT property management provisions:
(1) U.S. DOT Regulations. Until superseded by 2 C.F.R. part 1201, the following property
management requirements will apply to the Recipient and its Project:
(a) State. A Recipient that is a State understands and agrees that it:
1 May follow its State laws and procedures for the use, management, and
disposition of Project equipment, 49 C.F.R. § 18.32(b),
2 Must comply with the following provisions of this Master Agreement:
a Premature withdrawal, section 21.h(4),
b Valuation, section 21.h and section 21.i,
c Insurance, section 21j,
d Misused or Damaged Project Property, section 211, and
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FTA Master Agreement MA(21),10-1-2014
e Sale, section 21.1(1)(c),
3 Must comply with other applicable Federal laws and regulations, and
4 Should follow applicable Federal guidance, except as the Federal Government
determines otherwise in writing,
(b) Local Government, or Indian Tribal Government. A Recipient that is a local
government or Indian tribal government agrees that it:
1 Must comply with the property management provisions of 49 C.F.R. §§ 18.31 —
18.34,
2 Must comply with other applicable Federal laws and regulations, and
3 Should follow applicable Federal guidance, except as the Federal Government
determines otherwise in writing,
(c) Institution of Higher Learning or Private Nonprofit Entitv. A Recipient that is an
institution of higher leaming or a private nonprofit entity agrees that it:
1 Must comply with the property management standards of 49 C.F.R. §§ 19.30 —
19.37,
2 Must comply with other applicable Federal laws and regulations, and
3 Should follow applicable Federal guidance, except as the Federal Government
determines otherwise in writing,
(d) Private For -Profit Entit . Except as ETA determines otherwise in writing, a
Recipient that is a private for-profit entity agrees that it:
1 Must comply with the property management standards of 49 C.F.R. §§ 19.30 —
19.37,
2 Must comply with other applicable Federal laws and regulations, and
3 Should follow applicable Federal guidance, except as the Federal Government
determines otherwise in writing, and
(2) Reimbursement to FTA. The Recipient also agrees that it will follow FTA's
reimbursement requirements for premature dispositions of certain Project equipment, as
provided in section 2l.h(4)(c) of this Master Agreement and ETA guidance, except as
ETA determines otherwise in writing,
c. Maintenance. As required under Federal laws and regulations, and as provided in Federal
guidance, except as ETA determines otherwise in writing, the Recipient agrees to:
(1) Maintain its Project property in good operating order, and
(2) Comply with FTA's Transit Asset Management Program regulations when promulgated
pursuant to 49 U.S.C. § 5326, as amended by MAP -21, and as agreed to in section 22 of
this Master Agreement,
d. Records. The Recipient agrees that:
(1) Record-keeping. It will keep satisfactory records of its use of the Project property, and
(2) Provide Information. Upon request, it will provide ETA the necessary information
required to assure compliance with this section 21 and also section 22 of this Master
Agreement,
e. Incidental Use. The Recipient agrees that:
(1) General. Any incidental use of Project property will not exceed that permitted under
applicable Federal requirements and Federal guidance, and
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(2) Alternative Fueling Facilities. As provided in 49 U.S.C. § 5323(p), it may permit
nontransit public entities and private entities to have incidental use of its federally
funded alternative fueling facilities and equipment, only if:
(a) The incidental use does not interfere with its public transportation operations or the
Proj ect,
(b) It fully recaptures all the costs related to the incidental use from any nontransit
public entity or private entity that uses the alternative fueling facilities or
equipment,
(c) It uses revenues it receives from the incidental use in excess of costs for planning,
capital, and operating expenses that are incurred in providing public transportation,
and
(d) Private entities pay all applicable excise taxes on fuel,
Reasonable Access to Private Intercity Transportation Operators or Charter Transportation
Operators. The Recipient understands and agrees that it must comply with 49 U. S.C.
§ 5323(r), as amended by MAP -21, which requires the following:
(1) A recipient of funding under 49 U. S.C. chapter 53 must provide a private intercity or
charter transportation operator reasonable access to its federally funded public
transportation facilities, including:
(a) An intermodal facility,
(b) A park and ride lot, and
(c) A bus -only highway lane, and
(2) To determine reasonable access, consideration must be given to:
(a) Capacity requirements of the Recipient whose facility would be used, and
(b) The extent to which access would be detrimental to existing public transportation
services,
g. Encumbrance of Project Provert . Absent the express consent of the Federal Government in
writing, the Recipient agrees to preserve the Federal interest in its Project property and to
maintain satisfactory continuing control of that Project property as follows:
(1) Written Transactions. The Recipient agrees that it will not execute any documents if
doing so would either adversely affect the Federal interest in or impair its continuing
control of the use of its Project property, including:
(a) Transfer of title,
(b) Lease,
(c) Lien,
(d) Pledge,
(e) Mortgage,
(f) Encumbrance,
(g) Third party contract,
(h) Subagreement,
(i) Grant anticipation note,
0) Alienation,
(k) Innovative finance arrangements, such as a cross-border or leveraged lease, or other
types of innovative financing arrangements, or
(1) Any restriction, constraint, or commitment that may apply to the Project property,
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FTA Master Agreement MA(21),10-1-2014
(2) Oral Transactions. The Recipient agrees it will not obligate itself in any way through an
oral statement to any third party with respect to its Project property that would either
adversely affect the Federal interest in or impair its continuing control of the use of its
Project property, and
(3) Other Actions. The Recipient agrees that it will not take any other action that would
either adversely affect the Federal interest in or impair its continuing control of the use
of its Project property,
h. Useful Life of Project Provertv. The Recipient agrees that:
(1) Determining the Useful Life. ETA may establish the useful life of Project property,
(2) Required Use. It will use its Project property continuously and appropriately throughout
the useful life of that property,
(3) Expired Useful Life. When the useful life of the its Project property has expired, it will
comply with FTA's disposition requirements, and
(4) Premature Withdrawal. The Federal Government retains a Federal interest in the fair
market value of Project property (including FTA -funded equipment acquired by a State)
prematurely withdrawn from public transportation use, and therefore:
(a) Notice. The Recipient will notify ETA immediately when any Project property is
prematurely withdrawn from appropriate use, whether by:
1 Planned withdrawal,
2 Misuse, or
3 Casualty loss,
(b) Amount of Federal Interest. The Federal interest in the Recipient's or Subrecipient's
Project property will be determined on the basis of the ratio of the Federal funds
provided for that Project property to the actual cost of that Project property, and
(c) Financial Commitments to the Federal Government. Except as otherwise approved
in writing by the Federal Government, the Recipient agrees that if its Project
property is prematurely withdrawn from appropriate use:
1 It will return an amount equal to the remaining Federal interest in the withdrawn
Project property to the Federal Government, or
2 With ETA approval, it will invest an amount equal to the remaining Federal
interest in the withdrawn Project property in other transit property eligible for
funding through the Underlying Agreement,
Calculating the Value of Prematurely Withdrawn Project Property. The Recipient agrees that
the fair market value of Project property prematurely withdrawn from Project use (including
the fair market value of Project equipment acquired by a State) will be calculated as follows:
(1) Equipment and Supplies. Except as ETA determines otherwise in writing:
(a) The fair market value of Project equipment and supplies will be calculated by
straight-line depreciation, based on the useful life of the equipment or supplies as
established or approved by FTA,
(b) The fair market value of the withdrawn Project equipment and supplies will be
based on their value immediately before they were withdrawn from appropriate use:
1 Irrespective of whether the Project property was withdrawn from use due to fire,
casualty, or natural disaster, and
2 Irrespective of the extent of insurance coverage, and
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FTA Master Agreement MA(21),10-1-2014
(c) As authorized by 49 C.F.R. § 18.32(b), or the applicable provisions of 2 C.F.R.
part 120 1, when effective, a State may use its own property disposition procedures,
provided that those procedures comply with the laws of that State,
(2) Real Property The Recipient agrees that the fair market value of real property funded
under the Project shall be determined by:
(a) Competent appraisal based on an appropriate date as approved by FTA, consistent
with U.S. DOT regulations, "Uniform Relocation Assistance and Real Property
Acquisition for Federal and Federally -Assisted Programs," 49 C.F.R. part 24,
(b) Straight line depreciation of federally funded improvements to the real property
coupled with the value of the land determined by ETA on the basis of appraisal, or
(c) Other applicable Federal laws or regulations, and
(3) Exceptional Circumstances. The Recipient agrees that:
(a) The Federal Government may require another method of valuation to be used to
determine the fair market value of real property funded under the Project withdrawn
from service,
(b) In unusual circumstances, the Recipient may request permission to use another
reasonable valuation method including, but not limited to:
1 Accelerated depreciation,
2 Comparable sales, or
3 Established market values, and
(c) In determining whether to approve such a request under section 21.i(3)(b) of this
Master Agreement, the Federal Government may consider any:
1 Action the Recipient took,
2 Omission the Recipient made, or
3 Unfortunate occurrence the Recipient suffered,
j. Insurance Proceeds. The Recipient agrees to use any insurance proceeds it receives for the
damaged or destroyed Project property (including insurance proceeds for FTA -funded
equipment acquired by a State) as follows:
(1) Replacement. It may apply those insurance proceeds to the cost of replacing the
damaged or destroyed Project property,
(2) Another Purpose. It may use those insurance proceeds for another authorized purpose,
provided that it has obtained FTA's consent in writing, or
(3) Return to the Federal Government. It may return to the Federal Government an amount
equal to the amount of the remaining Federal interest in the damaged or destroyed
Project property,
k. Misused or Damaged Project Property. If any damage to Project property results from abuse
or misuse occurring with the Recipient's knowledge and consent, the Recipient agrees to:
(1) Restore the damaged Project property to its original condition, or
(2) Refund the value of the Federal interest in that Project property (including the remaining
Federal interest in FTA -funded equipment acquired by a State), as the Federal
Government may require,
1. Disposition of Project Provertv. The Recipient agrees that disposition of project property
may be made as provided by FTA's enabling legislation or U.S. DOT regulations:
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FTA Master Agreement MA(21),10-1-2014
(1) Disposition Under 49 U.S.C. � 5334(h).
(a) Method. With prior ETA approval, the Recipient may dispose of Project property
no longer needed for public transportation purposes as permitted by 49 U.S. C.
§ 5334(h),
1 Lease or Lease Renewal. Except as the Federal Government has determined
otherwise in writing, if it leases or renews a lease of Project property to another
party, it will:
a Use a written lease or other similar document to accomplish the following:
(i) Retain ownership of the leased Project property, and
(ii) Assure that the lessee will use the Project property appropriately, and
b Provide a copy of the lease, or lease renewal and any relevant documents to
ETA upon request,
2 Transfer for a Public Purpose. The Recipient may transfer any Project property
supported with funds made available or appropriated for 49 U.S.C. chapter 53,
to a local governmental authority, provided that:
a The Project property will be used for a public purpose,
b The Federal Transit Administrator approves the transfer, and
c The transfer conforms to 49 U.S.C. § 5334(h)(1) — 5334(h)(3), or
3 Sale. If it sells Project property, the Recipient agrees to use proper sales
procedures to ensure the highest possible return,
(b) Use of Proceeds from the Disposition of Project Property. The Recipient
understands and agrees that as required by 49 U.S.C. § 5334(h)(4) it must use the
proceeds of any sale, uses, lease, or lease renewal to reduce the gross project cost of
other eligible capital public transportation projects, and
(c) Common Grant Rules. Except as ETA determines otherwise in writing, the
requirements of 49 C. F.R. part 18 or part 19, or the applicable provisions of
2 C.F.R. part 1201, when effective, will apply to the transfer to the extent that they
do not conflict with 49 U. S.C. § 5334(h), or
(2) Dispositions under U. S. DOT regulations. Until superseded by 2 C.F.R. part 120 1,
U.S. DOT regulations provide as follows:
(a) Real Property With ETA approval, the Recipient may dispose of Project real
property no longer needed for public transportation purposes and use the proceeds
as provided by 49 C. F.R. § 18.3 1 (c) or 49 C.F.R. § 19.32, to the extent applicable,
(b) Equipment. With ETA approval, the Recipient may dispose of Project equipment
and no longer needed for public transportation purposes and use the proceeds as
provided by 49 C.F.R. § 18.32 or 49 C.F.R. § 19.34, to the extent applicable, and
(c) Federal Government Direction. The Recipient agrees that the Federal Government
may require it to transfer title to any federally funded Project property, as provided
by 49 C.F.R. parts 18 or 19, and
m. Responsibilities After Project Closeout. Except as the Federal Government determines
otherwise in writing, the Recipient agrees that Project closeout will not change the
Recipient's Project property management responsibilities provided in:
(1) Federal laws, regulations, and guidance effective now or at a later date, and
(2) This section 21 of this Master Agreement.
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Section 22. Transit Asset Management.
a. Transit Asset Management Plan. Unless ETA determines otherwise in writing, the Recipient
agrees to develop a Transit Asset Management Plan that:
(1) Complies with:
(a) Federal transit laws, specifically 49 U. S.C. § 5326 and 5337(a)(4), as amended by
MAP -21,
(b) Federal regulations pertaining to:
1 The Transit Asset Management Program regulations, when issued, and
2 Performance Measures and Targets required to be issued by 49 U. S.C.
§ 5326(c)(1), as amended by MAP -21, and
(c) Other applicable Federal laws and regulations, and
(2) Is consistent with Federal guidance developed or to be developed to implement
49 U.S.C. § 5326, as amended by MAP -21, and
b. When Compliance is Required. The Recipient agrees to comply, and assures that each Third
Party Participant will comply, with:
(1) FTA's Transit Asset Management Program regulations when issued pursuant to
49 U.S.C. § 5326(e), and
(2) Federal guidance issued to implement transit asset management system provisions of
49 U.S.C. § 5326, except as ETA determines otherwise in writing.
Section 23. Insurance. In addition to other insurance requirements that may apply, except as
ETA determines otherwise in writing:
a. Flood Insurance. The Recipient understands and agrees as follows:
(1) It will have flood insurance as required by the Flood Disaster Protection Act of 1973,
42 U.S.C. § 4012a(a), for any building located in a special flood hazard area (100 -year
flood zone), before receiving Federal funds to acquire, construct, reconstruct, repair, or
improve that building), and
(2) Each such building and its contents will be covered by flood insurance in an amount at
least equal to the Federal investment (less estimated land cost) or to the maximum limit
of coverage made available with respect to the particular type of property under the
National Flood Insurance Act of 1968, 42 U. S. C. § 4001 et seq., whichever is less, and
b. Other Insurance Requirements. It will comply with the insurance requirements normally
imposed by its State and local laws, regulations, and ordinances, except as the Federal
Government determines otherwise in writing.
Section 24. Relocation.
a. Relocation Protections. Irrespective of Federal participation in relocation costs for the
Project, the Recipient agrees that it will:
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FTA Master Agreement MA(21),10-1-2014
(1) Provide fair and equitable treatment to displaced individuals and businesses that must be
relocated as a result of its Project for which the ETA has provided Federal funding, and
(2) Comply with:
(a) Federal transit laws, specifically 49 U. S.C. § 5323(b), which requires compliance
with the Uniform Relocation Assistance and Real Property Acquisition Policies Act
of 1970, as amended, 42 U.S. C. § 4601 et seq., and
(b) U.S. DOT regulations, "Uniform Relocation Assistance and Real Property
Acquisition for Federal and Federally -Assisted Programs," 49 C.F.R. part 24,
b. Nondiscrimination in Housing. The Recipient agrees that when it must provide housing for
individuals as a result of the relocation, it will:
(1) Comply with Title VIII of the Civil Rights Act of 1968, as amended, 42 U.S.C. § 3601
et seq., and
(2) Facilitate and follow Executive Order 12892, "Leadership and Coordination of Fair
Housing in Federal Programs: Affirmatively Furthering Fair Housing," January 17,
1994, 42 U.S.C. § 3608 note, except as the Federal Government determines otherwise in
writing, and
c. Prohibition Against the Use of Lead -Based Paint. The Recipient agrees that if it constructs
or rehabilitates residential structures on behalf of individuals displaced by the Project, it will
not use lead-based paint, and it will comply with:
(1) Section 40 l(b) of the Lead -Based Paint Poisoning Prevention Act, 42 U.S.C. § 483 l(b),
and
(2) U.S. Housing and Urban Development regulations, "Lead-based Paint Poisoning
Prevention in Certain Residential Structures," 24 C.F.R. part 35.
Section 25. Real Property.
a. Real Provertv Acquisition Protections. Irrespective of Federal participation in real property
acquisition costs under the Project, the Recipient agrees to:
(1) Provide fair and equitable treatment to owners of real property or interests in real
property that must be acquired as a result of a Project funded by FTA, and
(2) Comply with:
(a) Federal transit laws, specifically 49 U. S.C. § 5323(b), which requires compliance
with the Uniform Relocation Assistance and Real Property Acquisition Policies Act
of 1970, as amended, 42 U.S. C. § 4601 et seq., and
(b) U.S. DOT regulations, "Uniform Relocation Assistance and Real Property
Acquisition for Federal and Federally -Assisted Programs," 49 C.F.R. part 24,
b. Covenant Assuring Nondiscrimination. The Recipient agrees to include a covenant in the
title of the real property acquired for use in the Project that assures nondiscrimination during
the useful life of that real property,
C. Recording the Title to Real Provert . The Recipient agrees to record the Federal interest in
title to real property used in connection with the Project if ETA so requires, and
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Section 27. Early Systems Work Agreement.
a. Statutory Requirements. If ETA enters into an Early System Work Agreement (ESWA) with
the Recipient to advance the implementation of the Recipient's capital project, the provisions
of 49 U.S.C. § 5309(k)(3) will apply to that ESWA, the Recipient, and FTA, and
b. ESWA Provisions. Except to the extent the Federal Government determines otherwise in
writing, the Recipient understands and agrees that the following provisions apply to its
ESWA, unless the ESWA contains specific requirements to the contrary:
(1) Recipient Representations. In view of the standards and commitments imposed on the
Recipient by 49 U.S.C. § 5309(k)(3), the Recipient has provided sufficient
representations and information to ETA so that ETA has reason to believe:
(a) The Recipient and ETA will enter into a Full Funding Grant Agreement for the
Project, and
(b) The terms of the ESWA will promote ultimate completion of the Project more
rapidly and at less cost,
(2) ETA Commitments. By entering into an ESWA with the Recipient, ETA has agreed to
provide for reimbursement of the preliminary costs of carrying out the project,
including:
(a) Land acquisition,
(b) Timely procurement of system elements for which the specifications are decided,
and
(c) Other activities ETA decides are appropriate to make efficient, long-term project
management easier,
(3) Time Period of ESWA. ETA reserves the right to determine the period of time in which
the ESWA will remain in effect, even if that period extends beyond the time of the
authorization of funding that will support the Project costs covered by the ESWA,
(4) Interest and Other Financing Costs. Interest and other financing costs of carrying out the
ESWA efficiently and within a reasonable time are eligible ESWA costs, provided that:
(a) The interest and financing costs claimed do not exceed the cost of the most
favorable financing terms reasonably available for the Project at the time of
borrowing,
(b) The Recipient has certified that it will show reasonable diligence in seeking the
most favorable financing terms, and
(c) The Recipient is able to show reasonable diligence in seeking the most favorable
financing terms to support this ESWA,
(5) Contingent Commitment. hi providing funding for the ESWA:
(a) In its discretion, ETA may include a commitment, contingent on amounts made
available under a later -enacted law, to obligate an additional amount from future
available budget authority to support the costs of the Recipient's ESWA, and
(b) If ETA does make a commitment to provide funding contingent on future amounts
to be specified in law, that commitment is not an obligation of the Federal
Government, and
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(6) Failure to Carry Out the Project. If, for reasons within its control, the Recipient does not
carry out the Project for which its ESWA was made available by FTA, the Recipient
must:
(a) Repay all Federal grant funds awarded under the ESWA from all Federal funding
sources for all Project activities, facilities, and equipment, and
(b) Pay reasonable interest and penalty charges:
1 As established by FTA before or after FTA provided funding for the ESWA, or
2 Allowable under law.
Section28. Employee Protections. The Recipient agrees to comply, and assures that each
Third Party Participant will comply, with all of the following:
a. Construction Activities. Federal laws and regulations providing protections for construction
employees involved in Project activities, including the:
(1) Prevailing Wage Requirements of:
(a) Federal transit laws, specifically 49 U. S.C. § 5333(a), (FTA's "Davis -Bacon
Related Act"),
(b) The Davis -Bacon Act, 40 U.S.C. §§ 3141 — 3144, 3146, and 3147, and
(c) U.S. DOL regulations, "Labor Standards Provisions Applicable to Contracts
Covering Federally Financed and Assisted Construction (also Labor Standards
Provisions Applicable to Nonconstruction Contracts Subject to the Contract Work
Hours and Safety Standards Act)," 29 C.F.R. part 5,
(2) Wage and Hour Requirements of:
(a) Section 102 of the Contract Work Hours and Safety Standards Act, as amended,
40 U.S.C. § 3702, and other relevant parts of that Act, 40 U. S.C. § 3701 et seq., and
(b) U.S. DOL regulations, "Labor Standards Provisions Applicable to Contracts
Covering Federally Financed and Assisted Construction (also Labor Standards
Provisions Applicable to Nonconstruction Contracts Subject to the Contract Work
Hours and Safety Standards Act)," 29 C.F.R. part 5,
(3) "Anti -Kickback" Prohibitions of:
(a) Section 1 of the Copeland "Anti-KickbacV Act, as amended, 18 U. S.C. § 874,
(b) Section 2 of the Copeland "Anti-KickbacV Act, as amended, 40 U. S.C. § 3145, and
(c) U.S. DOL regulations, "Contractors and Subcontractors on Public Building or
Public Work Financed in Whole or in Part by Loans or Grants from the United
States," 29 C.F.R. part 3, and
(4) Construction Site Safet of:
(a) Section 107 of the Contract Work Hours and Safety Standards Act, as amended,
40 U.S.C. § 3704, and other relevant parts of that Act, 40 U.S.C. § 3701 et seq., and
(b) U.S. DOL regulations, "Safety and Health Regulations for Construction," 29 C.F.R.
part 1926,
b. Activities Not Involving Construction. Federal laws and regulations providing wage and
hour protections for nonconstruction employees, including:
(1) Section 102 of the Contract Work Hours and Safety Standards Act, as amended,
40 U.S.C. § 3702, and other relevant parts of that Act, 40 U. S.C. § 3701 et seq., and
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(2) U.S. DOL regulations, "Labor Standards Provisions Applicable to Contracts Covering
Federally Financed and Assisted Construction (also Labor Standards Provisions
Applicable to Nonconstruction Contracts Subject to the Contract Work Hours and Safety
Standards Act)," 29 C.F.R. part 5,
c. Activities Involving Commerce. The Fair Labor Standards Act (FLSA), 29 U.S.C. § 201
et seq.:
(1) To the extent that the FLSA applies to employees performing Project work involving
commerce, and
(2) As the Federal Government otherwise determines applicable, and
d. Public Transportation Emplovee Protective Arrangements. The following employee
protective arrangements of 49 U.S.C. § 5333(b) must be in place as a condition of award of
FTA funding made available or appropriated for FTA programs involving public
transportation operations, as determined by U.S. DOL:
(1) U.S. DOL Certification. When its Project involves public transportation operations and
is supported with funding made available or appropriated for 49 U. S.C. §§ 5307, 5309,
5312, 5337, or 5339, as amended by MAP -21, or former 49 U.S.C. §§ 5308, 5309, 5312,
or other provisions of law as required by the Federal Government, U.S. DOL must
provide a Certification of employee protective arrangements before FTA may provide
funding for the Project. Therefore, the Recipient understands and agrees, and assures
that any Third Party Participant providing public transportation operations will agree,
that:
(a) It must carry out the Project as provided in its U.S. DOL Certification, which
contains the terms and conditions that U.S. DOL has determined to be fair and
equitable to protect the interests of any employees affected by the Project,
(b) It must comply with 49 U.S.C. § 5333(b), and any future amendments thereto,
(c) It will follow the U.S. DOL guidelines, "Guidelines, Section 5333(b), Federal
Transit Law," 29 C. F.R. part 215, except as U.S. DOL determines otherwise in
writing,
(d) It must comply with the terms and conditions of the U.S. DOL certification of
public transportation employee protective arrangements for the Project, which
certification is dated as identified on the Underlying Agreement, including:
1 Any alternative comparable arrangements U.S. DOL has specified for the
Proj ect,
2 Any revisions U.S. DOL has specified for the Project, or
3 Both, and
(e) It must comply with the following documents and provisions incorporated by
reference in and made part of the Underlying Agreement for the Project:
1 The U.S. DOL certification of public transportation employee protective
arrangements for the Project, which certification is dated as identified on the
Underlying Agreement,
2 The documents cited in that U.S. DOL certification for the Project,
3 Any alternative comparable arrangements that U.S. DOL has specified for the
Project, and
4 Any revisions that U.S. DOL has specified for the Project,
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(2) Special Warranty When its Project involves public transportation operations and is
supported with funding made available or appropriated for 49 U.S.C. § 5311, as
amended by MAP -21, for former 49 U.S.C. § 5311 in effect in FY 2012, or a previous
fiscal year, or for repealed section 3038 of TEA -21, as amended by former section 3039
of SAFETEA-LU, U.S. DOL will provide a Special Warranty for those projects,
including projects under the Tribal Transit Program. Therefore, the Recipient
understands and agrees, and assures that any Third Party Participant providing public
transportation operations will agree, that:
(a) It must comply with Federal transit laws, specifically 49 U.S.C. § 5333(b),
(b) It will follow the U.S. DOL guidelines, "Guidelines, Section 5333(b), Federal
Transit Law," 29 C. F.R. part 215, except as U.S. DOL determines otherwise in
writing,
(c) It will comply with the U.S. DOL Special Warranty for its Project that is most
current on the date when it executed the Underlying Agreement, and documents
cited therein, including:
1 Any alternative comparable arrangements U.S. DOL has specified for the
Proj ect,
2 Any revisions U.S. DOL has specified for the Project, or
3 Both, and
(d) It will comply with the following documents and provisions incorporated by
reference in and made part of the Underlying Agreement:
1 The U.S. DOL Special Warranty for its Project,
2 Documents cited in that Special Warranty,
3 Any alternative comparable arrangements U.S. DOL specifies for the Project,
and
4 Any revisions that U.S. DOL has specified for the Project, and
(3) Special Arrangements for 49 U.S.C. � 5310 Projects. The Recipient understands and
agrees, and assures that any Third Party Participant providing public transportation
operations will agree, that although pursuant to 49 U.S.C. § 53 10, and former 49 U. S.C.
§§ 53 10 or 5317, ETA has determined that it was not "necessary or appropriate" to apply
the conditions of 49 U. S.C. § 5333(b) to Subrecipients participating in the program to
provide public transportation for seniors (elderly individuals) and individuals with
disabilities, ETA reserves the right to:
(a) Make case-by-case determinations of the applicability of 49 U. S.C. § 5333(b) for all
transfers of funding authorized under title 23, United States Code (flex funds), and
(b) Make other exceptions as it deems appropriate.
Section 29. Environmental Protections. Except as the Federal Government determines
otherwise in writing:
a. General. The Recipient understands and agrees that:
(1) Environmental and resource use laws, regulations, and guidance, now in effect or that
may become effective in the future, may apply to the Project,
(2) This Master Agreement identifies some of the Federal laws, regulations, and guidance
that may apply to its Project,
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(3) Federal laws, regulations, and guidance cited in this Master Agreement may be an
incomplete list of environmental and resource use requirements that might apply to its
Project, including:
(a) Other applicable Federal laws, regulations, and guidance, not identified in this
Master Agreement,
(b) State laws, regulations, and guidance, and
(c) Local ordinances, regulations, and guidance,
(4) In some cases, Federal requirements may not be sufficient to meet its State and local
environmental and resource use requirements, and
(5) It will, and assures that its Third Party Participants will:
(a) Comply with Federal laws and regulations, and
(b) Follow Federal guidance now in effect or when such guidance becomes effective in
the future,
b. National Environmental Polic . Federal funding requires the full compliance with applicable
environmental laws and regulations. Accordingly, the Recipient agrees to, and assures that
its Third Party Participants will:
(1) Comply and facilitate compliance with Federal laws, regulations, and executive orders,
including:
(a) Federal transit laws, such as:
1 49 U.S.C. § 5323(c)(2), and
2 23 U.S.C. § 139,
(b) The National Environmental Policy Act of 1969 (NEPA), as amended, 42 U.S.C.
§§ 4321 — 4335, as limited by 42 U.S.C. § 5159,
(c) U.S. Council on Environmental Quality regulations pertaining to compliance with
NEPA, 40 C.F.R. parts 1500 — 1508,
(d) Joint FHWA and ETA regulations, "Environmental Impact and Related
Procedures," 23 C.F.R. part 771 and 49 C.F.R. part 622,
(e) Executive Order 11514, as amended, "Protection and Enhancement of
Environmental Quality," 42 U.S.C. § 4321 note, and
(f) Other Federal environmental protection laws, regulations, and executive orders
applicable to the Project or Recipient, and
(2) Follow the Federal guidance identified herein to the extent that the guidance is
consistent with applicable authorizing legislation:
(a) Joint FHWA and ETA final guidance, "Interim Guidance on MAP -21 Section 1319
Accelerated Decisionmaking in Environmental Reviews," January 14, 2013,
(b) Joint FHWA and ETA final guidance, "SAFETEA-LU Environmental Review
Process (Pub. L. 109-59)," 71,Fed. Reg. 66576, November 15, 2006, especially the
following:
1 Guidance on implementing 23 U.S.C. § 139 pertaining to environmental
procedures, and
2 Guidance on implementing 23 U.S.C. § 326, pertaining to State responsibility
for categorical exclusions, and
(c) Other Federal environmental guidance applicable to the Projector the Recipient,
c. Environmental Justice. The Recipient agrees to promote environmental justice by following:
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(1) Executive Order 12898, "Federal Actions to Address Environmental Justice in Minority
Populations and Low-hicome Populations," February 11, 1994, 42 U.S.C. § 4321 note,
as well as facilitating compliance with that Executive Order,
(2) DOT Order 5610.2, "Department of Transportation Actions To Address Environmental
Justice in Minority Populations and Low-hicome Populations," 62,Fed. Reg. 18377,
April 15, 1997, and
(3) The most recent edition of ETA Circular 4703. 1, "Enviromnental Justice Policy
Guidance for Federal Transit Administration Recipients," August 15, 2012, to the extent
consistent with applicable Federal laws, regulations, and guidance,
d. Air Qualitv. The Recipient agrees to comply, and assures that its Third Party Participants
will comply, with the Clean Air Act, as amended, 42 U.S.C. §§ 7401 — 7671q, and applicable
Federal regulations, and follow applicable Federal guidance, and therefore:
(1) Public Transportation Operators. It will comply with:
(a) U.S. EPA regulations, "Control of Air Pollution from Mobile Sources," 40 C.F.R.
part 85,
(b) U.S. EPA regulations, "Control of Emissions from New and In -Use Highway
Vehicles and Engines," 40 C.F.R. part 86, and
(c) U.S. EPA regulations "Fuel Economy and Greenhouse Gas Exhaust Emissions of
Motor Vehicles," 40 C.F.R. part 600,
(2) State Implementation Plans. It will support its State Implementation Plan (SIP) by:
(a) Implementing each air quality mitigation or control measure incorporated in the
documents accompanying the approval of the Project,
(b) Assuring that any Project identified as a Transportation Control Measure in the SIP
that applies to the Project will be wholly consistent with the design concept and
scope of the Project described in that SIP, and
(c) Complying with:
1 Section 176(c) of the Clean Air Act, 42 U.S.C. § 7506(c),
2 U.S. EPA regulations, "Conformity to State or Federal Implementation Plans of
Transportation Plans, Programs, and Projects Developed, Funded or Approved
Under Title 23, U.S.C. or the Federal Transit Laws," 40 C.F.R. part 93,
subpart A, and
3 Other applicable Federal conformity regulations that may be promulgated at a
later date, and
(3) Violating Facilities. It will:
(a) Comply with the notice of violating facility provisions of section 306 of the Clean
Air Act, as amended, 42 U.S.C. § 7414, and
(b) Facilitate compliance with Executive Order 11738, "Providing for Administration
of the Clean Air Act and the Federal Water Pollution Control Act with Respect to
Federal Contracts, Grants, or Loans," 42 U.S.C. § 7606 note,
e. Clean Water. The Recipient agrees to comply, and assures that its Third Party Participants
will comply, with the Clean Water Act, as amended, 33 U.S.C. §§ 1251 — 1377, and
applicable Federal regulations, and follow applicable Federal guidance, and therefore:
(1) Drinking Wate . It will protect underground sources of drinking water in compliance
with the Safe Drinking Water Act of 1974, as amended, 42 U.S.C. § 300f — 300j-6,
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(2) Violating Facilities.. It will:
(a) Comply with the notice of violating facility provisions in section 508 of the Clean
Water Act, as amended, 33 U.S.C. § 1368, and
(b) Facilitate compliance with Executive Order 11738, "Providing for Administration
of the Clean Air Act and the Federal Water Pollution Control Act with Respect to
Federal Contracts, Grants, or Loans," 42 U.S.C. § 7606 note,
Corridor Preservation. The Recipient agrees that it will not develop any right-of-way
acquired under 49 U.S.C. § 5323(q), as amended by MAP -21, in anticipation of
implementing its Project until all required environmental reviews for that Project have been
completed,
g. Use of Certain Public Lands. The Recipient agrees to comply, and assures that its Third
Party Participants will comply, with:
(1) U.S. DOT laws, specifically 49 U.S.C. § 303 (often referred to as "section 417), which
requires certain findings be made before an FTA-ftmded Project may be carried out that
involves the use of any publicly owned land that Federal officials authorized under law
have determined to be a:
(a) Park of national, State or local significance,
(b) Recreation area of national, State or local significance,
(c) Wildlife refuge of national, State or local significance, or
(d) Waterfowl refuge of national, State or local significance, and
(2) Joint FHWA and ETA regulations, "Parks, Recreation Areas, Wildlife and Waterfowl
Refuges, and Historic Sites," 23 C.F.R. part 774, and referenced in 49 C.F.R. part 622,
h. Wild and Scenic Rivers. The Recipient agrees to comply, and assures that its Third Party
Participants will comply, with Federal protections for the national wild and scenic rivers
system, including:
(1) The Wild and Scenic Rivers Act of 1968, as amended, 16 U.S.C. §§ 1271 — 1287,
relating to protecting components of the national wild and scenic rivers system,
(2) U.S. Forest Service regulations, "Wild and Scenic Rivers," 36 C.F.R. part 297, and
(3) U.S. Bureau of Land Management regulations, "Management Areas," 43 C.F.R.
part 8350,
i. Coastal Zone Management. The Recipient agrees to assure Project consistency with the
approved State management program developed under the Coastal Zone Management Act
of 1972, as amended, 16 U.S.C. §§ 1451 — 1465,
j. Wetlands. The Recipient agrees to facilitate compliance, and assures that its Third Party
Participants will facilitate compliance, with the protections for wetlands provided in
Executive Order 11990, as amended, "Protection of Wetlands," 42 U.S.C. § 4321 note,
k. Floodylains. The Recipient agrees to facilitate compliance, and assures that its Third Party
Participants will facilitate compliance, with the flood hazards protections in floodplains in
Executive Order 11988, as amended, "Floodplain Management," 42 U.S.C. § 4321 note,
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FTA Master Agreement MA(21),10-1-2014
Endangered Species and Fishery Conservation. The Recipient agrees to comply, and assures
that its Third Party Participants will comply, with the protections for endangered species and
fishery conservation of-.
(1) The Endangered Species Act of 1973, as amended, 16 U.S.C. §§ 1531 — 1544, and
(2) The Magnuson Stevens Fishery Conservation and Management Act, as amended,
16 U. S.C. § 1801 et seq.,
m. Waste Management. The Recipient agrees to comply, and assures that its Third Party
Participants will comply, with the Resource Conservation and Recovery Act, as amended,
42 U.S.C. §§ 6901 — 6992k,
n. Hazardous Waste. The Recipient agrees to facilitate compliance, and assures that its Third
Party Participants will facilitate compliance, with the Comprehensive Environmental
Response, Compensation, and Liability Act, as amended, 42 U.S.C. §§ 9601 — 9675, which
establishes requirements for the treatment of areas affected by hazardous waste,
o. Historic Preservation. The Recipient agrees to, and assures that its Third Party Participants
will:
(1) Comply with U. S. DOT laws, including 49 U. S. C. § 303 (often referred to as
"section 41"), which requires certain findings be made before a Project involving the use
of any land from a historic site that is on or eligible for inclusion on the National
Register of Historic Places may be undertaken,
(2) Encourage compliance with the Federal historic and archaeological preservation
requirements of section 106 of the National Historic Preservation Act, as amended,
16 U.S.C. § 470f,
(3) Facilitate compliance with Executive Order 11593, "Protection and Enhancement of the
Cultural Environment," 16 U.S.C. § 470 note,
(4) Comply with the Archaeological and Historic Preservation Act of 1974, as amended,
16 U. S.C. § 469a — 469c,
(5) Comply with U.S. Advisory Council on Historic Preservation regulations, "Protection of
Historic Properties," 36 C.F.R. part 800, which requires the Recipient to:
(a) Consult with the State Historic Preservation Officer concerning investigations to
identify properties and resources included in or eligible for inclusion in the National
Register of Historic Places that may be affected by the Project, and
(b) Notify ETA of affected properties, and
(6) Comply with Federal requirements and follow Federal guidance to avoid or mitigate
adverse effects on those historic properties,
p. Indian Sacred Sites. The Recipient agrees to, and assures that its Third Party Participants will:
(1) Facilitate compliance with Federal efforts to promote the preservation of places and
objects of religious importance to:
(a) American Indians,
(b) Eskimos,
(c) Aleuts, and
(d) Native Hawaiians, and
(2) Facilitate compliance with:
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(a) The American Indian Religious Freedom Act, 42 U.S.C. § 1996, and
(b) Executive Order 13007, "Indian Sacred Sites," 42 U. S.C. § 1996 note, and
q. Mitigation of Adverse Environmental Effects. If the Project causes or results in any adverse
environmental effect, the Recipient agrees to make, and assures its Third Party Participants
will make, reasonable efforts to minimize the impact of every adverse effect by:
(1) Complying with:
(a) All environmental mitigation measures that may be identified as commitments in
the environmental documents that apply to the Project, such as:
1 Environmental assessments,
2 Environmental impact statements,
3 Memoranda of agreement,
4 Documents required under 49 U.S. C. § 303, and
5 Other environmental documents, and
(b) Any conditions the Federal Government might impose in a finding of no significant
impact or record of decision, and
(2) Assuring that:
(a) Any mitigation measures agreed on will be incorporated by reference and made part
of the Underlying Agreement,
(b) Any deferred mitigation measures will be incorporated by reference and made part
of the Underlying Agreement as soon as agreement with the Federal Government is
reached, and
(c) Any mitigation measures agreed on will not be modified or withdrawn without the
written approval of the Federal Government.
Section 30. Energy Conservation. The Recipient agrees to, and assures its Subrecipients will:
a. State Energy Conservation Plans. Comply with the mandatory energy standards and policies
of its State energy conservation plans under the Energy Policy and Conservation Act, as
amended, 42 U. S. C. § 6321 et seq., and
b. EnerRv Assessment. Perform an energy assessment for any building constructed,
reconstructed, or modified with ETA funds required under ETA regulations, "Requirements
for Energy Assessments," 49 C.F.R. part 622, subpart C.
Section 31. State Management and Monitoring Systems. The Recipient agrees to comply
with:
a. Joint Regulations. Joint FHWA and ETA regulations, "Management and Monitoring
Systems," 23 C.F.R. part 500, and
b. ETA Regulations. ETA regulations, "Transportation Infrastructure Management," 49 C.F.R.
part 614.
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Section 32. Charter Service. Except as ETA determines otherwise in writing, the Recipient
understands and agrees that:
a. Applicabilitv. To the extent required under Federal laws and regulations, FTA's "Charter
Service" requirements apply to the Recipient and any Third Party Participant involved in a
Project supported with funds appropriated or made available under:
(1) Federal transit laws, 49 U.S. C. chapter 53,
(2) 23 U.S.C. § 133, or
(3) 23 U.S.C. § 142,
b. Prohibitions. Neither the Recipient nor any Third Party Participant involved in its Project
will engage in charter service, except as permitted under:
(1) Federal transit laws, specifically 49 U. S.C. § 5323(d),
(2) ETA regulations, "Charter Service," 49 C.F.R. part 604,
(3) Any other Federal Charter Service regulations, or
(4) Federal guidance,
c. Exceptions. Apart from exceptions to the Charter Service restrictions in FTA's Charter
Service Regulations, ETA has established the following additional exceptions to those
restrictions:
(1) FTA's Charter Service restrictions do not apply to equipment or facilities financed with
the funding made available or appropriated for 49 U. S.C. 5307, as amended by MAP -21,
to support Job Access and Reverse Commute (JARC)-type activities that would have
been eligible for assistance under repealed 49 U. S.C. 5316 in effect in Fiscal Year 2012
or a previous fiscal year, provided that the Recipient uses that ETA funding for program
purposes only,
(2) FTA's Charter Service restrictions do not apply to equipment or facilities financed with
the funding made available or appropriated for 49 U. S.C. § 53 10, as amended by
MAP -2 1, to support New Freedom -type activities that would have been eligible for
assistance under repealed 49 U.S.C. § 5317 in effect in Fiscal Year 2012 or a previous
fiscal year, provided the Recipient uses that ETA funding for program purposes only,
and
(3) A Recipient of assistance under 49 U.S.C. chapter 53 will not be determined to have
violated the ETA Charter Service regulations if that Recipient provides a private
intercity or charter transportation operator reasonable access to that Recipient's federally
funded public transportation facilities, including intermodal facilities, park and ride lots,
and bus -only highway lanes as specified in 49 U. S.C. § 5323(r), as amended by
MAP -21, and
d. Charter Service Agreement. The Recipient agrees that:
(1) Charter Service Agreement Selected. The Charter Service Agreement it has selected in
its annual Certifications and Assurances to ETA for the Federal fiscal year in which it
seeks ETA funding is incorporated by reference and made part of the Underlying
Agreement, but
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FTA Master Agreement MA(21),10-1-2014
(2) Charter Service Agreement Not Selected. Even if it has not selected the Charter Service
Agreement in its most recent annual Certifications and Assurances to ETA:
(a) FTA's Charter Service regulations and any amendments to these regulations will
apply to any charter service it or any Third Party Participant provides, and
(b) The definitions in FTA's Charter Service regulations will apply to it and any Third
Party Participants that conducts charter operations, and
e. Violations. If it or any Third Party Participant engages in a pattern of violations of FTA's
Charter Service regulations, ETA may require corrective measures and remedies, including:
(1) Withholding an amount of Federal funds as provided by FTA's Charter Service
regulations, Appendix D, or
(2) Barring it or the Third Party Participant from receiving ETA funds.
Section 33. School Bus Operations. Except as ETA determines otherwise in writing, the
Recipient understands and agrees that:
a. Applicabilitv. To the extent required under Federal laws and regulations, Federal "School
Bus Operations" requirements apply to it and any Third Party Participant in a Project
supported with funds appropriated or made available under:
(1) 49 U.S.C. chapter 53,
(2) 23 U.S.C. § 133, or
(3) 23 U.S.C. § 142,
b. Prohibitions. Neither it nor any Third Party Participant that is participating in its Project will
engage in school bus operations exclusively for the transportation of students or school
personnel in competition with private school bus operators, except as permitted by:
(1) Federal transit laws, specifically:
(a) 49 U.S.C. § 5323(f) or (g), as amended by MAP -21, for project activities supported
with Fiscal Year 2013 or subsequent funding authorized by MAP -2 1, or
(b) Applicable requirements of 49 U.S.C. § 5323(f) or (g) for the same fiscal year as the
fiscal year of the appropriation that provides the ETA funding supporting the
Proj ect,
(2) ETA regulations, "School Bus Operations," 49 C.F.R. part 605, to the extent those
regulations are consistent with the requirements for:
(a) 49 U.S.C. § 5323(f) or (g), as amended by MAP -21, for project activities supported
with ETA Fiscal Year 2013 or subsequent funding, or
(b) The applicable requirements of 49 U.S.C. § 5323(f) or (g) for the same fiscal year
as the fiscal year of the appropriation that provided the funding awarded for the
Proj ect,
(3) Any other applicable Federal "School Bus Operations" regulations, or
(4) Applicable Federal guidance,
c. School Bus Agreement The Recipient agrees that:
(1) School Bus A ree�ent Selected. The School Bus Agreement it has selected in its
annual Certifications and Assurances to ETA for the Federal fiscal year in which it seeks
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FTA Master Agreement MA(21),10-1-2014
ETA funding is incorporated by reference and made part of the Underlying Agreement,
but
(2) School Bus Agreement Not Selected. Even if it has not selected the School Bus
Agreement in its most recent annual Certifications and Assurances to ETA:
(a) FTA's School Bus Operations regulations, 49 C.F.R. part 605, to the extent
consistent with the applicable provisions of 49 U.S.C. § 5323(f) or (g), will apply to
any school bus service it or its Third Party Participants provide, and
(b) The definitions in FTA's School Bus Operations regulations will apply to it and any
Third Party Participant that conducts school bus operations, and
d. Violations. If a Recipient or any Third Party Participant that has operated school bus service
in violation of FTA's School Bus laws and regulations, ETA may:
(1) Require the Recipient or Third Party Participant to take such remedial measures as ETA
considers appropriate, or
(2) Bar the Recipient or Third Party Participant from receiving Federal transit funds.
Section 34. Metric System. Except as the Federal Government determines otherwise in
writing, as U.S. DOT or ETA may direct, the Recipient agrees that:
a. Use. It will use metric measurements for the Project, as provided by:
(1) The Metric Conversion Act, as amended by the Omnibus Trade and Competitiveness
Act, 15 U. S.C. § 205a et seq., and other applicable Federal laws,
(2) Executive Order 12770, "Metric Usage in Federal Government Programs,"
July 25, 1991, 15 U.S.C. § 205a note, and
(3) U.S. DOT, FTA, or other Federal guidance, and
b. Deliverables. It will accept products and services with dimensions expressed in metric
measurements.
Section 35. Geographic Information and Related Spatial Data. Except as the Federal
Government determines otherwise in writing, the Recipient agrees that:
a. Standards. Its Project activities will conform to the Federal Geographic Data Committee's
National Spatial Data Infrastructure if those activities directly or indirectly involve:
(1) Spatial data, or
(2) Geographic information systems, and
b. Federal Guidance. It will follow:
(1) U.S. OMB Circular A-16, "Coordination of Geographic Information and Related Spatial
Data Activities," August 19, 2002, and
(2) U.S. OMB Circular A-16 Supplemental Guidance, "Geospatial Line of Business,"
November 10, 2010.
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FTA Master Agreement MA(21),10-1-2014
Section 36. Federal "$1 Coin" Requirements.
Except as the Federal Government determines otherwise in writing, the Recipient agrees that:
a. Federal Law. It will comply with section 104 of the Presidential $1 Coin Act of 2005,
31 U.S.C. § 5112(p),
b. Capabilitv. Its equipment and facilities will be fully capable of accepting and dispensing
$1 coins when coins or currency are required to use that equipment or those facilities, and
c. Publicizing. It will display signs and notices of $1 coin capability of its equipment and
facilities on its premises, including vending machines, where coins or currency are used.
Section 37. Public Transportation Safety Program. Except as the Federal Government
determines otherwise in writing:
a. Public Transportation Agencv Safetv Plan. When ETA directs it to do so, the Recipient
agrees to develop a Public Transportation Safety Plan that:
(1) Complies with:
(a) Federal transit laws, specifically 49 U. S.C. § 5329, as amended by MAP -21, and
(b) Other Federal laws and regulations applicable to the Project and the Recipient, and
(2) Is consistent with any Federal guidance that maybe issued to implement 49 U.S.C.
§ 5329, as amended by MAP -2 1, except as ETA determines otherwise in writing, and
b. State Safetv Oversight of Rail Fixed Guidewav Public Transportation Svstems.
Section 20030(e) of MAP -21 repealed 49 U.S.C. § 5330, to be effective three (3) years after
the effective date of the Public Transportation Safety Program final rule to be issued under
49 U.S.C. § 5329(e), but until repealed, the Recipient agrees to:
(1) Comply with Federal transit laws, specifically 49 U.S.C. § 5330,
(2) Comply with ETA regulations, "Rail Fixed Guideway Systems; State Safety Oversight,"
49 C.F.R. part 659, and
(3) Follow Federal guidance that may be issued.
Section 38. Motor Carrier Safety. The Recipient agrees to comply, and assures its Third Party
Participants will comply, with the following regulations, to the extent applicable:
a. Financial Responsibilit . The economic and insurance registration requirements of the:
(1) U.S. FMCSA regulations, "Minimum Levels of Financial Responsibility for Motor
Carriers," 49 C.F.R. part 387, if-.
(a) It is engaged in operations requiring compliance with 49 C.F.R. part 387,
(b) It is engaged in interstate commerce, and
(c) It is not within a defined commercial zone, and
(2) The provisions of 49 U. S.C. § 31138(e)(4), which supersede inconsistent provisions of
49 C.F.R. part 387, and also reduce the amount of insurance the Recipient must obtain to
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FTA Master Agreement MA(21),10-1-2014
the highest amount required by any State in which the public transportation provider
operates, if it:
(a) Operates within a public transportation service area located in more than one State,
and
(b) Receives Federal funding under 49 U.S.C. §§ 5307, 53 10, and 5311,
b. Safetv Requirements. The safety requirements of U.S. FMCSA regulations, "Federal Motor
Carrier Safety Regulations," 49 C.F.R. parts 390 — 397, if it:
(1) Is engaged in operations requiring compliance with 49 C.F.R. parts 390 — 397,
(2) Is engaged in interstate commerce,
(3) Is not within a defined commercial zone, and
(4) Is not a unit of government, which is defined as:
(a) The Federal Government,
(b) A State,
(c) Any political subdivision of a State, or
(d) Any agency established under a compact between States,
C. Driver Qualifications. The driver's license requirements of-.
(1) U.S. FMCSA regulations, "Commercial Driver's License Standards, Requirements, and
Penalties," 49 C.F.R. part 383, and
(2) U.S. FMCSA regulations, "State Compliance with Commercial Driver's License,"
49 C.F.R. part 384, and
d. Substance Abuse Rules for Motor Carriers. The substance abuse requirements and guidance
of U.S. FMCSA's regulations, "Drug and Alcohol Use and Testing Requirements," 49 C.F.R.
part 382, and implementing Federal guidance, if it:
(1) Is a public transportation provider not subject to FTA's alcohol and controlled
substances testing regulations at 49 C.F.R. part 655, as amended by MAP -21, and
(2) Operates a commercial motor vehicle that:
(a) Has a gross combination weight rating or gross combination weight of more than
26,001 pounds, whichever is greater,
(b) Has a gross vehicle weight rating or gross vehicle weight of more than 26,001
pounds, whichever is greater,
(c) Is designed to transport sixteen (16) or more passengers, including the driver, or
(d) Is of any size and is used in the transportation of hazardous materials as defined
49 C.F.R. § 383.5, and requires the motor vehicle to be placarded under the
FMCSA regulations, "Hazardous Materials Regulations," 49 C.F.R. part 172,
subpart F.
Section 39. Safe Operation of Motor Vehicles.
a. Transportation - Hazardous Materials. When transporting any hazardous materials, the
Recipient agrees to comply with U.S. Pipeline and Hazardous Materials Safety
Administration regulations, "Shippers - General Requirements for Shipments and
Packagings," 49 C.F.R. part 173,
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FTA Master Agreement MA(21),10-1-2014
b. Seat Belt Use. ETA encourages the Recipient to facilitate compliance with Executive
Order 13043, "Increasing Seat Belt Use in the United States," April 16, 1997, 23 U. S.C.
§ 402 note, by:
(1) Adopting and promoting on-the-job seat belt use policies and programs for its
employees and other personnel that operate:
(a) Company-owned vehicles,
(b) Company -rented vehicles, or
(c) Personally operated vehicles, and
(2) Including a "Seat Belt Use" provision in each third party agreement related to the
Project, and
c. Distracted Driving, Including Text Messaging While Driving. ETA encourages the Recipient
to facilitate compliance with:
(1) Executive Order 13513, "Federal Leadership on Reducing Text Messaging While
Driving," October 1, 2009, 23 U.S.C. § 402 note,
(2) DOT Order 3902. 10, "Text Messaging While Driving," December 30, 2009,
(3) The following U.S. DOT Special Provision pertaining to Distracted Driving:
(a) Definitions. As used in this Special Provision:
1 "Driving":
a Means operating a motor vehicle on a roadway, including while temporarily
stationary because of traffic delays, a traffic light, stop sign, or otherwise,
and
b Does not include being in the vehicle (with or without the motor running) in
a location off the roadway where it is safe and legal to remain stationary,
and
2 "Text Messaging":
a Means reading from or entering data into any handheld or other electronic
device, including a device for the purpose of:
(i) Short message service texting,
(ii) E -mailing,
(iii) Instant messaging,
(iv) Obtaining navigational information,
(v) Engaging in any other form of electronic data retrieval, or
(vi) Engaging in any other form of electronic data communication, and
b Unless the practice is prohibited by State or local law, "distracted driving"
does not include the use of a cell phone or other electronic device for the
limited purposes of:
(i) Entering a telephone number to make an outgoing call, or
(ii) Answering an incoming call,
(b) Sdety. The Recipient agrees to adopt and enforce workplace safety policies to
decrease crashes caused by distracted drivers, including policies to ban text
messaging while using an employer supplied electronic device, and driving:
1 A vehicle the driver owns or rents,
2 A vehicle the Recipient owns, leases or rents, or
3 A privately -owned vehicle:
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FTA Master Agreement MA(21),10-1-2014
a When on official Project -related business, or
b When performing any work for or on behalf of the Project,
(c) Recipient Size. The Recipient agrees to conduct workplace safety initiatives in a
manner commensurate with its size, such as:
1 Establishing new rules and programs to prohibit text messaging while driving,
2 Re-evaluating the existing programs to prohibit text messaging while driving,
and
3 Providing education, awareness, and other outreach to employees about the
safety risks associated with texting while driving, and
(d) Extension of Provision' The Recipient agrees:
1 To include this Special Provision of section 39.c(3)(a) — (c) of this Master
Agreement in its third party agreements, and
2 To encourage its Third Party Participants to:
a Comply with this Special Provision, and
b Include this Special Provision in each third party subagreement at each tier
financed with Federal funds.
Section 40. Substance Abuse.
a. Drug -Free Workplace. The Recipient agrees to:
(1) Comply with the Drug -Free Workplace Act of 1988, as amended, 41 U.S.C. § 8103
et seq.,
(2) Comply with U.S. DOT regulations, "Governmentwide Requirements for Drug -Free
Workplace (Financial Assistance)," 49 C.F.R. part 32, and any amendments to those
regulations when they are issued, and
(3) Follow and facilitate compliance with U.S. OMB guidance, "Governmentwide
Requirements for Drug -Free Workplace (Financial Assistance)," 2 C.F.R. part 182,
particularly where the U.S. OMB provisions supersede comparable provisions of
49 C.F.R. part 32, and
b. Alcohol Misuse and Prohibited Drug Use.
(1) Requirements. The Recipient agrees to comply, and assures its Third Party Participants
will comply, with:
(a) Federal transit laws, specifically 49 U.S.C. § 5331, as amended by MAP -21,
(b) ETA regulations, "Prevention of Alcohol Misuse and Prohibited Drug Use in
Transit Operations," 49 C.F.R. part 655, and
(c) Applicable provisions of U.S. DOT regulations, "Procedures for Transportation
Workplace Drug and Alcohol Testing Programs," 49 C.F.R. part 40, and
(2) Remedies for Non -Compliance. The Recipient agrees that if ETA determines that a
Recipient of funds or a Third Party Participant receiving funds under 49 U. S.C.
chapter 53 is not in compliance with 49 C.F.R. part 655, the Federal Transit
Administrator may bar that Recipient or Third Party Participant from receiving all or a
portion of the Federal transit assistance it would otherwise receive.
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FTA Master Agreement MA(21),10-1-2014
Section 41. Protection of Sensitive Security Information.
The Recipient agrees to comply with the following requirements for the protection of sensitive
security information:
a. The Homeland Security Act, as amended, specifically 49 U. S.C. § 40119(b), and U.S. DOT
regulations, "Protection of Sensitive Security Information," 49 C.F.R. part 15, and
b. The Aviation and Transportation Security Act, as amended, 49 U.S.C. § 114(r), and
U.S. Department of Homeland Security, Transportation Security Administration regulations,
"Protection of Sensitive Security Information," 49 C.F.R. part 1520.
Section 42. Special Notification Requirements for States. To the extent required under
Federal law, the State, as the Recipient, agrees to provide the following information about FTA
funding for State Programs or Projects:
a. Types of Information. The State will provide information including:
(1) Identification of FTA as the Federal agency providing the Federal funds for the Program
or Project,
(2) The Catalog of Federal Domestic Assistance Number of the Program from which the
Federal funding for the Program or Project is authorized, and
(3) The amount of Federal funds FTA has provided for the Program or Project, and
b. Documents. The State will provide the information required under this provision in the
following documents:
(1) Grant or cooperative agreement applications,
(2) Requests for proposals, or solicitations,
(3) Forms,
(4) Notifications,
(5) Press releases, and
(6) Other publications.
Section 43. Freedom of Information Act. The Recipient understands and agrees that:
a. Applicabilitv. The Freedom of Information Act (FOIA), 5 U.S. C. § 552, applies to most
information submitted to FTA and U.S. DOT, whether in typewritten hard copy or
electronically,
b. ProjectRecords. All applications and materials it submits to FTA that are related to its
Proj ect:
(1) Have or will become Federal agency records, and
(2) Are or will be subject to FOIA and to public release through individual FOIA requests,
unless FTA determines that a valid exemption under FOIA or another statute applies,
and
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FTA Master Agreement MA(21),10-1-2014
c. Confidentialitv. President Obama's "Memorandum for the Heads of Executive Departments
and Agencies on the Freedom of Information Act," dated January 21, 2009, directs Federal
agencies to adopt a presumption that information should generally be disclosed when
requested, and therefore:
(1) Unless a Federal law or regulation requires that a document or other information be
withheld, ETA does not consent to withhold information, irrespective of its format,
merely because it is accompanied by a "routine" confidentiality statement that may
appear on:
(a) Information about the Project,
(b) Information accompanying or supplementing the Project, or
(c) Any other information ETA may obtain,
(2) As provided by Federal laws, regulations, and guidance, ETA will review information
and documents that are the subject of each FOIA request to determine the extent to
which ETA must or should exercise its discretion to withhold the information or those
documents, and
(3) Any genuinely confidential or privileged information should be:
(a) Marked clearly and specifically, and
(b) Justified as confidential or privileged under FOIA standards.
Section 44. Disputes, Breaches, Defaults, or Other Litigation. The Recipient understands
and agrees that:
a. ETA Interest. ETA has a vested interest in the settlement of any violation of Federal law,
regulation, or disagreement involving the Project, including, but not limited to, a:
(1) Default or breach, or
(2) Major dispute or litigation,
b. Notification to FTA. If a current or prospective legal matter that may affect the Federal
Government emerges:
(1) The Recipient must promptly notify the:
(a) ETA Chief Counsel, or
(b) ETA Regional Counsel for the Region in which the Recipient is located,
(2) The types of legal matters that require notification include, but are not limited to:
(a) A major dispute, breach, or default,
(b) Credible evidence that a Principal, Official, Employee, Agent, or Third Party
Participant of the Recipient, or other person:
1 Has submitted a false claim under the False Claims Act, 31 U. S.C. § 3729
et seq., or
2 Has committed a criminal or civil violation of law pertaining to such matters as
fraud, conflict of interest, bribery, gratuity, or similar misconduct involving
Federal funding,
(c) Litigation, or
(d) Naming the Federal Government as a party to litigation or a legal disagreement in
any forum for any reason,
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FTA Master Agreement MA(21),10-1-2014
(3) Matters that may affect the Federal Government include, but are not limited to, the:
(a) Federal Government's interests in the Project, or
(b) Federal Government's administration or enforcement of Federal laws or regulations,
and
(4) If a legal matter described in section 44.b(2)(b) of this Master Agreement emerges, the
Recipient must promptly notify the U.S. DOT Inspector General, in addition to the ETA
Chief Counsel or Regional Counsel for the Region in which the Recipient is located,
c. Federal Interest in Recoverv. The Federal Government has an interest in the proceeds of any
recovery as follows:
(1) General. The Federal Government retains the right to a proportionate share of any
proceeds recovered from any third party, based on the percentage of the Federal share
for the Project, but
(2) Liquidated Damages. Notwithstanding the preceding section 44.c(l) of this Master
Agreement, the Recipient may return all liquidated damages it receives to its Project
Account rather than return the Federal share of those liquidated damages to the Federal
Government, provided that the Recipient receives FTA's prior written concurrence,
d. Enforcement. The Recipient must pursue its legal rights and remedies available under:
(1) Any third party agreement, or
(2) Any Federal, State, or local law or regulation,
e. ETA Concurrence. If a legal matter described in section 44.b(2) or (3) of this Master
Agreement involves the Project or the Recipient, ETA reserves the right to concur in any
compromise or settlement, and
Alternative Dispute Resolution. ETA encourages the Recipient to use alternative dispute
resolution procedures, as may be appropriate.
Section 45. Amendments to the Project. The Recipient understands and agrees that:
a. Changed Circumstances. It must execute an Amendment to the Underlying Agreement when
a change in Project circumstances causes an inconsistency with the Underlying Agreement,
or this Master Agreement, and
b. Changed Information. When fundamental information in its Application is changed, it must:
(1) Amend its Application if the change takes place before ETA awards funding for the
Project, and
(2) If necessary, execute an amendment to the Underlying Agreement if the change takes
place after ETA awards funding for the Project.
Section 46. FTA's Electronic Award and Management System.
a. Recipient Use. The Recipient understands and agrees that:
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FTA Master Agreement MA(21),10-1-2014
(1) Unless ETA permits otherwise in writing, until ETA adopts a new electronic award and
management system, the Recipient will use the current ETA Transportation Electronic
Award and Management (TEAM) System to submit information, reports, and documents
to FTA, and
(2) ETA may determine the extent to which the Recipient may use its electronic award and
management system to execute legal documents, and
b. Terms in FTA's Electronic Award and Management Svstem. The Recipient and ETA agree
that:
(1) Except as ETA states otherwise in writing, the terms in FTA's electronic award and
management system do not necessarily reflect, and are not intended to be treated as, the
exclusive evidence of such matters as:
(a) The "Scope" of the Project,
(b) Project "Activities," and
(c) The definition of terms for which ETA has adopted different meanings outside of
FTA's electronic award and management system, and
(2) ETA may treat information other than that reflected in its electronic award and
management system as determinative of what constitutes:
(a) The "Scope" of the Project,
(b) Project "Activities," and
(c) The definition of terms for which ETA has adopted different meanings outside of
FTA's electronic award and management system.
Section 47. Information Obtained through Internet Links. The Recipient understands and
agrees that:
a. Accuracy Any information obtained through any electronic link in this Master Agreement:
(1) Does not represent an official version of any Federal law, regulation, or guidance, and
(2) Might be inaccurate,
b. Relationship to the Master Agreement. Information obtained through electronic links in this
Master Agreement is not incorporated by reference or made part of this Master Agreement,
and
c. Official Sources. Official sources of Federal regulatory information are the:
(1) Federal Register, and
(2) Code of Federal Regulations.
Section 48. Severability. The Recipient understands and agrees that if any provision of the
Underlying Agreement or this Master Agreement is determined invalid, then the remaining
provisions thereof that conform to Federal laws, regulations, and guidance will continue in
effect.
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FTA Master Agreement MA(21),10-1-2014
SPECIAL PROVISIONS FOR SPECIFIC PROGRAMS
Section 49. Applicability of MAP -21 and Previous Authorization Requirements.
Because MAP -21, FTA's authorizing legislation, made significant changes to FTA's programs,
the Recipient understands and agrees that:
a. Source of Project Funding. To comply with the appropriate Federal program requirements
for its Project, the Recipient must know:
(1) The program from which the Federal funding awarded for its Project was derived or will
be derived,
(2) The fiscal year or fiscal years in which all Federal funding for its project was
appropriated, and
(3) The Project and Project activities for which the all Federal funding was appropriated,
b. FTA Determinations. FTA has made the following determinations, which are in effect unless
FTA determines otherwise in writing:
(1) MAP -21 Requirements. MAP -21 requirements apply to:
(a) New Awards. New grants or cooperative agreements for which FTA awards funds
made available or appropriated to carry out MAP -21 programs,
(b) Amendments. Amendments to existing grants or cooperative agreements for which
FTA awards funds made available or appropriated to carry out MAP -21 programs,
and
(c) Continued Programs. FTA Programs that FTA has determined to be continuing
programs for purposes of MAP -21:
1 Including:
a Planning Programs authorized by 49 U. S.C. § 5305,
b Fixed Guideway Capital Investment Grants (formerly, the Capital
Investment Program) authorized by former 49 U.S.C. § 5309(b)(1), and
c The Transit Cooperative Research Program authorized by 49 U. S.C. § 5313,
and
2 For which Federal funding is awarded or will be awarded using funds made
available in:
a Fiscal Year 2013 or a subsequent fiscal year,
b Fiscal Year 2012 or a previous fiscal year, or
c Both, and
(2) Previous Statutory and Regulatory Program Requirements. FTA has determined that:
(a) Program and Eligibility Requirements. Statutory program and eligibility
requirements that apply to the use of Fiscal Year 2012 or a previous fiscal year
funding will apply for programs, including:
1 Certain new awards of Fiscal Year 2012 or a previous fiscal year funding,
2 Certain amendments to existing grants or cooperative agreements, and
3 Certain programs or projects for which FTA may award unobligated
Fiscal Year 2012 and previous fiscal year funds, which include, but are not
limited to:
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FTA Master Agreement MA(21),10-1-2014
a The Urbanized Area Formula Grant Program under former 49 U.S.C.
§ 5307,
b The Clean Fuels Grant Program under former 49 U.S.C. § 5308,
c The Fixed Guideway Modernization Formula Grants Program under former
49 U.S.C. § 5309(b)(2),
d The discretionary Bus and Bus Facilities Grants Program under former
49 U.S.C. § 5309(b)(3),
e The Alaska -Hawaii Ferryboats Grants under former 49 U.S.C.
§ 5309(m)(6)(B),
f The Denali Commission Project under former 49 U.S.C. § 5309(m)(6)(C),
g Intermodal Terminals under former 49 U.S.C. § 5309(m)(7)(D),
h The Formula Grants Program for Special Needs of Elderly Individuals and
Individuals with Disabilities under former 49 U.S.C. § 53 10,
i The Formula Grants Program for Other Than Urbanized Areas under former
49 U.S.C. § 5311,
Research, Development, Demonstration, and Deployment Projects under
former 49 U.S.C. § 5312,
k The National Research Programs under former 49 U. S.C. § 5314,
1 The Job Access and Reverse Commute Formula Grants under repealed
49 U.S.C. § 5316,
m The New Freedom Program under repealed 49 U.S.C. § 5317,
* The Paul S. Sarbanes Transit in the Parks Program under repealed 49 U.S.C.
§ 5320,
* The Alternatives Analysis Program under former 49 U.S.C. § 5339, and
P The Over -the -Road Bus Accessibility Program under repealed section 3038
of TEA -21, as amended by former section 3039 of SAFETEA-LU, and
(b) Other Requirements. Requirements for those new awards, amendments, and
continuing programs vary as follows:
1 For Continuing Programs. Federal statutory or regulatory program and
eligibility requirements for Fiscal Year 2012 or a specific previous fiscal year
will apply to new grants and cooperative agreements and to new amendments to
grants and cooperative agreements that:
a Have been awarded funds made available or appropriated for Fiscal Year
2013 that ETA has awarded before March 26, 2013,
b Have been awarded Federal funds made available or appropriated for
Fiscal Year 2012 or the previous fiscal year, or
c Maybe awarded Federal funds appropriated for Fiscal Year 2012 or the
previous fiscal year, except that
2 MAP -21 Cross -Cutting Requirements. Notwithstanding the preceding
section 49.b(2)(a) and section 49.b(2)(b).l of this Master Agreement, ETA has
determined that MAP -21 cross -cutting requirements will apply to all FTA -
funded grants and cooperative agreements regardless of the fiscal year in which
the awarded funds were made available, which include:
a Metropolitan and Statewide Planning,
b Environmental Review Process,
�j Agency Safety Plans,
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FTA Master Agreement MA(21),10-1-2014
d Transit Asset Management Provisions (and Asset Inventory and Condition
Reporting),
e Costs Incurred by Providers of Public Transportation by Vanpool,
f Revenue Bonds as Local Match,
g Debt Service Reserve,
h Government's Share of Cost of Vehicles, Vehicle -Equipment, and Facilities
for ADA and Clean Air Act Compliance,
i Private Sector Participation,
i Bus Testing,
k Buy America,
I Corridor Preservation,
m Rail Car Procurements,
* Veterans Preference/Employment, and
* Alcohol and Controlled Substance Testing,
The cross -cutting requirements listed above in this section 49.b(2)(b)z of this
Master Agreement have been published in ETA "Notice of ETA Transit
Program Changes, Authorized Funding Levels and Implementation of the
Moving Ahead for Progress in the 2 lst Century Act (MAP -21) and ETA Fiscal
Year 2013 Apportionments, Allocations, Program Information and Interim
Guidance; Notice" (the first ETA Apportionments Notice for Fiscal Year 2013),
77,Fed. Reg. 63670, October 16, 2012,
c. Federal Regulations and Guidance. In administering its Project and Project activities, the
Recipient agrees to:
(1) Comply with:
(a) Applicable Federal laws, and
(b) Applicable Federal regulations, except as superseded by conflicting Federal law,
and
(2) Except as ETA determines otherwise in writing, follow:
(a) The most recent edition of applicable ETA Circulars, except as superseded by new
Federal statutory or regulatory requirements or guidance provisions that apply, and
(b) All other applicable Federal guidance, and
d. Future Federal Regulations and Guidance. As ETA determines is necessary:
(1) ETA may develop and issue Federal regulations and circulars, with an opportunity for
public comment,
(2) ETA may also develop other implementing guidance, and
(3) Except as ETA determines otherwise in writing, the Recipient agrees to:
(a) Comply with Federal regulations that may be issued in the future to implement
FTA's current and expired programs, and
(b) Follow Federal guidance that maybe issued in the future to implement FTA's
current and expired programs.
Section 50. Special Provisions for the Metropolitan Planning Programs. Except as ETA
determines otherwise in writing:
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FTA Master Agreement MA(21),10-1-2014
a. Applicabilitv of This Section 50. The Recipient understands and agrees that this section 50
of this Master Agreement applies to projects supported with funding appropriated or made
available for 49 U.S. C. § 5305(d), which authorizes funding for the Metropolitan Planning
Program to carry out 49 U.S.C. §§ 5303, 5304, and 5306,
b. MAP -21 Requirements Avvlv. Because MAP -21 did not make any significant changes to the
Metropolitan Planning Program authorized by former 49 U.S.C. § 5305(d) in effect in Fiscal
Year 2012 or a previous fiscal year, the Recipient understands and agrees that MAP -21
requirements apply to its Project and Project activities under the Metropolitan Planning
Program, irrespective of whether the funding for the Project or Project activities is derived
from:
(1) MAP -21 funding made available or appropriated for 49 U. S.C. § 5305(d), or
(2) Funding for Fiscal Year 2012 or a previous fiscal year made available or appropriated
for former 49 U.S.C. § 5305(d), and
c. Federal Laws, Regulations, and Guidance. In administering its Project and Project activities
under the Metropolitan Planning Program supported with funding made available or
appropriated for 49 U.S.C. § 5305(d):
(1) The Recipient agrees to comply with:
(a) The applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1,
(b) Joint FHWA and ETA regulations, "Planning Assistance and Standards," 23 C.F.R.
part 450 and 49 C.F.R. part 613, to the extent those regulations are consistent with
MAP -2 1, and any amendments to these regulations that may be issued to implement
ETA requirements under MAP -2 1,
(c) Other applicable Federal laws and regulations, and
(d) Its Underlying Agreement, and section 49 and all other applicable provisions of this
and applicable provisions of this Master Agreement, and
(2) The Recipient agrees to follow:
(a) The most recent edition of ETA Circular 8100, "Program Guidance for
Metropolitan Planning and State Planning and Research Program Grants," to the
extent consistent with:
1 Applicable requirements of 49 U.S.C. chapter 53, as amended by MAP -21,
2 The MAP -21 cross -cutting requirements listed in section 49 of this Master
Agreement, and
3 All Federal laws, regulations, and guidance,
(b) FTA's "Policy Guidance on Metropolitan Planning Organization (MPO)
Representation," 79 Fed. Reg. 31214, June 2, 2014, and
(c) All other applicable Federal guidance.
Section 51. Special Provisions for the Statewide Planning and Research Program. Except
as ETA determines otherwise in writing:
a. Applicabilitv of This Section 5 1. The Recipient understands and agrees that this section 51
of this Master Agreement applies to projects supported with funding appropriated or made
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available for 49 U. S.C. § 5305(e), which authorizes the Statewide Planning and Research
Program,
b. MAP -21 Requirements Avvlv. Because MAP -21 did not make any significant changes to the
Statewide Planning and Research Program authorized by former 49 U.S.C. § 5305(e) in
effect in Fiscal Year 2012 or a previous fiscal year, the Recipient understands and agrees that
MAP -21 requirements apply to its Project and Project activities under the Statewide Planning
and Research Programs, irrespective of whether the funding for this Project or these Project
activities is derived from:
(1) MAP -21 funding made available or appropriated for the Statewide Planning and
Research Program authorized by 49 U.S.C. § 5305(e), or
(2) Funding for Fiscal Year 2012 or a previous fiscal year made available or appropriated
for the Statewide Planning and Research Programs, former 49 U.S.C. § 5305(e), and
c. Federal Laws, Regulations, and Guidance. In administering its Project and Project activities
under the Statewide Planning and Research Program, supported with funding made available
or appropriated for 49 U.S.C. § 5305(e):
(1) The Recipient agrees that to comply with:
(a) The applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1,
(b) Joint FHWA and ETA regulations, "Planning Assistance and Standards," 23 C.F.R.
part 450 and 49 C.F. R. part 613, to the extent consistent with MAP -2 1, and any
amendments to these regulations that may be issued to implement ETA
requirements under MAP -2 1,
(c) Its Underlying Agreement, and section 49 and all other applicable provisions of this
Master Agreement, and
(d) Other applicable Federal laws and regulations, and
(2) The Recipient agrees to follow:
(a) The most recent edition of ETA Circular 8100, "Program Guidance for
Metropolitan Planning and State Planning and Research Program Grants," to the
extent consistent with:
1 Applicable requirements of 49 U.S.C. chapter 53, as amended by MAP -21,
2 The MAP -21 cross -cutting requirements listed in section 49 of this Master
Agreement, and
All applicable Federal laws, regulations, and guidance,
(b) FTA's "Policy Guidance on Metropolitan Planning Organization (MPO)
Representation," 79 Fed. Reg. 31214, June 2, 2014, and
(c) All other applicable Federal guidance.
Section 52. Special Provisions for the Transit-Oiriented Development Planning Pilot
Program. Except as ETA determines otherwise in writing:
a. Applicabilitv of This Section 52. The Recipient understands and agrees that this section 52
of this Master Agreement applies to projects supported with funding appropriated or made
available for 49 U.S.C. § 5303 note, as amended by section 20005(b) of MAP -21, which
authorizes the Transit -Oriented Development Planning Pilot Program, and
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b. Federal Laws, Regulations, and Guidance. In administering its Project and Project activities
under the Transit -Oriented Development Planning Program supported with funding made
available or appropriated for section 20005(b) of MAP -21, 49 U.S.C. § 5303 note:
(1) The Recipient agrees to comply with:
(a) Section 20005(b) of MAP -21, 49 U. S.C. § 5303 note, and other applicable
requirements 49 U.S.C. chapter 53, as amended by MAP -21,
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement and applicable provisions of this Master Agreement, and
(2) The Recipient agrees to follow all applicable guidance pertaining to the Transit -Oriented
Development Planning Pilot Program and all other applicable Federal guidance.
Section 53. Special Provisions for the Alternatives Analysis Program Formerly Authorized
Before MAP -21 Became Effective. Except as ETA determines otherwise in writing:
a. Applicabilitv of This Section 53. The Recipient understands and agrees that this section 53
of this Master Agreement applies to projects supported with funding appropriated or made
available for former 49 U.S.C. § 5339 in effect in Fiscal Year 2012 or a previous fiscal year,
which authorized the previous Alternatives Analysis Program,
b. Former 49 U.S.C. � 5328. The Recipient understands and agrees that section 20002(a) of
MAP -21 expressly repeals 49 U.S.C. § 5328, which required Alternatives Analysis as a
condition precedent for a New Starts or Small Starts project under former 49 U.S.C. § 5309,
and
c. Federal Laws, Regulations, and Guidance. In administering its Alternatives Analysis Project
supported with funding made available or appropriated for former 49 U.S.C. § 5339 in effect
in Fiscal Year 2012 or a previous fiscal year:
(1) The Recipient agrees to comply with:
(a) All program and eligibility requirements applicable to the Alternatives Analysis
Program authorized by former 49 U.S.C. § 5339, for that fiscal year in which the
Federal appropriations were made available or will be made available for its Project
and Project activities under this program, and
(b) Its Underlying Agreement, and section 49 and all other applicable provisions of this
Master Agreement, and
(2) The Recipient agrees to follow all applicable Federal guidance, to the extent consistent
with:
(a) The program and eligibility requirements of the Alternatives Analysis Program
formerly authorized under former 49 U.S.C. § 5339, for that fiscal year in which
funding was appropriated or made available for the Project,
(b) The MAP -21 cross -cutting requirements listed in section 49 of this Master
Agreement, and
(c) All other applicable Federal laws, regulations, and guidance.
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Section 54. Special Provisions for the Urbanized Area Formula Grant Program
Authorized by MAP -21. Except as ETA determines otherwise in writing:
a. Applicabilitv of This Section 54. The Recipient understands and agrees that this section 54
of this Master Agreement applies to projects supported with funding appropriated or made
available for the Urbanized Area Formula Grant Program, authorized by 49 U.S.C. § 5307, as
amended by section 20007 of MAP -2 1,
b. MAP -21 Amendments. The Recipient understands and agrees that, among other things, the
Urbanized Area Formula Grant Program modifications authorized under section 20007 of
MAP -21 include:
(1) Increasing the number of recipients eligible for awards of Urbanized Area Formula
Grant Program funding for public transportation operations,
(2) Authorizing the funding of projects and activities that were previously eligible for
funding underthe repealed 49 U.S.C. § 5316, which authorized the Job Access and
Reverse Commute (JARC) Program,
(3) Authorizing competitive awards for passenger ferries,
(4) Adding requirements for a public transportation safety plan, and
(5) Substituting the term "associated transit improvement" for "transit enhancement," and
excluding the following activities that were previously eligible as "transit
enhancements" (see also 49 U.S.C. § 5302(l) and section Ld of this Master Agreement):
(a) Public art,
(b) Tables,
(c) Beautification,
(d) Historic buildings not used for public transportation, and
(e) Transit connections to parks in the Recipient's service area,
c. Federal Laws, Regulations, and Guidance. In administering its Project or Project activities
under the Urbanized Area Formula Grants Program, as established under MAP -2 1:
(1) The Recipient agrees to comply with:
(a) The applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1,
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement, and all applicable provisions of this Master Agreement,
and
(2) The Recipient agrees to follow:
(a) The most recent edition of ETA Circular 9030, "Urbanized Area Formula Program:
Program Guidance and Application Instructions," to the extent consistent with
applicable requirements of 49 U.S.C. chapter 53, as amended by MAP -21, and other
applicable Federal laws, regulations, and guidance, and
(b) All other applicable Federal guidance, and
d. Other SDecial Provisions for Urbanized Area Formula Proiects Authorized bv MAP -21. The
Recipient understands and agrees to the following:
(1) Fares and Services. The Recipient must have and use its established administrative
process to solicit and consider public comment before increasing fares or instituting a
major reduction of service,
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(2) Audit Requirements. The Recipient agrees that the Federal Government or the
Recipient, through an independent entity, will conduct audits that apply the U.S. GAO,
"Government Auditing Standards," such as:
(a) Annual reviews and audits required by 49 U.S.C. § 5307,
(b) "Single Annual Audits" required by The Single Audit Act Amendments of 1996,
31 U.S.C. § 7501 et seq., under the standards of U.S. OMB Circular A-133, until
U.S. DOT promulgates new regulations implementing that will supersede and apply
in lieu of 49 C.F.R. parts 18 and 19, and
(c) More frequent reviews and audits authorized by Federal law, regulation or guidance,
(3) Half -Fare Requirements. The Recipient agrees that it must ensure that during non -peak
hours, a fare not exceeding fifty (50) percent of the peak hour fare for use in service of
or involving a facility or equipment of a Project financed under 49 U. S.C. § 5307, will be
charged to any:
(a) Senior (Elderly Individual),
(b) Individual who, because of illness, injury, age, congenital malfunction, or other
incapacity or temporary or permanent disability (including an individual who is a
wheelchair user or has semi -ambulatory capability), cannot use a public
transportation service or a public transportation facility effectively without special
facilities, planning, or design, or
(c) Individual presenting a Medicare card issued to that individual under title 11 or
title XVIII of the Social Security Act, 42 U.S.C. § 401 et seq., and 42 U.S.C. § 1395
et seq., respectively,
(4) Public Transportation Securit . If the Recipient receives 49 U.S.C. § 5307 funding
apportioned for the urbanized area, it must ensure that each fiscal year:
(a) The Designated Recipients in the urbanized area will spend at least one (1) percent
of the total 49 U. S. C. § 5307 funding apportioned to the urbanized area for public
transportation security projects as described in 49 U.S.C. § 5307(c)(1)(J)(i), as
amended by MAP -2 1, or
(b) The Designated Recipients in that urbanized area have determined that it is
unnecessary to incur those expenses for public transportation security projects,
(5) Associated Transit Improvements. If the Recipient receives 49 U.S.C. § 5307 funding
apportioned for an urbanized area with 200,000 or more population, it must ensure that
each fiscal year:
(a) The Designated Recipients in the urbanized area spend at least one percent of the
total 49 U. S.C. § 5307 funding apportioned to the urbanized area for associated
transit improvements (see supra section 54.b(5) of this Master Agreement), and
(b) Submit an annual report listing the projects carried out in the preceding fiscal year
with those Urbanized Area Formula Grant Program funds,
(6) Reporting Requirements. The Recipient agrees and assures as follows:
(a) National Transit Database. For each fiscal year it receives or provides to any public
transportation operator funding for the Urbanized Area Formula Grant Program, it
will require the public transportation operators participating in its Project to comply
with the National Database requirements of section 8.c of this Master Agreement,
(b) Transit Asset Management. It will comply with FTA's Transit Asset Management
Program regulations when implemented pursuant to 49 U.S.C. § 5326, as amended
by MAP -21, and
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(c) Other Regulations and Guidance. It will comply with any other applicable Federal
reporting regulations and follow all applicable Federal guidance,
(7) Public Transportation Emergency Relief Project Requirements. For a Project that
addresses an emergency defined by 49 U.S.C. § 5324(a)(2) and is supported with
funding made available or appropriated for 49 U. S.C. § 5307, as amended by MAP -21,
the Recipient agrees to:
(a) Use that funding only for Project expenses not reimbursed under the Robert T.
Stafford Disaster Relief and Emergency Assistance Act, 42 U.S. C. § 5121 et seq.,
(b) Comply with ETA regulations, "Emergency Relief," 49 C.F.R. part 602,
(c) Comply with the terms and conditions that ETA determines necessary for the
Project, and
(d) Follow applicable Federal guidance, and
(8) Participation of Subrecivients. The Recipient agrees to enter into a written agreement
with each Subrecipient, which agreement includes provisions that describe the
Subrecipient's responsibilities and assures that the Subrecipient will not compromise the
Recipient's compliance with:
(a) Any Federal requirements that apply to the Project, and
(b) The Recipient's commitments under its Underlying Agreement and this Master
Agreement.
Section 55. Special Provisions for the Urbanized Area Formula Grant Program Formerly
Authorized Before MAP -21 Became Effective. Except as ETA determines otherwise in
writing:
a. Applicabilitv of This Section 55. The Recipient understands and agrees that this section 55
of this Master Agreement applies to projects supported with funding appropriated or made
available for former 49 U.S.C. § 5307 in effect in Fiscal Year 2012 or a previous fiscal year,
which authorized the previous Urbanized Area Formula Grant Program,
b. Former 49 U.S.C. � 5307. The Recipient understands and agrees that the Urbanized Area
Formula Grant Program, authorized by former 49 U.S.C. § 5307 in effect in Fiscal Year 2012
or a previous fiscal year:
(1) Provides less availability of funding for public transportation operations than is available
under MAP -2 1,
(2) Does not authorize the funding of projects and activities focused primarily on job access
and reverse commute, and
(3) Does not recognize streetscaping as an eligible transit enhancement,
c. Federal Laws, Regulations, and Guidance. In administering its Project or Project activities
under the Urbanized Area Formula Grant Program supported with funding made available or
appropriated for former 49 U.S.C. § 5307 in effect in Fiscal Year 2012 or a previous fiscal
year:
(1) The Recipient agrees to comply with:
(a) The program and eligibility requirements applicable to the Urbanized Area Formula
Grant Program, former 49 U.S.C. § 5307, for that fiscal year in which the Federal
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appropriations were then or will be made available for its Urbanized Area Project
and Project activities,
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement, and section 49 and all other applicable provisions of this
Master Agreement, and
(2) The Recipient agrees to follow:
(a) The applicable edition of ETA Circular 9030.1, "Urbanized Area Formula Program:
Program Guidance and Application Instructions," to the extent consistent with:
The program and eligibility requirements of the Urbanized Area Formula
Program formerly authorized under former 49 U. S.C. § 5307, for that fiscal year
in which funding was appropriated or made available for the Project,
2 The MAP -21 cross -cutting requirements listed in section 49 of this Master
Agreement, and
Applicable Federal laws, regulations, and guidance, and
(b) All other applicable Federal guidance, and
d. Other SDecial Provisions for Urbanized Area Formula Proiects in Effect in Fiscal Year 2012
or a Previous Fiscal Year. The Recipient understands and agrees to the following:
(1) Fares and Services. The Recipient must have and use its established administrative
process to solicit and consider public comment before increasing fares or instituting a
major reduction of service,
(2) Audit Requirements. The Recipient agrees that the Federal Government or the
Recipient, through an independent entity, will conduct audits that apply the U.S. GAO,
"Government Auditing Standards," such as:
(a) Annual reviews and audits required by former 49 U.S.C. § 5307 in effect in Fiscal
Year 2012 or a previous fiscal year,
(b) "Single Annual Audits" required by The Single Audit Act Amendments of 1996,
31 U.S.C. § 7501 et seq., under the standards of U. S. OMB Circular A- 133, until
U.S. DOT promulgates new regulations, 2 C.F.R. part 1201 that will supersede and
apply in lieu of 49 C.F.R. parts 18 and 19, and
(c) More frequent reviews and audits required by other laws and regulations and as
provided in Federal guidance,
(3) Half -Fare Requirements. The Recipient agrees that it must ensure that during its
non -peak hours, a fare not exceeding fifty (50) percent of the peak hour fare for the use
in service of, or involving a facility or equipment of its Project financed under former
49 U.S.C. § 5307 in effect in Fiscal Year 2012 or a previous fiscal year, will be charged
to any:
(a) Senior (Elderly Individual),
(b) Individual who, because of illness, injury, age, congenital malfunction, or other
incapacity or temporary or permanent disability (including an individual who is a
wheelchair user or has semi -ambulatory capability), cannot use a public
transportation service or a public transportation facility effectively without special
facilities, planning, or design, or
(c) Individual presenting a Medicare card issued to that individual under title 11 or
title XVIII of the Social Security Act, 42 U.S.C. § 401 et seq., and 42 U.S.C. § 1395
et seq., respectively,
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(4) Public Transportation Securit . If the Recipient receives funding made available or
appropriated for Fiscal Year 2012 or a previous fiscal year for former 49 U.S.C. § 5307,
it must ensure that:
(a) Each fiscal year, the Designated Recipients in the urbanized area will spend at least
one percent of the total former 49 U.S.C. § 5307 funding apportioned to the
urbanized area for public transportation security projects as described in former
49 U.S.C. § 5307(d)(1)(J)(i) in effect in Fiscal Year 2012 or a previous fiscal year,
or
(b) The Designated Recipients in that urbanized area have determined that it is
unnecessary to incur those expenses for public transportation security projects,
(5) Transit Enhancements. If the Recipient receives former 49 U. S.C. § 5307 funding
apportioned for an urbanized area with 200,000 or more population, it must ensure that:
(a) Each fiscal year, the Designated Recipients in the urbanized area spend at least
one percent of the total former 49 U. S.C. § 5307 funding apportioned to the
urbanized area for transit enhancements as described in former 49 U.S.C. § 5302(a)
in effect in Fiscal Year 2012 or aprevious Fiscal Year in which former SAFETEA-LU
requirements apply, and
(b) The Designated Recipients submit an annual report listing the projects carried out in
the preceding fiscal year with those Urbanized Area Formula Grant Program funds,
(6) Reporting Requirements. The Recipient agrees and assures as follows:
(a) National Transit Database. For each fiscal year it receives or provides to any public
transportation operator funding for the Urbanized Area Formula Grant Program, it
will require the public transportation operators participating in its Project to comply
with the National Database requirements of section 8.c of this Master Agreement,
(b) Transit Asset Management. It will comply with FTA's Transit Asset Management
Program regulations when implemented pursuant to 49 U.S.C. § 5326, as amended
by MAP -21, and
(c) Other Regulations and Guidance. It will comply with any other applicable Federal
reporting regulations and follow all applicable Federal guidance,
(7) Public Transportation Emergency Relief Project Requirements. For a Project that
addresses an emergency defined by 49 U.S.C. § 5324(a)(2), as amended by MAP -21,
and is supported with funding made available or appropriated for 49 U.S.C. § 5307, the
Recipient agrees to:
(a) Use that funding only for expenses that are not reimbursed under the Robert T.
Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C. § 5121 et seq.,
(b) Comply with ETA regulations, "Emergency Relief," 49 C.F.R. part 602,
(c) Comply with the terms and conditions that ETA determines necessary for the
Project, and
(d) Follow Federal guidance, and
(8) Participation of Subrecipients. The Recipient agrees to enter into a written agreement
with each Subrecipient, which agreement includes provisions that describe the
Subrecipient's responsibilities and assures that the Subrecipient will not compromise the
Recipient's compliance with:
(a) Any Federal requirements that apply to the Project, and
(b) The Recipient's commitments under its Underlying Agreement and this Master
Agreement.
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Section 56. Special Provisions for the Passenger Ferry Grant Program. Except as ETA
determines otherwise in writing:
a. Applicabilitv of This Section 56. The Recipient understands and agrees that this section 56
of this Master Agreement applies to projects supported with funding appropriated or made
available for 49 U.S. C. § 5307(h), as amended by section 20007 of MAP -21, which
authorizes the Passenger Ferry Grant Program, and
b. Federal Laws, Regulations, and Guidance. In administering its Project and Project activities
under the Passenger Ferry Grant Program authorized by 49 U.S.C. § 5307(h), as amended by
MAP -21:
(1) The Recipient agrees to comply with:
(a) The applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1,
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement and all other applicable provisions of this Master
Agreement, and
(2) The Recipient agrees to follow:
(a) The most recent ETA Notice of Funding Availability and the Solicitation of Project
Proposals for the Passenger Ferry Grant Program to the extent that its provisions are
consistent with applicable Federal laws, regulations, and guidance, and
(b) All other applicable Federal guidance.
Section 57. Special Provisions for the Job Access and Reverse Commute (JARC) Formula
Grants Program Formerly Authorized Before MAP -21 Became Effective. Except as ETA
determines otherwise in writing:
a. Applicabilitv of This Section 57. The Recipient understands and agrees that this section 57
of this Master Agreement applies to projects supported with funding appropriated or made
available for former 49 U.S.C. § 5316 in effect in Fiscal Year 2012 or a previous fiscal year,
which authorized the Jobs Access and Reverse Commute (JARC) Grant Program,
b. Former 49 U.S.C. � 5316. The Recipient understands and agrees that:
(1) Section 20002(a) of MAP -21 expressly repeals 49 U.S.C. § 5316, which authorized the
JARC Program through separate statutory authority,
(2) MAP -21 does not re -authorize a separate JARC Program, but
(3) Section 20007 of MAP -21 amends 49 U.S.C. § 5307 to add those JARC Projects and
Project activities previously funded under former 49 U.S.C. § 5316, to the other Projects
and Project activities eligible for assistance under the:
(a) Urbanized Area Formula Grant Program authorized by 49 U. S.C. § 5307, as
amended by MAP -2 1, and
(b) Formula Grants Program for Rural Areas authorized by 49 U.S.C. § 53 11, as
amended by MAP -2 1,
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c. Federal Laws, Regulations, and Guidance. In administering its Project or Project activities
under the JARC Program supported with funding made available or appropriated for former
49 U.S.C. § 5316 in effect in Fiscal Year 2012 or a previous fiscal year:
(1) The Recipient agrees to comply with:
(a) The Program and eligibility requirements applicable to the JARC Program, repealed
49 U.S.C. § 5316, for that fiscal year in which the Federal appropriations were then
or will be made available for its JARC Project and Project activities,
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement, and section 49 and all other applicable provisions of this
Master Agreement, and
(2) The Recipient agrees to follow:
(a) The most recent edition of ETA Circular 9050. 1, "The Job Access and Reverse
Commute (JARC) Program Guidance and Application Instructions," to the extent
consistent with:
The program and eligibility requirements applicable to the JARC Program
formerly authorized under repealed 49 U.S.C. § 5316, for that fiscal year in
which funding was appropriated or made available for the Project,
2 The MAP -21 cross -cutting requirements listed in section 49 of this Master
Agreement, and
Applicable Federal laws, regulations, and guidance, and
(b) All other applicable Federal guidance,
d. Eligible Project Activities. As specified in ETA Circular 9050. 1, "The Job Access and
Reverse Commute (JARC) Program Guidance and Application Instructions," Federal funds
provided for its Underlying Agreement and subagreements for the JARC Program include
capital, planning, and operating expenses that:
(1) Support the development and maintenance of transportation services designed to transport
low-income individuals to and from jobs, and
(2) Activities related to their employment and to support reverse commute projects,
e. Consistencv with Transportation Plans. The Projects selected must be consistent with:
(1) The locally developed and coordinated public transit -human services transportation plan,
and
(2) The applicable State management plan, and
Written Agreements with Subrecivients. The Recipient agrees to enter into a written
agreement with each Subrecipient, which agreement includes provisions that describe the
Subrecipient's responsibilities and assures that the Subrecipient will not compromise the
Recipient's compliance with:
(1) Any Federal requirements that apply to the Project, and
(2) The Recipient's commitments under its Underlying Agreement and this Master
Agreement.
Section 58. Special Provisions for the Fixed Guideway Capital Investment Grants
Program. Except as ETA determines otherwise in writing:
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a. Applicabilitv of This Section 58. The Recipient understands and agrees that this section 58
of this Master Agreement applies to fixed guideway capital investment projects supported
with funding appropriated or made available for 49 U.S.C. § 5309, as amended by
section 20008 of MAP -21,
b. MAP -21 Requirements Apply Except as ETA determines otherwise in writing, the
Recipient understands and agrees that MAP -21 requirements apply to Fixed Guideway
Capital Investment Program Grants, authorized by 49 U. S.C. § 5309(b), irrespective of
whether financed with:
(1) Funding made available or appropriated for 49 U.S.C. § 5309, as amended by MAP -21, or
(2) Funding made available or appropriated for former 49 U.S.C. § 5309(b)(1) in effect in
Fiscal Year 2012 or a previous fiscal year,
c. MAP -21 Amendments. The Recipient understands and agrees that:
(1) Section 20008 of MAP -21 amends 49 U.S.C. § 5309:
(a) By limiting the projects eligible for Federal funding under the Fixed Guideway
Capital Investment Grants Program authorized by 49 U.S.C. § 5309, as amended by
MAP -21, to New Starts, Small Starts, and Core Capacity Projects,
(b) Without re -authorizing the Fixed Guideway Modernization Program formerly
authorized by 49 U. S.C. § 5309(b)(2) in effect in Fiscal Year 2012 or a previous
fiscal year, and
(c) Without re -authorizing the Bus and Bus Facilities Program formerly authorized by
49 U.S.C. § 5309(b)(3) in effect in Fiscal Year 2012 or a previous fiscal year, and
(2) Remaining Programs. MAP -21 retains the following in the Fixed Guideway Capital
Investment Grants Program authorized by 49 U.S.C. § 5309, as amended by MAP -21:
(a) New Fixed Guideway Projects (New Starts Projects) that require:
1 At least $75,000,000 or more Federal funding be awarded for projects and
activities eligible under 49 U. S.C. § 5309(b)(1), and
2 ETA and the Recipient to enter into a Full Funding Grant Agreement to provide
funding and establish terms and conditions for the Project,
(b) Small Starts Projects that require:
1 Federal funding to be limited to less than $75,000,000 for projects and activities
eligible under 49 U. S.C. § 5309(b)(1),
2 The total estimated net project cost of the entire Project to be limited to less than
$250,000,000, and
3 ETA to use a Small Starts Grant Agreement to provide funding and establish
terms and conditions for the Project, and
(c) Core Capacity Improvement Projects that require:
1 Federal funding to be used for Core Capacity Improvement projects and
activities eligible under 49 U. S.C. § 5309(b)(2) as amended by MAP -21, but not
for projects or activities designed to maintain a state of good repair of the
existing fixed guideway system,
2 The Recipient's public transportation system's capacity to increase by at least
ten (10) percent in the corridor, and
3 ETA and the Recipient to enter into a Full Funding Grant Agreement to provide
funding and establish terms and conditions for the Project, and
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d. Federal Laws, Regulations, and Guidance. In administering its Project or Project activities
under the Fixed Guideway Capital Investment Program supported with funding made
available or appropriated for 49 U.S.C. § 5309, as amended by MAP -21:
(1) The Recipient agrees that to comply with:
(a) The applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1,
(b) ETA regulations, "Major Capital Investment Projects," 49 C.F.R. part 611,
(c) ETA regulations, "Project Management Oversight," 49 C.F.R. part 633,
(d) Other Federal laws and regulations applicable to the Project and Recipient,
(e) The terms and conditions accompanying a New Starts Project that are or will be set
forth in a Full Funding Grant Agreement that:
1 Includes provisions having special applicability to New Starts projects, and
2 Supersedes conflicting provisions of this Master Agreement,
(f) The terms and conditions accompanying a Small Starts Project that are or will be set
forth in a Small Starts Grant Agreement that:
1 Includes provisions having special applicability to Small Starts projects, and
2 Supersedes conflicting provisions of this Master Agreement,
(g) The terms and conditions accompanying a Core Capacity Improvement Project that
will be set forth in a Full Funding Grant Agreement that:
1 Include provisions having special applicability to Core Capacity Improvement
Projects, and
Supersedes conflicting provisions of this Master Agreement, and
(h) Its Underlying Agreement and all other applicable provisions of this Master
Agreement, and
(2) The Recipient agrees to follow:
(a) The applicable edition of ETA Circular 5200. 1, "Full Funding Grant Agreements
Guidance," to the extent consistent with applicable requirements of 49 U.S.C.
chapter 53, as amended by MAP -21, and other applicable Federal laws, regulations,
and guidance,
(b) ETA guidance, "Notice of Availability of New Starts and Small Starts Policy
Guidance, published in the Federal Register, 78,Fed. Reg. 49372, August 14, 2013,
and
(c) All other applicable Federal guidance.
Section 59. Special Provisions for the State of Good Repair Formula Grants Program.
Except as ETA determines otherwise in writing:
a. Applicabilitv of This Section 59. The Recipient understands and agrees that this section 59
of this Master Agreement applies to projects supported with funding appropriated or made
available for 49 U.S.C. § 5337(d), as amended by section 20027 of MAP -21, which
authorizes the State of Good Repair Formula Grants Program, and
b. Federal Laws, Regulations, and Guidance. In administering its Project and Project activities
under the State of Good Repair Program that are supported with funding made available or
appropriated for 49 U.S.C. § 5337, as amended by MAP -21:
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(1) The Recipient agrees to comply with:
(a) The applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1,
(b) Other applicable Federal laws and regulations, including 49 C.F.R. part 633, Project
Management Oversight, and
(c) Its Underlying Agreement and all other applicable provisions of this Master
Agreement, and
(2) The Recipient agrees to follow:
(a) ETA Circular 5300. 1, "State of Good Repair Program: Guidance and Application
Instructions," when issued, and
(b) All other applicable Federal guidance when developed.
Section 60. Special Provisions for the Fixed Guideway Modernization Grants Program
Formerly Authorized Before MAP -21 Became Effective. Except as ETA determines
otherwise in writing:
a. Applicabilitv of This Section 60. The Recipient understands and agrees that this section 60
of this Master Agreement applies to projects supported with funding appropriated or made
available for former 49 U.S.C. § 5309 in effect in Fiscal Year 2012 or a previous fiscal year,
which authorized the previous Fixed Guideway Modernization Grants Program,
b. Former 49 U.S.C. � 5309. The Recipient understands and agrees that section 20008 of MAP -
21 amends 49 U.S.C. § 5309 without re -authorizing the Fixed Guideway Modernization
Program, and
c Federal Laws, Regulations, and Guidance. In administering its Project and Project activities
under the Fixed Guideway Modernization Program supported with funding made available or
appropriated for former 49 U.S.C. § 5309 in effect in Fiscal Year 2012 or a previous fiscal
year:
(1) The Recipient agrees to comply with:
(a) The program and eligibility requirements applicable to the Fixed Guideway
Modernization Program, former 49 U.S.C. § 5309(b)(2), for that fiscal year in
which the Federal appropriations were then or will be made available for its Fixed
Guideway Modernization Project and Project activities,
(b) Other applicable Federal laws and regulations, including 49 C.F.R. part 633, Project
Management Oversight, and
(c) Its Underlying Agreement, and section 49 and all other applicable provisions of this
Master Agreement, and
(2) The Recipient agrees to follow:
(a) The applicable edition of ETA Circular 9300.1, "Capital Investment Program
Guidance and Application Instructions," to the extent consistent with:
The program and eligibility requirements applicable to the Fixed Guideway
Modernization Program for the specific fiscal year the funding was available,
2 The MAP -21 cross -cutting requirements listed in section 49 of this Master
Agreement, and
All applicable Federal guidance, and
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(b) All other applicable Federal guidance.
Section 61. Special Provisions for the Bus and Bus Facilities Formula Program. Except as
ETA determines otherwise in writing:
a. Applicabilitv of This Section 6 1. The Recipient understands and agrees that this section 61
of this Master Agreement applies to projects supported with funding appropriated or made
available for 49 U.S.C. § 5339, as amended by section 20029 of MAP -21, which authorizes
the Bus and Bus Facilities Formula Program, and
b. Federal Laws, Regulations, and Guidance. In administering its Project and Project activities
under the Bus and Bus Facilities Formula Program supported with funding made available or
appropriated for 49 U.S.C. § 5339, as amended by MAP -21:
(1) The Recipient agrees to comply with:
(a) The applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1,
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement and all other applicable provisions of this Master
Agreement, and
(2) The Recipient agrees to follow:
(a) The applicable edition of ETA Circular, "Bus and Bus Facilities: Guidance and
Application Instructions" when issued, and
(b) All other applicable Federal guidance.
Section 62. Special Provisions for the Discretionary Bus and Bus Facilities Grants
Program Formerly Authorized Before MAP -21 Became Effective. Except as ETA
determines otherwise in writing:
a. Applicabilitv of This Section 62. The Recipient understands and agrees that this section 62
of this Master Agreement applies to projects supported with funding appropriated or made
available for former 49 U.S.C. § 5309 in effect in Fiscal Year 2012 or a previous fiscal year,
which authorized the previous Discretionary Bus and Bus Facilities Grants Program,
b. Former 49 U.S.C. � 5309. The Recipient understands and agrees that MAP -21 did not re-
authorize the discretionary Bus and Bus Facilities Grant Program, former 49 U.S. C.
§ 5309(b)(3), when section 20029 of MAP -21 amended 49 U.S.C. § 5339, establishing the
Bus and Bus Facilities Formula Grants Program, and
c. Federal Laws, Regulations, and Guidance. In administering its Project and Project activities
under the discretionary Bus and Bus Facilities Grants Program supported with funding made
available or appropriated for former 49 U.S.C. § 5309(b)(3) in effect in Fiscal Year 2012 or a
previous fiscal year:
(1) The Recipient agrees to comply with:
(a) The Program and eligibility requirements that apply to the former 49 U. S.C.
§ 5309(b)(3), for that fiscal year in which the Federal appropriations were then or
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will be made available for its discretionary Bus and Bus Facilities Project and
Project activities, or
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement, and section 49 and all other applicable provisions of this
Master Agreement, and
(2) The Recipient agrees to follow:
(a) The applicable edition of ETA Circular 9300.1, "Capital Investment Program
Guidance and Application Instructions," to the extent consistent with:
The program and eligibility requirements applicable to the discretionary Bus
and Bus Facilities Grants Program, former 49 U.S.C. § 5309, for that fiscal year
in which funding was appropriated or made available for the Project,
2 The MAP -21 cross -cutting requirements listed in section 49 of this Master
Agreement, and
All applicable Federal laws, regulations, and guidance, and
(b) All other applicable Federal guidance.
Section 63. Special Provisions for the Enhanced Mobility of Seniors and Individuals with
Disabilities Formula Program. Except as ETA determines otherwise in writing:
a. Applicabilitv of This Section 63. The Recipient understands and agrees that this section 63
of this Master Agreement applies to projects supported with funding authorized or made
available for 49 U. S. C. § 53 10, as amended by section 20009 of MAP -2 1, which authorizes
the Enhanced Mobility of Seniors and Individuals with Disabilities Formula Program,
b. MAP -21 Amendments. The Recipient understands and agrees that, among other things:
(1)
MAP -21 amends the Special Needs of Elderly Individuals and Individuals with
Disabilities Program, former 49 U.S. C. § 53 10, by:
(a) Changing the name of the program supporting seniors and individuals with
disabilities from the "Formula Grants for the Special Needs of Elderly Individuals
and Individuals with Disabilities Program" to the "Enhanced Mobility of Seniors
and Individuals with Disabilities Formula Program,"
(b) Substituting the term "seniors" for "elderly individuals,"
(c) Authorizing Designated Recipients, in addition to States, to serve as direct
Recipients of 49 U.S.C. § 5310 funding,
(d) Authorizing any Recipient or Subrecipiernto use 49 U.S.C. § 5310 funds for
operations,
(e) Authorizingthe funding of projects and activities under 49 U.S.C. § 5310 that had
been eligible for funding under repealed 49 U.S.C. § 5317, which authorized the
New Freedom Program, and
(f) Authorizing, but not requiring, the use of a competitive process to award funds to
Subrecipients, in addition to the authority to make discretionary awards of funds to
Subrecipients, and
(2) Section 20002(c)(3) expressly repeals section 3012(b) of SAFETEA-LU, 49 U.S.C.
§ 5310 note, without re -authorizing the Elderly Individuals and Individuals with
Disabilities Pilot Program,
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c. Federal Laws, Regulations, and Guidance. In administering its Project and Project activities
under the Enhanced Mobility of Seniors and Individuals with Disabilities Formula Program
supported with funding made available or appropriated for 49 U.S.C. § 5310, as amended by
MAP -21:
(1) The Recipient agrees to comply with:
(a) The applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1,
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement and all other applicable provisions of this Master
Agreement, and
(2) The Recipient agrees to follow:
(a) The most recent edition of ETA Circular 9070. 1, "Enhanced Mobility of Seniors
and Individuals with Disabilities Program Guidance and Application Instructions,
and
(b) All other applicable Federal guidance, and
d. Other SDecial Provisions for the Enhanced Mobilitv of Seniors and Individuals with
Disabilities Formula Prouam Authorized bv MAP -2 1.
(1) Eligible Subrecivients. The Recipient agrees to provide 49 U. S.C. § 53 10 funds only to
a Subrecipient that qualifies as:
(a) A private nonprofit organization, or
(b) A State or local governmental authority that:
Is approved by a State to coordinate services for seniors and individuals with
disabilities, or
2 Certifies that there are no private nonprofit organizations readily available in the
the Recipient's geographical area to provide services authorized under the
Enhanced Mobility of Seniors and Individuals with Disabilities Formula
Program,
(2) Eligible Project Activities. Federal funds provided for its Underlying Agreement and
subagreements may be used for the following projects:
(a) Capital,
(b) Purchase of service agreements with private providers of public transportation
service,
(c) Operations,
(d) Technical assistance,
(e) Administrative,
(f) Planning,
(g) Meal delivery service, as permitted by 49 U.S.C. § 53 10(b)(7), as amended by
MAP -21. and
(h) Alternatives to public transportation that assist seniors and individuals with
disabilities with transportation,
(3) Consistency with Transportation Plans. The Projects selected must be consistent with:
(a) The locally developed and coordinated public transit -human services transportation
plan applicable to the Recipient, and
(b) The applicable State management plan,
(4) Transfers of Funds.
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(a) Transfers from Other Federal Programs. The Recipient agrees that funds
transferred from other Federal programs to this Program must be used for projects
eligible for funding under 49 U.S.C. § 53 10, as amended by MAP -2 1,
(b) Transfers of Funds Apportioned to Small Urbanized Areas and Rural Areas under
49 U.S.C. § 5310(c)(1)(B) and (C). The Recipient understands and agrees that it
may transfer funds apportioned to Small Urbanized Areas or Rural Areas under
49 U.S.C. § 5310(c)(1)(B) and (C):
I To a project in a large urbanized area (an urbanized area with a population of
200,000 or more individuals, as determined by the Bureau of the Census) if the
Governor of the Recipient's State certifies that the objectives of the
Section 53 10 Program are being met in the small urbanized or rural areas that
receive the initial apportionment, or
2 To a project anywhere in the Recipient's State, provided that the State has
established a statewide program for meeting the objectives of 49 U. S.C. § 53 10,
but
Any funds apportioned to an area and transferred to another area are available
only for eligible projects under 49 U.S.C. § 53 10, and
(5) Transfer of Project Property As provided by 49 U.S.C. § 53 10(g), the Recipient
understands and agrees that it may transfer Section 53 10 funded property to another
entity eligible to receive funding under 49 U. S.C. chapter 53, provided that:
(a) The Subrecipient possessing the property consents to the transfer, and
(b) The transferred property will continue to be used to meet the special needs of
seniors or individuals with disabilities for public transportation service, and
(6) Written Agreements with Subrecivients. The Recipient agrees to enter into a written
agreement with each Subrecipient, which agreement includes provisions that describe
the Subrecipient's responsibilities and assures that the Subrecipient will not compromise
the Recipient's compliance with:
(a) Any Federal requirements that apply to the Project, and
(b) The Recipient's commitments under its Underlying Agreement and this Master
Agreement.
Section 64. Special Provisions for the Formula Grants Program for the Special Needs of
Elderly Individuals and Individuals with Disabilities Formerly Authorized Before MAP -21
Became Effective. Except as ETA determines otherwise in writing:
a. Applicabilitv of This Section 64. The Recipient understands and agrees that this section 64
of this Master Agreement applies to projects supported with funding appropriated or made
available for former 49 U. S.C. § 53 10 in effect in Fiscal Year 2012 or a previous fiscal year,
which authorized the Special Needs of Elderly Individuals and Individuals with Disabilities
Program,
b. Former 49 U. S.C. � 53 10. The Recipient understands and agrees that, among other things:
(1) MAP -21 amends the Special Needs of Elderly Individuals and Individuals with
Disabilities Program, former 49 U. S. C. § 53 10, including those changes listed in
section 63.b(l) of this Master Agreement,
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(2) Section 20002(c)(3) expressly repeals section 3012(b) of SAFETEA-LU, 49 U.S.C.
§ note, without re -authorizing the Elderly Individuals and Individuals with Disabilities
Pilot Program, and
(3) Section 20002(b) expressly repeals section 303 8 of TEA -2 1, as amended, 49 U. S.C.
§ 5310 note, without re -authorizing the Over -the -Road Bus Accessibility Program,
c. Federal Laws, Regulations, and Guidance. In administering its Project and Project activities
under the Special Needs of Elderly Individuals and Individuals with Disabilities Program
supported with funding made available or appropriated for former 49 U.S.C. § 5310 in effect
in Fiscal Year 2012 or a previous fiscal year:
(1) The Recipient agrees to comply with:
(a) The program and eligibility requirements applicable to the former 49 U.S.C. § 5310
for that fiscal year in which the Federal appropriations were then or will be made
available for its Formula Grants for the Special Needs of Elderly Individuals and
Individuals with Disabilities Project and Project activities,
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement, and section 49 and all other applicable provisions of this
Master Agreement, and
(2) The Recipient agrees to follow:
(a) The applicable edition of ETA Circular 9070. 1, "Elderly Individuals and Individuals
with Disabilities Program Guidance and Application Instructions," to the extent
consistent with:
The program and eligibility requirements applicable to the Formula Grants for
the Special Needs of Elderly Individuals and Individuals with Disabilities,
former 49 U.S. C. § 53 10,
2 The MAP -21 cross -cutting requirements listed in section 49 of this Master
Agreement, and
All applicable Federal guidance, and
(b) All other applicable Federal guidance, and
d. Other SDecial Provisions for the Elderlv Individuals and Individuals with Disabilities
Program in Effect in Fiscal Year 2012 or a Previous Fiscal Year. The Recipient understands
and agrees to the following:
(1) Eligible Subrecivients. Except as ETA determines otherwise, it will provide
Section 53 10 funds only to a Subrecipient that qualifies as:
(a) A private nonprofit organization meeting the public transportation service needs of
seniors and individuals with disabilities for whom public transportation services are
otherwise unavailable, insufficient, or inappropriate,
(b) A governmental authority approved by the Recipient to coordinate services for
elderly individuals and individuals with disabilities, or
(c) A governmental authority that certifies to the Governor of its Recipient that its area
does not have any nonprofit organizations readily available to provide public
transportation services meeting the special needs of elderly individuals and
individuals with disabilities,
(2) Eligible Project Activities. Federal funds provided for its Underlying Agreement and
subagreements may be used for the following projects:
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(a) Capital,
(b) Purchase of service agreements with private providers of public transportation
service,
(c) Operations in those States participating in the section 3012(b) of SAFETEA-LU
pilot program,
(d) Technical assistance,
(e) Administrative,
(f) Planning, and
(g) Meal delivery service, as permitted by former 49 U.S.C. § 5310(g),
(3) Consistency with Transportation Plans. The Projects selected must be consistent with:
(a) The locally developed and coordinated public transit -human services transportation
plan applicable to the Recipient, and
(b) The applicable State management plan,
(4) Transfers of Funds. Funds transferred to other Federal programs must be used for
projects eligible for Section 5310 funding,
(5) Transfer of Project Property As provided by 49 U.S.C. § 53 10(h), it may transfer
Section 53 10 funded property to another entity eligible to receive funding under
49 U.S.C. chapter 53, provided that:
(a) The Subrecipient possessing the property consents to the transfer, and
(b) The transferred property will continue to be used to meet the special needs of
elderly individuals or individuals with disabilities for public transportation service,
(6) Leasing of Vehicles. It and its Subrecipients may lease Section 53 10 funded vehicles to
local governmental authorities to improve transportation services to meet the special
needs of elderly individuals or individuals with disabilities, and
(7) Written Agreements with Subrecivients. The Recipient agrees to enter into a written
agreement with each Subrecipient, which agreement includes provisions that describe
the Subrecipient's responsibilities and assures that the Subrecipient will not compromise
the Recipient's compliance with:
(a) Any Federal requirements that apply to the Project, and
(b) The Recipient's commitments under its Underlying Agreement and this Master
Agreement.
Section 65. Special Provisions for the New Freedom Program Formerly Authorized Before
MAP -21 Became Effective. Except as ETA determines otherwise in writing:
a. Applicabilitv of This Section 65. The Recipient understands and agrees that this section 65
of this Master Agreement applies to projects supported with funding appropriated or made
available for former 49 U.S.C. § 5317 in effect in Fiscal Year 2012 or a previous fiscal year,
which authorized the New Freedom Program,
b. Former 49 U.S.C. � 5317. The Recipient understands and agrees that, among other things:
(1) Section 20002(a) of MAP -21 expressly repeals 49 U.S.C. § 5317, which authorized the
New Freedom Program,
(2) MAP -21 does not re -authorize a separate New Freedom Program, but
(3) Section 20009 of MAP -21 amends 49 U.S.C. § 5310 to add Projects and Project
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activities previously funded under the New Freedom Program authorized by former
49 U.S.C. § 5317, to those Projects and Project activities eligible for funding under the
Formula Enhanced Mobility of Seniors and Individuals with Disabilities Formula
Program authorized by 49 U.S.C. § 53 10, as amended by MAP -21,
c. Federal Laws, Regulations, and Guidance. In administering its Project or Project activities
under the New Freedom Program supported with funding made available or appropriated for
former 49 U. S. C. § 5317 in effect in Fiscal Year 2012 or a previous fiscal year:
(1) The Recipient agrees to comply with:
(a) The program and eligibility requirements applicable to the New Freedom Program,
formerly authorized by 49 U.S.C. § 5317, for that fiscal year in which the Federal
appropriations were then or will be made available for its New Freedom Project and
Project activities,
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement, and section 49 and all other applicable provisions of this
Master Agreement, and
(2) The Recipient agrees to follow:
(a) The most recent edition of ETA Circular 9045. 1, "New Freedom Program Guidance
and Application Instructions," to the extent consistent with:
The program and eligibility requirements applicable to the New Freedom
Program, repealed 49 U. S.C. § 5317, for that fiscal year in which funding was
appropriated for the Project,
2 The MAP -21 cross -cutting requirements listed in section 49 of this Master
Agreement, and
Applicable Federal laws, regulations, and guidance, and
(b) All other applicable Federal guidance,
d. Eligible Project Activities. As specified in the ETA Circular 9045. 1, "New Freedom
Program Guidance and Application Instructions," Federal funds provided for its Underlying
Agreement and subagreements for capital and operating projects must:
(1) Exceed the requirements of the ADA
(2) Be targeted toward individuals with disabilities, and
(3) Meet the intent of the program by removing barriers to transportation and assisting persons
with disabilities to use transportation, including transportation to and from jobs and
employment services,
e. Consistency with Transportation Plans. The Projects selected must be consistent with the:
(1) Locally developed and coordinated public transit -human services transportation plan, and
(2) Applicable State management plan, and
Written Agreements with Subrecivients. The Recipient agrees to enter into a written
agreement with each Subrecipient, which agreement includes provisions that describe the
Subrecipient's responsibilities and assures that the Subrecipient will not compromise the
Recipient's compliance with:
(1) Any Federal requirements that apply to the Project, and
(2) The Recipient's commitments under its Underlying Agreement and this Master
Agreement.
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Section 66. Special Provisions for the Formula Grants Program for Rural Areas. Except as
ETA determines otherwise in writing:
a. Applicabilitv of This Section 66. The Recipient understands and agrees that this section 66
of this Master Agreement applies to projects supported with funding appropriated or made
available for 49 U. S. C. § 531 1(b)(2), as amended by section 200 10 of MAP -2 1, which
authorizes the Formula Grants Program for Rural Areas,
b. MAP -21 Amendments. The Recipient understands and agrees that section 20010 of MAP -21
amends 49 U.S.C. § 5311 by:
(1) Changing the name of the program from the "Formula Grants for Other than Urbanized
Areas Program" to the "Rural Areas Formula Grants Program,"
(2) Substituting the term "rural" for "other than urbanized,"
(3) Authorizing planning as an eligible activity for Subrecipients awarded Rural Areas
Formula Grants Program funding, apart from planning by the Recipient in connection
with its administrative functions,
(4) Including Job Access and Reverse Commute (JARC) Projects and Project activities as
eligible for funding under the Rural Areas Formula Grants Program,
(5) Reducing the percentage of funding that may be used by the Recipient for
administration, planning, and technical activities from fifteen (15) percent to ten
(10) percent,
(6) Authorizing a new Appalachian Development Public Transportation Assistance
Program,
(7) Clarifying that funding is available for "intercity bus facilities" and 'Joint -use facilities,"
(8) Authorizing the use of the value of a private operator's unsubsidized segment of
intercity bus service costs to provide an in-kind local share for an intercity bus project
that includes both feeder service and an unsubsidized segment of intercity bus service to
which the feeder service connects, and
(9) Amending the former 49 U.S.C. § 531 l(c) authorizing the discretionary Tribal Transit
Program by adding formula grant authority to the Tribal Transit Program,
c. Federal Laws, Regulations, and Guidance. In administering its Project and Project activities
under the Rural Areas Formula Grants Program supported with funding made available or
appropriated for 49 U. S. C. § 5311 (b)(1), as amended by MAP -2 1:
(1) The Recipient agrees to comply with:
(a) The applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1,
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement and all other applicable provisions of this Master
Agreement, and
(2) The Recipient agrees to follow:
(a) The most recent edition of ETA Circular 9040. 1, "Formula Grants for Rural Areas:
Program Guidance and Application Instructions," when issued,
(b) All other applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1,
and
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(c) All other applicable Federal guidance, and
d. Other Special Provisions for the Rural Areas Formula Grants Pro uam.
(1) Eligible Project Activities. Federal funds provided for its Underlying Agreement and
subagreements may be used for the following public transportation Projects in rural areas:
(a) Capital,
(b) Operating,
(c) Planning,
(d) Purchase of service agreements with private providers of public transportation
service,
(e) Technical assistance,
(f) Administrative,
(g) Job access and reverse commute projects, and
(h) Meal delivery service, as permitted by 49 U.S.C. § 53 10(b)(7), as amended by
MAP -21. and
(i) New Freedom -type activities,
(2) Consistency with Transportation Plans. The Projects selected must be consistent with:
(a) The locally developed and coordinated public transit -human services transportation
plan applicable to the Recipient, and
(b) The applicable State management plan,
(3) Public Transportation Emergency Relief Project Requirements. For a Project that
addresses an emergency as defined by 49 U.S.C. § 5324(a)(2) and is supported with
funding made available or appropriated for 49 U.S.C. § 531 l(b)(1), as amended by
MAP -2 1, the Recipient agrees to:
(a) Use that funding only for expenses that are not reimbursed under the Robert T.
Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C. § 5121 et seq.,
(b) Comply with ETA regulations, "Emergency Relief," 49 C.F.R. part 602, and
(c) Comply with the terms and conditions the Secretary determines are necessary for
the Project,
(4) Use of Funding. Funds transferred from other Federal programs must be used for
Projects eligible for 49 U.S.C. § 53 1 l(b)(1) funding,
(5) Intercity Transportation. Each fiscal year, it will:
(a) Spend a minimum of at least fifteen (15) percent of its 49 U. S.C. § 5311 funds for
Intercity Transportation Projects as provided by 49 U. S.C. § 531 l(f), or
(b) Provide a certification of the Governor of its State' or the Governor's authorized
designee that the intercity bus service needs within the State are adequately
fulfilled,
(6) Transfer of Project Property. As provided by 49 U.S.C. § 53 1 1(h), it may transfer
49 U.S.C. § 5311 funded property to another entity eligible to receive funding under
49 U.S.C. chapter 53, provided that:
(a) The Subrecipient possessing the property consents to the transfer to another entity,
and
(b) The transferred property will continue to be used for service in a rural area,
(7) Employee Protective Arrangements. Compliance with the employee protections of the
U.S. DOL Special Warranty that applies to Rural Areas Formula Grant Program,
49 U.S.C. § 5311, as amended by MAP -21,
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(8) Reporting Requirements. The Recipient agrees and assures as follows:
(a) National Transit Database. For each fiscal year it receives or provides to any public
transportation operator funding for the Urbanized Area Formula Grant Program, it
will require the public transportation operators participating in its Project to comply
with the National Database requirements of section 8.c of this Master Agreement,
(b) Transit Asset Management. It will comply with FTA's Transit Asset Management
Program regulations when implemented pursuant to 49 U.S.C. § 5326, as amended
by MAP -21, and
(c) Other Regulations and Guidance. It will comply with any other applicable Federal
reporting regulations and follow all applicable Federal guidance, and
(9) Written Agreements with Subrecivients. The Recipient agrees to enter into a written
agreement with each Subrecipient, which agreement includes provisions that describe
the Subrecipient's responsibilities and assures that the Subrecipient will not compromise
the Recipient's compliance with:
(a) Any Federal requirements that apply to the Project, and
(b) The Recipient's commitments under its Underlying Agreement and this Master
Agreement.
Section 67. Special Provisions for the Other Than Urbanized Areas Formula Grant
Program Formerly Authorized Before MAP -21 Became Effective. Except as ETA
determines otherwise in writing:
a. Applicabilitv of This Section 67. The Recipient understands and agrees that this section 67
of this Master Agreement applies to projects supported with funding appropriated or made
available for 49 U. S. C. § 53 1 l(b)(2) in effect in Fiscal Year 2012 or a previous fiscal year,
which authorized the Other Than Urbanized Areas Formula Grant Program,
b. Former 49 U. S.C. � 53 11. The Recipient understands and agrees that:
(1) Section 20010 of MAP -21 amends 49 U.S.C. § 5311, which authorizes the re -named
Rural Areas Formula Grants Program, and
(2) Section 20010 of MAP -21 amends 49 U.S.C. § 5311, and establishes provisions for that
program that are different from the provisions for the Formula Grants for Other Than
Urbanized Areas Program, former 49 U. S.C. § 53 11, including those changes listed in
the preceding section 66(b) of this Master Agreement,
c. Federal Laws, Regulations, and Guidance. In administering its Project and Project activities
under the Formula Grants for Other Than Urbanized Areas Program supported with funding
made available or appropriated for Fiscal Year 2012 or a previous fiscal year for former
49 U.S.C. § 5311:
(1) The Recipient agrees to comply with:
(a) The program and eligibility requirements applicable to the Formula Grants for
Other Than Urbanized Areas, former 49 U. S.C. § 531 l(b)(1), for that fiscal year in
which the Federal appropriations were then or will be made available for its
Formula Grants for Other Than Urbanized Areas Project and Project activities, or
(b) Other applicable Federal laws and regulations, and
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(c) Its Underlying Agreement, and section 49 and all other applicable provisions of this
Master Agreement, and
(2) The Recipient agrees to follow:
(a) The applicable edition of ETA Circular 9040. 1, "Norturbanized Area Formula
Program Guidance and Grant Application Instructions", to the extent consistent
with:
The program and eligibility requirements applicable to the Formula Grants for
Other Than Urbanized Areas Program, former 49 U. S.C. § 53 11 (b)(1), for that
fiscal year in which funding was appropriated or made available for the Project,
2 The MAP -21 cross -cutting requirements listed in section 49 of this Master
Agreement, and
Applicable Federal laws, regulations, and guidance, and
(b) All other applicable Federal guidance, and
d. Other SDecial Provisions for the Formula Grants for Other Than Urbanized Areas Pro Pram in
Effect in Fiscal Year 2012 or a Previous Fiscal Year.
(1) Eligible Project Activities. Federal funds provided for its Underlying Agreement and
subagreements may be used forthe following public transportation Projects in rural areas:
(a) Capital,
(b) Operating,
(c) Planning,
(d) Purchase of service agreements with private providers of public transportation
service,
(e) Technical assistance,
(f) Administrative, and
(g) Meal delivery service, as permitted by former 49 U.S.C. § 5310(g),
(2) Consistency with Transportation Plans. The Projects selected must be consistent with:
(a) The locally developed and coordinated public transit -human services transportation
plan applicable to the Recipient, and
(b) The applicable State management plan,
(3) Use of Funding. Funds transferred from other Federal programs must be used for
Projects eligible for 49 U.S.C. § 53 1 l(b)(1) funding,
(4) Intercity Transportation. Each fiscal year, it will:
(a) Spend a minimum of at least fifteen (15) percent of its 49 U. S.C. § 5311 funds for
Intercity Transportation Projects as provided by 49 U. S.C. § 531 l(f), or
(b Provide a certification of the Governor of the State or the Governor's authorized
designee that the intercity bus service needs within the State are adequately
fulfilled,
(5) Transfer of Project Property As provided by 49 U.S.C. § 53 1 1(h), it may transfer
49 U.S.C. § 5311 funded property to another entity eligible to receive funding under
49 U.S.C. chapter 53, provided that:
(a) The Subrecipient possessing the property consents to the transfer, and
(b) The transferred property will continue to be used for service in an other than
urbanized area,
(6) Employee Protective Arrangements. The Recipient will comply with the employee
protections of the U. S. DOL Special Warranty that applies to the Formula Grants for
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OtherTban Urbanized Areas Program authorized by former 49 U.S.C. § 5311 in effect
in Fiscal Year 2012 or a previous fiscal year,
(7) Reporting Requirements. The Recipient agrees and assures as follows:
(a) National Transit Database. For each fiscal year it receives or provides to any public
transportation operator funding for the Urbanized Area Formula Grant Program, it
will require the public transportation operators participating in its Project to comply
with the National Database requirements of section 8.c of this Master Agreement,
(b) Transit Asset Management. It will comply with FTA's Transit Asset Management
Program regulations when implemented pursuant to 49 U.S.C. § 5326, as amended
by MAP -21, and
(c) Other Regulations and Guidance. It will comply with any other applicable Federal
reporting regulations and follow all applicable Federal guidance, and
(8) Written Agreements with Subrecivients. The Recipient agrees to enter into a written
agreement with each Subrecipient, which agreement includes provisions that describe
the Subrecipient's responsibilities and assures that the Subrecipient will not compromise
the Recipient's compliance with:
(a) Any Federal requirements that apply to the Project, and
(b) The Recipient's commitments under its Underlying Agreement, and this Master
Agreement.
Section 68. Special Provisions for the Rural Transportation Assistance Program. Except as
ETA determines otherwise in writing:
a. Applicabilitv of This Section 68. The Recipient understands and agrees that this section 68
of this Master Agreement applies to projects supported with funding appropriated or made
available for 49 U. S.C. § 531 1(b)(3), which authorizes the Rural Transportation Assistance
Program,
b. Federal Laws, Regulations, and Guidance. In administering its Project and Project activities
under the Rural Transportation Assistance Program supported with funding made available
or appropriated for 49 U. S.C. § 53 11 (b)(3):
(1) The Recipient agrees to comply with:
(a) The applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1,
(b) Other applicable requirements of Federal laws and regulations, and
(c) Its Underlying Agreement, and section 49 and all other applicable provisions of this
Master Agreement, and
(2) The Recipient agrees to follow applicable Federal guidance, and
c. MAP -21 Requirements Avplv. Because section 20010 of MAP -21 did not make any
significant changes to the Rural Transportation Assistance Program authorized by former
49 U.S.C. § 531 l(b)(3) in effect in Fiscal Year 2012 or a previous fiscal year, the Recipient
understands and agrees that MAP -21 requirements will apply to its Project and Project
activities supported with funding made available or appropriated for the Rural
Transportation Assistance Program, irrespective of whether the funding for its Project or its
Project activities is derived from:
FTA Master Agreement MA(21),10-1-2014
(1) Funding made available or appropriated for 49 U. S.C. § 5311(b)(3), as amended by
MAP -21, or
(2) Funding for Fiscal Year 2012 or a previous fiscal year made available or appropriated
for former 49 U.S.C. § 531 l(b)(3) in effect in Fiscal Year 2012 or a previous fiscal year.
Section 69. Special Provisions for Public Transportation on Indian Reservations Programs
(also known as the "Tribal Transit Formula Program" and the "Tribal Transit
Discretionary Program" and collectively known as the "Tribal Transit Program")
Authorized by MAP -21. Except as ETA determines otherwise in writing:
a. Applicabilitv of This Section 69. The Recipient understands and agrees that this section 69
of this Master Agreement applies to projects supported with funding appropriated or made
available for 49 U. S. C. § 531 l(c)(1), as amended by section 200 10 of MAP -2 1, which
authorizes the "Tribal Transit Formula Program" and the "Tribal Transit Discretionary
Program" (collectively known as the "Tribal Transit Program"), and
b. Federal Laws, Regulations, and Guidance. In administering its Project and Project activities
under the Tribal Transit Program supported with funding made available or appropriated for
49 U.S.C. § 531 l(c)(1), as amended by MAP -21:
(1) The Indian Tribe, as the Recipient, agrees to comply with:
(a) The applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1,
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement and all other applicable provisions of this Master
Agreement (see Appendix A of this Master Agreement), and
(2) The Indian Tribe, as the Recipient, agrees to follow:
(a) The most recent ETA Notice of Funding Availability and Solicitation of Grant
Proposals for funding made available or authorized for the Tribal Transit Program
authorized by MAP -2 1, to be awarded for projects under the formula and
discretionary Tribal Transit Program authorized by MAP -21, 49 U.S. C.
§ 531 l(c)(1), to the extent that its provisions are consistent with applicable
requirements of 49 U. S.C. chapter 53, as amended by MAP -21, and other applicable
Federal laws, regulations, and guidance, and
(b) All other applicable Federal guidance.
Section 70. Special Provisions for the Public Transportation on Indian Reservations
Program Formerly Authorized Before MAP -21 Became Effective (also known as the Tribal
Transit Program, Discretionary Only). Except as ETA determines otherwise in writing:
a. Applicability of This Section 70. The Recipient understands and agrees that this section 70
of this Master Agreement applies to projects supported with funding appropriated or made
available for former 49 U.S.C. § 531 l(c)(1) in effect in Fiscal Year 2012 or a previous fiscal
year, which authorized the Public Transportation on Indian Reservations Program (also
known, as the Tribal Transit Program, Discretionary Only),
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b. Federal Laws, Regulations, and Guidance. In administering its Project and Project activities
under the Tribal Transit Program supported with funding made available or appropriated for
49 U.S.C. § 531 l(c)(1) in effect in FY 2012 or a previous fiscal year:
(1) The Indian Tribe, as the Recipient, agrees to comply with:
(a) 49 U.S.C. § 531 l(c)(1) in effect for the fiscal year in which the funding was
authorized,
(b) Applicable Federal laws and regulations, and
(c) Its Underlying Agreement, and section 49 and all other applicable provisions of this
Master Agreement (see Appendix A of this Master Agreement), and
(2) The Indian Tribe, as the Recipient, agrees to follow:
(a) The applicable ETA Notice of Funding Availability and Solicitation of Grant
Proposals for funding made available or authorized for the previous Tribal Transit
Program authorized for Fiscal Year 2012 or a previous fiscal year, to be awarded
for projects under the Tribal Transit Program, Discretionary Only, authorized by
former 49 U. S.C. § 531 l(c)(1), to the extent consistent with:
1 The MAP -21 cross -cutting requirements listed in section 49 of this Master
Agreement, and
2 Other applicable Federal laws, regulations, and guidance, and
(b) All other applicable Federal guidance.
Section 71. Special Provisions for the Appalachian Development Public Transportation
Assistance Program. Except as ETA determines otherwise in writing:
a. Applicabilitv of This Section 7 1. The Recipient understands and agrees that this section 71
of this Master Agreement applies to projects supported with funding appropriated or made
available for 49 U. S.C. § 5311, as amended by section 200 10 of MAP -21, which authorizes
the Appalachian Development Public Transportation Assistance Program,
b. Federal Laws, Regulations, and Guidance. In administering its Project and Project activities
under the Appalachian Development Public Transportation Assistance Program authorized
by 49 U.S.C. § 53 1 1(c)(2), as amended by MAP -21:
(1) The Recipient agrees to comply with:
(a) The applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1,
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement and all other applicable provisions of this Master
Agreement, and
(2) The Recipient agrees to follow:
(a) The most recent edition of ETA Circular 9040. 1, "Formula Grants for Rural Areas:
Program Guidance and Application Instructions," when issued, and
(b) All other applicable Federal guidance, and
c. Transfer of Funds. The Recipient agrees as follows:
(1) MAP -21 Requirements. As permitted by 49 U. S.C. § 531 1(c)(2)(D), the Recipient may
transfer to a highway project the funding for the Appalachian Development Public
Transportation Assistance Program that cannot be used for operations under that
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Program, provided that all of the following requirements have been fulfilled:
(a) The Recipient has provided to affected public transportation providers appropriate
notice, and an opportunity for comment and appeal,
(b) The Recipient has determined that the Recipient's local transit needs are being
addressed, and
(c) The Recipient has approved the decision in writing, and
(2) Future Guidance. ETA intends to develop and issue guidance on the transfer of funds
under this program, which the Recipient agrees to follow to the extent applicable.
Section 72. Special Provisions for the Over -the -Road Bus Accessibility Program Formerly
Authorized Before MAP -21 Became Effective. Except as ETA determines otherwise in writing:
a. Applicabilitv of This Section 72. The Recipient understands and agrees that this section 72
of this Master Agreement applies to projects supported with funding appropriated or made
available for former section 3039 of SAFETEA-LU, 49 U. S.C. § 53 10 note, in effect in
Fiscal Year 2012 or a previous fiscal year, which authorized the Over -the -Road Bus
Accessibility Program,
b. Former section 3038 of the TranSDortation Eauitv Act for the 21st Century (TEA -21). as
Amended. The Recipient understands and agrees that section 20002(b) of MAP -21 expressly
repeals section 3038 of the TEA -2 1, Pub. L. 105-178, June 9, 1998, as amended by former
section 3039 of SAFETEA-LU, 49 U.S.C. § 53 10 note, without re -authorizing the Over -the -
Road Bus Accessibility Program,
c. Federal Laws, Regulations, and Guidance. In administering its Project or Project activities
under the Over -the -Road Bus Accessibility Program supported with Fiscal Year 2012 or a
previous fiscal year funding made available or appropriated for repealed section 3038 of
TEA -21, as amended, 49 U.S.C. § 5310 note:
(1) The Recipient agrees to comply with:
(a) The program and eligibility requirements applicable to the Over -the -Road Bus
Accessibility Program, repealed section 3038 of TEA -21, as amended, 49 U.S.C.
§ 5310 note, forthe fiscal year in which Federal appropriations were then or will be
made available for its Over -the -Road Bus Accessibility Project or Project activities,
(b) The "Over -the -Road Buses" regulations in U.S. DOT regulations, "Transportation
Services for Individuals with Disabilities (ADA)," 49 C.F.R. part 37, subpart H,
(c) Joint U.S. ATBCB and U.S. DOT regulations, "Americans With Disabilities (ADA)
Accessibility Specifications for Transportation Vehicles," 36 C.F.R. part 1192 and
49 C.F.R. part 38,
(d) Other applicable Federal laws and regulations, and
(e) Its Underlying Agreement, and section 49 and all other applicable provisions of this
Master Agreement, and
(2) The Recipient agrees to follow:
(a) The most recent ETA Notice pertaining to the former Over -the -Road Bus
Accessibility Program repealed section 3038 of TEA -21, as amended, 49 U.S.C.
§ 53 10 note, to the extent consistent with:
1 The MAP -21 cross -cutting requirements listed in section 49 of this Master
Agreement, and
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2 Other applicable Federal laws, regulations, and guidance, and
(b) All other applicable Federal guidance,
d. Emplovee Protective Arrangements. The Recipient agrees to comply with section 28.d(2) of
this Master Agreement, which applies the employee protections of the U.S. DOL Special
Warranty for Projects supported with funding made available or appropriated for the Over -
the -Road Bus Accessibility Program, and
e. Order of Precedence. ETA and the Recipient agree that the most recent ETA Notice
pertaining to the Over -the -Road Bus Accessibility Program supersedes conflicting provisions
of this Master Agreement.
Section 73. Special Provisions for the Paul S. Sarbanes Transit in Parks Program
Formerly Authorized Before MAP -21 Became Effective. Except as ETA determines
otherwise in writing:
a. Applicabilitv of This Section 73. The Recipient understands and agrees that this section 73
of this Master Agreement applies to projects supported with funding appropriated or made
available for former 49 U.S.C. § 5320 in effect in Fiscal Year 2012 or a previous fiscal year,
which authorized the Paul S. Sarbanes Transit in Parks Program,
b. Former 49 U.S.C. § 5320. The Recipient understands and agrees that section 20002(a) of
MAP -21 expressly repeals former 49 U.S.C. § 5320, without re -authorizing a separate
Transit in Parks Program,
c. Federal Laws, Regulations, and Guidance. In administering its Project and Project activities
under the Paul S. Sarbanes Transit in Parks Program supported with funding made available
or appropriated for Fiscal Year 2012 or a previous fiscal year for repealed 49 U.S.C. § 5320:
(1) The Recipient agrees to comply with the:
(a) Program and eligibility requirements applicable to the Paul S. Sarbanes Transit in
Parks Program, repealed 49 U.S.C. § 5320, for that fiscal year in which the Federal
appropriations were then or will be made available for its Paul S. Sarbanes Transit
in Parks Project and Project activities,
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement, and section 49 and all other applicable provisions of this
Master Agreement, and
(2) The Recipient agrees to follow:
(a) The most recent ETA Notice pertaining to the Paul S. Sarbanes Transit in Parks
Program repealed section 3038 of TEA -21, as amended, 49 U.S.C. § 53 10 note, to
the extent consistent with:
1 The MAP -21 cross -cutting requirements listed in section 49 of this Master
Agreement, and
2 Other applicable Federal laws, regulations, and guidance, and
(b) All other applicable Federal guidance, and
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d. Order of Precedence. ETA and the Recipient agree that the most recent Paul S. Sarbanes
Transit in Parks Program Notice supersedes any conflicting provisions of this Master
Agreement.
Section 74. Special Provisions for the Clean Fuels Grant Program Formerly Authorized
Before MAP -21 Became Effective. Except as ETA determines otherwise in writing:
a. Applicabilitv of This Section 74. The Recipient understands and agrees that this section 72
of this Master Agreement applies to projects supported with funding appropriated or made
available for former 49 U.S.C. § 5308 in effect in Fiscal Year 2012 or a previous fiscal year,
which authorized the Clean Fuels Grant Program,
b. Former 49 U.S.C. § 5308. The Recipient understands and agrees that section 20002(a) of
MAP -21 expressly repeals former 49 U.S.C. § 5308, without re -authorizing the Clean Fuels
Grant Program, and
c. Federal Laws, Regulations, and Guidance. In administering its Project or Project activities
under the Clean Fuels Grant Program supported with funding made available or appropriated
for Fiscal Year 2012 or a previous fiscal year for repealed 49 U. S.C. § 5308:
(1) The Recipient agrees to comply with:
(a) The Program and eligibility requirements applicable to the Clean Fuels Grant
Program, repealed 49 U. S.C. § 5308, for that fiscal year in which the Federal funds
were appropriated for its Clean Fuels Grant Project,
(b) ETA regulations, "Clean Fuels Grant Program," 49 C.F.R. part 624, except where
inconsistent with the cross -cutting requirements listed in section 49 of this Master
Agreement,
(c) Other applicable Federal laws and regulations, and
(d) Its Underlying Agreement, and section 49 and all other applicable provisions of this
Master Agreement, and
(2) The Recipient agrees to follow all applicable Federal guidance,
Section 75. Special Provisions for All "Research -Type" Programs. Except as ETA
determines otherwise in writing:
a. Applicabilitv of This Section 75. The Recipient understands and agrees that this section 75
of this Master Agreement applies to all "Research -Type" programs ETA funds,
b. Programs Covered. The Recipient understands and agrees that ETA considers the following
Projects to fall under Programs that are "Research -Type" programs to which the provisions
of this section 75 of this Master Agreement apply:
(1) Projects authorized under 49 U.S.C. § 5312, irrespective of the fiscal year for which the
appropriations that funded the project were authorized,
(2) Projects authorized under 49 U.S.C. § 5313, irrespective of the fiscal year for which the
appropriations that funded the project were authorized,
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1 Is Tangible and is produced from, or is a result of, the Project,
2 Is a Project deliverable, and
a Visible to the public, or
b Is or will be made available to:
(i) Other research organizations, or
(ii) Public transportation providers, and
3 Consists of-.
A Equipment,
h A prototype,
c Hardware,
d Construction,
e Reports,
f Data,
g Software,
h Internet pages, or
i Any similar item, and
(b) The notice will be given using an appropriate sign, designation, or notice,
d. Protection of Human Subjects. The Recipient understands and agrees to comply with
protections for human subjects involved in Project activities as required by:
(1) The National Research Act, as amended, 42 U.S.C. § 289 et seq., and
(2) U.S. DOT regulations, "Protection of Human Subjects," 49 C.F.R. part 11,
e. Protection of Animals. The Recipient understands and agrees to comply with protections for
animals involved in Project activities, as required by:
(1) The Animal Welfare Act, as amended, 7 U. S.C. § 2131 et seq., and
(2) U.S. Department of Agriculture regulations, "Animal Welfare," 9 C.F.R. parts 1, 2,3,
and 4, and
Export Control. The Recipient understands and agrees that before exporting any information
that is subject to Federal export requirements, it must first:
(1) Obtain the necessary Federal license(s), and
(2) Comply with the Federal export control regulations of the:
(a) U.S. Department of Commerce, Bureau of Industry and Security, "Export
Administration Regulations," specifically, 15 C.F.R. parts 730 et seq.,
(b) U.S. Department of State,
(c) U.S. Department of the Treasury, and
(d) U.S. Department of Defense.
Section 76. Special Provisions for the Research, Development, Demonstration, and
Deployment Program (also known as the National Research and Technology Program)
Authorized by MAP -21. Except as ETA determines otherwise in writing:
a. Applicabilitv of This Section 76. The Recipient understands and agrees that this section 76
of this Master Agreement applies to projects supported with funding appropriated or made
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available for 49 U.S.C. § 5312, as amended by section 20011 of MAP -21, which authorizes
the Research, Development, Demonstration, and Deployment Program (which is known as
the National Research and Technology Program),
b. Research, Development, Demonstration, and Deplovment Programs Authorized bv MAP -2 1.
The Recipient understands and agrees that provisions of this section 76 of this Master
Agreement apply to the following Programs funded by the Research, Development,
Demonstration, and Deployment Program, 49 U.S.C. § 5312, as amended by MAP -21:
(1) The Research, Development, Demonstration, and Deployment Program authorized under
49 U.S.C. § 5312(a),
(2) The Research Program authorized under 49 U.S.C. § 5312(b),
(3) The Innovation and Development Program authorized under 49 U. S.C. § 5312(c), and
(4) The Demonstration, Deployment, and Evaluation Program authorized under 49 U.S.C.
§ 5312(d), except for Projects funded by the Low or No Emission Vehicle Deployment
Program under 49 U.S.C. § 5312(d)(5), and
c. Federal Laws, Regulations, and Guidance. In administering its Project or Project activities
under the current Research, Development, Demonstration, and Deployment Program and
supported with funding made available or appropriated for 49 U.S.C. § 5312, as amended by
MAP -21:
(1) The Recipient agrees to comply with:
(a) The applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1,
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement, and section 49, section 75, and all other applicable
provisions of this Master Agreement,
(2) The Recipient agrees to follow:
(a) The most recent edition of ETA Circular 6100. 1, "Research, Technical Assistance,
and Training Programs: Application Instructions and Program Management
Guidelines," to the extent consistent with:
1 Applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1, and
2 Other applicable Federal laws, regulations, and guidance, and
(b) All other applicable Federal guidance.
Section 77. Special Provisions for the Research, Development, Demonstration, and
Deployment Program (also known as the National Research and Technology Program) and
Other Research Programs or Special Studies Formerly Authorized Before MAP -21 Became
Effective. Except as ETA determines otherwise in writing:
a. Applicabilitv of This Section 77. The Recipient understands and agrees that this section 77
of this Master Agreement applies to projects supported with funding appropriated or made
available for former 49 U.S.C. §§ 5312(a) and 5314(a), in effect in Fiscal Year 2012 or a
previous fiscal year, which authorized the previous Research, Development, Demonstration,
and Deployment Program (which is also known as the National Research and Technology
Program),
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b. Former 49 U.S.C. 5312(a) and 5314(a). The Recipient understands and agrees that:
(1) Section 2001 lof MAP -21 amended 49 U.S.C. § 5312(a) and
(2) Section 20012 of MAP -21 amended 49 U.S.C. § 5314(a), and
c. Research, Development, Demonstration, and Deylovment Programs Authorized Before
MAP -21 Became Effective. The Recipient understands and agrees that provisions of this
section 77 of this Master Agreement apply to the following Programs that are supported with
funding made available or appropriated for Fiscal Year 2012 or a previous fiscal year:
(1) The Research, Development, Demonstration, and Deployment Projects authorized under
former 49 U.S. C. § 5312(a),
(2) The Joint Partnership Program for Deployment of Innovation Projects authorized under
former 49 U.S. C. § 5312(b),
(3) The International Program Projects authorized under former 49 U.S.C. § 5312(c),
(4) The National Fuel Cell Bus Technology Development Program authorized under
repealed section 3045 of SAFETEA-LU,
(5) The Allocations for National Research and Technology Program Projects authorized
under Section 3046 of SAFETEA-LU, 49 U.S.C. § 5338 note,
(6) The Program to facilitate compliance with the Americans with Disabilities Act of 1990
Projects (Project ACTION) authorized under former 49 U.S.C. § 5314(a)(2),
(7) The National Technical Assistance Center for Senior Transportation Program Projects
authorized under former 49 U.S.C. § 5314(c), and
(8) The Human Resources Fellowship Program Projects authorized under former 49 U.S.C.
§ 5322(b), and
d. Federal Laws, Regulations, and Guidance. In administering its Project or Project activities
under the previous Research, Development, Demonstration, and Deployment Program and
supported with funding made available or appropriated for Fiscal Year 2012 or a previous
fiscal year:
(1) The Recipient agrees to comply with the:
(a) Program and eligibility requirements that apply to its Project or Project activities for
that fiscal year in which the Federal funds that are supporting the Project were
appropriated,
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement, and section 49, section 75, and all other applicable
provisions of this Master Agreement, and
(2) The Recipient agrees to follow:
(a) The applicable edition of ETA Circular 6 100. 1, "Research, Technical Assistance,
and Training Programs: Application Instructions and Program Management
Guidelines," to the extent consistent with:
The program and eligibility requirements that apply to its Project or Project
activities for that fiscal year in which funding was appropriated for the Project,
2 The MAP -21 cross -cutting requirements listed in section 49 of this Master
Agreement, and
3 Other applicable Federal laws, regulations, and guidance, and
(b) All other applicable Federal guidance.
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Section 78. Special Provisions for the Low or No Emission Vehicle Deployment Program.
Except as ETA determines otherwise in writing:
a. Applicabilitv of This Section 78. The Recipient understands and agrees that this section 78
of this Master Agreement applies to projects supported with funding appropriated or made
available for 49 U.S.C. § 5312(d)(5), as amended by section 20011 of MAP -21, which
authorizes the Low or No Emission Vehicle Deployment Program, and
b. Federal Laws, Regulations, and Guidance. In administering its Project or Project activities
under the Low or No Emission Vehicle Deployment Program of the Research, Development,
Demonstration, and Deployment Program supported with funding made available or
appropriated for 49 U.S. C. § 5312(d)(5), as amended by MAP -2 1:
(1) The Recipient agrees to comply with:
(a) The applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1,
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement, and section 49, section 75, and all other applicable
provisions of this Master Agreement, and
(2) The Recipient agrees to follow:
(a) The applicable edition of ETA Circular 6 100. 1, "Research, Technical Assistance,
and Training Programs: Application Instructions and Program Management
Guidelines," to the extent consistent with:
The program and eligibility requirements that apply to its Project or Project
activities for that fiscal year in which funding was appropriated for the Project,
2 The MAP -21 cross -cutting requirements listed in section 49 of this Master
Agreement, and
3 Other applicable Federal laws, regulations, and guidance, and
(b) All other applicable Federal guidance.
Section 79. Special Provisions for the Transit Cooperative Research Program. Except as
ETA determines otherwise in writing:
a. Applicabilitv of This Section 79. The Recipient understands and agrees that this section 79
of this Master Agreement applies to projects supported with funding appropriated or made
available for 49 U.S. C. § 5313, which authorizes the Transit Cooperative Research Program,
b. Federal Laws, Regulations, and Guidance. In administering its Project or Project activities
under the Transit Cooperative Research Program supported with funding made available or
appropriated for 49 U.S. C. § 5313:
(1) The Recipient agrees that to comply with:
(a) The applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1,
(b) Other applicable requirements of Federal laws and regulations, and
(c) Its Underlying Agreement, and section 49, section 75, and all other applicable
provisions of this Master Agreement, and
(2) The Recipient agrees to follow all applicable Federal guidance, and
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c. MAP -21 Requirements Apylv. Because MAP -21 does not make any significant changes to
the Transit Cooperative Research Program authorized by 49 U.S.C. § 5313 in effect in
Fiscal Year 2012 or a previous fiscal year, the Recipient understands and agrees that MAP 21
requirements apply to its Project and Project activities under the Transit Cooperative
Research Program, irrespective of whether the funding for this project or these project
activities is derived from:
(1) Funding appropriated or made available for 49 U. S.C. § 5313, as amended by MAP -21,
or
(2) Funding appropriated or made available for 49 U. S.C. § 5313 in effect in
Fiscal Year 2012 or a previous fiscal year.
Section 80. Special Provisions for the Technical Assistance and Standards Development
Program. Except as ETA determines otherwise in writing:
a. Applicabilitv of This Section 80. The Recipient understands and agrees that this section 80
of this Master Agreement applies to projects supported with funding appropriated or made
available for 49 U.S. C. § 5314(a), as amended by section 20012 of MAP -21, which
authorizes the Technical Assistance and Standards Development Program, and
b. Federal Laws, Regulations, and Guidance. In administering its Project or Project activities
under the Technical Assistance and Standards Development Program:
(1) The Recipient agrees to comply with:
(a) The applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1,
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement, and section 49, section 75, and all other applicable
provisions of this Master Agreement, and
(2) The Recipient agrees to follow:
(a) The applicable edition of ETA Circular 6 100. 1, "Research, Technical Assistance,
and Training Programs: Application Instructions and Program Management
Guidelines," to the extent consistent with:
1 The MAP -21 cross -cutting requirements listed in section 49 of this Master
Agreement, and
2 Other applicable Federal laws, regulations, and guidance, and
(b) All other applicable Federal guidance.
Section 81. Special Provisions for the Technical Assistance Program (To Support Public
Transportation Availabilityfor Seniors andIndividuals with Disabilities). Except as ETA
determines otherwise in writing:
a. Applicabilitv of This Section 8 1. The Recipient understands and agrees that this section 81
of this Master Agreement applies to projects supported with funding appropriated or made
available for 49 U.S. C. § 5314(b), as amended by section 20012 of MAP -21, which
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authorizes the Technical Assistance Program (To Support Public Transportation Availability
for Seniors and Individuals with Disabilities), and
b. Federal Laws, Regulations, and Guidance. In administering its Project or Project activities
under the Technical Assistance and Standards Development Program or the Technical
Assistance Program:
(1) The Recipient agrees to comply with:
(a) The applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1,
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement, and section 49, section 75, and all other applicable
provisions of this Master Agreement, and
(2) The Recipient agrees to follow:
(a) The applicable edition of ETA Circular 6100.1, "Research, Technical Assistance,
and Training Programs: Application Instructions and Program Management
Guidelines," to the extent consistent with:
1 The MAP -21 cross -cutting requirements listed in section 49 of this Master
Agreement, and
2 Other applicable Federal laws, regulations, and guidance, and
(b) All other applicable Federal guidance.
Section 82. Special Provisions for the Public Transportation Programs to Facilitate
Compliance with the Americans with Disabilities Act (Easter Seals Program) Formerly
Authorized Before MAP -21 Became Effective. Except as ETA determines otherwise in
writing:
a. Applicabilitv of This Section 82. The Recipient understands and agrees that this section 82
of this Master Agreement applies to projects supported with funding appropriated of made
available for former 49 U.S.C. § 5314(a)(2) in effect in Fiscal Year 2012 or a previous fiscal
year, which authorized the Public Transportation Programs to Facilitate Compliance with the
Americans with Disabilities Act (Easter Seals Program),
b. Federal Laws, Regulations, and Guidance. In administering its Project or Project activities
under the Technical Assistance and Standards Development Program or the Technical
Assistance Program:
(1) The Recipient agrees to comply with:
(a) The applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1,
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement, and section 49, section 75, and all other applicable
provisions of this Master Agreement, and
(2) The Recipient agrees to follow:
(a) The applicable edition of ETA Circular 6100.1, "Research, Technical Assistance,
and Training Programs: Application Instructions and Program Management
Guidelines," to the extent consistent with:
The program and eligibility requirements that apply to its Projector Project
activities for that fiscal year in which funding was appropriated for the Project,
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2 The MAP -21 cross -cutting requirements listed in section 49 of this Master
Agreement, and
3 Other applicable Federal laws, regulations, and guidance, and
(b) All other applicable Federal guidance.
Section 83. Special Provisions for the Human Resources and Training Program
Authorized by MAP -21 and the Human Resources Program Formerly Authorized Before
MAP -21 Became Effective. Except as ETA determines otherwise in writing:
a. Applicabilitv of This Section 83. The Recipient understands and agrees that this section 83
of this Master Agreement applies to projects supported with funding appropriated or made
available for:
(1) 49 U.S.C. § 5322(a), as amended by MAP -21, which authorizes the Human Resources
and Training Program, and
(2) Former 49 U.S.C. § 5322(a) in effect in Fiscal Year 2012 or a previous fiscal year,
which authorized the Human Resources Programs at that time,
b. Local Share. The Recipient understands and agrees that MAP -21 does not generally make
significant changes to the Human Resources program, except:
(1) For projects using funds appropriated or made available under 49 U. S.C. § 5322, as
amended by MAP -2 1, a local share of fifty (50) percent is required, but
(2) In contrast, there is no minimum local share percentage for projects using funds
appropriated or made available under 49 U.S.C. § 5322(c) in effect in Fiscal Year 2012
or a previous fiscal year, and
c. Federal Laws, Regulations, and Guidance. Except for the limitations on the Federal share
that may be provided under MAP -2 1, in administering its Project and Project activities under
the Human Resources and Training Program authorized by 49 U.S.C. § 5322(a), as amended
by MAP -21, or the Human Resources Program authorized by former 49 U.S.C. § 5322(a) in
effect in Fiscal Year 2012 or a previous fiscal year:
(1) The Recipient agrees to comply with:
(a) The applicable requirements of 49 U.S.C. chapter 53,
(b) Other applicable requirements of Federal laws and regulations, and
(c) Its Underlying Agreement, and section 49, section 75, and all other applicable
provisions of this Master Agreement, and
(2) The Recipient agrees to follow:
(a) The applicable edition of ETA Circular 6100.1, "Research, Technical Assistance,
and Training Programs: Application Instructions and Program Management
Guidelines," to the extent consistent with:
The program and eligibility requirements that apply to its Project or Project
activities for that fiscal year in which funding was appropriated for the Project,
2 The MAP -21 cross -cutting requirements listed in section 49 of this Master
Agreement, and
3 Other applicable Federal laws, regulations, and guidance, and
(b) All other applicable Federal guidance.
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Section 84. Special Provisions for the Innovative Public Transportation Workforce
Development Program. Except as ETA determines otherwise in writing:
a. Applicabilitv of This Section 84. The Recipient understands and agrees that this section 84
of this Master Agreement applies to projects supported with funding for 49 U. S.C. § 5322(b),
as amended by section 20015 of MAP -2 1, which authorizes the Innovative Public
Transportation Workforce Development Program, and
b. Federal Laws, Regulations, and Guidance. In administering its Project and Project activities
that are supported with funding made available or appropriated for the Innovative Public
Transportation Workforce Development Program authorized under 49 U.S. C. § 5322(b), as
amended by MAP -2 1:
(1) The Recipient agrees to comply with:
(a) The applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1,
(b) Other applicable Federal laws and regulations, and
(c) Its Underlying Agreement, and section 49, section 75, and all other applicable
provisions of this Master Agreement, and
(2) The Recipient agrees to follow:
(a) The most recent edition of ETA Circular 6100. 1, "Research, Technical Assistance,
and Training Programs: Application Instructions and Program Management
Guidelines," to the extent consistent with:
1 The applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1, and
2 Other applicable Federal laws, regulations, and guidance, and
(b) All other applicable Federal guidance.
Section 85. Special Provisions for the Public Transportation Emergency Relief Program
(or Emergency Relief Program). Except as ETA determines otherwise in writing:
a. Applicability of This Section 85. The Recipient understands and agrees that this section 85
of this Master Agreement applies to projects supported with funding for 49 U. S.C. § 5322(b),
as amended by section 20015 of MAP -2 1, which authorizes Public Transportation
Emergency Relief Program, and
b. Federal Laws, Regulations, and Guidance. In administering its Project and Project Activities
that are or will be supported with funding made available or appropriated for the Public
Transportation Emergency Relief Program authorized by 49 U.S.C. § 5324, as amended by
MAP -21:
(1) The Recipient agrees to comply with:
(a) Federal Transit Law, 49 U.S.C. § 5324, as amended by MAP -21,
(b) Comply with ETA regulations, "Emergency Relief," 49 C.F.R. part 602,
(c) Other applicable Federal laws and regulations, and
(d) Its Underlying Agreement and all other applicable provisions of this Master
Agreement,
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(2) The Recipient agrees to follow applicable Federal guidance, including:
(a) The applicable ETA Notice of Availability requirements for funding made available
for the Emergency Relief Program authorized by MAP -2 1, to the extent that its
provisions are consistent with applicable requirements of 49 U. S.C. chapter 53, as
amended by MAP -2 1, and other applicable Federal laws, regulations, and guidance,
and
(b) All other applicable Federal guidance, when issued.
Section 86. Special Provisions for the State Safety Oversight Grant Program. Except as
ETA determines otherwise in writing:
a. Applicabilitv of This Section 86. The Recipient understands and agrees that this section 86
of this Master Agreement applies to projects supported with funding for 49 U. S.C.
§ 5329(e)(6), as amended by section 20021 of MAP -21, which authorizes the State Safety
Oversight Grant Program,
b. Federal Laws, Regulations, and Guidance. In administering its State Safety Oversight Project
and Project activities:
(1) The Recipient agrees to comply with:
(a) 49 U. S.C. § 5329(e)(6), as amended by MAP -2 1,
(b) 49 U. S.C. § 5330, which is repealed three (3) years after the effective date of the
final ETA State Safety Oversight regulations required under 49 U.S.C. § 5329(e), as
amended by MAP -2 1,
(c) 49 C.F.R. part 659, until these regulations are repealed or superseded by regulations
that ETA promulgates in the future that implement 49 U. S.C. § 5329(e),
(d) Other applicable Federal laws and regulations, and
(e) Its Underlying Agreement, and section 49 and all other applicable provisions of this
Master Agreement, and
(2) The Recipient agrees to follow applicable Federal guidance, including:
(a) The most recent ETA Notice of Availability for funding made available for the
State Safety Oversight Grant Program authorized by MAP -21, to the extent that its
provisions are consistent with:
1 Applicable requirements of 49 U. S.C. chapter 53, as amended by MAP -2 1, and
2 Other applicable Federal laws, regulations, and guidance, and
(b) All other applicable Federal guidance, when issued, and
c. Other Special Provisions for State Safety Oversight Program. The Recipient understands and
agrees that State Safety Oversight Program grant funds will be used to develop or carry out
its State Safety Oversight Program for purposes of coming into compliance with 49 U. S.C.
§§ 5329(e)(3) and 5329(e)(4), including the establishment of a State Safety Oversight
Agency (SSOA) that:
(1) Has an appropriate staffing level that is commensurate with the number, size, and
complexity of the rail fixed guideway public transportation systems that the Recipient
oversees,
(2) Requires its employees and other designated personnel of the SSOA who are responsible
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for rail fixed guideway public transportation safety oversight to be qualified to perform
such functions through appropriate training, including successful completion of the
public transportation safety certification training program when established under
49 U.S.C. § 5329(c), and
(3) Is prohibited from receiving funds from any public transportation agency that the SSOA
oversees pursuant to 49 U.S.C. § 5329(e)(4).
Section87. Special Provisions for State Infrastructure Bank Projects. ExceptasFTA
determines otherwise in writing:
a. Federal Laws, Regulations, and Guidance. The Recipient agrees to administer its SIB funded
Project consistent with Federal laws, regulations, and guidance, which may include:
(1) Title 23, U. S.C. (Highways), specifically 23 U.S.C. § 610, to the extent required under
MAP -2 1, and other applicable Federal legislation,
(2) Federal transit laws, specifically 49 U. S.C. § 5323(o), as amended by MAP -21, which
requires compliance with 49 U. S.C. §§ 5307, 5309, and 5337 for projects to which
MAP -21 applies,
(3) Section 350 of the National Highway System Designation Act of 1995, as amended,
(NHS Act), 23 U.S.C. § 101 note, to the extent this section has not been superseded by
23 U.S.C. § 610,
(4) Any Federal law amending a law listed in section 85.a(l) — (3) of this Master
Agreement,
(5) Any Federal law enacted or Federal regulations promulgated at a later date applicable to
the Project,
(6) All other applicable Federal guidance that may be issued,
(7) The terms and conditions of any U.S. DOL Certification(s) of Public Transportation
Employee Protective Arrangements,
(8) The Cooperative Agreement establishing the SIB program in the State, signed by the
Federal Highway Administrator, Federal Transit Administrator, and authorized State
official(s), or their authorized designees, and
(9) The ETA Grant Agreement providing Federal funds for the SIB Project, except that:
(a) Any provision of this Master Agreement that would otherwise apply to the SIB
Project does not apply to the Underlying Agreement or the Project if it conflicts
with:
1 Any other Federal law or regulation applicable to a SIB,
2 Federal SIB Guidelines,
3 The Cooperative Agreement establishing the SIB program within the State, or
4 The Underlying Agreement, but
(b) The conflicting provision of this Master Agreement will prevail, however, if ETA
expressly determines so in writing, and
b. Limitations on Accessing Federal Funds in the Transit Account.
(1) The Recipient understands that the total amount of Federal funds awarded under the
Grant Agreement for the Project to be supported with SIB deposits may not be available
for immediate withdrawal, and
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(2) The State and Recipient agree to restrict the amount of Federal funds it withdraws from
its SIB to an amount not exceeding the limits specified in its Grant Agreement for the
SIB Project or the Approved Project Budget for that Grant Agreement.
Section 88. Special Provisions for TIFIA Projects. Except as ETA determines otherwise in
writing:
a. Federal Laws, Regulations, and Guidance. The Recipient agrees to administer its Project
financed with Federal credit assistance authorized by the Transportation Infrastructure
Finance and Innovation Act (TIFIA), as amended, as required under:
(1) Title 23, U. S. C. (Highways), specifically 23 U. S.C. § § 601 — 608, to the extent required
under MAP -2 1, and other applicable Federal legislation,
(2) Federal transit laws, 49 U.S.C. chapter 53, and more specifically 49 U.S.C. § 5323(o), as
amended by MAP -21, which requires compliance with 49 U.S.C. §§ 5307, 5309, and
5337 for projects to which MAP -21 applies,
(3) Section 350 of the National Highway System Designation Act of 1995, as amended,
(4) Joint U.S. DOT and ETA regulations, "Credit Assistance for Surface Transportation
Projects," 49 C.F.R. parts 80 and 640 that have not been superseded by:
(a) MAP -21, or
(b) Any other statute in effect and that applies to the matter at issue, and
(5) Any Federal statute signed into law and regulation promulgated at a later date that would
affect the Project,
b. Default. The Recipient agrees that ETA may declare the Recipient in violation of the Master
Agreement if-.
(1) It has defaulted on a TIFIA Loan, Loan Guarantee, or Line of Credit, and
(2) That default has not been cured within 90 days, and
c. Order of Precedence. Any provision of this Master Agreement that is applicable to the
Recipient's TIFIA Project and the Recipient otherwise agrees to comply with, but that
conflicts with the laws and regulations identified in this section 86. a of this Master
Agreement, will not apply to the Recipient's TIFIA Loan, Loan Guarantee, or Line of Credit.
Section 89. Special Provisions for Recovery Act Projects. Except as ETA determines
otherwise in writing:
a. Recovery Act. The Recipient understands and agrees that the following provisions apply to
funds made available or appropriated for the American Recovery and Reinvestment Act of
2009 ("Recovery Act"), Pub. L. 111-5, February 17, 2009, and agrees to comply with the
requirements of the Recovery Act,
b. Identification of Recovery Act Funding. The Recipient understands and agrees that an
Underlying Agreement financed with Recovery Act funds will indicate that the Recovery Act
is the source of funding as follows:
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(1) If the "Citation of Statute(s) Authoring Project" of the Underlying Agreement displays
"49 U. S.C. 5307 — Urbanized Area - Economic Recovery," the Project or Projects are
financed with Recovery Act funds appropriated for the Transit Capital Assistance for the
Urbanized Area Formula Grant Program authorized by 49 U. S.C. § 5307, as amended by
SAFETEA-LU, but prior to MAP -2 1,
(2) If the "Citation of Statute(s) Authoring Project" of the Underlying Agreement displays
"49 U. S.C. 5307 — Urbanized Area - Economic Recovery Flex," the Project or Projects
are financed with Recovery Act funds appropriated for highways transferred to support
the ETA Urbanized Area Formula Grant Program authorized by 49 U. S.C. § 5307, as
amended by SAFETEA-LU, but prior to MAP -2 1,
(3) If the "Citation of Statute(s) Authoring Project" of the Underlying Agreement displays
"49 U. S.C. 5309 — New Starts - Economic Recovery," the Project is financed with
Recovery Act funds appropriated for Capital Investment Grants authorized for Small
Starts or New Starts by 49 U. S.C. § 5309(d) or (e), respectively, as amended by
SAFETEA-LU, but prior to MAP -2 1,
(4) If the "Citation of Statute(s) Authoring Project" of the Underlying Agreement displays
"49 U. S.C. 5309 — Fixed Guideway - Economic Recovery," the Project is financed with
Recovery Act funds appropriated for Fixed Guideway Infrastructure Investment for
Modernization, authorized by 49 U.S.C. § 5309(b)(2), as amended by SAFETEA-LU,
but prior to MAP -2 1,
(5) If the "Citation of Statute(s) Authoring Project" of the Underlying Agreement displays
"49 U. S.C. 5311 — Norturbanized Area - Economic Recovery," the Project is financed
with Recovery Act funds appropriated for Transit Capital Assistance for the
Nonurbanized Area Formula Program authorized by 49 U. S.C. § 53 11, as amended by
SAFETEA-LU, but prior to MAP -2 1,
(6) If the "Citation of Statute(s) Authoring Project" of the Underlying Agreement displays
"49 U. S.C. 5311 — Norturbanized Area - Economic Recovery Flex," the Project or
Projects are financed with Recovery Act funds appropriated for highways transferred to
support the Norturbanized Area Formula Grant Program authorized by 49 U. S.C. § 5311,
as amended by SAFETEA-LU, but prior to MAP -2 1,
(7) If the "Citation of Statute(s) Authoring Project" of the Underlying Agreement or
Cooperative Agreement displays "PL 111-5 — Transp. Invest/Greenhouse Gas & Energy
Red — Economic Recovery," the Project is financed with Recovery Act funds specified
in Title XII for Federal Transit Administration capital investments that will assist in
reducing the energy consumption or greenhouse gas emissions of the Recipient's public
transportation systems, and
(8) If the "Citation of Statute(s) Authorizing Project" of the Underlying Agreement displays
"PL 111-5 — OST Surface Transportation — Economic Recovery," the Project is financed
with Recovery Act funds specified in Title XII for the U.S. DOT Office of the Secretary
Supplemental Discretionary Grants for a National Surface Transportation System, also
referred to as the "TIGER Discretionary Grant Program,"
c. Identification of Project(s). The Recipient agrees that a Project or Projects financed with
Recovery Act funds are:
(1) Identified in the Recipient's Project application, and
(2) Reflected in the Approved Project Budget,
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(4) Recovery Act Transactions Listed in Schedule of Expenditures of Federal Awards and
Recipient Responsibilities for Informing Subrecivients. The Recipient agrees that:
(a) To maximize the transparency and accountability of funds authorized under the
Recovery Act, as required by Congress, and when using ETA funds, it will maintain
records that identify adequately the source and application of Recovery Act funds,
as provided in 49 C.F.R. § 18.20 and 49 C.F.R. § 19.21, or 2 C.F.R. part 1201,
when effective,
(b) If it must comply with the Single Audit Act Amendments of 1996, and U.S. OXIB
Circular A- 133, "Audits of States, Local Governments, and Non -Profit
Organizations," or the U.S. DOT regulations, it will identify its Recovery Act
expenditures separately on the Schedule of Expenditures of Federal Awards (SEFA)
and the Data Collection Form (SF -SAC) as provided in U. S. OXIB Circular A- 133
by:
1 Identifying Recovery Act expenditures separately on the SEFA,
2 Identifying Recovery Act expenditures as separate rows under Item 9 of Part III
on the SF -SAC by CFDA number, and
3 Including the prefix "ARRA-" in identifying the name of the Federal program
on the SETA and as the first characters in Item 9.d of Part III on the SF -SAC,
(c) It will:
1 Separately identify each Subrecipient, and document, at the time of subaward
and at the time of disbursement of funds, the Federal award number, CFDA
number, and amount of Recovery Act funds, and
2 Finnish sufficient information to each Subrecipient that distinguishes the
subawards of incremental Recovery Act funds from regular subawards under
the existing program, when it awards funds for an existing program, and
(d) It will require each Subrecipient to include on its SEFA information that
specifically identifies Recovery Act funding similar to the requirements for the
Recipient's SEFA. This information is needed to monitor Subrecipient expenditures
of Recovery Act funds properly and permits oversight by FTA, U.S. DOT, the
Offices of Inspector General, and the Government Accountability Office,
g. One -Time Funding. The Recipient agrees that receipt of Recovery Act funds is a "one-time"
disbursement that does not create any future commitment by ETA to advance similar funding
amounts,
h. Funding Limits. The Recipient agrees that:
(1) The total amount of Recovery Act funds for the entire period of Project performance is
the amount displayed on its Underlying Agreement, including the most recent
amendment to its Underlying Agreement, and
(2) The Government's liability to make payments to the Recipient is limited to the eligible
Project costs that can be financed with those Recovery Act funds as displayed on the
Underlying Agreement, including the most recent amendment to that Underlying
Agreement,
i. Integrity. The Recipient agrees that all data it submits to ETA in compliance with Recovery
Act requirements will be accurate, objective, and of the highest integrity,
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j . . Violations of Law. The Recipient agrees that it and each of its Subrecipients must report to
ETA and the U.S. DOT Inspector General or other appropriate Inspector General any
credible evidence that a Principal, Employee, Agent, Contractor, Subrecipient,
Subcontractor, or other person:
(1) Has submitted a false claim under the False Claims Act, 31 U. S.C. § 3729 et seq., or
(2) Has committed a criminal or civil violation of law pertaining to fraud, conflict of
interest, bribery, gratuity, or similar misconduct involving Recovery Act funds,
k. Maintenance of Effort. A Recipient that is a State agrees to comply with the maintenance of
effort certification it has made in compliance with section 1201 of the Recovery Act,
Emblems. U.S. DOT encourages it to use signs and materials that display both the American
Recovery and Reinvestment Act (Recovery Act) emblem and the Transportation Investment
Generating Economic Recovery (TIGER) program emblem to identify its Project(s) financed
with Recovery Act funds that are provided by U.S. DOT in a manner consistent with Federal
guidance, and to include this provision in each third party agreement used in connection with
its Recovery Act Project(s),
m. Contracts Financed With Recovery Act Funds. hi compliance with section 1554 of the
Recovery Act, the Recipient agrees to:
(1) Award contracts financed under this Act as fixed-price contracts through the use of
competitive procedures to the maximum extent possible, and
(2) Post a summary of the contract on the Recovery Act web site maintained by the
Recovery Accountability and Transparency Board when it does not award fixed-price
contracts or does not use competitive procedures, and
n. Time Limit for Spending Recovery Act Funds. The Recipient understands and agrees that:
(1) Expiration Date. It must spend all Recovery Act funds that are within its control no later
than the end of Federal fiscal year 2013 (September 30, 2013), but
(2) Exception. The September 30, 2013 expiration date for spending Recovery Act funds
will not apply if U.S. OMB has provided the Recipient a written waiver from this
expenditure requirement.
Section 90. Special Provisions for Joint FTA — FRA Projects. When both ETA and the
U.S. Federal Railroad Administration (FRA) make funding appropriated for their projects
available for the same Project, the Recipient understands and agrees that the following provisions
of this section 90 of this Master Agreement apply:
a. General Legal Requirements: The Recipient agrees that:
(1) It will administer the Project to achieve maximum compliance with:
(a) FTA's statutory and regulatory requirements,
(b) FRA's statutory and regulatory requirements, and
(c) Recovery Act or other Federal statutory requirements, and
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(2) It will carry out the jointly funded Project as described in the following sections 90.b —j
of this Master Agreement, which address conflicting legal and regulatory requirements
imposed on joint ETA and FRA projects,
b. Disadvantaged Business Enterprises. The Recipient agrees that:
(1) The following statutory and regulatory provisions relating to disadvantaged business
enterprises (DBE) differ significantly between ETA and FRA:
(a) Section 1 101(b) of MAP -21 (23 U.S.C. § 101 note) applies to FTA, but not to FRA,
(b) U.S. DOT regulations, "Participation by Disadvantaged Business Enterprises in
Department of Transportation Financial Assistance Programs," 49 C.F.R. part 26,
apply to FTA, but not to FRA,
(2) FRA is not authorized to use FTA's DBE regulations, and consequently
(3) The Recipient agrees to comply with the statutory and regulatory DBE provisions that
apply to ETA funds when using ETA funds for purchases, and
(4) The Recipient agrees to use the "contracting with small and minority firms, women's
business enterprise" provisions of 49 C.F.R. § 18.36(e) or 49 C.F.R. § 19.44(b) when
using FRA funds, until U.S. DOT promulgates new regulations that will supersede and
apply in lieu of 49 C.F.R. parts 18 and 19,
c. Buv America. The Recipient agrees that statutory and regulatory Buy America provisions
that apply to ETA funds differ from those that apply to FRA funds. Therefore, the Recipient
agrees that:
(1) It must comply with FTA's statutory and regulatory Buy America provisions to the
extent that the purchases fall under the FTA -funded Project or is an FTA -funded Project
activity,
(2) It must also comply with the Buy American statutory provisions and regulatory that
apply to FRA funds, specifically section 301(a) of the Passenger Rail Investment and
Improvement Act of 2008 (PRIIA), Pub L. 110-432, October 16, 2008, 49 U.S.C.
§ 24405(a), to the extent that the purchases are required to comply with FRA Buy
American requirements, and
(3) If it uses both ETA and FRA funds to finance a purchase, except as ETA or the Federal
Government determines otherwise in writing, the Recipient agrees that it must comply
with both ETA and FRA's requirements,
d. Force Account — Procurement. The Recipient agrees that ETA deems section 170) of this
Master Agreement to be satisfied for work that is performed by the railroad's force account
employees if-.
(1) The project is being conducted on the property of a railroad, and
(2) Under the railroad's collective bargaining agreements with its employees, certain work
to be performed for the Recipient must be performed by force account employees,
e. Procurement of Rolling Stock. The Recipient agrees that if FRA requires the Recipient to
acquire any rolling stock for the Project from the Next Generation Corridor Equipment Pool
Committee that has been established under section 305 of PRIIA, ETA deems section 17.p(l)
of this Master Agreement to be satisfied,
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FTA Master Agreement MA(21),10-1-2014
f. Use of Real Provertv, Equipment, and Supplies. The Recipient agrees that application of
section 21 of this Master Agreement is reserved pending resolution by the U.S. Internal
Revenue Service of whether Recovery Act grant funds invested in railroad property
constitute non-taxable contributions to equity,
g. Davis -Bacon. The Recipient agrees that, as provided in 49 U.S.C. § 24312, wages paid to
railroad employees at rates provided in a collective bargaining agreement negotiated under
the Railway Labor Act, 45 U.S.C. § 151 et seq., are deemed to comply with the requirements
of the Davis -Bacon Act, 40 U.S.C. § 3141 et seq., and satisfy section 28.a(l)(b) of this
Master Agreement,
h. Emplovee Protective Arrangements. The Recipient agrees to:
(1) Pass down to a railroad employee subject to the Railway Labor Act, 45 U.S.C. § 151
et seq., protective arrangements as provided in a special Attachment to FTA's Grant
Agreement or Cooperative Agreement with the Recipient, and
(2) Not pass down employee protective arrangements as provided in section 28.d of this
Master Agreement,
Motor Carrier Safetv. The Recipient agrees that:
(1) Railroad signal employees and their employers must comply with the hours of service
requirements of:
(a) 49 U.S.C. § 21104, see 49 U.S.C. § 21104(e), and
(b) FRA's hours of service regulation, specifically 49 C.F.R. part 228,
(2) Section 3 8.b of this Master Agreement does not apply to railroad signal employees
concerning hours of service, and
j. RailroadSafetv. The Recipient agrees that a railroad subject to FRA's safety jurisdiction
must comply with the Federal railroad safety laws.
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FTA Master Agreement MA(21),10-1-2014
APPENDIX A
TRIBAL TRANSIT PROGRAM — APPLICABLE PROVISIONS
FTA recognizes that several provisions generally applicable to other programs do not apply
to the Tribal Transit Programs or the Indian Tribes that are the direct Recipients of
funding under those Programs. The following table provides a list of provisions in this
Master Agreement that generally apply to the Tribal Transit Programs. However, this list
is not intended to be comprehensive and FTA may determine that other provisions are
applicable depending upon the Tribal Transit Project.
Table of Generally Applicable Provisions for Tribal Transit Programs.
(The provisions of this Master Agreement listed below will indicate when a section has been
modified to accommodate the Tribal Transit Program.)
PREFACE
GENERAL PROVISIONS
Section 1. Dermitions.
Section 2. Project Implementation.
a.
Effective Date.
b.
Project Description.
C.
Prompt Implementation.
d.
Project Completion Dates.
e.
The Recipient's Capacity.
f.
U.S. DOT Administrative Requirements.
g.
Application of Federal, State, and Local Laws, Regulations, and Guidance.
h.
The Recipient's Responsibility to Comply with Federal Requirements.
i.
The Recipient's Responsibility to Extend Federal Requirements to Third Party
Participants.
j .
Situations Requiring Prior ETA or Federal Approval in Writing.
k.
Changes in Project Performance.
1.
Conflicts Between Federal Requirements and State, Territorial, Local, or Tribal
Requirements.
m.
No Federal Government Commitment or Liability to Third Parties.
Section 3. Ethics.
a.
Code or Standards of Conduct.
b.
Debarment and Suspension.
C.
Bonus or Commission.
d.
Lobbying Restrictions.
e.
Political Activity.
f.
False or Fraudulent Statements or Claims.
FTA Master Agreement MA(21),10-1-2014
1
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9
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13
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APPENDIX A
TRIBAL TRANSIT PROGRAM — APPLICABLE PROVISIONS
g.
Trafficking in Persons.
Section 4. Federal Funding.
a.
Maximum Federal Funding.
b.
Basis of ETA Funding.
Section 5. Local Share.
a.
Amount of the Local Share.
b.
Permissible Sources of Local Share.
C.
Restricted Sources of Local Share.
d.
Prohibited Sources of Local Share.
e.
Duty to Obtain the Local Share.
f.
Prompt Provision of the Local Share.
g.
Reductions or Refunds.
Section 6. Approved
Project Budget.
a.
Development and Approval.
b.
Restrictions.
C.
Amendments.
d.
Transfer of Funds.
e.
Budget Revisions.
f.
Additional Federal Funding.
g.
Unspent Federal Funds.
Section 7. Payments to the Recipient.
a.
Conditions for Accessing ETA Funds.
b.
Eligible Project Costs.
C.
Ineligible Costs.
d.
Bond Interest and Other Financing Costs — Limited Eligibility.
e.
Payment Procedures Based on the Type of Award Made to a Recipient.
f.
Payment Procedures Generally.
g.
Payment Procedures for a Recipient of a Cooperative Agreement.
h.
Payments to the Recipient.
i.
Safeguarding Project Funds.
j.
The Recipient's Duty to Pay Project Costs.
k.
Effect of Federal Payments.
1.
Revocation of Federal Funds.
in.
Final Cost Determination.
n.
Closeout.
0.
Notification.
p.
Recovery of Improper Payments.
2
FTA Master Agreement MA(21),10-1-2014
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19
19
19
19
19
20
20
20
20
20
20
20
21
21
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21
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22
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23
24
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26
26
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APPENDIX A
TRIBAL TRANSIT PROGRAM — APPLICABLE PROVISIONS
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FTA Master Agreement MA(21),10-1-2014
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28
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30
30
34
35
35
35
35
35
35
36
36
36
36
36
37
37
37
37
37
38
38
38
38
39
40
41
41
41
q.
Program Income.
r.
Profits.
S.
Excess Payments, Disallowed Costs, Refunds, Claims, Debts, Interest,
Penalties, Administrative Charges, and Other Amounts Owed to the
Federal Government.
t.
De -obligation of Federal Funds.
Section 8.
Project Records and Reports.
a.
Project Records.
b.
Project Reports.
C.
National Transit Database (NTD).
d.
U.S. OMB Special Reporting Provisions.
e.
Project Closeout.
Section 9.
Record Retention.
a.
Types of Records.
b.
Retention Period.
C.
Project Closeout.
Section 10.
Access to Records and Sites of Project Performance.
a.
Access to Recipient and Third Party Contract Records.
b.
Access to Sites of Project Performance.
C.
Project Closeout.
Section 11.
Project Completion, Audit, Settlement, and Closeout.
a.
Project Completion.
b.
Audit of Recipients.
C.
Amounts Owed to the Federal Government.
d.
Project Closeout.
Section 12.
Right of the Federal Government to Terminate.
a.
Justification.
b.
Financial Implications.
C.
Expiration of Project Time Period.
Section 13.
Civil Rights.
a.
Nondiscrimination in Federal Public Transportation Programs.
b.
Nondiscrimination - Title VI of the Civil Rights Act.
C.
Equal Employment Opportunity.
d.
Disadvantaged Business Enterprise.
e.
Nondiscrimination on the Basis of Sex.
f.
Nondiscrimination on the Basis of Age.
g.
Nondiscrimination on the Basis of Disability.
3
FTA Master Agreement MA(21),10-1-2014
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28
28
29
29
29
29
30
30
34
35
35
35
35
35
35
36
36
36
36
36
37
37
37
37
37
38
38
38
38
39
40
41
41
41
APPENDIX A
TRIBAL TRANSIT PROGRAM — APPLICABLE PROVISIONS
h. Drug or Alcohol Abuse - Confidentiality and Other Civil Rights Protections. 42
i.
Access to Services for People with Limited English Proficiency.
43
j.
Other Nondiscrimination Laws and Regulations.
43
k.
Remedies.
43
Section 14. Planning.
43
a.
Standard Planning Provisions.
43
b.
Tribal Transit Program Planning Provisions.
44
Section 15. Private
Enterprise.
44
a.
Not Applicable.
b.
Just Compensation.
44
C.
Not Applicable.
Section 16. Preference for United States Products and Services.
45
a.
Buy America.
45
b.
Cargo Preference — Use of United States -Flag Vessels.
45
C.
Fly America.
45
Section 17. Procurement.
45
a.
Federal Laws, Regulations, and Guidance.
45
b.
Full and Open Competition.
46
C.
Exclusionary or Discriminatory Specifications.
46
d.
Geographic Restrictions.
46
e.
In -State Bus Dealer Restrictions.
46
f.
Organizational Conflicts of Interest.
46
g.
Project Labor Agreements.
46
h.
U.S. GSA Federal Supply Schedules.
46
i.
State Supply Schedules.
47
j.
Force Account.
47
k.
ETA Technical Review.
47
1.
Relationship of Project Approval to Third Party Contract Approval.
47
m.
Preference for Recycled Products.
47
n.
Clean Air and Clean Water.
48
0.
National Intelligent Transportation Systems Architecture and Standards.
48
p.
Rolling Stock.
48
q.
Bonding.
49
r.
Architectural Engineering or Related Services.
49
S.
Design -Build Projects.
50
t.
Award to Other than the Lowest Bidder.
50
U.
Award to Responsible Contractors.
50
4
FTA Master Agreement MA(21),10-1-2014
APPENDIX A
TRIBAL TRANSIT PROGRAM — APPLICABLE PROVISIONS
V. Access to Third Party Contract Records. 50
w. Electronic and hiformation Technology. 50
X. Veterans Employment. 50
Section 18. Leases. 51
a. Capital Leases. 51
b. Leases hivolving Certificates of Participation. 51
Section 19. Patent Rights.
51
a.
General.
51
b.
Federal Rights.
51
C.
License Fees and Royalties.
51
Section 20. Rights in Data and Copyrights.
52
a.
Definition of "Subject Data."
52
b.
Examples of "Subject Data."
52
C.
General Federal Restrictions.
52
d.
Federal Rights in Data and Copyrights.
53
e.
Special Federal Rights in Data for Research, Development, Demonstration,
53
Deployment, and Special Studies Projects.
f.
License Fees and Royalties.
53
g.
Hold Harmless.
54
h.
Restrictions on Access to Patent Rights.
54
i.
Data Developed Without Federal Funding or Support.
54
j.
Not Applicable.
Section 21. Use of Real Property, Equipment, and Supplies.
55
a.
Use of Project Property.
55
b.
General Federal Requirements.
55
C.
Maintenance.
56
d.
Records.
56
e.
hicidental Use.
56
f.
Reasonable Access to Private Intercity Transportation Operators or Charter
57
Transportation Operators.
g.
Encumbrance of Project Property.
57
h.
Useful Life of Project Property.
58
i.
Calculating the Value of Prematurely Withdrawn Project Property.
58
j.
hisurance Proceeds.
59
k.
Misused or Damaged Project Property.
59
1.
Disposition of Project Property.
59
m.
Responsibilities After Project Closeout.
60
Section 22. Transit Asset Management.
61
5
FTA Master Agreement MA(21),10-1-2014
APPENDIX A
TRIBAL TRANSIT PROGRAM — APPLICABLE PROVISIONS
6
FTA Master Agreement MA(21),10-1-2014
61
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61
61
61
61
61
62
62
62
62
62
63
63
63
63
63
63
65
65
65
66
66
67
67
68
68
69
69
70
70
70
70
70
a.
Transit Asset Management Plan.
b.
When Compliance is Required.
Section 23.
Insurance.
a.
Flood Hazards.
b.
Other Insurance Requirements.
Section 24.
Relocation.
a.
Relocation Protections.
b.
Nondiscrimination in Housing.
C.
Prohibition Against the Use of Lead -Based Paint.
Section 25.
Real Property.
a.
Real Property Acquisition Protections.
b.
Covenant Assuring Nondiscrimination.
C.
Not Applicable.
d.
ETA Approval of Changes in Real Property Ownership.
Section 26.
Construction.
a.
Construction Plans and Specifications.
b.
Seismic Safety.
C.
Supervision of Construction.
d.
Construction Reports.
e.
Not Applicable.
Section 27.
Not
Applicable.
Section 28.
Employee
Protections.
a.
Construction Activities.
b.
Activities Not Involving Construction.
C.
Activities Involving Commerce.
d.
Public Transportation Employee Protective Arrangements.
Section 29.
Environmental
Protections.
a.
General.
b.
National Environmental Policy.
C.
Environmental Justice.
d.
Air Quality.
e.
Clean Water.
f.
Not Applicable.
g.
Use of Certain Public Lands.
h.
Wild and Scenic Rivers.
i.
Not Applicable.
j.
Wetlands.
6
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62
62
62
62
63
63
63
63
63
63
65
65
65
66
66
67
67
68
68
69
69
70
70
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TRIBAL TRANSIT PROGRAM — APPLICABLE PROVISIONS
7
FTA Master Agreement MA(21),10-1-2014
k. Floodplains.
70
1. Endangered Species and Fishery Conservation.
71
m. Waste Management.
71
n. Hazardous Waste.
71
0. Historic Preservation.
71
p. hidian Sacred Sites.
71
q. Mitigation of Adverse Environmental Effects.
72
Section 30.
Not Applicable.
Section 31.
Not Applicable.
Section 32.
Charter Service.
73
a. Applicability.
73
b. Prohibitions.
73
C. Exceptions.
73
d. Charter Service Agreement.
73
e. Violations.
74
Section 33.
School Bus Operations.
74
a. Applicability.
74
b. Prohibitions.
74
C. School Bus Agreement.
74
d. Violations.
75
Section 34.
Metric System.
75
a. Use.
75
Section 35.
Not Applicable.
Section 36.
Federal $1 Coin Requirements.
76
a. Federal Law.
76
b. Capability.
76
C. Publicizing.
76
Section 37.
Public Transportation Safety Program.
76
a. Public Transportation Agency Safety Plan.
76
b. Not Applicable.
76
Section 38.
Motor Carrier Safety.
76
a. Financial Responsibility.
76
b. Safety Requirements.
77
C. Driver Qualifications.
77
d. Substance Abuse Rules for Motor Carriers.
77
Section 39.
Safe Operation of Motor Vehicles.
77
a. Transportation — Hazardous Materials.
77
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FTA Master Agreement MA(21),10-1-2014
APPENDIX A
TRIBAL TRANSIT PROGRAM — APPLICABLE PROVISIONS
b. Seat Belt Use.
C. Distracted Driving, Including Text Messaging While Driving.
Section 40. Substance Abuse.
a. Drug -Free Workplace.
b. Alcohol Misuse and Prohibited Drug Use.
Section 41. Protection of Sensitive Security Information.
Section 42. Special Notification Requirements for States.
a. Types of Information.
b. Documents.
Section 43. Freedom of Information Act.
a. Applicability.
b. Project Records.
C. Confidentiality.
Section 44. Disputes, Breaches, Defaults, or Other Litigation.
a. ETA Interest.
b. Notification to FTA.
C. Federal Interest in Recovery.
d. Enforcement.
e. ETA Concurrence.
f. Alternative Dispute Resolution.
Section 45. Amendments to the Project.
a. Changed Circumstances.
b. Changed Information.
Section 46. FTA's Electronic Award and Management System.
a. Recipient Use.
b. Terms in FTA's Electronic Award and Management System.
Section 47. Information Obtained through Internet Links.
a. Accuracy.
b. Relationship to the Master Agreement.
C. Official Sources.
Section 48. Severability.
SPECIAL PROVISIONS FOR SPECIFIC PROGRAMS.
Section 49. Applicability of MAP -21 and Previous Authorization Requirements.
a. Source of Project Funding.
b. ETA Determinations.
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78
79
79
79
80
80
80
80
80
80
80
81
81
81
81
82
82
82
82
82
82
82
82
82
83
83
83
83
83
83
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TRIBAL TRANSIT PROGRAM — APPLICABLE PROVISIONS
C. Federal Regulations and Guidance. 86
d. Future Federal Regulations and Guidance. 86
Sections 50 - 68. Not Applicable.
Section 69. Special Provisions for the Public Transportation on Indian Reservations
Programs (also known as the "Tribal Transit Formula Program" and the 112
"Tribal Transit Discretionary Program" and collectively known as the "Tribal
Transit Program").
a. Applicability of This Section 69. 112
b. Federal Laws, Regulations, and Guidance. 112
Section 70. Special Provisions for the Public Transportation on Indian Reservations
Program Formerly Authorized Before MAP -21 Became Effective (also known 112
as the Tribal Transit Program, Discretionary Only).
a. Applicability of This Section 70. 112
b. Federal Laws, Regulations, and Guidance. 113
Sections 71 - 86. Not Applicable.
Section 89. Special Provisions for Recovery Act Projects. 128
a. Recovery Act. 128
b.
Identification of Recovery Act Funding.
128
C.
Identification of Project(s).
129
d.
Prompt Implementation.
130
e.
Federal Requirements.
130
f.
U.S. OMB Provisions.
130
g.
One -Time Funding.
131
h.
Funding Limits.
131
i.
Integrity.
131
j.
Violations of Law.
132
k.
Maintenance of Effort.
132
1.
Emblems.
132
m.
Contracts Financed With Recovery Act Funds.
132
n.
Time Limit for Spending Recovery Act Funds.
132
Section 90. Not Applicable.
9
FTA Master Agreement MA(21),10-1-2014
APPENDIX B
PRIOR FTA OR FEDERAL APPROVALS
The following Federal regulations and guidance describe situations in which the Recipient or
Subrecipient must obtain prior approval in writing of the authorized FTA or Federal official
before taking specific action:
1 . Master Affeement. The Master Agreement specifies that Recipients seek prior FTA
approval before releasing rights in data as stated in the following sections:
a. Section 5.c, Restricted Sources of Local Share,
b. Section 6.c, Amendments to an Approved Project Budget,
c. Section 6.d, Transferring funds,
d. Section 6.e, Budget revisions,
e. Section 18.b, Leases involving certificates of participation or any type of innovative
financing,
f. Section 20.c(2)(d), A Recipient's use of rights in data,
g. Section 21.1(1)(a), Disposition under 49 U.S.C. § 5334(h), and
h. Section 44.c(2), Liquidated damages.
2. FTA Circulars. As explained previously, FTA circulars are guidance. The following
situations described in FTA Circulars identified below direct the Recipient and Subrecipient
to obtain prior approval in writing of an authorized FTA official before taking action:
a. Deviations from guidance recommended in Applicable Circulars. FTA cautions the
Recipient and its Subrecipients to obtain prior Federal approval in writing before taking
actions that deviate from FTA or other Federal guidance; failure to do so may result in
non-compliance with one or more Federal requirements and result in a disallowance of
costs associated with the Recipient's actions and other measures as FTA or the Federal
Government determine appropriate, and
b. Specific Circumstances Identifving Need for FTA or Federal Approval. Below are a list
of circulars and matters that require prior FTA or Federal approval in writing:
(1) FTA Circular 5010. ID, "Grant Management Requirements " November 1, 2008,
Rev], August 2 7, 2012:
(a) Budget Revisions as follows:
1 A change in which the Federal share of the Project exceeds $100,000 and
the change in the cumulative amount of funds allocated to each scope from
the originally approved scope exceeds 20 percent, Chapter III, Section
4. a (3) (a),
2 A change made through a transfer of Federal funds between ALls with
different Federal matching ratios, such as moving funds from a capital
activity with a match ratio of 80/20 to an operating activity with a match
ratio of 5 015 0, Chapter III, Section 4. a (3) (b), Chapter III, Secti on 4. a (3) (b),
FTA Master Agreement MA(21),10-1-2014
APPENDIX B
PRIOR FTA OR FEDERAL APPROVALS
3 A change of the Federal share of an existing ALI, such as changing an ALI
from 80/20 to 83/17 to account for compliance with ADA or CAA
requirements, Chapter III, Section 4. a(3) (c),
4 A budget revision that changes the number of revenue rolling stock, to be
purchased by more than two units (for a Project with fewer than 10 vehicles)
or more than 20 percent from the quantity identified in the original Project,
Chapter III, Section 4. a(3) (a),
5 A budget revision that changes the size or physical characteristics of the
items in the ALls without changing the project scope, Chapter III, Section
4. a (3)(e), and
6 The addition or deletion of an ALI to an existing scope included in the
Project, provided that the request does not change the amount of Federal
funds awarded in the original Project or change the scope of the project
contained in the Project, Chapter III, Section 4.a(3)0.
(b) Shared use of Project property, except when it involves coordinated public
transit human services transportation, Chapter IV, Section 3. e(2),
(c) Incidental use of Project property, except when it involves coordinated public
transit human services transportation, Chapter IV, Section 3. e(3),
(d) Disposing of Project Property before the end of its useful life, Chapter IV,
Section 3.1(2),
(e) Like -kind exchanges, Chapter IV, Section 3.1(6),
(f) Transferring rolling stock from one Recipient to another Recipient when the
useful life of that Property has been met, Chapter IV, Section 3.1(7),
(g) Transferring assets no longer needed if the property has met its useful life,
Chapter IV, Section 3.1(7),
(h) Transferring assets no longer needed if the property has not met its useful life,
Chapter IV, Section 3.1(8),
(i) Selling and using proceeds of the sale for other capital projects, Chapter IV,
Section 3.1(9), and
Investing an amount equal to the remaining Federal interest in Project Property
in like -kind property eligible for assistance, if the like -kind property is within
the scope of the project that provided Federal assistance for the property
prematurely withdrawn from use due to casualty, fire, natural disaster, or
misuse, Chapter IV, Section 3. ](1]),
(2) FTA Circular 9030. lE, "Urbanized AreaFormula Program: Program Guidance
andApplication Instructions, " January 16, 2014:
(a) Using the proceeds from the issuance of revenue bonds as part of the local
match for a capital project, with prior FTA approval, Chapter III,
subsection 8. a,
(b) Retaining the proceeds from the sale of federally funded assets that they no
longer need for public transportation purposes, and reduce the gross project cost
FTA Master Agreement MA(21),10-1-2014
APPENDIX B
PRIOR FTA OR FEDERAL APPROVALS
of subsequent federally funded public transportation capital projects, as
provided in 49 U.S.C. § 5334(h), Chapter III, subsection 8.d,
(c) Using deferred local share must receive FTA approval before the obligation of
Federal funding for the Project, Chapter III, section 9,
(d) Sharing the use of Project property requires except when it involves coordinated
public transit human services transportation, Chapter III, subsection 12. d, and
(e) Incurring costs for proposed budget revisions when:
1 The Federal share of the Project exceeds $100,000 and the change in the
cumulative amount of funds allocated to each scope from the originally
approved scope exceeds 20 percent of the net project cost, Appendix B,
subsection 3. a,
2 Federal funds are transferred between Activity Line Items (ALI) with
different Federal matching ratios, such as moving funds from a capital
activity with a match ratio of 80/20 to an operating activity with a match
ratio of 50150, Appendix B, subsection 3. b,
3 Changing the Federal share of an existing ALI, such as changing an ALI
from 80/20 to 85/15 to account for compliance with Americans with
Disabilities Act of 1990 (ADA) or Clean Air Act (CAA) requirements,
Appendix B, subsection 3. c,
4 A budget revision changes the number of rolling stock to be purchased by
more than two units, for Projects with less than ten vehicles, or more than 20
percent from the quantity identified in the original Project, Appendix B,
subsection 3. d,
5 A budget revision changes the size or physical characteristics of the ALls
and changes the project scope, Appendix B, subsection 3. e,
6 An addition of an ALI to an existing scope included in the Project and the
change would change the amount of Federal funds awarded in the original
FTA award or change the scope of the Project contained in the Federal
award, Appendix B, subsection 3.f and
7 An addition of an activity within an approved scope that is not consistent
with the approved STIP or, if applicable, has not satisfied NEPA
requirements, Appendix B, subsection 3.g,
(3) FTA Circular 9070.1G, "Enhanced Mobility of Seniors and Individuals with
Disabilities Program Guidance andApplication Instructions " June 6, 2014:
(a) Any change to a program of projects (POP) except advancing projects from
Category B to Category A, or to re -allocations of funds among projects included
in an approved POP, provided that any single change does not exceed
20 percent of the affected project and is consistent with the local coordinated
plan from which the projects were selected, Chapter IV, section 6,
FTA Master Agreement MA(21),10-1-2014
APPENDIX B
PRIOR FTA OR FEDERAL APPROVALS
(b) When a revision would transfer funds between operating and capital categories,
or between activity line items with different Federal matching ratios,
Chapter IV, paragraph 6(c) (2),
(c) When a budget revision would change the size or physical characteristics of the
activities specified in the grant, Chapter VI, paragraph 6(c) (3),
(d) When a budget revision would increase or decrease the number of revenue
rolling stock vehicles to be purchased by more than two units, Chapter IV,
paragraph 6(c)(3), and
(e) When the Federal share of the grant exceeds $100,000 and the cumulative
amount of project funds to be transferred between or among activities,
(including all budget revisions since the last one specifically approved by FTA)
exceeds 20 percent, Chapter IV, paragraph 6(c) (1),
(4) FTA Circular 6100. ID, "Research Technical Assistance, and Training Programs:
Application Instructions andProgram Management Guidelines " May 1, 2011:
(a) A change in key persons specified in the application or project agreement,
Chapter I, Section 5.x,
(b) If the Recipient seeks to submit one quarterly narrative milestone progress
report for the entire Project when that Project funded by multiple agreements,
Chapter IV, Section 4. d,
(c) If the Recipient seeks to submit one quarterly narrative final or other major
technical report for the entire Project when that Project funded by multiple
agreements, Chapter IV, Section 4. i,
(d) A prior approval requirement of the applicable Federal Cost Principles,
Chapter IV, Section 5, and
(e) Although the wording in 49 C.F.R. parts 18 and 19 is slightly different, the
following actions require prior approval for all entities unless noted, Chapter IV,
Section 5. b:
1 A change in the scope or the objective of the project or program (even if
there is no associated budget revision), Chapter IV, Section 5. b(l),
2 A change in a key person specified in the application or award document,
Chapter IV, Section 5. b (2),
3 The need for additional Federal assistance, Chapter IV, Section 5. b(3),
4 The transfer of training allowances (direct payment to trainees) to other
categories of expense, Chapter IV, Section 5. b(4),
5 Unless described in the application and specified in the Cooperative
Agreement, Grant Agreement, or Other Agreement, the sub -award, transfer,
or contracting out of any work under an award, except for the purchase of
supplies, material, equipment or general support services, Chapter IV,
Section 5. b (5),
6 If approved, all pre -award costs are incurred at the recipient's risks (e.g. the
Federal awarding agency is under no obligation to reimburse such costs if
FTA Master Agreement MA(21),10-1-2014
APPENDIX B
PRIOR FTA OR FEDERAL APPROVALS
for any reason the recipient does not receive an award or if the award is less
than anticipated and inadequate to cover such costs), Chapter IV,
Section 5. b (6),
7 To obtain an extension of the expiration date of the award, Chapter IV,
Section 5. b (7),
8 A transfer of financial assistance between direct cost categories Activity
Line Items (ALls). See "Project Budget," Chapter 111, paragraph 6.b(2) in
which the Federal share of the project exceeds $100,000 and the cumulative
amount of such transfers exceeds or is expected to exceed 20 percent of the
total budget as last approved, Chapter IV, Section 5. b(8),
9 An absence for more than three months, or a 25 percent reduction in time
devoted to the project, by the approved Project Manager or by the Principal
Investigator (institutes of higher education, hospitals, nonprofits and for -
profits), Chapter IV, Section 5. b (9),
10 A transfer of amounts budgeted for indirect costs to absorb increases in
direct costs, or vice versa (institutes of higher education, hospitals,
nonprofits and for -profits only), Chapter IV, Section 5. b(I 0), and
11 The inclusion of costs that require prior approval in accordance with
applicable Federal Cost Principles, Chapter IV, Section 5. b(I 1):
a Capital expenditures, Chapter IV, Section 5. b(I 1) (a),
b Costs of membership in civic, community and social organizations as a
direct cost, Chapter IV, Section 5. b(I 1) (b),
c Pre -award costs, Chapter IV, Section 5. b(I 1) (c),
d Proposal costs as a direct charge, Chapter IV, Section 5. b(I 1) (a),
e Travel costs of certain officials and foreign travel, Chapter IV,
Section 5. b (II) (e),
f Premiums for overtime, training, and education costs, Chapter IV,
Section 5.b(11)0, and
Travel costs higher than maximum per them rates, Chapter IV,
Section 5. b (II) (g), and
(f) Under certain other circumstances, the Recipient must obtain FTA approval
before incurring costs for its proposed budget revisions, Chapter IV,
Section 6a(3),
(5) FTA Circular 9300. 1B, "Capital Investment Program Guidance andApplication
Instructions" November 1, 2008:
(a) Use of bond proceeds from the issuance of revenue bonds as part of the local
share of a capital project, Chapter 11, Section 7c, and
(b) Trading in or selling a vehicle before the end of its minimum useful life,
Chapter III, Section 7. d(3),
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APPENDIX B
PRIOR FTA OR FEDERAL APPROVALS
(6) FTA Circular 9045. 1, "NewFreedom Program, " May 1, 200 7:
Any change to the program of projects, except advancing projects from Category B
to Category A, or re -allocating funds among projects included in the approved
Program of Projects, provided that any single change does not exceed 20 percent of
the affected project and is consistent with the competitive selection process and the
local coordinated plan from which the project was derived, Chapter IV, Section 9,
and
(7) FTA Circular 9050. 1, "The Job Access andReverse Commute (JARC) Program
Guidance andApplication Instructions, "May 1, 2007:
Any change to the program of projects, except advancing projects from Category B
to Category A, or re -allocating funds among projects included in the approved
Program of Projects, provided that any single change does not exceed 20 percent of
the affected project and is consistent with the competitive selection process and the
local coordinated plan from which the project was derived, Chapter IV, Section 9.
FTA Master Agreement MA(21),10-1-2014