R-09-07-23-10F2 - 7/23/2009RESOLUTION NO. R -09-07-23-10F2
WHEREAS, the Capital Area Metropolitan Planning Organization
(CAMPO) Transportation Policy Board has approved the City of Round
Rock's Peak Hour Express Bus Commuter and Reverse Commuter Service
Project Proposal, and
WHEREAS, the City Council wishes to enter into a project grant
agreement with Capital Metropolitan Transportation Authority to be
eligible to receive the funding for said Project, Now Therefore
BE IT RESOLVED BY THE COUNCIL OF THE CITY OF ROUND ROCK,
TEXAS,
That the Mayor is hereby authorized and directed to execute on
behalf of the City the Capital Metropolitan Transportation Authority
Job Access Reverse Commute Project Grant Agreement, a copy of same
being attached hereto as Exhibit "A" and incorporated herein.
The City Council hereby finds and declares that written notice
of the date, hour, place and subject of the meeting at which this
Resolution was adopted was posted and that such meeting was open to
the public as required by law at all times during which this
Resolution and the subject matter hereof were discussed, considered
and formally acted upon, all as required by the Open Meetings Act,
Chapter 551, Texas Government Code, as amended.
RESOLVED this 23rd day of July, 2009.
ALAN MCGRAW, Mayor
City of Round Rock, Texas
ATTEST:
SARA L. WHITE, City Secretary
0:\wdox\SCC1nts\0112\0905\MUNICIPAL\A90723F2.DOC/rmc
Project Grant Agreement # TX -37-x065
SUBRECIPIENT: City of Round Rock
JARC AGREEMENT
PROJECT/FTA GRANT AGREEMENT # TX -37-x065
SERVICE AREA: AUSTIN UZA
THE STATE OF TEXAS
THE COUNTY OF TRAVIS
CAPITAL METROPOLITAN TRANSPORATION AUTHORITY
JOB ACCESS REVERSE COMMUTE PROJECT GRANT AGREEMENT
THIS PROJECT GRANT AGREEMENT (PGA) is made by and between the Capital
Metropolitan Transportation Authority, hereinafter called "Capital Metro," and the City of
Round Rock, hereinafter called the "Subrecipient."
WITNESSETH
WHEREAS, Capital Metro is a political subdivision of the State of Texas created under
Chapter 451 of the Texas Transportation Code with the mission of providing public
transportation under the powers set forth in Chapter 451, and acts as designated recipient for
the Federal Transit Administration (FTA), 49 U.S.C. Section 5316, Job Access Reverse
Commute (JARC) funding for the Austin Urbanized Area (Austin UZA); and,
WHEREAS, the Subrecipient, as a local government public entity receiving Federal Transit
Administration Capital assistance and eligible to receive funding under the 49 U.S.C. Section
5316 JARC program, submitted a Project Proposal for financial assistance to be used to
provide transportation services; and,
WHEREAS, the Capital Area Metropolitan Planning Organization (CAMPO) Transportation
Policy Board has approved the Subrecipient's Project Proposal and,
WHEREAS, the Subrecipient has executed and adheres to the Federal Fiscal Year
Certifications and Assurances for Federal Transit Administration Assistance Programs as
required at the start of each fiscal year grant period for consideration for state and/or federal
grants; and,
NOW, THEREFORE, in consideration of the premises and of the mutual covenants hereinafter
set forth, Capital Metro and the Subrecipient hereto agree as follows:
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Fed 5316 JARC
EXHIBIT
$ "An
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AGREEMENT
ARTICLE 1. GRANT TIME PERIOD
Project Grant Agreement # TX -37-x065
This PGA shall remain in effect until September 30, 2011, unless terminated or otherwise
modified in an Amendment. Eligible project costs incurred after March 24, 2009 are eligible for
reimbursement once this PGA becomes effective, at the latest date when fully executed by
both parties. The time period of this PGA cannot be extended past the grant time period
without exception and any costs incurred after the contract period shall be ineligible for
reimbursement.
ARTICLE 2. PROJECT DESCRIPTION
The Subrecipient shall commence, carry out and complete the public transportation project
described in the Attachment A, Approved Project Description (Attachment A), Attachment B,
Approved Project Budget (Attachment B), Attachment C, Approved Project Proposal
(Application) (Attachment C), Attachment D, Federal Fiscal Year Certifications and Assurances
for Federal Transit Administration Assistance Programs (Attachment D), Attachment E,
Department of Labor Terms and Conditions (Attachment E), Attachment F, Capital Metro Code
of Conduct Policy (Attachment F), with all practicable dispatch, in a sound, economical and
efficient manner, 49 U.S.C. Section 5316 JARC requirements, and with all applicable federal
and state laws and/or regulations.
If applicable, the Subrecipient shall begin competitive procurement procedures by issuing an
invitation for bids or a request for proposals no later than sixty (60) days after the effective date
of this grant agreement for the purchase of the approved line item(s) referenced in Attachment
B, Approved Project Budget Page (Attachment B). No later than sixty (60) days after the
issuance of public notification, the Subrecipient shall publicly open all bids or privately review
proposals. The Subrecipient shall enter into a binding agreement with a supplier no later than
thirty (30) days after the opening of an acceptable bid or proposal. The Subrecipient shall
notify Capital Metro in writing when it is necessary to exceed these deadlines.
ARTICLE 3. COMPENSATION
The maximum amount payable under this PGA without modification is $541,784 provided that
expenditures are made in accordance with the amounts and for the purposes authorized in the
Attachment A, Attachment B, and the Attachment C.
A. To be eligible for reimbursement under the PGA, a cost must be incurred and
authorized within the PGA period specified in Article 1, Grant Time Period.
B. The Subrecipient may submit requests for reimbursement to Capital Metro no more
frequently than monthly, at least once a quarter, and no later than fifteen (15) calendar
days from the end of the fiscal quarter. The Subrecipient will use invoice statements
acceptable to Capital Metro. Additional documentation to support any cost incurred during
the billing period may be required at the discretion of Capital Metro. As a minimum, each
billing must be accompanied by a summary by budget line item which indicates the total
amount authorized for each line item, previous expenditures, current period expenditures
and the balance remaining in the line item.
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C. The original and one copy of the invoice, including any supporting documentation such as
check copies, bank statements, payroll records, copies of vendor invoices, etc., as
applicable, is to be submitted to the following address:
Capital Metropolitan Transportation Authority
Finance Department
P.O. Box 6308
Austin, Texas 78762-6308
D. Capital Metro will make payment within thirty (30) days of the receipt of properly prepared
and approved requests for reimbursement.
E. The Subrecipient will submit a final billing within forty-five (45) days of the completion or
termination of the PGA in accordance with Article 1, Grant Period.
F. Because this contract provides for reimbursement of costs that have already been incurred,
it is the expectation of Capital Metro that all subcontractors and vendors will have been
paid before a request for reimbursement is submitted. If for any reason a subcontractor or
vendor has not been paid the Subrecipient shall pay that subcontractor and/or vendor for
work performed within ten (10) days after the Subrecipient receives payment for the work
performed by the subcontractor. Also, any retained monies on a subcontractor's work shall
be paid to the subcontractor within ten (10) days after the Subrecipient receives any
retainage payment. Capital Metro shall not be responsible for the debts of the Subrecipient.
The requirement of paying contractors and vendors within ten (10) days is also applicable
to all sub -tier subcontractors and the above provisions shall be made a part of all
subcontracts. Failure to comply with any of the above requirements may cause withholding
of payments to the Subrecipient and will be grounds for termination of this grant agreement
by Capital Metro.
G. The above requirements are also applicable to all sub -tier subcontractors and the above
provisions shall be made a part of all subcontracts.
H. Failure to comply with any of the above requirements may cause withholding of payments
to the Subrecipient and will be grounds for termination of this PGA by Capital Metro.
ARTICLE 4. AMENDMENTS
All PGA amendments must be executed by both parties within the grant time period specified
in Article 1, PGA Grant Time Period. The Subrecipient must notify Capital Metro in writing
before any changes to the PGA are made by describing the revision and explaining the need.
ARTICLE 5. SUBCONTRACTS
The Subrecipient shall not enter into any subcontract with individuals or organizations for the
purchase of equipment and/or to provide professional services without prior authorization and
consent to the subcontract by Capital Metro.
ARTICLE 6. AUDIT REQUIREMENTS
Subrecipient audit procedures shall meet or exceed any audit requirements outlined in Title 48,
Code Federal Regulations (C.F.R.), Federal Acquisition Regulations (FAR). Unless permitted
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otherwise by Federal statute or regulation, Subrecipient shall comply with the U.S. Office of
Management and Budget (OMB) Circular A-133 "Audits of States, Local Governments, and
Non -Profit Organizations," for non -Federal entities that expend $500,000 or more of Federal
assistance in a fiscal year. Subrecipient shall perform, if applicable, any financial and
compliance audits as required by the Single Audit Act Amendments of 1996, 31 U.S.C. 7501 et
seq., OMB Circular A-133, "Audits of States, Local Governments, and Non -Profit
Organizations," Revised, and the most recent applicable OMB A-133 Compliance Supplement
provisions for the U.S. DOT. Subrecipient shall provide a copy of the audit reports to Capital
Metro and bring to their attention any audit findings relevant to their use of FTA funds.
ARTICLE 7. STANDARDS FOR FINANCIAL ADMINISTRATION
The Subrecipient's standards for financial administration must conform to the requirements
of 49, C.F.R. Part 18.20.
ARTICLE 8. PROCUREMENT STANDARDS
Subrecipient procurement standards shall meet or exceed the requirements of 48 C.F.R., FAR,
49 C.F.R. Part 18.36, and 49 C.F.R. Part 19 including standards for competitive procurements;
methods of procurement; contracting with small and minority firms, women's business
enterprise and labor surplus area firms; contract cost and price; awarding agency review;
insurance and bonding. The Subrecipient's procurement system must include but not be
limited to the following procurement standards.
A. Procurement procedures which reflect applicable state and local laws and regulations,
provided that the procurements conform to applicable federal law and the standards
identified in this section.
B. A contract administration system which ensures that contractors perform in accordance
with the terms, conditions, and specifications of their contracts or purchase orders.
C. A written code of standards of conduct governing the performance of employees engaged
in the award and administration of contracts.. No employee, officer, or agency of the
Subrecipient shall participate in selection or in the award or administration of a contract
supported by state or federal funds if a conflict of interest, real or apparent, would be
involved.
D. A process for review of proposed procurements to avoid purchase of unnecessary or
duplicative items.
E. Use of state and local intergovernmental agreements for procurement or use of common
goods and services to foster greater economy and efficiency.
F. Use of value engineering clauses in contracts for construction projects.
G. Awards made only to responsible contractors possessing the ability to perform successfully
under the terms and conditions of a proposed consideration to such matters as contractor
integrity, compliance with public policy, record of past performance, and financial and
technical resources.
H. Records sufficient to detail the significant history of procurement, including rationale for
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the method of procurement, selection of contract type, contractor selection or rejection,
and the basis for the contract price.
I. Limited use of time -and -materials contracts.
J. Use of good administrative practices and sound business judgment to settle
contractual and administrative issues arising out of procurements.
K. Protest procedures to handle and resolve disputes relating to procurements and prompt
disclosure to Capital Metro of information regarding the protest.
L. Procurement transactions conducted in a manner that provides full and open competition.
M. If equipment or real property is transferred to a Subrecipient, that equipment or real
property shall be owned and operated in accordance with the same rules and regulations
governing the ownership and operation of equipment or real property acquired with
financial assistance from Capital Metro.
N. The equipment and program provisions survive the contract duration.
ARTICLE 9. PROPERTY MANAGEMENT
Capital Metro must concur in the award of all purchase orders for non -expendable personal
property as defined in 49 C.F.R. §18.32 and §18.33. Acquisition of real property must comply
with 49 C.F.R. §18.31.
ARTICLE 10. EQUIPMENT MANAGEMENT
A. Management standards include, but are not limited to:
1. Maintaining equipment records that include a description of the equipment; a serial
number or other identification number; the source of equipment; who holds title; the
acquisition date and cost of the equipment; percentage of Federal participation in the
cost of the equipment; the location, use and condition of the equipment; maintenance
history for each vehicle; and ultimate disposition data including the date of disposal and
sale price.
2. Conducting a physical inventory of the equipment at least once every two (2) years and
reconciling the inventory with equipment records described in the preceding paragraph.
3. Developing a control system to ensure adequate safeguards to prevent loss, damage,
or theft of the equipment. Any loss, damage, or theft shall be investigated.
4. Developing and following procedures to keep the equipment maintained and in good
condition. At a minimum, the Subrecipient shall follow the vehicle maintenance schedule
recommended by the manufacturer, showing the date the maintenance was performed.
Maintenance records shall be provided to Capital Metro upon request.
5. Requesting disposition instructions from Capital Metro, and if authorized to sell the
equipment, using proper sales procedures to ensure the highest possible return.
B. The Subrecipient will comply with FTA Circular 5010.1D, Grant Management
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Requirements and Title 43, Texas Administrative Code §31.53 and §31.55, to protect
the public investment in real property and equipment purchased in whole or in part with
state or federal funds.
C. In the event that project equipment is not used in the proper manner or is withdrawn from
public transportation services, the Subrecipient shall immediately notify Capital Metro.
Capital Metro reserves the right to direct the sale or transfer of property acquired under this
PGA upon determination by Capital Metro that said property has not been fully or properly
used upon termination of this agreement, or as otherwise allowed by applicable rules and
regulations.
D. All vehicles purchased under this PGA shall comply with the Motor Vehicle Safety
Standards established by the US Department of Transportation and state law.
E. Irrespective of coverage by insurance, unless otherwise approved in writing by Capital
Metro, in the event of loss or damage to project property, whether by casualty or fire, the
fair market value will be the value of the property immediately before the casualty or fire.
F. The Subrecipient shall notify Capital Metro immediately of theft, wreck, vandalism or other
destruction of project -related facilities or equipment.
ARTICLE 11. COORDINATION
According to Title 43 of the Texas Administrative Code §31.49, the Subrecipient will at all times
coordinate the provision of public transportation services with other transportation operators,
both public and private, in the area. The Subrecipient will furnish Capital Metro copies of any
agreement resulting from such coordination. Agreements that authorize the payment of project
funds to another entity are subject to the approval requirements described in Article 5,
Subcontracts.
ARTICLE 12. LABOR PROTECTION PROVISIONS
The Subrecipient shall abide by the labor provisions outlined in Attachment E,
Department of Labor Terms and Conditions and any labor provisions referenced in
Attachment D, Federal Fiscal Year Certifications and Assurances for Federal Transit
Administration Assistance Programs. If applicable, the Subrecipient shall comply with
any of the labor protection provisions as listed below for the protection of employees in
the mass passenger transportation industry in the area of the project:
A. The project shall be carried out in such a manner and upon such terms and conditions as
will not adversely affect employees in the mass passenger transportation industry within the
service area of the project.
B. All rights, privileges, and benefits (including pension rights and benefits) of employees
(including employees already retired) shall be preserved and continued.
C. The Subrecipient shall be financially responsible for any deprivation of employment
or other worsening of employment position as a result of the project.
D. In the event an employee is terminated or laid off as a result of the project, he or she shall
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be granted priority of employment or reemployment to fill any vacant position for which he
or she is, or by training or retraining can become, qualified. In the event training is
required by such employment or reemployment, the Subrecipient shall provide or provide
for such training or retraining at no cost to the employee.
E. Any employee who is laid off or otherwise deprived of employment or placed in a worse
position with respect to compensation, hours, working conditions, fringe benefits, or rights
and privileges pertaining thereto at any time during his or her employment as a result of the
project, including any program of efficiencies or economies directly or indirectly related
thereto, shall be entitled to receive any applicable rights, privileges and benefits as
specified in the employee protective arrangement certified by the Secretary of Labor under
Section 405(b) of the Rail Passenger Service Act of 1970 on April 16, 1971. An employee
shall not be regarded as deprived of employment or placed in a worse position with respect
to compensation, etc., in case of his or her resignation, death, retirement, dismissal for
cause, or failure to work due to disability or discipline. The phrase "as a result of the
project" as used herein shall include events occurring in anticipation of, during, and
subsequent to the project.
F. In the event any provision of these conditions is held to the invalid or otherwise
unenforceable, the Subrecipient, the employees and/or their representatives may invoke
the jurisdiction of the Secretary of Labor to determine substitute fair and equitable
employee protective arrangements which shall be incorporated in these conditions.
G. The Subrecipient agrees that any controversy respecting the project's effects upon
employees, the interpretation or application of these conditions and the disposition of
any claim arising hereunder may be submitted by any party to the dispute including the
employees or their representative for determination by the Secretary of Labor, whose
decision shall be final.
H. The Subrecipient shall maintain and keep on file all relevant books and records in
sufficient detail as to provide the basic information necessary to the making of the
decisions called for in the preceding paragraph.
1. The Subrecipient will post, in a prominent and accessible place, a notice stating that the
Subrecipient is a recipient of federal assistance under the Federal Transit Act and has
agreed to comply with the provisions of 49 U.S.C., Section 5333(b). The notice shall also
specify the terms and conditions set forth herein for the protection of employees.
ARTICLE 13. MONITORING
A. Capital Metro will monitor the progress of the project authorized in this agreement using
appropriate and necessary inspections, including but not limited to periodic reports,
physical inspection of project facilities, telephone conversations, letters, and conferences.
B. Capital Metro shall monitor and conduct fiscal and/or program audits of the
Subrecipient and its contractors to verify the extent of services provided under the
terms of the PGA. Representatives of Capital Metro or Federal govemment shall have
access to project facilities and records at all reasonable times.
ARTICLE 14. REPORTS
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A. The Subrecipient shall submit written or electronic reports at intervals and in a format
prescribed by Capital Metro.
1. Quarterly Report -No later than twenty (20) calendar days after the end of the quarter,
for which the report is made, the Subrecipient shall submit an activity report to Capital
Metro. At a minimum, the quarterly report will include the number of vehicles in
operation; total unlinked passenger trips; total miles traveled; total expenses, including
administrative and operating expenses; revenue, including fares and donations,
operating expense per vehicle revenue mile; operating expense per unlinked passenger
trip; and number of unlinked passenger trips per revenue mile traveled. Capital Metro
may require more frequent operating reports for reasons of its own, or if the
Subrecipient does not provide the reports in a timely manner or if the reports indicate
unfavorable trends.
2. Status of Procurements -If the grant includes the purchase of vehicles or other capital
equipment, the Subrecipient shall submit a quarterly report consisting of a brief narrative
including but not limited to procurement milestones, including date of purchase order,
vendor name and location, and estimated delivery date.
3. Status of Construction -If the grant includes construction, the Subrecipient shall submit
quarterly narrative reports which include but are not limited to the progress of
construction.
B. Regardless of the type of assistance included in the grant, the Subrecipient shall promptly
advise Capital Metro in writing if at any time the progress of the project will be negatively
or positively impacted, including:
1. Problems, delays or adverse conditions that will materially affect the Subrecipient's
ability to attain program objectives, prevent the meeting of time schedules and goals, or
preclude the attainment of project work units by established time periods. This
disclosure shall be accompanied by a statement of the action taken, or contemplated,
by the Subrecipient and any Capital Metro assistance needed to resolve the situation.
2. Favorable developments or events that will enable the Subrecipient to meet time
schedules and goals sooner than anticipated or produce more work units than originally
projected.
C. Every two (2) years, or more frequently when instructed by Capital Metro, the
Subrecipient shall conduct a physical inventory of grant -supported property as set
forth in Article 9, Equipment Management, and furnish Capital Metro a copy of the
inventory.
D. The Subrecipient shall maintain written maintenance records for each grant -supported
vehicle, and shall make such records available to Capital Metro upon request.
ARTICLE 15. DISPUTES AND REMEDIES
A. The Subrecipient shall be responsible for the settlement of all contractual and
administrative issues arising out of procurements entered in support of the PGA.
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B. Any dispute concerning the work hereunder, additional costs, or any other non -
procurement issue shall be submitted for resolution by informal mediation, in accordance
with the requirements of the Governmental Dispute Resolution Act, Chapter 2009,
Government Code, unless the subject matter applies under Title 43, Texas Administrative
Code §9.2.
C. This agreement shall not be considered as specifying the exclusive remedy for any default,
but all remedies existing at law and in equity may be availed of by either party and shall be
cumulative.
ARTICLE 16. TERMINATION
A. Either Capital Metro or the Subrecipient may terminate the PGA by giving thirty (30) days
written notice for reasons of its own and not subject to the approval of the other party. In
the event of termination for convenience, neither Capital Metro nor the Subrecipient shall
be subject to additional liability except as otherwise provided in this agreement.
B. If both parties to this PGA agree that the continuation would not produce beneficial
results commensurate with the further expenditure of funds, the parties shall agree upon
the termination conditions, including the effective date. In the event that both parties
agree that resumption of the PGA is warranted, a new PGA must be developed and
executed by all parties.
C. Capital Metro may terminate this PGA at any time before the date of completion
whenever it is determined that the Subrecipient has failed to comply with the conditions
of the PGA. Additionally, if Capital Metro notifies the Subrecipient of a major deficiency
and the Subrecipient does not respond in the manner required by Capital Metro, Capital
Metro will immediately terminate the PGAs, and direct the disposition of equipment
purchased with grant funds, or both.
D. Upon termination of this PGA, whether for cause or at the convenience of the parties
hereto, title to all property and equipment remains with the Subrecipient subject to the
obligations and conditions set forth in this PGA and 49 C.F.R. §18.31 and §18.32, unless
the state or federal funding agency issue disposition instructions to the contrary.
E. In the event of termination, Capital Metro may compensate the Subrecipient for those
eligible expenses incurred during the grant periods that are directly attributable to the
completed portion of the grant covered by the PGA, provided that the grant has been
completed in accordance with the terms of the PGA. The Subrecipient shall not incur
new obligations for the terminated portion after the effective date of termination.
F. Except with respect to defaults of subcontractors, the Subrecipient shall not be in
default by reason of any failure in performance of this PGA in accordance with its terms
(including any failure by the Subrecipient to progress in the performance of the work) if
such failure arises out of causes beyond the control and without the default or
negligence of the Subrecipient. Such causes may include but are not limited to acts of
God or of the public enemy, acts of the Government in either its sovereign or
contractual capacity, fires, floods, epidemics, quarantine restrictions, strikes, freight
embargoes, and unusually severe weather. In every case, however, the failure to
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perform must be beyond the control and without the fault or negligence of the
Subrecipient.
ARTICLE 17. DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
REQUIREMENTS FOR PUBLIC TRANSPORTATION CONTRACTS
It is the policy of the United States Department of Transportation (USDOT) that
Disadvantaged Business Enterprises (DBE) as defined in 49 C.F.R. Part 26 shall have the
opportunity to participate in the performance of contracts financed in whole or in part with
federal funds. Consequently, the DBE and Capital Metro's DBE program requirements of 49
C.F.R. Part 26 apply to this contract as follows:
A. The Subrecipient and any subcontractor will strive to meet the annual DBE goal by
offering DBEs, as defined in 49 C.F.R. Part 26, Subpart A, the opportunity to compete
fairly for contracts and subcontracts. DBE participation shall be reported monthly.
B. The Subrecipient and any subcontractor shall not discriminate on the basis of race,
color, national origin or sex in the award and performance of contracts.
C. These requirements shall be physically included in any subcontract.
D. Failure to carry out the requirements set forth above shall constitute a material
breach of this contract and may, after the notification of Capital Metro, result in
termination of the contract by Capital Metro or other such remedy as Capital Metro
deems appropriate.
ARTICLE 18. PROHIBITED ACTIVITIES
In accordance with this PGA, the Subrecipient, including any member, employee, agent, or
contractor shall adhere to Capital Metro's Code of Conduct Policy identified in Attachment F,
and any prohibited activities identified in Attachment D, Federal Fiscal Year Certifications and
Assurances for Federal Transit Administration Assistance Programs. Failure on the part of the
Subrecipient to adhere to this policy and requirements may result in the termination of this
PGA.
ARTICLE 19. OPEN MEETINGS
If applicable, the Subrecipient will comply with Texas Government Code, Chapter 551, which
requires all regular, special or called meetings of governmental bodies to be open to the public,
except as otherwise provided by law or specifically permitted in the Texas Constitution.
ARTICLE 20. INDEMNIFICATION
A. To the extent permitted by law, the Subrecipient shall indemnify and save harmless Capital
Metro from all claims and liability due to activities of its agents, employees or volunteers
performed under this agreement and which result from an error, omission, intentional,
reckless, or negligent act of the Subrecipient or of any person employed by the
Subrecipient.
B. To the extent permitted by law, the Subrecipient shall also save harmless Capital Metro
from any and all expenses, including attorney fees, which might be incurred by Capital
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Metro in litigation or otherwise resisting said claim or liabilities which might be imposed
on Capital Metro as a result of activities by the Subrecipient, its agents, employees or
volunteers.
C. The Subrecipient acknowledges that it is not an agent, servant or employee of Capital
Metro and that it is responsible for its own acts and deeds and for those of its agents,
employees or volunteers during the performance of the PGA.
ARTICLE 21. COMPLIANCE WITH LAWS
The Subrecipient shall comply with all federal, state and local laws, statutes, ordinances, rules
and regulations, and the orders and decrees of any courts or administrative bodies or tribunals
in any matter affecting the performance of this grant, including without limitation workers'
compensation laws, minimum and maximum salary and wage statutes and regulations,
nondiscrimination laws and regulations, licensing laws, regulations, and the Texas Uniform
Grant Management Standards. When required, the Subrecipient shall furnish Capital Metro
with satisfactory proof of compliance therewith.
ARTICLE 22. NONCOLLUSION
The Subrecipient warrants that it has not employed or retained any company or person, other
than a bona fide employee working for the firm, to solicit or secure this grant, and that it has
not paid or agreed to pay any company or person, other than a bona fide employee, any fee,
commission, percentage, brokerage fee, gift or any other consideration contingent upon or
resulting from the award or making of this grant. If the Subrecipient breaches or violates this
warranty, Capital Metro shall have the right to annul this agreement without liability or, in its
discretion, to deduct from the grant price or consideration, or otherwise recover, the full
amount of such fee, commission, brokerage fee, gift, or contingent fee.
ARTICLE 23. CML RIGHTS
A. Nondiscrimination -In accordance with Title VI of the Civil Rights Act, as amended, 42
U.S.C. §2000d, section 303 of the Age Discrimination Act of 1975, as amended, 42 U.S.C.
§6102, section 202 of the Americans with Disabilities Act of 1990,42 U.S.C. §12132, and
federal transit law at 49 U.S.C. §5332, the Subrecipient agrees that it will not discriminate
against any employee or applicant for employment because of race, color, creed, national
origin, sex, age, or disability. In addition, the Subrecipient agrees to comply with applicable
federal implementing regulations and other implementing requirements FTA may issue.
B. Equal Employment Opportunity -The following equal employment opportunity
requirements apply to the underlying contract:
1. Race, Color. Creed, National Origin. Sex -In accordance with Title VII of the Civil Rights
Act, as amended, 42 U.S.C. §2000e, and federal transit laws at 49 U.S.C. §5332, the
Subrecipient agrees to comply with all applicable equal employment opportunity
requirements of U.S. Department of Labor (US. DOL) regulations, "Office of Federal
Contract Compliance Programs, Equal Employment Opportunity, Department of Labor,"
41 C.F.R. Parts 60 et seq ., (which implement Executive Order No. 11246, "Equal
Employment Opportunity," as amended by Executive Order No. 11375, "Amending
Executive Order 11246 Relating to Equal Employment Opportunity," 42 U.S.C. §2000e
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note), and with any applicable federal statutes, executive orders, regulations, and
federal policies that may in the future affect construction activities undertaken in the
course of the Project. The Subrecipient agrees to take affirmative action to ensure that
applicants are employed, and that employees are treated during employment, without
regard to their race, color, creed, national origin, sex, or age. Such action shall include,
but not be limited to, the following: employment, upgrading, demotion or transfer,
recruitment or recruitment advertising, layoff or termination; rates of pay or other forms
of compensation; and selection for training, including apprenticeship. In addition, the
Subrecipient agrees to comply with any implementing requirements FTA may issue.
2. In accordance with section 4 of the Age Discrimination in Employment Act of 1967, as
amended, 29 U.S.C. §623 and federal transit law at 49 U.S.C. §5332, the Subrecipient
agrees to refrain from discrimination against present and prospective employees for
reason of age. In addition, the Subrecipient agrees to comply with any implementing
requirements FTA may issue.
3. Disabilities -In accordance with section 102 of the Americans with Disabilities Act, as
amended, 42 U.S.C. §12112, the Subrecipient agrees that it will comply with the
requirements of U.S. Equal Employment Opportunity Commission, "Regulations to
Implement the Equal Employment Provisions of the Americans with Disabilities Act," 29
C.F.R. Part 1630, pertaining to employment of persons with disabilities. In addition, the
Subrecipient agrees to comply with any implementing requirements FTA may issue.
C. The Subrecipient also agrees to include these requirements in each subcontract financed in
whole or in part with federal assistance provided by FTA, modified only if necessary to
identify the affected parties.
ARTICLE 24. NONDISCRIMINATION ON THE BASIS OF DISABILITY
The Subrecipient agrees that no otherwise qualified person with disability(s) shall, solely by
reason of his/her disability, be excluded from participation in, be denied the benefits of, or
otherwise be subject to discrimination under the project. The Subrecipient shall ensure that all
fixed facility construction or alteration and all new equipment included in the project comply
with applicable regulations set forth at 49 C.F.R. Part 27, Nondiscrimination on the Basis of
Handicap in Programs and Activities Receiving or Benefiting from Federal Financial
Assistance, and the Americans with Disabilities Act.
ARTICLE 25. PROGRAM INCOME
A. Except for income from royalties and proceeds from the sale of real property or
equipment, the Subrecipient shall retain program income and apply such income to
allowable capital or operating expenses. If federally funded, Program Income from
royalties and proceeds from sale of real property or equipment shall be handled as
specified in Federal Provisions.
B. The Subrecipient shall comply with standards governing the receipt and application of
program income as set forth in 49 C.F.R. §18.25, Program Income. Program income
means gross income received by the Subrecipient directly generated by a grant supported
activity, or earned only as a result of this PGA during the time period specified in Article 1,
Grant Time Period.
City of Round Rock
Fed 5316 JARC Page 12 of 20
Project Grant Agreement # TX -37-x065
C. Program income includes income from fees for services performed, from the use or rental
of real or personal property acquired with grant funds, from the sale of commodities or
items fabricated under a PGA, and from payments of principal and interest on loans made
with grant funds. Except as othetwise provided in federal regulations, program income does
not include interest on grant funds, rebates, credits discounts, refunds, etc, and interest
earned on any of them..
ARTICLE 26. SUCCESSORS AND ASSIGNS
The Subrecipient binds themselves, their successors, assigns, executors and administrators in
respect to all covenants of this agreement. The Subrecipient shall not sign, sublet or transfer
their interest in this agreement without the written consent of Capital Metro.
ARTICLE 27. LEGAL CONSTRUCTION
In case any one or more of the provisions contained in this agreement shall for any reason be
held to be invalid, illegal or unenforceable in any respect, such invalidity, illegality or
unenforceability shall not affect any other provision thereof and this agreement shall be
construed as if such invalid, illegal or unenforceable provision had never been contained
herein.
ARTICLE 28. PRIOR AGREEMENTS
This agreement constitutes the sole and only agreement of the parties hereto and supersedes
any prior understandings or written or oral agreements between the parties respecting the
public transportation grant specifically authorized and funded under this agreement.
ARTICLE 29. INCORPORATION OF PROVISIONS
Attachments are attached hereto and incorporated into this contract as if fully set forth herein.
The Subrecipient agrees to abide by all the general terms and conditions identified in the PGA,
Federal Fiscal Year Certifications and Assurances identified in Attachment D, Department of
Labor Terms and Conditions in Attachment E, and Capital Metro Code of Conduct Policy
in Attachment F.
ARTICLE 30. SIGNATORY WARRANTY
The undersigned signatory for the Subrecipient hereby represents and warrants that he or she
is an officer of the organization for which he or she has executed this agreement and that he or
she has full and complete authority to enter into this agreement on behalf of the organization.
IN TESTIMONY WHEREOF, the parties hereto have caused these presents to be executed in
duplicate counterparts.
City of Round Rock
Fed 5316 JARC Page 13 of 20
Project Grant Agreement # TX -37-x065
Capital Metropolitan Transportation Authority
By:
Signature of Authorized Officer
Title:
Date:
Typed, Printed or Stamped Name
City of Round Rock
By:
Signature of Authorized Officer
Title:
Date:
Typed, Printed or Stamped Name
List of Attachments
A - Approved Project Description
B - Approved Project Budget
C - Approved Project Proposal (Application)
D - Federal Fiscal Year Certifications and Assurances for Federal Transit Administration
Assistance Programs
E - Department of Labor Terms and Conditions
F - Capital Metro Code of Conduct Policy
City of Round Rock
Fed 5316 JARC Page 14 of 20
Project Grant Agreement # TX -37-x065
ATTACHMENT A
APPROVED PROJECT DESCRIPTION
The City of Round Rock, a public local government entity, to implement a peak -hour job
access and reverse commuter service providing access to employment for low-income and/or
disabled transit dependent individuals, and `choice riders' between Austin and Round Rock.
The service will expand opportunities for individuals seeking work at companies, large retailers,
municipalities, as well as other smaller business and commercial centers located along the
service corridor. The project will also provide enhanced passenger amenities for commuters by
constructing two bus shelters. The service will also close a non -existing service gap, allowing
transit users who live in Austin to access employment in Round Rock and Round Rock
residents to access Austin by transit.
City of Round Rock
Fed 5316 JARC Page 15 of 20
Project Grant Agreement # TX -37-x065
ATTACHMENT B
APPROVED PROJECT BUDGET
Total Project Cost: $1,006,780
Net Project Cost: $779,020
Total Capital: $507,580
Capital Assistance for Operating
ALI Code: 11.71.12 — Capital Cost of 3`d Party Contracting
80% = JARC Federal: $399,360
20% = local match: $99,840
Round Rock to contract service, by means of a turnkey contract (80% of 50%), to
provide a peak -hour job access commute and reverse commute bus service between
Austin and Round Rock, where no service exists, which will provide access to jobs for
low income and/or disabled transit dependent, and 'choice riders' per their attached
approved project proposal.
Capital Assistance
ALI Code: 11.93.02 — Bus Shelter Transit Enhancements
80% = JARC Federal: $6,704
20% = local match: $1,676
Round Rock to construct 2 -bus shelters to provide enhanced job access and reverse
commuter passenger amenities as referenced in their attached approved project
proposal.
Total Operating: $271,440
Operating Assistance
ALI Code: 30.09.01 — Operating Assistance
50% = JARC Federal: $135,720
50% = local match: $135,720
Round Rock's operating costs associated with providing job access commute and
reverse commute services between Austin and Round Rock amenities as referenced in
their attached approved project proposal.
Total JARC Federal Funds: $541,784
City of Round Rock
Fed 5316 JARC Page 16 of 20
Project Grant Agreement # TX -37-x065
ATTACHMENT C
APPROVED PROJECT PROPOSAL (APPLICATION)
City of Round Rock
Fed 5316 JARC Page 17 of 20
APPLICATION CHECK OFF SHEET
Application submittal should include the following.
[X] Body of Application (Required). Fill out Parts II, III and IV of the application following
the instructions for each section and question.
See Application for JARC Funds
[X] Letters of Support/Commitment (Required). Attach letters of support or commitment
from project sponsors and others. Letters from sponsors should indicate their level of
commitment, implementation role, and whether they have approved any funding resources or
staffing for the project.
See Attachment F: Letters of Support
See Attachment H: Letter of Commitment
[X] Map clearly indicating service area or route. (If applicable) Attach a map at the
appropriate scale which indicates the geographic area that would be served by the project, or
any routes described under your answer to III.F. Geographic Area.
See Attachment A: Proposed Route Map
[X] Additional Supporting Materials (If applicable). Include any supporting materials you
reference in the body of your application. In addition, you may also include supporting
materials that provide additional context for the project, such as annual reports for the
sponsoring organization, locally adopted ordinances supporting the project, strategic plans,
etc.
See Attachment B: Calculation of Round Rock JARC Capital Cost of Contracting
Operating Cost
See Attachment C: Round Rock Transit Survey
See Attachment D: Employment Concentration Along SH 45 Corridor
See Attachment E: Statutory Language
See Attachment G: Performance Calculations
See Attachment 1: Article
[X] Application packet should include:
[X] 5 hard copies of application and supporting materials.
[X] 1 electronic copy of application and all supporting materials. (Electronic copies can be
included on a CD, or may be e-mailed c/o stevie.greathouse(ccampotexas.org)
CITY OF ROUND ROCK
APPLICATION FOR JARC FUNDS
THROUGH THE
CAPITAL AREA METROPOLITAN PLANNING
ORGANIZATION
APPLICATION FOR JARC FUNDS
PART II. Applicant(s)
II.A. Project Sponsors
Please indicate in the spaces below the project sponsor(s). For each sponsor identified, please
include a letter of support or commitment from the agency documenting their interest in being a
project sponsor.
Sponsor/Address
Agency Type
Implementation Role (e.g.
operator, contract manager)
City of Round Rock
221 East Main Street
Round Rock, Texas 78664
[X]Public
❑Non -Profit
❑Private
Contract Manager
II.B. Primary Point of Contact
Include contact information for the staff member who will be the primary point of contact for
this application.
Name: David Bartels
Organization: City of Round Rock
Address: 2008 Enterprise Drive
Round Rock, TX 78664
Phone Number: (512) 671-2760
E -Mail Address: dbartels@round-rock.tx.us
round-rock.tx.us
PART III. Project Description
III.A Project Title
The City of Round Rock Peak Hour Express Bus Commuter and Reverse Commuter Service.
III.B Brief Project Description. (Please limit description to the space provided).
The City of Round Rock proposes to implement a peak -hour commute/reverse commute service
between the Capital Metropolitan Transportation Authority (Capital Metro) Park & Ride at Tech
Ridge, major Round Rock employment centers along the SH 45 corridor, and downtown Round
Rock. Currently, there is no transit link between the Capital Metro service area and Round Rock.
The proposed service will close this gap, allowing transit users who live in Austin to access
employment in Round Rock and Round Rock residents to access Austin by transit.
The service will operate from Monday through Friday from 5:15 am to 9:00 am and 3:30 pm to
8:30 pm. Reverse commute riders will access the service at the Tech Ridge Park & Ride lot. One
route will serve employment centers along corridor of SH 45 and another will serve downtown
Round Rock. Commuters from Round Rock to Austin will access the service at either the
Municipal Office Complex (MOC) Park & Ride in downtown Round Rock or the SH 45 Park &
Ride, located at the intersection of IH 35 and SH 45. The proposed plan will provide service to
both "choice riders" commuters, as well as lower income and transit dependent individuals.
III.0 Funding Program
Select the grant funds you are applying for (refer to Part I, Instructions and Guidance for a
description of each funding program and eligibility.)
[X]Job Access/Reverse Commute ['New Freedom ['Both Programs
Please describe how the project furthers the goals of the FTA Job Access/Reverse Commute
and/or FTA New Freedom Program in the space below: (please limit description to the space
provided)
The proposed reverse commute service will provide Austin residents who are "choice riders," low-
income, and/or disabled access to employment in Round Rock. The result will be expanded
opportunities for individuals seeking work at companies such as Dell (the largest employer in
Round Rock); Sears TeleServe (an employment center for people who are blind); Prologis
Business Park (including the following businesses: Celerity, Michaelangelos Food Processing,
Dresser Wayne, Accretech, Mag Rabbit, KoMiCo), large retailers such as Target, Wal-Mart, HEB,
Sam's Club Shopping Center, as well as other smaller business and commercial centers located
along the SH 45 corridor.
III.D Project Type
❑Capital Only ['Capital and Operating Expenses
[X] Operating Expenses Only ❑Other (describe)
III.E Who Would Primarily Be Served By The Project
Please describe in the space below which users would primarily benefit from the project (i.e.
individuals with disabilities, medical clients, elderly individuals, welfare recipients, etc.).
(Please limit description to the space provided).
Low Income Workers living both within Round Rock and reverse -commuting from Austin:
There are approx. 420 places of employment within the SH 45 corridor. Approximately 154 of
these are retail establishments where workers earn an average of $23,750 annually. This is slightly
above a living wage for single individual of $9.79 an hour.' Reverse Commuters from Austin to
Round Rock: The City conducted a survey of its major employers. Of the 412 respondents that
live in Austin and work in the Round Rock area, 198 indicated that they would take transit from
the Tech Ridge Park & Ride to their place of employment. "Choice riders" as well as many
transit dependent people with lower paying retail jobs along the corridor will use the service.
III.F Geographic Area Served
In the space below, generally describe the geographic area that would be served by the project.
Please describe the service area, and if applicable, any routes or particular origins or destinations
to be served. If specific routes, origins, or destinations have not yet been identified, please
describe the process that will be used to evaluate and select them based on need. (Include a map
in the supporting materials. Please limit description to the space provided). (See Attachment A:
Proposed Route Map).
I "420 Establishments" 2006 La Frontera 1,3, and 5 Mile Demographic Study." Approximately 154 of these are retail
establishments where workers earn an average of $23,750 annually. This is slightly above a living wage for single individual of
$9.79 an hour." 2005 Zip Code Business Patterns; and 2005 County Business Patterns
The service area is characterized as General Commercial. Uses include large and small retail,
small manufacturing, corporate headquarters, municipal services, and financial/insurance services.
The service is composed of a north/south route and an east/west route. The north/south route will
originate at the Round Rock Municipal Office Complex, proceed south along the IH 35 corridor,
and terminate at the Capital Metro Tech Ridge Park & Ride. At this time, no additional stops have
been identified but the route will interface with the east/west route at the SH 45 Park & Ride.
Employment centers served by this route include municipal office buildings in the downtown
area.
The East/West route will originate at the Tech Ridge Park & Ride, proceed north along IH 35 to
the SH 45 Park & Ride, where it begins a loop extending from Arterial "A" on the east to La
Frontera Drive on the west. Employment centers served by this route include Target Retail
Center; HEB Retail Center; Sear's TeleServe; Dell Campus; Wal-Mart Retail Center; Lowe's (La
Frontera), and Prologis Business Park.
III.G Project Cost And Funding Sources
Please describe below the total estimated cost of the project, the amount of Federal funding being
requested, the total non -Federal match funding, and the anticipated funding sources of the non -
Federal match. For Operations projects also describe the Net Operations Cost. (Non -Federal
cost participation is required for all projects using JARC/New Freedom funds. The minimum
commitment is 20% of the project cost for Capital projects, and 50% of the net cost of operations
for Operations projects. The match requirement may be met by other Federal funds if they come
from a source other than USDOT, such as HHS.)
1a Total Project Cost
1 b Net Cost of Operations2
2 Federal JARC/New Freedom funds requested
3 Total local match (must be a minimum of 20% total project cost for
capital projects/ 50% net cost of operations for operations). (See
Attachment B: Calculation of Round Rock JARC Capital Cost of
Contracting Operating Cost).
Funding Source of Local Match:
2 "Net cost of operations" should exclude operations costs anticipated to be recovered through fares.
$1,006,780
$770,640
$541,784
$237,236
Amount by
Source:
General Fund (Budget approved up to $250,000)
$228,856
General Fund (Shelters)
$8,380
III.H Project Budget
Please provide a detailed, itemized budget for the project by year using budget worksheet on the
next page. Attach additional supporting information as needed. Please note that Fiscal Year
2008 begins on October 1, 2007. Total cost on the budget worksheet should add up to the same
figure being shown for total project cost under III.G, above. If you compete successfully for the
funds, you may be asked to provide further breakdown of your project budget.
JARC/NF Budget Worksheet3
1. Capital Costs
Description
FY 2008
FY 2009
FY 2010
FY 2011
and beyond
Shelters (2)
$8,380
$
$
$
Other Direct Costs
$
$
$
$
Indirect Costs
$
$
$
$
Maintenance/repairs
$
$
$
$
$
$
$
$
2. Administrative Costs
Description
FY 2008
FY 2009
FY 2010
FY 2011
and beyond
Personnel
$
$
$
$
Other Direct Costs
$
$
$
$
Indirect Costs
$
$
$
$
3. Operating Costs
Description
FY 2008
FY 2009
FY 2010
FY 2011
and beyond
Personnel
$
$
$
$
Fringe Benefits
$
$
$
$
Fuel/Oil
$
$
$
$
Maintenance/repairs
$
$
$
$
3 Applicants are strongly encouraged to submit projects for consideration that would be completed prior to FY 2011.
Vehicle Insurance
$
$
$
$
Vehicle Storage
$
$
$
$
Space/Utilities
$
$
$
$
Licensing
$
$
$
$
Driver Training
$
$
$
$
Subcontracts: Private, full turnkey
$499,200
$499,200
$
$
Miscellaneous
$
$
$
$
4. Other Costs — N/A
Description
FY 2008
FY 2009
FY 2010
FY 2011
and beyond
$1,006,780
$
$
$
$
$
$
$
$
$
$
$
$
5. Total Costs All Years
Total (2008-2011)
FY 2008
FY 2009
FY 2010
FY 2011
and beyond
$1,006,780
$507,580
$499,200
$
$
Part IV. Project Evaluation Criteria (100 points total)
The proposed project will be evaluated based on its ability to address each of the following
criteria. Please briefly address each of the criteria in the space provided. Applicants are
encouraged to attach any available documentation supporting the answers provided.
IV.A Benefit (20 points)
In the space below describe how this project will establish, preserve and/or improve public
transportation mobility and access within the region. In particular, describe how the project will
benefit individuals with disabilities, low income individuals, or welfare recipients, or how the
project will connect residents of the urbanized area with suburban job sites. Please provide an
estimate of the total number of users who would benefit from the project. (Please limit
description to the space provided).
The proposed service will benefit Reverse Commuters from Austin to Round Rock. These
commuters will include low-income and disabled individuals. As mentioned previously, the
proposed service will close the gap between the Capital Metro system and Round Rock by
providing a link from the Tech Ridge Park & Ride to major employers located along the SH 45
corridor and downtown Round Rock.
It is estimated that 216 passengers will use the service daily (or 438 trips). This conservative
estimate is based on the following:
1) The Round Rock Chamber of Commerce conducted a survey in which 198 respondents who
live in Austin and work in Round Rock indicated that they would take transit to work if a service
was available. Similarly, 97 respondents who live in Round Rock said they would use the service
to access employment in Austin. (See Attachment C: Round Rock Transit Survey)
2) The employment concentration within the proposed service corridor is estimated to be 16,926.
Applying the 2.27 percent modal split for transit use within the Austin -Round Rock area, this
equates to a potential 384 transit users, or 768 daily trips. (See Attachment D: Employment
Concentration Along SH 45 Corridor).
3) Earlier Round Rock studies (Public Transportation Master Plan, City of Round Rock, June
2005 and Williamson County Public Transportation Planning Study, 2003) confirm a need for
transit. Although the current service plan does not mirror the service model presented within the
Public Transportation Master Plan, the potential transit trip estimates for origins and destinations
in the study area ranged from 459 to 643 daily.
IV.B. Sustainability (10 points)
In the space below describe how this project will be sustained after the grant funding is
expended. In particular, describe whether there is long term funding commitment from another
source/sources, or what proactive efforts will be undertaken to ensure continuation of the project
at the end of the grant period. (Please limit description to the space provided).
There are two strategies that will be pursued to identify funding sources to sustain the service.
First, Round Rock is included in the Austin Large Urban Metropolitan Area and collects a portion
of the 5307 funding for the area, but cannot use these funds to support operating costs based on
Urban 5307 rules. However, preliminary discussions have explored the potential of establishing
Round Rock as a small urban provider within the large urban designation to allow the use of these
funds for operating expenses to support this service. A similar designation has been received by
Harris County through the insertion of statutory language in the SAFETEA-LU and a similar
designation may be pursued by Round Rock using similar language. While this approach has not
formally vetted with key stakeholders, during informal discussions with Capital Metro, some staff
members have expressed an interest in comprehensively examining this approach and its potential
benefits/costs to the region. Second, the City will market the service to benefitting businesses and
ask them to contribute toward the operating cost. (See Attachment E: Statutory Language).
IV.0 Coordination and Partnerships (20 points)
In the space below describe how the project will be coordinated with other efforts and will
leverage partnerships. (Please limit description to the space provided).
Currently, CARTS is the transportation provider for demand response service to Round Rock. If
Round Rock is successful in this proposal, it will issue an RFP for the service. The City of Round
Rock will contract with the provider that can provide the highest value most cost effectively. The
proposed budget assumes that this will be a private provider and that the contract will be eligible
for Capital Cost of Contracting. However, if CARTS is more cost effective, the City will extend
its contract with that agency to provide this service. In this case, it may mean a more effective
utilization of CART vehicles and assets.
State agencies whose clients could potentially benefit from the service include the Department of
Aging and Rehabilitative Services (DARS), the Texas Commission for the Blind, and the
Texas Workforce Commission. The City has included letters of support from the Texas
Workforce Commission and among other entities that could benefit from the proposed service.
(See Attachment F: Letters of Support). Should the proposal earn funding, the City will include
these agencies as part of their marketing efforts, with the goal to secure some level of funding
from these agencies.
IV.D Interconnectivity (15 points)
In the space below describe how the project will build on or connect with the existing system of
fixed route public transportation, medical transportation services, and special transit services in
the Capital Area; or how the project will connect to existing large employers or service
providers. (Please limit description to the space provided)
The proposed project will interface with several Capital Metro fixed -routes during its AM and PM
stops at the Tech Ridge Park & Ride. Capital Metro, due to its commitment to transit
cooperation, has offered to make available a bus bay for Round Rock's commuter shuttles.
Passengers interested in travel to Downtown Austin will have the option of catching Capital
Metro Routes 1L, 1M, 392, 135, and 935, while passengers requiring access to Round Rock will
have two route options. One will provide non-stop service to the MOC. The second will provide
service to the SH 45 corridor. Connectivity to SH 45 is critical since this corridor supports many
of Round Rock's largest employers. While the proposed project will connect to Capital Metro, it
is important to note that passengers will be subject to fares incurred by riding both systems.
1V.E Implementation of Capital Area Regional Transit Coordination Plan (10 points)
In the space below describe how the project will support the goals of the Capital Area Regional
Transit Coordination Plan, further one of the action items, or overcome a gap/barrier that was
identified as part of the planning process. Describe which Plan Goals or Action Items will be
supported by the project. (Visit http://www.capitalareaRTCC.org to download a copy of the
plan.) (please limit description to the space provided)
The proposed service will support the following Action Item: Expand Network of Shared Stops,
Transfer Points and Park -and -Ride Opportunities (Priority 3 under Operating Practices, page 31).
Per the plan, it will addresses the following goals: Preserve and expand transportation services for
the public; Maintain and improve the quality of transportation services for the public; Reduce the
duplication of transportation services for the public; Increase public awareness of
mobility/improve access to transportation; Address funding, regulatory, programmatic and
geographic barriers; and Further the state's efforts to reduce air pollution.
IV.F Cost Effectiveness (15 points)
In the space below describe how the project will be cost effective by leveraging resources or
minimizing total project costs. (The project will be evaluated based on the answer provided as
well as an analysis of the relationship between project cost and anticipated benefit.)
The proposed service does not duplicate existing transit service and will be provided only during
peak periods, along a corridor with the highest employment concentration. The strategy is to
provide a higher bus level of service with greater frequency rather than provide expanded
coverage with a lower frequency of service.
The estimated cost per trip is $4.38. This is above the national average of $2.80, but this is a start-
up service and the estimate is based on a conservative estimate of trips. Applying the census -
based modal split of 2.27% to the corridor's employment base of 16,926, a more aggressive
estimate of 768 trips is derived. If the service grows so that it also reflects this regional trend, this
would result in a cost per trip of $2.50 - less than the national average. Operating expense per
revenue hour is $80, the assumed cost per hour of service for a private provider. This is below the
national average of $98.70 per revenue hour. Operating expense per estimated revenue mile is
$5.33. This is also below the national average of $7.80 per revenue mile. (See Attachment G:
Performance Calculations).
IV.G Budget and Project Implementation (10 points)
In the space below describe how the project will be developed based on a reasonable and realistic
budget and work tasks. (The project will be evaluated based on the answer provided as well as
an analysis of the budget submitted.)
The City of Round Rock will finalize the route and service plan using its share of Section 5307
funding and local support; the City is not requesting JARC funding for this effort. At this time, the
following tasks are needed to complete the proposed service plan:
Task 1: Finalize Park & Ride and route plan for circulator (Days 1-60)
Task 2: Develop RFP for service (Days 61-90)
Task 3: Advertise RFP; and collect response proposals (Days 91-150)
Task 4: Evaluate RFP and develop short list (Days 151-180)
Task 5: Schedule interviews and conduct contract negotiations (Days 181-241)
Task 6: Procure and install bus shelter at park-and-ride locations (Days 211-301)
This equates to an 11 month schedule. Assuming that funding is made available in January,
service should begin in December 2008.
ATTACHMENT A: PROPOSED ROUTE MAP
EXPRESS COMMUTER ROUTE #1
La Frontera
TX Guaranteed
Walmart
Dell
Student Loan H -E -B
Target
•
SH 45 P&R
Accretech
Celerity
Dresser Wayne
Harte-Hanks
Jewerly Channel
Komico
MagRabbit
Michael Angelo's Foods
Symmetricon
Sears
Teleserve q5
Legend
Austin Streets
Round Rock Streets
Round Rock Buildings
gimm. Express Commuter
Route #1
Tech Ridge P&R
0
0.5
1
2 Miles
A-1
ATTACHMENT A: PROPOSED ROUTE MAP
EXPRESS COMMUTER ROUTE #2
Municipal Office Complex •
'6,. ,
• SH 45 P&R
METRO
50 a5
A
Legend
Austin Streets
Round Rock Streets
Round Rock Buildings
Express Commuter
Route #2
Tech Ridge P&R
0 0.5
1
1 i ' 1
2 Miles
A-2
ATTACHMENT B: CALCULATION OF ROUND ROCK JARC CAPITAL COST OF CONTRACTING OPERATING
COST
Operating Cost
Less Fares
Net Operating Cost
CCC Part 1
CCC Part 2
Less Fares
$ 499,200 24 hours of service daily; 260 days annually at $80/hour
$ 113,880 438 trips daily; 260 days annually at $1.00/trip
$ 385,320
$ 249,600 50 percent of total operating cost (program supports operating costs)
$ 199,680 capital portion at 80% reimbursement
$ 249,600
$ 113,880
$ 135,720
$ 67,860
Federal Eligible CCC $ 267,540
Total Project Cost
Fares
Net Project Cost
Shelter Cost
JARC Funds
Requested
Local Share
1 year
$ 499,200
$ 113,880
$ 385,320
$ 8,380
$ 270,892
$ 118,618
50 percent of net operating cost
less fares
net operating portion
net operating portion at 50% reimbursement
2 year
$ 998,400
$ 227,760
$ 770,640
$ 0
3 year
$ 1,497,600
$ 341,640
$ 1,155,960
$ 0
$ 541,784 $ 812,676
$ 237,236 $ 351,664
B-1
ATTACHMENT C: ROUND ROCK TRANSIT SURVEY
Chamber of Commerce Major Employer Public Transportation Survey
1.1f you live in the Capital Metro service area and work in Round Rock, would you use a City bus service from Tech Ridge to
employment centers in Round Rock?
_ .
Response Response
Percent Count
- -
Yes ' 48.1% 1 198 1
No J 51.9% ' 214
, 1
answered question ii 412 1
!
44 .
skipped question
2. If you live in the Capital Metro service area and work in Round Rock, would you use a City bus service from the Lakeline
area to employment centers in Round Rock?
Response Response
Percent Count
Yes 484% 191
53.6%
No 221
answered question 412
- -
44
skipped question
3. If you answered yes to Questions #1 or #2, how many days per week would you use public transportation?
1 2 3 4
Response
1 5
Count
4 1,
I Days Per 3 4% (9) 1 8 6% (23) 24 7% (66) 18A% (49) 44.9% (120) 267
[ Week
answered question 1 267
skipped question
189
4.1t yes, what time do you normally start work?
l; I
Response
7am : 7'30am Sam 8:30am , 9am 9:30am ' 10am
Count
1 1
Time 24 8% (69) I 20 5% (57)11 30.6% (85)
..! L12 2% (34) .: L 7.6% (21) 1A% (4) ; 2 9% (8) ! 278
,=
answered question l 278
1
skipped question : 176
I
C-1
ATTACHMENT C: ROUND ROCK TRANSIT SURVEY
1 5. Would you use a lunch time shuttle from your place of work to access eating and shopping opportunities?
1 Response Response
Percent I Count
49.1% 214
50.9%
answered question
skipped question
222
436
20
6. If you answered yes to Question 05, how many days per week would you use this service?
1 2 �. 3 4 5
Days Per 12.3% (26) 30.7% (65) 26 9% (57) 7.5% (16) 1 22.6% (48)
I Week
answered question
skipped question
Response
Count I
212 .1
212
244 ;{
1. In what United States Postal Zip Code area do you live?
Response
Count
456
answered question ( 456
skipped question 0 i
I` 8. Please provide any additional comments you might have about public transportation in the box below.
1 Response 1
Count (
188 1
answered question I: 188
skipped question I 268
9. Thank you for participating in our survey. If you are interested in receiving Information about public transportation, please
provide your name and email in the box below.
answered question
Response
Count i
skipped question
96
96
360
C-2
ATTACHMENT C: ROUND ROCK TRANSIT SURVEY
In what United States Postal Zip Code area do you live?
76539
1
76543
1
76571
1
76574
2
78602
1
78609
1
78610
1
78612
3
78613
38
78619
1
78620
1
78621
1
78626
2
78628
8
78633
2
78634
8
78641
17
78642
2
78645
10
78652
1
78654
1
78660
31
78664
59
78665
13
78669
2
78681
53
78682
2
78702
3
78703
3
78704
5
78705
1
78717
11
78722
2
C-3
78723
5
78726
5
78727
12
78728
18
78729
13
78731
3
78732
2
78734
1
78736
2
78737
1
78738
1
78739
2
78741
3
78744
1
78745
3
78746
5
78747
1
78748
5
78749
5
78750
13
78751
3
78752
2
78753
9
78754
7
78756
3
78757
4
78758
18
78759
17
78761
I
78766
I
78942
1
79753
1
ATTACHMENT D: EMPLOYMENT CONCENTRATION ALONG SH 45 CORRIDOR
sHen Medical Canter, Williamson
Scott R White University Medical Canter . r Texas State, Round Roca Campus
Large class A real estate
-- UP ed BNSF trackage
----- Geargelown Spur
teCem Cabling
Cintas
Stresmline,Technlol
Cypress Semiconductor
Cerilnant
Spechi Dynamics
Chasco Contracting
ysppnn Photomasks
Map Designed by the Austin Chamber of Commerce
Seen TeltServe
Ch-ditianson AC
"1� I PIt ibinp" ,
AWatoch
Celeriry\,r t^
Dresser Wayne
Marta•Manks
laundry Channel
MaMico
Mpgabbit
Michael Angelo's roods
Symmetrieom
D-1
ATTACHMENT E: STATUTORY LANGUAGE
The proposed language is contained in SAFETEA-LU on pages 425-426:
"(c) General Authority. — Section 5307 (b) is amended —
"(1) Grants. — The Secretary may make grants under this section for —
"(F) operating costs of equipment and facilities for use in public transportation for local
governmental authorities with adopted transit operating and financing plans, which are
within the Houston, Texas, urbanized area but lie outside the service area of the principal public
transportation agency that serves the Houston urbanized area."
The language change will facilitate the City accelerating the execution of the draft Public
Transportation Plan and better providing important public transportation services to the residents
of a fast-growing community. Expanded services will include extended operating hours for
demand/response services, a fixed route service within the City limits and/or an express route to
Austin.
E-1
ATTACHMENT F: LETTERS OF SUPPORT
RURAL CAN AL AREA
WORKFORCE DEVELOPMENT BOARD, INC.
P.O. Box 5279 • Round Rock, Texas 78683 • (512) 244-7966 • FAX (512) 244-9023
October 8, 2007
Mr. James Nuse
City Manager
City of Round Rock
221 E. Main Street
Round Rock, Texas 78664
Dear Mr. Nuse:
The Rural Capital Area Workforce Development Board, Inc (RCAWDB) is pleased to provide
this letter of support for the City of Round Rock's pursuit of Job Access Reverse Commute
(JARC) federal funding from the Capital Area Metropolitan Planning Organization (CAMPO).
The RCAWDB administers approximately $17 million of federal and state employment, training
and child care funds. Many of our customers meet low income guidelines to participate in
federal programs we operate out of our Texas Workforce Centers. We understand the
importance of reliable transportation in finding and retaining jobs. The proposed service to
provide a peak -hour commute/reverse commute service would be a great support for low income
workers.
The RCAWDB looks forward to collaborating with you concerning these efforts.
Sincerely,
James R. Satterwhite
Executive Director
F-1
ATTACHMENT F: LETTERS OF SUPPORT
F-2
ATTACHMENT F: LETTERS OF SUPPORT
DRESSER.
Wayne
October 4, 2007
Mr. James Nuse
City Manager
City of Round Rock
221 E. Main Street
Round Rock, Texas 78664
Dear Mr. Nuse:
Dresser Wayne is pleased to lend our support to the City of
ative concerning the JARC program.
If we can assist with this program, please call or email me
provided below.
Sincerely,
Kathryn Edwards
Manager, Human Resources
Dresser Wayne
Direct line: 512-388-8341
kathyn.edwardsAwayne.com
Round Rock's initi-
via the information
Dresser Wayne, Dresser Inc.
3814 Jarrett Way • Austin, TX 78728 • Phone: 512-388-8311 • Fax: 512-388-8429 • vivo,
F-3
ATTACHMENT F: LETTERS OF SUPPORT
Round Rock
Chamber of Commerce
17 Oct, 2007
Mr. James Nuse
City Manager
City of Round Rock
221 E. Main Street
Round Rock, Texas 78664
Dear Mr. Nuse:
Round Rock Chamber of Commerce is pleased to provide this letter of support for the City of
Round Rock's pursuit of Job Access Reverse Commute (JARC) federal funding from the Capital
Area Metropolitan Planning Organization (CAMPO).
The proposed transportation service will enable existing and potentia] employees that reside
outside of Round Rock to access employment opportunities in Round Rock. There is currently a
significant need for this type of public transportation service especially since Round Rock has
experienced considerable population and economic growth over the past years.
Round Rock Chamber of Commerce looks forward to collaborating with you concerning these
efforts.
Charlie Dromgoole
President
212 East Hain Stret.
Round Rock,TX 78664
800.717.3479
MI. 512.255.5805
Fax' 512 255.3345
www.roundiockt hm,0er org
F-4
ATTACHMENT F: LETTERS OF SUPPORT
SEARS HOLDINGS
Call Center
Itouna Rock, Texas
October 22, 2007
M.r. James Nuse
City Manager
City of Round Rock
221 E. Main Street
Round Rock, Texas 78664
Dear Mr. Nuse:
Sears Holdings Call Center is pleased to provide this letter ofsupport for the City of Round
Rock's pursuit of Job Access Reverse Commute (JARC) federal funding from the Capital Area
Metropolitan Planning Organization (CAMPO).
Currently, there is no transit service that connects Round Rock to Austin. The proposed transit
service will (ill that gap and enable existing and potential employees that reside outside in Austin
to access employment opportunities in Round Rock. There is currently a significant need for this
type of public transportation service especially since Round Rock has experienced considerable
population and economic growth over the past years.
Our organkmtion employs approximately 1,200 people. The proposes' transportation service
would be a benefit to all employees that commute to Round Rock, particularly to our employees
earning lower salaries. The high cost of commuting compared to average wages jeopardizes the
viability of the workforce as well as the employer.
Seats Holdings Call Center Looks forward to collaborating with you concerning these efforts.
Sincerely,
Pat Bell
Recruiting Manager
512 248-7829 office
512 248-7935
F-5
ATTACHMENT F: LETTERS OF SUPPORT
October'22, 2007
Mr. Janes Nuse
City Mzr.ager
City cf i2ound Rock
221 E. Main Street
Roun.i Rock, Texas 78664
Dear M' . Nuse:
P.09ex63100 Round rloO.Tned 70603-3100 I POW 2529)O I 612321800 ww.t}dcbp
Texas . uaranteed (TO) is pleased to provide this letter of support for the City of Round Rock's
pursuit of Job Access Reverse Commute (IARC) federal funding from the Capital Area Metropolitan
Planritm Organization (CAMPO).
The pr.J+osed transportation service will enable existing and potential employees that reside outside of
Rourd Rock to access employment opportunities in Round Rock. There is currently a significant need
for ta3il type of public transportation service especially since Round Rock has experienced
considerable population and economic growth over the past years.
TG loots ss forward to collaborating with you concerning these efforts.
Sincerely,
%.2
Me N
Assistz kt Vice -.ident
Hurr.a:. Resources
F-6
ATTACHMENT F: LETTERS OF SUPPORT
DOLL
October 18, 2007
Mr. James Muse
City Manager
City of Round Rock
221 E. Main Street
Round Rock. Texas 78664
Dear Mr. Nuse:
Dell is pleased to provide this letter of support for the City of Round Rock's pursuit ofJob Access
Reverse Commute (JARC) federal funding from the Capital Area Metropolitan Planning Organization
(C.AMPO). The proposed transportation service will make it possible for existing and potential
employees that reside outside of Round Rock to access employment opportunities in Round Rock.
'there is currently a significant need for a regional mass transit system in Central Texas. As is. Dell
employees living or working outside the Capital Metro service region have little or no alternative
commuting options. Certainly a federally -funded shuttle is a step in the right direction. however, we
hope to see more done to provide a regional system that will work for companies like ours that have
multiple campuses in multiple counties and with employees residing throughout the region.
This is even more critical to the long -teen sustainable efficiency of Dell's local operations. We recently
announced plans to take our company carbon neutral by improving the energy eRicieney of our
operations and our products. and reducing the amount of CO2 emissions. The plan includes expanding
our internal commune solutions program. called Destination Dell, which encourages employees to ride the
bus. carpool. walk or hike to and from work or to telecontmute. The coal is to reduce the emissions
impact of our team's business travel. which relies heavily on an efficient and effective regional mass
transit system — something we don't currently have in Central Texas. Even without this amenity, Dell
employees have successfully saved 380,000 miles and nearly I 1 tons ofhamtful emissions from local
roadways and airways in the last two years by alternatively communing. We have a captive audience. We
just need adequate infrastructure.
Please approve the city's request for funding for this purpose, and fast track plans to address the regional
transit needs of Central Texas. We look forward to collaborating with you concerning these efforts.
Sincerely,
David Frink
Sr. Manager
Dell Public Affairs and External Communications
0 BUY DELL
F-7
ATTACHMENT G: PERFORMANCE CALCULATIONS
Cost per Trip_Conservative Ridership Estimate
$ 499,200 Annual cost of service
438 trips daily; based on RR Transit Survey
260 days of service per year
$ 4.38 Cost per Trip
Cost per Trip_Aggressive Ridership Estimate
$ 499,200 Annual cost of service
768 estimated trips using 2.27 modal split; and employment base of 16,000
260 days of service per year
$ 2.50 Cost per Trip
Operating Expense per Revenue Mile
$ 499,200 Annual cost of service
15.92 miles; length of Tech Ridge/SH45 Loop
14.02 miles; length of Tech Ridge/Downtown Round Rock Loop
estimated operating
10.00 speed
202.76 SH45 revenue miles per vehicle per day
157.25 MOC revenue miles per vehicle per day
total annual revenue
93,601 miles
$ 5.33 operating expense per revenue mile
G-1
ATTACHMENT H: LETTER OF COMMITMENT
ROUND ROCK, TEXAS
-IS. W. Pe),i.„<v ri 1. ?R(Ar^ER-"Ff
OFFICE OF THE MAYOR
.V LE;1L-INIIELL
October 25, 2007
Michael Au.lick
Executive Director
Capital Area ;Metropolitan Planning Organization
P.0. Box 1088
Austin, TX 78767-1088
RE: Fiscal Year 2006 & Fiscal Year 2007 Job Access Reverse Commute Funding Request
[dear Mr. Au lick:
The City of Round Rock is one of the fastest growing cities in Texas with residential,
commercial, and retail development continuing to "explode" within our metropolitan
area. This increase in development and related population and employment has created
several nobility challenges for the City. One such challenge is the public transportation
gap that exists between the Cities of Round Rock and Austin. In response to this
challenge, the City has budgeted $250,000 in FY 2008 to establish express transit service
between Round Rock and Austin.
The City of Round Rock respectfully submits the enclosed request for JARC funding for a
Peak 1 lour Express Bus Commuter And Reverse Commuter Service that provides transit
services for low-income and disabled individuals, as well as "choice riders."
As l mentioned previously, the proposed service will close the gap between the Capital
Metropolitan Transit Agency system and Round Rock by providing a link from the Tech
Ridge Park -and -Ride to major employers located along the SH .45 corridor and
downtown Round Rock. The express service is an integral part of the City's transit
planning, which currently includes demand response service and a future fixed -route
service.
C n•..•i R
'an•ti .
i ti�n'k. 227 1 AI, ni S:r..f. ROInhI R((.1-TiyJS'vn64
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H-1
ATTACHMENT H: LETTER OF COMMITMENT
The City of Round Rock greatly appreciates the support it has received from
CAMPO in the past. The City also looks forward to working with CA?IPO on
addressing regional mobility challenges now and in the future.
Nyle Maxwell
Mayor
City, of Round Rock
Enclosure
cc: James R. Nuse, P.E•., City Manager
Thomas E. Word, Jr., P.E., Chief of Public Works Operations
H-2
ATTACHMENT I: ARTICLE
New bus system would link Round Rock to downtown Austin hnp;'istaiesman.prinnhis.elickability.eornpt'epi?anion=cpt&tiue-...
.\tslin :\numan-9l to iu1n
states man.com
Cry PRINTTHIS
Click to Print I S4VEri EMAIL Thi 1 0o
PU73LIC TRANSPORTATION
New bus system would link Round Rock to
downtown Austin
Round Rock residents who work downtown - and Austinites
who work in Round Rock - will be able to take public
transportation to link to Capital Metro buses.
13y ,\ieirea 1 7rrn.
AMERICAN -STATESMAN STAFF
Thursday, September 13. 2007
ROUND ROCK ---- When Milton Cooper heard about Round Rock's plans to start a bus service to
connect to Austin's Capital Metro lines, he wondered what had taken so long.
"Where were they a year ago?" asked Cooper, who is visually impaired and cant drive.
Last year, Cooper, 43, and some co-workers at the Sears call center in Round Rock began looking for
a way to get to work from their homes in Austin.
"At first, we were paying for a cab every day," said Angela Starks. 41.
The Texas Commission for the I3lind eventually arranged for a bus lo take Cooper, Starks and other
Sears workers who arc blind or visually impaired from a Capital Metro bus stop in North Austin to
Round Rock.
Next year, Cooper and Starks could be riding on a Round Rock city bus with employees of other
Round Rock businesses who live in Austin. Residents who commute to Austin for work could also
benefit from the service.
Money to start the service is in the city's proposed budget for 2008. On Sept. 27, City Council
members will vote on the budget — and on allocating $250,000 to get the program going by the end
of the 2008 fiscal year.
The program has been a long time in the making. City transportation planners have been studying bus
needs for several years.
1 of 3 101412007 12:08 PM
I-1
ATTACHMENT I: ARTICLE
New bus system would link Rand Rock to dowmown Austin roup.'statesman.prinnhis.cliekability.com'pticpt?xoom-cpt8 title=...
The current plan calls for Round Rock to contract with a private bus company using federal and city
money at a cost of just under SI million. Federal funds would make up about half of that.
Initial surveying of residents and area employers yielded a tentative service plan: Riders would be
taken to and from a depot in downtown Round Rock to the Capital Metro slop at Austin's Tech Ridge
park-and-ride lot, off Interstate 35 between Howard and Panner lanes, in the mornings and evenings.
'there would he a stop near the intersection of 1-35 and Texas 45 North.
Buses or shuttles could then circulate along Texas 45 to drop commuters off at businesses such as
Sears and Dell.
Round Rock's continued growth has been an impetus for the program.
"I think a number on the council now think it's probably an appropriate time to start getting into the
service." Tom Word, the city's director of public works.
But the fru that no one will ride the bus and that taxpayers will have to foot more of the bill (Iran
intended remains. Council members cited Capital Metro's decline in customers at their August retreat.
To try to prevent that from happening, city officials would set a time to re-evaluate the system —
probably three years. said David Bartels, a planner in the city's public works department — to
determine how many people are riding the buses and whether the city is getting its money's worth.
That might not become an issue. In the initial surveys, some major employers in the arca told the city
that their employees would use the buses.
Representatives from the three hospitals in Round Rock said a public transportation link to Austin
would help attract employees.
Seton Medical Center Williamson. which is scheduled to open in February. has had inquiries from
potential workers.
"'Do buses go by?"' is an occasional question, said Michelle Robertson. the hospital's vice president
and chief operating officer.
Students at the nearby Round Rock Higher Education Center sometimes ask about buses. too,
Associate Director Louise Phillips said.
The proposed service wouldn't take people to the northeast quadmnt of town, where two of the
hospitals and the campus are, but the city is looking to partner with employers to run shuttles, Barrels
said.
The buses wouldn't take people along fixed routes throughout Round Rock, as Capital Metro docs in
Austin. And it wouldn't affect a subsidized program, the Capital Area Rural Transportation System,
that transports area residents on request. That system is what Cooper and Starks rely on now.
As Round Rock grows. city officials said, it's just a matter of time before the city implements a
full-service bus line.
They are planning for an eventual population of more than 250,000 in about 25 years. Word said most
cities of that size have their own bus systems.
2 of 3 IDN'22007 12:08 PY
1-2
ATTACHMENT I: ARTICLE
New bus system would link Round Rock to downtown Austin http:r'statesman.printthis,clickability.comipticpt?action= cputtitle-...
"At 250.000, there's no question we'll need it," Bartels said.
alorervq,statesman.com; 246-0008
Find this article at:
httvNwww.statesmancorninews/contenUnewsistonesflocal/OW13/0913buses.html
b Click to Print )
Check the box to include the list of links referenced in the article.
SAVE THIS 1 EMAIL THIS 1 Glossa
3 of 3 10/4/2007 12:08 PM
1-3
Project Grant Agreement # TX -37-x065
ATTACHMENT D
FEDERAL FISCAL YEAR CERTIFICATIONS AND ASSURANCES FOR FEDERAL TRANSIT
ADMINISTRATION ASSISTANCE PROGRAMS
City of Round Rock
Fed 5316 JARC Page 18 of 20
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APPENDIX A
FEDERAL FISCAL YEAR 2009 CERTIFICATIONS AND ASSURANCES FOR
FEDERAL TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS
PREFACE
In accordance with 49 U.S.C. 5323(n), the following certifications and assurances have been
compiled for Federal Transit Administration (FTA) assistance programs. FTA requests each
Applicant to provide as many certifications and assurances as needed for all programs for which
the Applicant intends to seek FTA assistance during Federal Fiscal Year 2009. Category 01
applies to all Applicants. Category 02 applies to all applications for Federal assistance in excess
of $100,000. Categories 03 through 24 will apply to and be required for some, but not all,
Applicants and projects. An Applicant may select a single certification that will cover all the
programs for which it anticipates submitting an application. FTA requests the Applicant to read
each certification and assurance carefully and select all certifications and assurances that may
apply to the programs for which it expects to seek Federal assistance.
FTA and the Applicant understand and agree that not every provision of these certifications and
assurances will apply to every Applicant or every project for which FTA provides Federal
financial assistance through a Grant Agreement or Cooperative Agreement. The type ofproject
and the section of the statute authorizing Federal financial assistance for the project will
determine which provisions apply. The terms of these certifications and assurances reflect
applicable requirements of FTA 's enabling legislation currently in effect.
The Applicant also understands and agrees that these certifications and assurances are special
pre -award requirements specifically prescribed by Federal law or regulation and do not
encompass all Federal laws, regulations, and directives that may apply to the Applicant or its
project. A comprehensive list of those Federal laws, regulations, and directives is contained in
the current FTA Master Agreement MA(I5) for Federal Fiscal Year 2009 at the FTA Web site
http://www.fta dot.gov/documents/15-Master.pdf. The certifications and assurances in this
document have been streamlined to remove most provisions not covered by statutory or
regulatory certification or assurance requirements.
Because many requirements of these certifications and assurances will require the compliance of
the subrecipient of an Applicant, we strongly recommend that each Applicant, including a State,
that will be implementing projects through one or more subrecipients, secure sufficient
documentation from each subrecipient to assure compliance, not only with these certifications
and assurances, but also with the terms of the Grant Agreement or Cooperative Agreement for
the project, and the applicable Master Agreement for its project, if applicable, incorporated
therein by reference. Each Applicant is ultimately responsible for compliance with the provisions
of the certifications and assurances applicable to itself or its project irrespective ofparticipation
in the project by any subrecipient The Applicant understands and agrees that when it applies for
FTA assistance on behalf of a consortium, joint venture, partnership, or team, each member of
that consortium, joint venture, partnership, or team is responsible for compliance with the
certifications and assurances the Applicant selects.
APPENDIX A
FTA strongly encourages each Applicant to submit its certifications and assurances through
TEAM -Web, FTA 's electronic award and management system, at http://flateamweb.fta.dotgov.
Twenty-four (24) Categories of certifications and assurances are listed by numbers 01 through
24 in the TEAM -Web "Recipients" option at the "Cert's & Assurances" tab of "View/Modem
Recipients. "Should the Applicant choose not to submit its certifications and assurances through
TEAM -Web, the Applicant may submit its certifications and assurances on paper by submitting
the Signature Page(s) at the end of this document, indicating the certifications and assurances it
is making on one side of the document or on one page, and signing its affirmation and that of its
attorney on the other side or other page.
01. ASSURANCES REQUIRED FOR EACH APPLICANT
Each Applicant for FTA assistance must provide all assurances in this Category "01." Except to
the extent that FTA expressly determines otherwise in writing, FTA may not award any Federal
assistance until the Applicant provides the following assurances by selecting Category "01."
A. Assurance of Authority of the Applicant and Its Representative
The authorized representative of the Applicant and the attorney who sign these certifications,
assurances, and agreements affirm that both the Applicant and its authorized representative have
adequate authority under applicable State, local, or Indian tribal law and regulations, and the
Applicant's by-laws or internal rules to:
(1) Execute and file the application for Federal assistance on behalf of the Applicant;
(2) Execute and file the required certifications, assurances, and agreements on behalf of the
Applicant binding the Applicant; and
(3) Execute grant agreements and cooperative agreements with FTA on behalf of the Applicant.
B. Standard Assurances
The Applicant assures that it will comply with all applicable Federal statutes and regulations in
carrying out any project supported by an FTA grant or cooperative agreement. The Applicant
agrees that it is under a continuing obligation to comply with the terms and conditions of the
grant agreement or cooperative agreement with FTA issued for its project. The Applicant
recognizes that Federal laws and regulations may be modified from time to time and those
modifications may affect project implementation. The Applicant understands that Presidential
executive orders and Federal directives, including Federal policies and program guidance may be
issued concerning matters affecting the Applicant or its project. The Applicant agrees that the
most recent Federal laws, regulations, and directives will apply to the project, unless FTA issues
a written determination otherwise.
C. Intergovernmental Review Assurance
Except if the Applicant is an Indian tribal government seeking assistance authorized by
49 U.S.C. 5311(c)(1), the Applicant assures that each application for Federal assistance it
submits to FTA has been submitted or will be submitted for intergovernmental review to the
APPENDIX A
appropriate State and local agencies as determined by the State. Specifically, the Applicant
assures that it has fulfilled or will fulfill the obligations imposed on FTA by U.S. Department of
Transportation (U.S. DOT) regulations, "Intergovernmental Review of Department of
Transportation Programs and Activities," 49 CFR part 17. This assurance does not apply to
Applicants for Federal assistance under FTA's Tribal Transit Program, 49 U.S.C. 5311(c)(1).
D. Nondiscrimination Assurance
As required by 49 U.S.C. 5332 (which prohibits discrimination on the basis of race, color, creed,
national origin, sex, or age, and prohibits discrimination in employment or business opportunity),
by Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000d, and by U.S. DOT
regulations, "Nondiscrimination in Federally -Assisted Programs of the Department of
Transportation -Effectuation of Title VI of the Civil Rights Act," 49 CFR part 21 at 21.7, the
Applicant assures that it will comply with all requirements imposed by or issued pursuant to
49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR part 21, so that no person in the United States, on
the basis of race, color, national origin, creed, sex, or age will be excluded from participation in,
be denied the benefits of, or otherwise be subjected to discrimination in any program or activity
(particularly in the level and quality of transportation services and transportation -related
benefits) for which the Applicant receives Federal assistance awarded by the U.S. DOT or FTA.
Specifically, during the period in which Federal assistance is extended to the project, or project
property is used for a purpose for which the Federal assistance is extended or for another purpose
involving the provision of similar services or benefits, or as long as the Applicant retains
ownership or possession of the project property, whichever is longer, the Applicant assures that:
(1) Each project will be conducted, property acquisitions will be undertaken, and project
facilities will be operated in accordance with all applicable requirements of 49 U.S.C. 5332,
42 U.S.C. 2000d, and 49 CFR part 21, and understands that this assurance extends to its
entire facility and to facilities operated in connection with the project.
(2) It will promptly take the necessary actions to effectuate this assurance, including notifying
the public that complaints of discrimination in the provision of transportation -related
services or benefits may be filed with U.S. DOT or FTA. Upon request by U.S. DOT or
FTA, the Applicant assures that it will submit the required information pertaining to its
compliance with these provisions.
(3) It will include in each subagreement, property transfer agreement, third party contract, third
party subcontract, or participation agreement adequate provisions to extend the requirements
imposed by or issued pursuant to 49 U.S.C. 5332, 42 U.S.C. 2000d and 49 CFR part 21 to
other parties involved therein including any subrecipient, transferee, third party contractor,
third party subcontractor at any level, successor in interest, or any other participant in the
project.
(4) Should it transfer real property, structures, or improvements financed with Federal
assistance provided by FTA to another party, any deeds and instruments recording the
transfer of that property shall contain a covenant running with the land assuring
nondiscrimination for the period during which the property is used for a purpose for which
the Federal assistance is extended or for another purpose involving the provision of similar
services or benefits.
APPENDIX A
(5) The United States has a right to seek judicial enforcement with regard to any matter arising
under Title VI of the Civil Rights Act, U.S. DOT implementing regulations, and this
assurance.
(6) It will make any changes in its Title VI implementing procedures as U.S. DOT or FTA may
request to achieve compliance with the requirements imposed by or issued pursuant to
49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR part 21.
E. Assurance of Nondiscrimination on the Basis of Disability
As required by U.S. DOT regulations, "Nondiscrimination on the Basis of Handicap in Programs
and Activities Receiving or Benefiting from Federal Financial Assistance," at 49 CFR 27.9, the
Applicant assures that, as a condition to the approval or extension of any Federal assistance
awarded by FTA to construct any facility, obtain any rolling stock or other equipment, undertake
studies, conduct research, or to participate in or obtain any benefit from any program
administered by FTA, no otherwise qualified person with a disability shall be, solely by reason
of that disability, excluded from participation in, denied the benefits of, or otherwise subjected to
discrimination in any program or activity receiving or benefiting from Federal assistance
administered by the FTA or any entity within U.S. DOT. The Applicant assures that project
implementation and operations so assisted will comply with all applicable requirements of
U.S. DOT regulations implementing the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794,
et seq., and the Americans with Disabilities Act of 1990, as amended, 42 U.S.C. 12101 et seq.,
and implementing U.S. DOT regulations at 49 CFR parts 27, 37, and 38, and any other
applicable Federal laws that may be enacted or Federal regulations that may be promulgated.
F. U.S. Office of Management and Budget (OMB) Assurances
Consistent with OMB assurances set forth in SF -424B and SF -424D, the Applicant assures that,
with respect to itself or its project, the Applicant:
(1) Has the legal authority to apply for Federal assistance and the institutional, managerial, and
financial capability (including funds sufficient to pay the non -Federal share of project cost)
to assure proper planning, management, and completion of the project described in its
application;
(2) Will give FTA, the Comptroller General of the United States, and, if appropriate, the State,
through any authorized representative, access to and the right to examine all records, books,
papers, or documents related to the award; and will establish a proper accounting system in
accordance with generally accepted accounting standards or agency directives;
(3) Will establish safeguards to prohibit employees from using their positions for a purpose that
constitutes or presents the appearance of personal or organizational conflict of interest or
personal gain;
(4) Will initiate and complete the work within the applicable project time periods following
receipt of FTA approval;
(5) Will comply with all applicable Federal statutes relating to nondiscrimination including, but
not limited to:
(a) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, which prohibits discrimination on the
basis of race, color, or national origin;
APPENDIX A
(b) Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. 1681 through
1683, and 1685 through 1687, and U.S. DOT regulations, "Nondiscrimination on the
Basis of Sex in Education Programs or Activities Receiving Federal Financial
Assistance," 49 CFR part 25, which prohibit discrimination on the basis of sex;
(c) Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C, 794, which
prohibits discrimination on the basis of disability;
(d) The Age Discrimination Act of 1975, as amended, 42 U.S.C. 6101 through 6107, which
prohibits discrimination on the basis of age;
(e) The Drug Abuse Office and Treatment Act of 1972, as amended, 21 U.S.C. 1101 et seq.,
relating to nondiscrimination on the basis of drug abuse;
(f) The Comprehensive Alcohol Abuse and Alcoholism Prevention Act of 1970, as
amended, 42 U.S.C. 4541 et seq. relating to nondiscrimination on the basis of alcohol
abuse or alcoholism;
(g) The Public Health Service Act of 1912, as amended, 42 U.S.C. 201 et seq., relating to
confidentiality of alcohol and drug abuse patient records;
(h) Title VIII of the Civil Rights Act, 42 U.S.C. 3601 et seq., relating to nondiscrimination
in the sale, rental, or financing of housing; and
(i) Any other nondiscrimination statute(s) that may apply to the project;
(6) To the extent applicable, will comply with, or has complied with, the requirements of
Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition
Policies Act of 1970, as amended, (Uniform Relocation Act) 42 U.S.C. 4601 et seq., which,
among other things, provide for fair and equitable treatment of persons displaced or persons
whose property is acquired as a result of federally assisted programs. These requirements
apply to all interests in real property acquired for project purposes and displacement caused
by the project regardless of Federal participation in any purchase. As required by
sections 210 and 305 of the Uniform Relocation Act, 42 U.S.C. 4630 and 4655, and by
U.S. DOT regulations, "Uniform Relocation Assistance and Real Property Acquisition for
Federal and Federally Assisted Programs," 49 CFR 24.4, the Applicant assures that it has
the requisite authority under applicable State and Local law to comply with the requirements
of the Uniform Relocation Act, 42 U.S.C. 4601 et seq., and U.S. DOT regulations,
"Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally
Assisted Programs," 49 CFR part 24, and will comply with that Act or has complied with
that Act and those implementing regulations, including but not limited to the following:
(a) The Applicant will adequately inform each affected person of the benefits, policies, and
procedures provided for in 49 CFR part 24;
(b) The Applicant will provide fair and reasonable relocation payments and assistance as
required by 42 U.S.C. 4622, 4623, and 4624; 49 CFR part 24; and any applicable FTA
procedures, to or for families, individuals, partnerships, corporations, or associations
displaced as a result of any project financed with FTA assistance;
(c) The Applicant will provide relocation assistance programs offering the services
described in 42 U.S.C. 4625 to such displaced families, individuals, partnerships,
corporations, or associations in the manner provided in 49 CFR part 24;
(d) Within a reasonable time before displacement, the Applicant will make available
comparable replacement dwellings to displaced families and individuals as required by
42 U.S.C. 4625(c)(3);
APPENDIX A
(e) The Applicant will carry out the relocation process in such manner as to provide
displaced persons with uniform and consistent services, and will make available
replacement housing in the same range of choices with respect to such housing to all
displaced persons regardless of race, color, religion, or national origin;
(f) In acquiring real property, the Applicant will be guided to the greatest extent practicable
under State law, by the real property acquisition policies of 42 U.S.C. 4651 and 4652;
(g) The Applicant will pay or reimburse property owners for their necessary expenses as
specified in 42 U.S.C. 4653 and 4654, with the understanding that FTA will provide
Federal financial assistance for the Applicant's eligible costs of providing payments for
those expenses, as required by 42 U.S.C. 4631;
(h) The Applicant will execute such amendments to third party contracts and subagreements
financed with FTA assistance and execute, furnish, and be bound by such additional
documents as FTA may determine necessary to effectuate or implement the assurances
provided herein; and
(i) The Applicant agrees to make these assurances part of or incorporate them by reference
into any third party contract or subagreement, or any amendments thereto, relating to
any project financed by FTA involving relocation or land acquisition and provide in any
affected document that these relocation and land acquisition provisions shall supersede
any conflicting provisions;
(7) To the extent applicable, will comply with the Davis -Bacon Act, as amended, 40 U.S.C.
3141 et seq., the Copeland "Anti -Kickback" Act, as amended, 18 U.S.C. 874, and the
Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. 3701 et seq.,
regarding labor standards for federally assisted projects;
(8) To the extent applicable, will comply with the flood insurance purchase requirements of
section 102(a) of the Flood Disaster Protection Act of 1973, as amended, 42 U.S.C.
4012a(a), requiring the Applicant and its subrecipients in a special flood hazard area to
participate in the program and purchase flood insurance if the total cost of insurable
construction and acquisition is $10,000 or more;
(9) To the extent applicable, will comply with the Lead -Based Paint Poisoning Prevention Act,
42 U.S.C. 4831(6), which prohibits the use of lead-based paint in the construction or
rehabilitation of residence structures;
(10) To the extent applicable, will not dispose of, modify the use of, or change the terms of the
real property title or other interest in the site and facilities on which a construction project
supported with FTA assistance takes place without permission and instructions from FTA;
(11) To the extent required by FTA, will record the Federal interest in the title of real property,
and will include a covenant in the title of real property acquired in whole or in part with
Federal assistance funds to assure nondiscrimination during the useful life of the project;
(12) To the extent applicable, will comply with FTA provisions concerning the drafting, review,
and approval of construction plans and specifications of any construction project supported
with FTA assistance. As required by U.S. DOT regulations, "Seismic Safety," 49 CFR
41.117(d), before accepting delivery of any building financed with FTA assistance, it will
obtain a certificate of compliance with the seismic design and construction requirements of
49 CFR part 41;
(13) To the extent applicable, will provide and maintain competent and adequate engineering
supervision at the construction site of any project supported with FTA assistance to assure
APPENDIX A
that the complete work conforms with the approved plans and specifications, and will
furnish progress reports and such other information as may be required by FTA or the State;
(14) To the extent applicable, will comply with any applicable environmental standards that may
be prescribed to implement the following Federal laws and executive orders:
(a) Institution of environmental quality control measures under the National Environmental
Policy Act of 1969, as amended, 42 U.S.C. 4321 through 4335 and Executive Order
No. 11514, as amended, 42 U.S.C. 4321 note;
(b) Notification of violating facilities pursuant to Executive Order No. 11738, 42 U.S.C.
7606 note;
(c) Protection of wetlands pursuant to Executive Order No. 11990, 42 U.S.C. 4321 note;
(d) Evaluation of flood hazards in floodplains in accordance with Executive Order
No. 11988, 42 U.S.C. 4321 note;
(e) Assurance of project consistency with the approved State management program
developed pursuant to the requirements of the Coastal Zone Management Act of 1972,
as amended, 16 U.S.C. 1451 through 1465;
(f) Conformity of Federal actions to State (Clean Air) Implementation Plans under
section 176(c) of the Clean Air Act of 1955, as amended, 42 U.S.C. 7401 through
7671q;
(g) Protection of underground sources of drinking water under the Safe Drinking Water Act
of 1974, as amended, 42 U.S.C. 300f through 300j-6;
(h) Protection of endangered species under the Endangered Species Act of 1973, as
amended, 16 U.S.C. 1531 through 1544; and
(i) Environmental protections for Federal transportation programs, including, but not
limited to, protections for parks, recreation areas, or wildlife or waterfowl refuges of
national, State, or local significance or any land from a historic site of national, State, or
local significance to be used in a transportation project as required by 49 U.S.C. 303(b)
and 303(c);
(j) Protection of the components of the national wild and scenic rivers systems, as required
under the Wild and Scenic Rivers Act of 1968, as amended, 16 U.S.C. 1271 through
1287; and
(k) Provision of assistance to FTA in complying with section 106 of the National Historic
Preservation Act of 1966, as amended, 16 U.S.C. 470f; with the Archaeological and
Historic Preservation Act of 1974, as amended, 16 U.S.C. 469 through 469c ; and with
Executive Order No. 11593 (identification and protection of historic properties),
16 U.S.C. 470 note;
(15) To the extent applicable, will comply with the requirements of the Hatch Act, 5 U.S.C. 1501
through 1508 and 7324 through 7326, which limit the political activities of State and local
agencies and their officers and employees whose primary employment activities are
financed in whole or part with Federal funds including a Federal loan, grant agreement, or
cooperative agreement except, in accordance with 49 U.S.C. 5307(k)(2) and 23 U.S.C.
142(g); the Hatch Act does not apply to a nonsupervisory employee of a public
transportation system (or of any other agency or entity performing related functions)
receiving FTA assistance to whom that Act does not otherwise apply;
(16) To the extent applicable, will comply with the National Research Act, Pub. L. 93-348,
July 12, 1974, as amended, 42 U.S.C. 289 et seq., and U.S. DOT regulations, "Protection of
APPENDIX A
Human Subjects," 49 CFR part 11, regarding the protection of human subjects involved in
research, development, and related activities supported by Federal assistance;
(17) To the extent applicable, will comply with the Animal Welfare Act, as amended, 7 U.S.C.
2131 et seq., and U.S. Department of Agriculture regulations, "Animal Welfare," 9 CFR
subchapter A, parts 1, 2, 3, and 4, regarding the care, handling, and treatment of warm
blooded animals held or used for research, teaching, or other activities supported by Federal
assistance;
(18) Will have performed the financial and compliance audits as required by the Single Audit
Act Amendments of 1996, 31 U.S.C. 7501 et seq., OMB Circular A-133, "Audits of States,
Local Governments, and Non -Profit Organizations," Revised, and the most recent
applicable OMB A-133 Compliance Supplement provisions for the U.S. DOT; and
(19) To the extent applicable, will comply with all applicable provisions of all other Federal laws
or regulations, and follow Federal directives governing the project, except to the extent that
FTA has expressly approved otherwise in writing.
02. LOBBYING CERTIFICATION
An Applicant that submits or intends to submit an application to FTA for Federal assistance
exceeding $100,000 is required to provide the following certification. FTA may not award
Federal assistance exceeding $100, 000 until the Applicant provides this certification by selecting
Category "02."
A. As required by 31 U.S.C. 1352 and U.S. DOT regulations, "New Restrictions on Lobbying,"
at 49 CFR 20.110, the Applicant's authorized representative certifies to the best of his or her
knowledge and belief that for each application to FTA for Federal assistance exceeding
$100,000:
(1) No Federal appropriated funds have been or will be paid by or on behalf of the
Applicant to any person to influence or attempt to influence an officer or employee of
any Federal agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress regarding the award of Federal assistance, or the
extension, continuation, renewal, amendment, or modification of any Federal assistance
agreement; and
(2) If any funds other than Federal appropriated funds have been or will be paid to any
person to influence or attempt to influence an officer or employee of any Federal
agency, a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with any application for Federal assistance, the
Applicant assures that it will complete and submit Standard Form -LLL, "Disclosure
Form to Report Lobbying," including information required by the instructions
accompanying the form, which form may be amended to omit such information as
authorized by 31 U.S.C. 1352.
(3) The language of this certification shall be included in the award documents for all
subawards at all tiers (including subcontracts, subgrants, subagreements, and contracts
under grants, loans, and cooperative agreements).
B. The Applicant understands that this certification is a material representation of fact upon
which reliance is placed by the Federal government and that submission of this certification
APPENDIX A
is a prerequisite for providing Federal assistance for a transaction covered by 31 U.S.C.
1352. The Applicant also understands that any person who fails to file a 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.
03. PROCUREMENT COMPLIANCE
In accordance with 49 CFR 18.36(g)(3)(ii), each Applicant that is a State, local, or Indian tribal
government that is seeking Federal assistance to acquire property or services in support of its
project is requested to provide the following certification by selecting Category "03." FTA also
requests other Applicants to provide the following certification. An Applicant for FTA assistance
to acquire property or services in support of its project that fails to provide this certification may
be determined ineligible for award of Federal assistance for the project, f FTA determines that
its procurement practices and procurement system fail to comply with Federal laws or
regulations in accordance with applicable Federal directives.
The Applicant certifies that its procurements and procurement system will comply with all
applicable Federal laws and regulations in accordance with applicable Federal directives, except
to the extent FTA has expressly approved otherwise in writing.
04. PROTECTIONS FOR PRIVATE TRANSPORTATION PROVIDERS
Each Applicant that is a State, local, or Indian tribal government that is seeking Federal
assistance authorized under 49 U.S.C. chapter 53 to acquire any property or an interest in the
property of a private provider of public transportation or to operate public transportation
equipment or facilities in competition with, or in addition to, transportation service provided by
an existing private provider of public transportation is required to provide the following
certification. FTA may not award Federal assistance for such a project until the Applicant
provides this certification by selecting Category "04."
As required by 49 U.S.C. 5323(a)(1), the Applicant certifies that before it acquires the property
or an interest in the property of a private provider of public transportation or operates public
transportation equipment or facilities in competition with, or in addition to, transportation service
provided by an existing public transportation company, it has or will have:
A. Determined that the assistance is essential to carrying out a program of projects as required
by 49 U.S.C. 5303, 5304, and 5306;
B. Provided for the participation of private companies engaged in public transportation to the
maximum extent feasible; and
C. Paid just compensation under State or local law to the company for any franchise or
property acquired.
05. PUBLIC HEARING
An Applicant seeking Federal assistance authorized under 49 U.S.C. chapter 53 for a capital
project that will substantially affect a community or a community's public transportation service
APPENDIX A
is required to provide the following certification. FTA may not award Federal assistance for a
capital project of that type until the Applicant provides this certification by selecting
Category "05."
As required by 49 U.S.C. 5323(b), for a proposed capital project that will substantially affect a
community, or the public transportation service of a community, the Applicant certifies that it
has, or before submitting its application, it will have:
A. Provided an adequate opportunity for public review and comment on the proposed project;
B. After providing notice, including a concise description of the proposed project, published in a
newspaper of general circulation in the geographic area to be served, held a public hearing on
the project if the project affects significant economic, social, or environmental interests;
C. Considered the economic, social, and environmental effects of the proposed project; and
D. Determined that the proposed project is consistent with official plans for developing the
community.
06. ACQUISITION OF ROLLING STOCK FOR USE IN REVENUE SERVICE
An Applicant seeking Federal assistance authorized under 49 U.S.C. chapter 53 to acquire any
rolling stock for use in revenue service is required to provide the following certification. PTA
may not award any Federal assistance to acquire such rolling stock until the Applicant provides
this certification by selecting Category "06."
As required by 49 U.S.C. 5323(m) and implementing FTA regulations, "Pre -Award and Post -
Delivery Audits of Rolling Stock Purchases," 49 CFR part 663, at 49 CFR 663.7, the Applicant
certifies that it will comply with the requirements of 49 CFR part 663 as modified by
amendments authorized by section 3023(k) of SAFETEA-LU when procuring revenue service
rolling stock. Among other things, the Applicant agrees to conduct or cause to be conducted the
requisite pre -award and post delivery reviews, and maintain on file the certifications required by
49 CFR part 663, subparts B, C, and D.
07. ACQUISITION OF CAPITAL ASSETS BY LEASE
An Applicant that intends to request the use of Federal assistance authorized under 49 U.S.C.
chapter 53 to acquire capital assets by lease is required to provide the following certifications.
FTA may not provide Federal assistance to support those costs until the Applicant provides this
certification by selecting Category "07."
As required by FTA regulations, "Capital Leases," 49 CFR part 639, at 49 CFR 639.15(b)(1) and
49 CFR 639.21, if the Applicant acquires any capital asset by lease financed with Federal
assistance authorized under 49 U.S.C. chapter 53, the Applicant certifies as follows:
(1) It will not use Federal assistance authorized 49 U.S.C. chapter .53 to finance the cost of
leasing any capital asset until it performs calculations demonstrating that leasing the capital
asset would be more cost-effective than purchasing or constructing a similar asset; and it
wilt complete these calculations before entering into the lease or before receiving a capital
grant for the asset, whichever is later; and
APPENDIX A
(2) It will not enter into a capital lease for which FTA can provide only incremental Federal
assistance unless it has adequate financial resources to meet its future obligations under the
lease if Federal assistance is not available for capital projects in the subsequent years.
08. BUS TESTING
An Applicant for Federal assistance appropriated or made available for 49 USC. chapter 53 to
acquire any new bus model or any bus model with a new major change in configuration or
components is required to provide the following certification. FTA may not provide Federal
assistance for the acquisition of any new bus model or bus model with a major change until the
Applicant provides this certification by selecting Category "08."
As required by 49 U.S.C. 5318 and FTA regulations, "Bus Testing," at 49 CFR 665.7, the
Applicant certifies that, before expending any Federal assistance to acquire the first bus of any
new bus model or any bus model with a new major change in configuration or components, or
before authorizing final acceptance of that bus (as described in 49 CFR part 665):
A. The bus model will have been tested at FTA's bus testing facility; and
B. The Applicant will have received a copy of the test report prepared on the bus model.
09. CHARTER SERVICE AGREEMENT
An Applicant seeking Federal assistance authorized under 49 U.S.C. chapter 53 (except as
permitted by 49 CFR 604.2), or under 23 U.S.C. 133 or 142, to acquire or operate any public
transportation equipment or facilities is required to enter into the following Charter Service
Agreement. FTA may not provide Federal assistance authorized under 49 U.S.C. chapter 53
(except as permitted by 49 CFR 604.2), or under 23 U. S.C.133 or 142, for such projects until the
Applicant enters into this Charter Service Agreement by selecting Category "09."
A. As required by 49 U.S.C. 5323(d) and (g) and FTA regulations at 49 CFR 604.4, the
Applicant understands and agrees that it and each subrecipient, lessee, third party contractor,
or other participant in the project at any tier may provide charter service for transportation
projects that uses equipment or facilities acquired with Federal assistance authorized under
the Federal transit laws (except as permitted by 49 CFR 604.2), or under 23 U.S.C. 133
or 142, only in compliance with those laws and FTA regulations, "Charter Service," 49 CFR
part 604, the terms and conditions of which are incorporated herein by reference.
B. The Applicant understands and agrees that:
(1) The requirements of FTA regulations, "Charter Service," 49 CFR part 604, will apply to
any charter service it or its subrecipients, lessees, third party contractors, or other
participants in the project provide,
(2) The definitions of FTA regulations, "Charter Service," 49 CFR part 604, will apply to
this Charter Service Agreement, and
(3) A pattern of violations of this Charter Service Agreement may require corrective
measures and imposition of remedies, including barring the Applicant, subrecipient,
lessee, third party contractor, or other participant in the project that has engaged in that
pattern of violations from receiving FTA financial assistance, or withholding an amount
APPENDIX A
of Federal assistance as set forth in FTA regulations, "Charter Service," 49 CFR
part 604, Appendix D.
10. SCHOOL TRANSPORTATION AGREEMENT
An Applicant that is seeking Federal assistance authorized under 49 U.S.C. chapter 53 or under
23 U.S.C.133 or 142 to acquire or operate public transportation facilities and equipment is
required 10 enter into the following School Transportation Agreement. FTA may not provide
Federal assistance authorized under 49 U.S.C. chapter 53 or under 23 US.C.133 or 142 for
such projects until the Applicant enters into this School Transportation Agreement by selecting
Category "10."
A. As required by 49 U.S.C. 5323(f) and (g) and FTA regulations at 49 CFR 605.14, the
Applicant understands and agrees that it and each subrecipient, lessee, third party contractor,
or other participant in the project at any tier may engage in school transportation operations
in competition with private school transportation operators that uses equipment or facilities
acquired with Federal assistance authorized under the Federal transit laws or under
23 U.S.C. 133 or 142, only in compliance with those laws and FTA regulations, "School
Bus Operations," 49 CFR part 605, to the extent consistent with 49 U.S.C. 5323(f) or (g),
the terms and conditions of which are incorporated herein by reference.
B. The Applicant understands and agrees that:
(1) The requirements of FTA regulations, "School Bus Operations," 49 CFR part 605, to the
extent consistent with 49 U.S.C. 5323(f) or (g), will apply to any school transportation
service it or its subrecipients, lessees, third party contractors, or other participants in the
project provide,
(2) The definitions of FTA regulations, "School Bus Operations," 49 CFR part 605 will
apply to this School Transportation Agreement, and
(3) If there is a violation of this School Transportation Agreement, FTA will bar the
Applicant, subrecipient, lessee, third party contractor, or other participant in the project
that has violated this School Transportation Agreement from receiving Federal transit
assistance in an amount FTA considers appropriate.
11. DEMAND RESPONSIVE SERVICE
An Applicant that operates demand responsive service and applies for direct Federal assistance
authorized for 49 U.S.C. chapter 53 to acquire non -rail public transportation vehicles is
required to provide the following certification. FTA may not award direct Federal assistance
authorized for 49 U.S.C. chapter 53 to an Applicant that operates demand responsive service to
acquire non -rail public transportation vehicles until the Applicant provides this certification by
selecting Category "11."
As required by U.S. DOT regulations, "Transportation Services for Individuals with Disabilities
(ADA)," at 49 CFR 37.77(d), the Applicant certifies that its demand responsive service offered
to individuals with disabilities, including individuals who use wheelchairs, is equivalent to the
level and quality of service offered to individuals without disabilities. Viewed in its entirety, the
APPENDIX A
Applicant's service for individuals with disabilities is provided in the most integrated setting
feasible and is equivalent with respect to: (1) response time, (2) fares, (3) geographic service
area, (4) hours and days of service, (5) restrictions on trip purpose, (6) availability of information
and reservation capability, and (7) constraints on capacity or service availability.
12. ALCOHOL MISUSE AND PROHIBITED DRUG USE
If the Applicant is required by FTA regulations, "Prevention ofAlcohol Misuse and Prohibited
Drug Use in Transit Operations," at 49 CFR part 655, to provide the following certification
concerning its activities to prevent alcohol misuse and prohibited drug use in its public
transportation operations, FTA may not provide Federal assistance to that Applicant until it
provides this certification by selecting Category "12."
As required by FTA regulations, "Prevention of Alcohol Misuse and Prohibited Drug Use in
Transit Operations," at 49 CFR part 655, subpart I, the Applicant certifies that it has established
and implemented an alcohol misuse and anti-drug program, and has complied with or will
comply with all applicable requirements of FTA regulations, "Prevention of Alcohol Misuse and
Prohibited Drug Use in Transit Operations," 49 CFR part 655.
13. INTEREST AND OTHER FINANCING COSTS
An Applicant that intends to request the use of Federal assistance for reimbursement of interest
or other financing costs incurred for its capital projects financed with Federal assistance under
the Urbanized Area Formula Program, the Capital Investment Program, or the Paul S Sarbanes
Transit in Parks Program is required to provide the following certification. FTA may not provide
Federal assistance to support interest or other financing costs until the Applicant provides this
certification by selecting Category "13."
As required by 49 U.S.C. 5307(g)(3), 5309(g)(2)(B)(iii), 5309(g)(3)(B)(iii), 5309(i)(2)(C), and
5320(h)(2)(C), the Applicant certifies that it will not seek reimbursement for interest or other
financing costs unless it is eligible to receive Federal assistance for those costs and its records
demonstrate that it has used reasonable diligence in seeking the most favorable financing terms
underlying those costs, to the extent FTA may require.
14. INTELLIGENT TRANSPORTATION SYSTEMS
An Applicant for FTA assistance for an Intelligent Transportation Systems (ITS) project, defined
as any project that in whole or in part finances the acquisition of technologies or systems of
technologies that provide or significantly contribute to the provision of one or more ITS user
services as defined in the "National ITS Architecture," is requested to provide the following
assurance. FTA strongly encourages any Applicant for FTA financial assistance to support an
ITS project to provides this assurance by selecting Category "14." An Applicant for FTA
assistance for an ITS project that fails to provide this assurance, without providing other
documentation assuring the Applicant's commitment to comply with applicable Federal ITS
APPENDIX A
standards and protocols, may be determined ineligible for award ofFedera! assistance for the
ITS project.
As used in this assurance, the term Intelligent Transportation Systems (ITS) project is defined to
include any project that in whole or in part finances the acquisition of technologies or systems of
technologies that provide or significantly contribute to the provision of one or more ITS user
services as defined in the "National ITS Architecture."
A. As provided in SAFETEA-LU section 5307(c), 23 U.S.C. 512 note, apart from certain
exceptions, "intelligent transportation system projects carried out using funds made
available from the Highway Trust Fund, including funds made available under this subtitle
to deploy intelligent transportation system technologies, [shall] conform to the national
architecture, applicable standards or provisional standards, and protocols developed under
[SAFETEA-LU, section 5307] subsection (a)." To facilitate compliance with SAFETEA-
LU section 5307(c), 23 U.S.C. 512 note, the Applicant assures it will comply with all
applicable provisions of Section V (Regional ITS Architecture) and Section VI (Project
Implementation) of FTA Notice, "FTA National ITS Architecture Policy on Transit
Projects," at 66 FR 1455 et seq., January 8, 2001, and other FTA policies that may be issued
in connection with any ITS project it undertakes financed with funds authorized under
Title 49 or Title 23, United States Code, except to the extent that FTA expressly determines
otherwise in writing.
B. With respect to any ITS project financed with Federal assistance derived from a source
other than Title 49 or Title 23, United States Code, the Applicant assures that it will use its
best efforts to assure that any ITS project it undertakes will not preclude interface with other
intelligent transportation systems in the Region.
15. URBANIZED AREA FORMULA PROGRAM
Each Applicant for Urbanized Area Formula Program assistance authorized under 49 U.S.C.
5307 is required to provide the following certifications on behalf of itself and any subrecipients
participating in its projects. Unless FTA determines otherwise in writing, the Applicant is
ultimately responsible for compliance with its certifications and assurances even though a
subrecipient, lessee, third party contractor, or other participant may participate in that project.
Consequently, in providing certifications and assurances that involve the compliance of its
prospective subrecipients, the Applicant is strongly encouraged to take appropriate measures,
including but not limited to obtaining sufficient documentation from each subrecipient, to assure
the validity of all certifications and assurances the Applicant has made to FTA. If however a
"Designated Recipient" as defined at 49 U.S.C. 5307(a)(2)(A) enters into a Supplemental
Agreement with FTA and a Prospective Grantee, that Grantee is recognized as the Applicant for
Urbanized Area Formula Program assistance and must provide the following certifications and
assurances.
Each Applicant is required by 49 U.S.C. 5307(d)(1)(J) to expend at least one (1) percent of its
Urbanized Area Formula Program assistance for public transportation security projects, unless
the Applicant has certified that such expenditures are not necessary. Information about the
Applicant's intentions will be recorded in the "Security" tab page of the TEAM -Web "Project
APPENDIX A
Information" window when the Applicant enters its Urbanized Area Formula Program
application in TEAM -Web.
FTA may not award Urbanized Area Formula Program assistance to any Applicant that is
required by 49 U.S.C. 5307(d)(1)(K) to expend one (1) percent of its Urbanized Area Formula
Program assistance for eligible transit enhancements unless that Applicant's quarterly report for
the fourth quarter of the preceding Federal fiscal year has been submitted to FTA and includes
the requisite list or the Applicant attaches in TEAM -Web or includes in its quarterly report
information sufficient to demonstrate that the Designated Recipients in its area together have
expended one (1) percent of the amount of Urbanized Area Program assistance made available
to them for transit enhancement projects.
FTA may not award Federal assistance for the Urbanized Area Formula Program to the
Applicant until the Applicant provides these certifications and assurances by selecting
Category "15."
As required by 49 U.S.C. 5307(d)(1), the Applicant certifies as follows:
A. In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or will have the legal,
financial, and technical capacity to carry out its proposed program of projects, including the
safety and security aspects of that program;
B. In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory
continuing control over the use of Project equipment and facilities;
C. In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
Project equipment and facilities;
D. In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant will assure that any elderly
individual, any individual with disabilities, or any person presenting a Medicare card issued
to himself or herself pursuant to title II or title XVIII of the Social Security Act (42 U.S.C.
401 et seq. or 42 U.S.C. 1395 et seq.), will be charged for transportation during non -peak
hours using or involving a facility or equipment of a project fmanced with Federal
assistance authorized for 49 U.S.C. 5307, not more than fifty (50) percent of the peak hour
fare;
E. In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in carrying out a procurement
financed with Federal assistance authorized under 49 U.S.C. 5307: (1) will use competitive
procurement (as defined or approved by FTA), (2) will not use exclusionary or
discriminatory specifications in its procurements, (3) will comply with applicable Buy
America laws, and (4) will comply with the general provisions for FTA assistance of
49 U.S.C. 5323 and the third party procurement requirements of 49 U.S.C. 5325;
F. In compliance with 49 U.S.C. 5307(d)(1)(F), the Applicant has complied with or will
comply with the requirements of 49 U.S.C. 5307(c). Specifically, the Applicant: (1) has
made available, or will make available, to the public information on the amounts available
for the Urbanized Area Formula Program, 49 U.S.C. 5307, and the program of projects it
proposes to undertake; (2) has developed or will develop, in consultation with interested
parties including private transportation providers, a proposed program of projects for
activities to be financed; (3) has published or will publish a proposed program of projects in
a way that affected citizens, private transportation providers, and local elected officials have
APPENDIX A
the opportunity to examine the proposed program and submit comments on the proposed
program and the performance of the Applicant; (4) has provided or will provide an
opportunity for a public hearing to obtain the views of citizens on the proposed program of
projects; (5) has assured or will assure that the proposed program of projects provides for
the coordination of transportation services assisted under 49 U.S.C. 5336 with transportation
services assisted by another Federal government source; (6) has considered or will consider
the comments and views received, especially those of private transportation providers, in
preparing its final program of projects; and (7) has made or will make the final program of
projects available to the public;
G. In compliance with 49 U.S.C. 5307(d)(1)(G), the Applicant has or will have available and
will provide the amount of funds required by 49 U.S.C. 5307(e) for the local share, and that
those funds will be provided from approved non -Federal sources except as permitted by
Federal law;
H. In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will comply with: (1) 49 U.S.C.
5301(a) (requirements for public transportation systems that maximize the safe, secure, and
efficient mobility of individuals, minimize environmental impacts, and minimize
transportation -related fuel consumption and reliance on foreign oil); (2) 49 U.S.C. 5301(d)
(special efforts to design and provide public transportation for elderly individuals and
individuals with disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning and private
enterprise requirements);
I. In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant has a locally developed process
to solicit and consider public comment before raising a fare or implementing a major
reduction of public transportation;
J. In compliance with 49 U.S.C. 5307(d)(1)(J), each Federal fiscal year, the Applicant will
spend at least one (1) percent of its funds authorized by 49 U.S.C. 5307 for public
transportation security projects, unless the Applicant has certified to FTA that such
expenditures are not necessary. Public transportation security projects include increased
lighting in or adjacent to a public transportation system (including bus stops, subway
stations, parking lots, and garages), increased camera surveillance of an area in or adjacent
to that system, emergency telephone line or lines to contact law enforcement or security
personnel in an area in or adjacent to that system, and any other project intended to increase
the security and safety of an existing or planned public transportation; and
K. In compliance with 49 U.S.C. 5307(d)(1)(K), if the Applicant is a Designated Recipient
serving an urbanized area with a population of at least 200,000, (1) the Applicant certifies
either that it has expended or will expend for transit enhancements as defined at 49 U.S.C.
5302(a)(15) not less than one (1) percent of the amount of the Urbanized Area Formula
Assistance it receives this Federal fiscal year, or that at least one Designated Recipient in its
urbanized area has certified or will certify that the Designated Recipients within that
urbanized area together have expended or will expend for transit enhancements as defined at
49 U.S.C. 5302(a)(15) not less than one (1) percent of the amount of the total amounts the
Designated Recipients receive each Federal fiscal year under 49 U.S.C. 5307, and (2) either
the Applicant has listed or will list the transit enhancement projects it has carried out with
those funds, or at least one Designated Recipient in the Applicant's urbanized area has listed
or will list the transit enhancement projects carried out with funds authorized under
49 U.S.C. 5307. If the Designated Recipient's quarterly report for the fourth quarter of the
APPENDIX A
preceding Federal fiscal year includes a list of transit enhancement projects the Designated
Recipients in its urbanized area have implemented during that preceding Federal fiscal year
using those funds, the information in that quarterly report will fulfill the requirements of
49 U.S.C. 5307(d)(1)(K)(ii), and thus that quarterly report will be incorporated by reference
and made part of the Designated Recipient's and Applicant's certifications and assurances.
16. CLEAN FUELS GRANT PROGRAM.
Each Applicant for Clean Fuels Grant Program assistance authorized under 49 U.S.C. 5308 is
required to provide the following certifications on behalf of itself and its subrecipients. Unless
FTA determines otherwise in writing, the Applicant is ultimately responsible for compliance with
its certifications and assurances even though a subrecipient, lessee, third party contractor, or
other participant may participate in that project. Consequently, in providing certifications and
assurances that involve the compliance of its prospective subrecipients, the Applicant is strongly
encouraged to take the appropriate measures, including but not limited to obtaining sufficient
documentation from each subrecipient, to assure the validity of all certifications and assurances
the Applicant has made to FTA. FTA may not award Federal assistance for the Clean Fuels
Grant Program until the Applicant provides these certifications by selecting Category "16."
As required by 49 U.S.C. 5308(d)(1), which makes the requirements of 49 U.S.C. 5307
applicable to Clean Fuels Grant Program assistance, and 49 U.S.C. 5307(d)(1), the designated
recipient or the recipient serving as the Applicant on behalf of the designated recipient, or the
State or State organization serving as the Applicant on behalf of the State, certifies as follows:
A. In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or will have the legal,
financial, and technical capacity to carry out its proposed program of projects, including the
safety and security aspects of that program;
B. In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory
continuing control over the use of project equipment and facilities;
C. In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
project equipment and facilities;
D. In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant will assure that any elderly
individual, any individual with disabilities, or any person presenting a Medicare card issued
to himself or herself pursuant to title II or title XVIII of the Social Security Act (42 U.S.C.
401 et seq. or 42 U.S.C. 1395 et seq.), will be charged for transportation during non -peak
hours using or involving a facility or equipment of a project financed with Federal
assistance authorized. under 49 U.S.C. 5308, not more than fifty (50) percent of the peak
hour fare;
E. In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in carrying out a procurement
financed with Federal assistance authorized under 49 U.S.C. 5308: (1) will use competitive
procurement (as defined or approved by FTA), (2) will not use exclusionary or
discriminatory specifications in its procurements, (3) will comply with applicable Buy
America laws, and (4) will comply with the general provisions for FTA assistance of
49 U.S.C. 5323 and the third party procurement requirements of 49 U.S.C. 5325;
F. In compliance with 49 U.S.C. 5307(d)(1)(F), the Applicant has complied with or will
comply with the requirements of 49 U.S.C. 5307(c). Specifically, the Applicant: (1) has
APPENDIX A
made available, or will make available, to the public information on the amounts available
for the Clean Fuels Grant Program, 49 U.S.C. 5308, and the projects it proposes to
undertake; (2) has developed or will develop, in consultation with interested parties
including private transportation providers, the proposed projects to be financed; (3) has
published or will publish a list of the proposed projects in a way that affected citizens,
private transportation providers, and Local elected officials have the opportunity to examine
the proposed projects and submit comments on the proposed projects and the performance
of the Applicant; (4) has provided or will provide an opportunity for a public hearing to
obtain the views of citizens on the proposed projects; (5) has assured or will assure that the
proposed projects provide for the coordination of transportation services assisted under
49 U.S.C. 5336 with transportation services assisted by another Federal government source;
(6) has considered or will consider the comments and views received, especially those of
private transportation providers, in preparing its final list of projects; and (7) has made or
will make the final list of projects available to the public;
G. In compliance with 49 U.S.C. 5307(d)(1)(G), the Applicant has or will have available and
will provide the amount of funds required by 49 U.S.C. 5308(d)(2) for the local share, and
that those funds will be provided from approved non -Federal sources except as permitted by
Federal law;
H. In compliance with 49 U.S.C. 5307(d)(1)(1), the Applicant will comply with: (1) 49 U.S.C.
5301(a) (requirements for public transportation systems that maximize the safe, secure, and
efficient mobility of individuals, minimize environmental impacts, and minimize
transportation -related fuel consumption and reliance on foreign oil); (2) 49 U.S.C. 5301(d)
(special efforts to design and provide public transportation for elderly individuals and
individuals with disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning and private
enterprise requirements);
I. In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant has a locally developed process
to solicit and consider public comment before raising a fare or implementing a major
reduction of public transportation; and
J. The Applicant certifies will operate vehicles purchased with Federal assistance provided
under the Clean Fuels Grant Program, 49 U.S.C. 5308 only with clean fuels.
17. ELDERLY INDIVIDUALS AND INDIVIDUALS WITH DISABILITIES
FORMULA GRANT PROGRAM AND PILOT PROGRAM
Before FTA may award Elderly Individuals and Individuals with Disabilities Formula Grant
Program assistance and, if applicable, Elderly Individuals and Individuals with Disabilities Pilot
Program assistance to a State, the U.S. Secretary of Transportation or his or her designee is
required to make the pre -award determinations required by 49 U.S.C. 5310. Because certain
information is needed before FTA can make those determinations, each State is requested to
provide the following certifications assurances on behalf of itself and its subrecipients. Unless
FTA determines otherwise in writing, the State itself is ultimately responsible for compliance
with its certifications and assurances even though a subrecipient, lessee, third party contractor,
or other participant may participate in that project. Consequently, in providing certifications
and assurances that involve the compliance of its prospective subrecipients, the State is strongly
encouraged to take the appropriate measures, including but not limited to obtaining sufficient
APPENDIX A
documentation from each subrecipient, to assure the validity of all certifications and assurances
the State has made to FTA. A State that fails to provide these certifications and assurances on
behalf of itself and its subrecipients may be determined ineligible for a grant of Federal
assistance under 49 U.S.C. 5310 if FTA lacks sufficient information from which to make those
determinations required by Federal laws and regulations governing the Elderly Individuals and
Individuals with Disabilities Formula Grant Program and, if applicable, the Elderly Individuals
and Individuals with Disabilities Pilot Program authorized by 49 U.S.C. 5310 and Section 3012
ofSAFETEA-LU, respectively. The State is thus requested to select Category "(17)."
A. As required by 49 U.S.C. 5310(d), which makes the requirements of 49 U.S.C. 5307
applicable to the Elderly Individuals and Individuals with Disabilities Formula Grant
Program to the extent that the Federal Transit Administrator or his or her designee
determines appropriate, and 49 U.S.C. 5307(d)(1), the State or State organization serving as
the Applicant (State) and that administers, on behalf of the State, the Elderly Individuals and
Individuals with Disabilities Program authorized by 49 U.S.C. 5310, and, if applicable, the
Elderly Individuals and Individuals with Disabilities Pilot Program authorized by
subsection 3012(b) of SAFETEA-LU, 49 U.S.C. 5310 note, certifies and assures on behalf
of itself and its subrecipients as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or will have the legal,
financial; and technical capacity to carry out its proposed program of projects, including
the safety and security aspects of that program;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory
continuing control over the use of project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in carrying out a
procurement financed with Federal assistance authorized under 49 U.S.C. 5310 or
subsection 3012(b) of SAFETEA-LU: (1) will use competitive procurement (as defined
or approved by FTA), (2) will not use exclusionary or discriminatory specifications in
its procurements, (3) will comply with applicable Buy America laws, and (4) will
comply with the general provisions for FTA assistance of 49 U.S.C. 5323 and the third
party procurement requirements of 49 U.S.C. 5325;
(5) The State has or will have available and will provide the amount of funds required by
49 U.S.C. 5310(c), and if applicable by section 3012(b)(3) and (4), for the local share,
and that those funds will be provided from approved non -Federal sources except as
permitted by Federal law; and
(6) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will comply with:
(1) 49 U.S.C. 5301(a) (requirements for public transportation systems that maximize the
safe, secure, and efficient mobility of individuals, minimize environmental impacts, and
minimize transportation -related fuel consumption and reliance on foreign oil);
(2) 49 U.S.C. 5301(d) (special efforts to design and provide public transportation for
elderly individuals and individuals with disabilities); and (3) 49 U.S.C. 5303 through
5306 (planning and private enterprise requirements);
B. The State assures that each subrecipient either is recognized under State law as a private
nonprofit organization with the legal capability to contract with the State to carry out the
APPENDIX A
proposed project, or is a public body that has met the statutory requirements to receive
Federal assistance authorized for 49 U.S.C. 5310.
C. The private nonprofit subrecipient's application for 49 U.S.C. 5310 assistance contains
information from which the State concludes that the transit service provided or offered to be
provided by existing public or private transit operators is unavailable, insufficient, or
inappropriate to meet the special needs of the elderly and persons with disabilities.
D. In compliance, with 49 U.S.C. 5310(d)(2)(A) and section 3012(b)(2), the State certifies that,
before it transfers funds to a project funded under 49 U.S.C. 5336, that project will has been
or will have been coordinated with private nonprofit providers of services under 49 U.S.C.
5310;
E. In compliance with 49 U.S.C. 5310(d)(2)(C), the State certifies that allocations to
subrecipients of financial assistance authorized under 49 U.S.C. 5310 or subsection 3012(b)
of SAFETEA-LU will be distributed on a fair and equitable basis; and
F. In compliance with 49 U.S.C. 5310(d)(2)(B) and Subsection 3012(b)(2) of SAFETEA-LU,
the State certifies that: (1) projects it has selected or will select for assistance under that
program were derived from a locally developed, coordinated public transit -human services
transportation plan; and (2) the plan was developed through a process that included
representatives of public, private, and nonprofit transportation and human services providers
and participation by the public.
18. NONURBANIZED AREA FORMULA PROGRAM FOR STATES
The provisions of 49 U.S.C. 5311 establishing the Nonurbanized Area Formula Program for
States do not impose, as a pre -condition of award, any explicit certification or assurance
requirements established specifically for that program. Only a State or a State organization
acting as the Recipient on behalf of a State (State) may be a direct recipient of this Nonurbanized
Area Formula Program assistance. Separate certifications and assurances have been established
in Category 22 for an Indian tribe that is an Applicant for Tribal Transit Program assistance
authorized by 49 U.S.C. 5311(c)(1).
Before PTA may award Nonurbanized Area Formula Program assistance to a State, the
U.S. Secretary of Transportation or his or her designee is required to make the pre -award
determinations required by 49 U.S.C. 5311. Because certain information is needed before FTA
can make those determinations, each State is requested to provide the following certifications
and assurances on behalf of itself and its subrecipients. Unless FTA determines otherwise in
writing, the State itself is ultimately responsible for compliance with its certifications and
assurances even though a subrecipient, lessee, third party contractor,"or other participant may
participate in that project. Consequently, in providing certifications and assurances that involve
the compliance of its prospective subrecipients, the State is strongly encouraged to take the
appropriate measures, including but not limited to obtaining sufficient documentation from each
subrecipient, to assure the validity of all certifications and assurances the State has made to
FTA. A State that fails to provide these certifications and assurances on behalf of itself and its
subrecipients may be determined ineligible for a grant of Federal assistance under 49 U.S.C.
5311 if FTA lacks sufficient information from which to make those determinations required by
Federal laws and regulations governing the Nonurbanized Area Formula Program authorized
APPENDIX A
by 49 U.S.C. 5311. The State is thus requested to select Category "(18)."
The State or State organization serving as the Applicant and that administers, on behalf of the
State (State) the Nonurbanized Area Formula Program for States authorized by 49 U.S.C. 5311,
assures on behalf of itself and its subrecipients as follows:
A. The State has or will have the necessary legal, financial, and managerial capability to apply
for, receive, and disburse Federal assistance authorized for 49 U.S.C. 5311; and to carry out
each project, including the safety and security aspects of that project;
B. The State has or will have satisfactory continuing control over the use of project equipment
and facilities;
C. The State assures that the project equipment and facilities wilt be adequately maintained;
D. In compliance with 49 U.S.C. 5311(b)(2)(C)(i), the State's program has provided for a fair
distribution of Federal assistance authorized for 49 U.S.C. 5311 within the State,. including
Indian reservations within the State;
E. In compliance with 49 U.S.C. 5311(b)(2)(C)(ii), the State's program provides or will
provide the maximum feasible coordination of public transportation service to receive
assistance under 49 U.S.C. 5311 with transportation service assisted by other Federal
sources;
F. The projects in the State's Nonurbanized Area Formula Program are included in the
Statewide Transportation Improvement Program and, to the extent applicable, the projects
are included in a metropolitan Transportation Improvement Program;
G. The State has or will have available and will provide the amount of funds required by
49 U.S.C. 5311(g) for the local share, and that those funds will be provided from approved
non -Federal sources except as permitted by Federal law; and
H. In compliance with 49 U.S.C. 5311(f), the State will expend not less than fifteen (15)
percent of its Federal assistance authorized under 49 U.S.C. 5311 to develop and support
intercity bus transportation within the State, unless the chief executive officer of the State,
or his or her designee, after consultation with affected intercity bus service providers,
certifies to the Federal Transit Administrator, apart from these certifications and assurances
herein, that the intercity bus service needs of the State are being adequately met.
19. JOB ACCESS AND REVERSE COMMUTE FORMULA GRANT PROGRAM
Each Applicant for Job Access and Reverse Commute (JARC) Formula Grant Program
assistance authorized under 49 U.S.C. 5316 is required to provide the following certifications on
behalf of itself and any subrecipient that may be implementing its project. Unless FTA
determines otherwise in writing, the Applicant itself is ultimately responsible for compliance
with its certifications and assurances even though a subrecipient, lessee, third party contractor,
or other participant may participate in that project. Consequently, in providing certifications
and assurances that involve the compliance of its prospective subrecipients, the Applicant is
strongly encouraged to take the appropriate measures, including but not limited to obtaining
sufficient documentation from each subrecipient, to assure the validity of all certifications and
assurances the Applicant has made to FTA. FTA may not award Federal assistance for the JARC
Formula Grant Program until the Applicant provides these certifications by selecting
Category "19."
APPENDIX A
A. As required by 49 U.S.C. 5316(f)(1), which makes the requirements of 49 U.S.C. 5307
applicable to Job Access and Reverse Commute (JARC) formula grants, and 49 U.S.C.
5307(d)(1), the Applicant for JARC Formula Program assistance authorized under
49 U.S.C. 5316, certifies on behalf of itself and its subrecipients, if any, as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or will have the legal,
fmancial, and technical capacity to carry out its proposed program of projects, including
the safety and security aspects of that program;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory
continuing control over the use of project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant will assure that any elderly
individual, any individual with disabilities, or any person presenting a Medicare card
issued to himself or herself pursuant to title II or title XVIII of the Social Security Act
(42 U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.), will be charged for transportation
during non -peak hours using or involving a facility or equipment of a project financed
with Federal assistance authorized under 49 U.S.C. 5316 not more than fifty (50)
percent of the peak hour fare;
(5) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in carrying out a
procurement financed with Federal assistance authorized under 49 U.S.C. 5316: (1) will
use competitive procurement (as defined or approved by FTA), (2) will not use
exclusionary or discriminatory specifications in its procurements, (3) will comply with
applicable Buy America laws, and (4) will comply with the general provisions for
FTA assistance of 49 U.S.C. 5323 and the third party procurement requirements of
49 U.S.C. 5325;
(6) In compliance with 49 U.S.C. 5316(f)(1) and 49 U.S.C. 5307(d)(1)(F), the Applicant
certifies that (1) with respect to financial assistance authorized under 49 U.S.C. 5316, it
will conduct in cooperation with the appropriate MPO an areawide solicitation for
applications, and make awards on a competitive basis and (2) with respect to financial
assistance authorized under 49 U.S.C. 5316, it will conduct a statewide solicitation for
applications, and make awards on a competitive basis; and that these activities will be
carried out in a manner that complies with or will comply with 49 U.S.C. 5307(c);
(7) The Applicant has or will have available and will provide the amount of funds required
by 49 U.S.C. 5316(h) for the local share, and that those funds will be provided from
approved non -Federal sources except as permitted by Federal law;
(8) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will comply with:
(1) 49 U.S.C. 5301(a) (requirements for public transportation systems that maximize the
safe, secure, and efficient mobility of individuals, minimize environmental impacts, and
minimize transportation -related fuel consumption and reliance on foreign oil); and
(2) 49 U.S.C. 5301(d) (special efforts to design and provide public transportation for
elderly individuals and individuals with disabilities); and (3) 49 U.S.C. 5303 through
5306 (planning and private enterprise requirements).
B. In compliance with 49 U.S.C. 5316(d), the Applicant certifies that (1) with respect to
financial assistance authorized under 49 U.S.C. 5316(c)(1)(A), it will conduct in
APPENDIX A
cooperation with the appropriate MPO an areawide solicitation for applications, and make
awards on a competitive basis and (2) with respect to financial assistance authorized under
49 U.S.C. 5316(c)(1)(B) or 49 U.S.C. 5316(c)(1)(C), it will conduct a statewide solicitation
for applications, and make awards on a competitive basis;
C. In compliance with 49 U.S.C. 5316(f)(2), the Applicant certifies that any allocations to
subrecipients of financial assistance authorized under 49 U.S.C. 5316 will be distributed on
a fair and equitable basis;
D. In compliance with 49 U.S.C. 5316(g)(2), the Applicant certifies that, before it transfers
funds to a project funded under 49 U.S.C. 5336, that project will has been or will have been
coordinated with private nonprofit providers of services;
E In compliance with 49 U.S.C. 5316(g)(3), the Applicant certifies that: (1) the projects it has
selected or will select for assistance under that program were derived from a locally
developed, coordinated public transit -human services transportation plan; and (2) the plan
was developed through a process that included representatives of public, private, and
nonprofit transportation and human services providers and participation by the public; and
F. In compliance with 49 U.S.C. 5316(c)(3), before the Applicant uses funding apportioned
under 49 U.S.C. 5316(c)(1)(B) or (C) for projects serving an area other than that specified in
49 U.S.C. 5316(2)(B) or (C), the Applicant certifies that the chief executive officer of the
State, or his or her designee will have certified to the Federal Transit Administrator, apart
from these certifications herein, that all of the objectives of 49 U.S.C. 5316 are being met in
the area from which such funding would be derived.
20. NEW FREEDOM PROGRAM
Each Applicant for New Freedom Program assistance authorized under 49 US.C. 5317 must
provide the following certifications on behalf of itself and any subrecipient that may be
implementing its project. Unless FTA determines otherwise in writing, the Applicant itself is
ultimately responsible for compliance with its certifications and assurances even though a
subrecipient, lessee, third party contractor, or other participant may participate in that project.
Consequently, in providing certifications and assurances that involve the compliance of its
prospective subrecipients, the Applicant is strongly encouraged to take the appropriate
measures, including but not limited to obtaining sufficient documentation from each
subrecipient, to assure the validity of all certifications and assurances the Applicant has made to
FTA. FTA may not award Federal assistance for the New Freedom Program until the Applicant
provides these certifications by selecting Category "20."
A. As required by 49 U.S.C. 5317(e)(1), which makes the requirements of 49 U.S.C. 5310
applicable to New Freedom grants to the extent the Federal Transit Administrator or his or
her designee determines appropriate, by 49 U.S.C. 5310(d)(1), which makes the
requirements of 49 U.S.C. 5307 applicable to Elderly Individuals and Individuals with
Disabilities Formula grants to the extent the Federal Transit Administrator or his or her
designee determines appropriate, and by 49 U.S.C. 5307(d)(1), the Applicant for New
Freedom Program assistance authorized under 49 U.S.C. 5317 certifies and assures on
behalf of itself and its subrecipients, if any, as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or will have the legal,
APPENDIX A
financial, and technical capacity to carry out its proposed program of projects, including
the safety and security aspects of that program;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory
continuing control over the use of project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in carrying out a
procurement financed with Federal assistance authorized under 49 U.S.C. 5317: (1) will
use competitive procurement (as defined or approved by FTA), (2) will not use
exclusionary or discriminatory specifications in its procurements, (3) will comply with
applicable Buy America laws, and (4) will comply with the general provisions for FTA
assistance of 49 U.S.C. 5323 and the third party procurement requirements of 49 U.S.C.
5325;
(5) The Applicant has or will have available and will provide the amount of funds required
by 49 U.S.C. 5317(g) for the local share, and that those funds will be provided from
approved non -Federal sources except as permitted by Federal law; and
(6) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will comply with:
(1) 49 U.S.C. 5301(a) (requirements for public transportation systems that maximize the
safe, secure, and efficient mobility of individuals, minimize environmental impacts, and
minimize transportation -related fuel consumption and reliance on foreign oil);
(2) 49 U.S.C. 5301(d) (special efforts to design and provide public transportation for
elderly individuals and individuals with disabilities); and (3) 49 U.S.C. 5303 through
5306 (planning and private enterprise requirements);
B. In compliance with 49 U.S.C. 5317(d), the Applicant certifies that (1) with respect to
financial assistance authorized under 49 U.S.C. 5317(c)(1)(A), it will conduct in
cooperation with the appropriate MPO an areawide solicitation for applications, and make
awards on a competitive basis and (2) with respect to financial assistance authorized under
49 U.S.C. 5317(c)(1)(B) or 49 U.S.C. 5317(c)(1)(C), it will conduct a statewide solicitation
for applications, and make awards on a competitive basis;
C. In compliance with 49 U.S.C. 5317(f)(2), the Applicant certifies that, before it transfers
funds to a project funded under 49 U.S.C. 5336, that project has been or will have been
coordinated with private nonprofit providers of services;
D. In compliance with 49 U.S.C. 5317(e)(2), the Applicant certifies that any allocations to
subrecipients of financial assistance authorized under 49 U.S.C. 5317 will be distributed on
a. fair and equitable basis; and
E. In compliance with 49 U.S.C. 5317(f)(3), the Applicant certifies that: (1) projects it has
selected or will select for assistance under that program were derived from a locally
developed, coordinated public transit -human services transportation plan; and (2) the plan
was developed through a process that included representatives of public, private, and
nonprofit transportation and human services providers and participation by the public
21. PAUL S. SARBANES TRANSIT IN PARKS PROGRAM
Each State, tribal area, or local government authority that is an Applicant for Paul S. Sarbanes
Transit in Parks Program assistance (Applicant) authorized by 49 U.S.C. 5320, is required to
APPENDIX A
provide the following certifications. FTA may not award assistance for the Paul S. Sarbanes
Transit in Parks Program to the Applicant until the Applicant provides these certifications by
selecting Category "21."
A. As required by 49 U.S.C. 5320(i), which makes the requirements of 49 U.S.C. 5307
applicable to the Paul S. Sarbanes Transit in Parks Program to the extent the Federal Transit
Administrator or his or her designee determines appropriate, and 49 U.S.C. 5307(d)(1), the
Applicant certifies as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or will have the legal,
fmancial, and technical capacity to carry out its proposed project, including the safety
and security aspects of that project;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory
continuing control over the use of project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(E) in carrying out a procurement fmanced
with Federal assistance authorized under 49 U.S.C. 5320, the Applicant: (1) will use
competitive procurement (as defined or approved by FTA), (2) will not use exclusionary
or discriminatory specifications in its procurements, (3) will comply with applicable
Buy America laws, and (4) will comply with the general provisions for FTA assistance
of 49 U.S.C. 5323 and the third party procurement requirements of 49 U.S.C. 5325;
(5) In compliance with 49 U.S.C. 5307(d)(1)(F) and with 49 U.S.C.5320(e)(2)(C), the
Applicant has complied with or will comply with the requirements of 49 U.S.C. 5307(c).
Specifically, it: (1) has made available, or will make available, to the public information
on the amounts available for the Paul S. Sarbanes Transit in Parks Program, 49 U.S.C.
5320, and the projects it proposes to undertake; (2) has developed or will develop, in
consultation with interested parties including private transportation providers, projects to
be financed; (3) has published or will publish a List of projects in a way that affected
citizens, private transportation providers, and local elected officials have the opportunity
to examine the proposed projects and submit comments on the proposed projects and the
performance of the Applicant; (4) has provided or will provide an opportunity for a
public hearing to obtain the views of citizens on the proposed projects; (5) has assured
or will assure that the proposed projects provide for the coordination of transportation
services assisted under 49 U.S.C. 5336 with transportation services assisted by another
Federal government source; (6) has considered or will consider the comments and views
received, especially those of private transportation providers, in preparing its final list of
projects; and (7) has made or will make the final list of projects available to the public;
(6) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will comply with:
(1) 49 U.S.C. 5301(a) (requirements for public transportation systems that maximize the
safe, secure, and efficient mobility of individuals, minimize environmental impacts, and
minimize transportation -related fuel consumption and reliance on foreign oil);
(2) 49 U.S.C. 5301(d) (special efforts to design and provide public transportation for
elderly individuals and individuals with disabilities); and (3) 49 U.S.C. 5303 through
5306 (planning and private enterprise requirements).
(7) In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant has a locally. developed
APPENDIX A
process to solicit and consider public comment before raising a fare or implementing a
major reduction of public transportation.
B. In compliance with 49 U.S.C.5320(e)(2)(A), (B), and (D), the Applicant assures that it will:
(1) Comply with the metropolitan planning provisions of 49 U.S.C. 5303;
(2) Comply with the statewide planning provisions of 49 U.S.C. 5304; and
(3) Consult with the appropriate Federal land management agency during the planning
process.
22. TRIBAL TRANSIT PROGRAM
Each Applicant for Tribal Transit Program assistance must provide all certifications and
assurances set forth below. Except to the extent that FTA determines otherwise in writing, FTA
may not award any Federal assistance under the Tribal Transit Program until the Applicant
provides these certifications and assurances by selecting Category "22."
In accordance with 49 U.S.C. 5311(o)(1) that authorizes the Secretary of Transportation to
establish terms and conditions for direct grants to Indian tribal governments, the Applicant
certifies and assures as follows:
A. The Applicant assures that:
(1) It has or will have the necessary legal, financial, and managerial capability to apply for,
receive, and disburse Federal assistance authorized for 49 U.S.C. 5311; and to carry out
each project, including the safety and security aspects of that project;
(2) It has or will have satisfactory continuing control over the use of project equipment and
facilities;
(3) The project equipment and facilities will be adequately maintained; and
(4) Its project will achieve maximum feasible coordination with transportation service
assisted by other Federal sources.
B. In accordance with 49 CFR 18.36(g)(3)(ii), the Applicant certifies that its procurement
system will comply with the requirements of 49 CFR 18.36, or will inform FTA promptly
that its procurement system does not comply with 49 CFR 18.36.
C. To the extent applicable to the Applicant or its Project, the Applicant certifies that it will
comply with the certifications, assurances, and agreements in Category 08 (Bus Testing),
Category 09 (Charter Bus Agreement), Category 10 (School Transportation Agreement),
Category 11 (Demand Responsive Service), Category 12 (Alcohol Misuse and Prohibited
Drug Use), and Category 14 (National Intelligent Transportation Systems Architecture and
Standards) of this document.
D. If its application exceeds $100,000, the Applicant agrees to comply with the certification in
Category 02 (Lobbying) of this document.
23. INFRASTRUCTURE FINANCE PROJECTS
Each Applicant for Infrastructure Finance assistance authorized under 23 U.S.C. chapter 6, is
required to provide the following certifications. FTA may not award Infrastructure Finance
assistance to the Applicant until the Applicant provides these certifications by selecting
APPENDIX A
Category "23."
A. As required by 49 U.S.C. 5323(o), which makes the requirements of 49 U.S.C. 5307
applicable to Applicants seeking Infrastructure Finance assistance authorized under
23 U.S.C. chapter 6, and by 49 U.S.C. 5307(d)(1), the Applicant certifies as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or will have the legal,
financial, and technical capacity to carry out its proposed program of projects, including
the safety and security aspects.of that program;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory
continuing control over the use of project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant will assure that any elderly
individual, any individual with disabilities, or any person presenting a Medicare card
issued to himself or herself pursuant to title II or title XVIII of the Social Security Act
(42 U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.), will be charged for transportation
during non -peak hours using or involving a facility or equipment of a project financed
with Federal assistance authorized under 23 U.S.C. chapter 6, not more than fifty (50)
percent of the peak hour fare;
(5) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in carrying out a
procurement financed with Federal assistance authorized under 23 U.S.C. chapter 6:
(1) will use competitive procurement (as defined or approved by FTA), (2) will not use
exclusionary or discriminatory specifications in its procurements, (3) will comply with
applicable Buy America laws, and (4) will comply with the general provisions for
FTA assistance of 49 U.S.G. 5323 and the third party procurement requirements of
49 U.S.C. 5325;
(6) In compliance with 49 U.S.C. 5307(d)(1)(F), the Applicant has complied with or will
comply with the requirements of 49 U.S.C. 5307(c). Specifically, it: (1) has made
available, or will makeavailable, to the public information on the amounts available for
Infrastructure Finance assistance, 23 U.S.C. chapter 6, and the projects it proposes to
undertake; (2) has developed or will develop, in consultation with interested parties
including private transportation providers, the proposed projects to be financed; (3) has
published or will publish a list of projects in a way that affected citizens, private
transportation providers, and local elected officials have the opportunity to examine the
proposed projects and submit comments on the proposed projects and the performance
of the Applicant; (4) has provided or will provide an opportunity for a public hearing to
obtain the views of citizens on the proposed projects; (5) has assured or will assure that
the proposed projects provide for the coordination of transportation services assisted
under 49 U.S.C. 5336 with transportation services assisted by another Federal
government source; (6) has considered or will consider the comments and views
received, especially those of private transportation providers, in preparing its final list of
projects; and (7) has made or will make the final list of projects available to the public;
(7) In compliance with 49 U.S.C. 5307(d)(1)(G), the Applicant has or will have available
and will provide the amount of funds required for the local share, and that those funds
will be provided from approved non -Federal sources except as permitted by Federal law;
APPENDIX A
(8) In compliance with 49 U.S.C. 5307(d)(1)(H), (1) the Applicant will comply with:
49 U.S.C. 5301(a) (requirements for public transportation systems that maximize the
safe, secure, and efficient mobility of individuals, minimize environmental impacts, and
minimize transportation -related fuel consumption and reliance on foreign oil);
(2) 49 U.S.C. 5301(d) (special efforts to design and provide public transportation for
elderly individuals and individuals with disabilities); and (3) 49 U.S.C. 5303 through
5306 (planning and private enterprise requirements);
(9) In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant has a locally developed
process to solicit and consider public comment before raising a fare or implementing a
major reduction of public transportation;
(10) To the extent that the Applicant will be using funds authorized under 49 U.S.C. 5307
for the project, in compliance with 49 U.S.C. 5307(d)(1)(J), each Federal fiscal year, the
Applicant will spend at least one (1) percent of those funds authorized under 49 U.S.C.
5307 for public transportation security projects (this includes only capital projects in the
case of a Applicant serving an urbanized area with a population of 200,000. or more),
unless the Applicant has certified to FTA that such expenditures are not necessary.
Public transportation security projects include increased lighting in or adjacent to a
public transportation system (including bus stops, subway stations, parking lots, and
garages), increased camera surveillance of an area in or adjacent to that system,
emergency telephone line or lines to contact law enforcement or security personnel in an
area in or adjacent to that system, and any other project intended to increase the security
and safety of an existing or planned public transportation; and
(11) To the extent that the Applicant will be using funds authorized under 49 U.S.C. 5307
for the project, in compliance with 49 U.S.C. 5309(d)(1)(K): (1) an Applicant that serves
an urbanized area with a population of at least 200,000 will expend not less than one
(1) percent of the amount it receives each Federal fiscal year under 49 U.S.C. 5307 for
transit enhancements, as defined at 49 U.S.C. 5302(a), and (2) if it has received transit
enhancement funds authorized by 49 U.S.C. 5307(k)(1), its quarterly report for the
fourth quarter of the preceding Federal fiscal year includes a list of the projects it has
implemented during that Federal fiscal year using those funds, and that report is
incorporated by reference and made part of its certifications and assurances.
B. As required by 49 U.S.C. 5323(o), which makes the requirements of 49 U.S.C. 5309
applicable to Applicants seeking Infrastructure Finance assistance authorized under
23 U.S.C. chapter 6, and by 49 U.S.C. 5309(g)(2)(B)(iii), 5309(g)(3)(B)(iii), and
5309(i)(2)(C), the Applicant certifies that it will not seek reimbursement for interest and
other financing costs incurred in connection with the Project unless it is eligible to receive
Federal assistance for those expenses and its records demonstrate that it has used reasonable
diligence in seeking the most favorable financing terms underlying those costs, to the extent
FTA may require.
24. DEPOSITS OF FEDERAL FINANCIAL ASSISTANCE
TO STATE INFRASTRUCTURE BANKS
The State organization that administers the State Infrastructure Bank (SIB) Program on behalf of
a State (State) and that is also an Applicant for Federal assistance authorized under 49 U.S.C.
APPENDIX A
chapter 53 that it intends to deposit in its SIB is requested to provide the following assurances on
behalf of itself its SIB, and each subrecipient. Unless FTA determines otherwise in writing, the
State itself is ultimately responsible for compliance with its certifications and assurances even
though the SIB and a subrecipient may participate in that project. Consequently, in providing
certifications and assurances that involve the compliance of its SIB and prospective
subrecipients, the State is strongly encouraged to take the appropriate measures, including but
not limited to obtaining sufficient documentation from the SIB and each subrecipient, to assure
the validity of all certifications and assurances the State has made to FTA. FTA may not award
Federal assistance for the SIB Program to the State until the State provides these assurances by
selecting Category "24."
The State organization, serving as the Applicant (State) for Federal assistance for its State
Infrastructure Bank (SIB) Program authorized by section 1602 of SAFETEA-LU, now codified
at 23 U.S.C. 610, or by section 1511 of TEA -21, 23 U.S.C. 181 note, or by section 350 of the
National Highway System Designation Act of 1995, as amended, 23 U.S.C. 181 note, agrees and
assures the agreement of its SIB and the agreement of each recipient of Federal assistance
derived from the SIB within the State (subrecipient) that each public transportation project
financed with Federal assistance derived from SIB will be administered in accordance with:
A. Applicable provisions of section 1602 of SAFETEA-LU, now codified at 23 U.S.C. 610, or
by section 1511 of TEA -21, 23 U.S.C. 181 note, or by section 350 of the National Highway
System Designation Act of 1995, as amended, 23 U.S.C. 181;
B. The provisions of the FHWA, FRA, and FTA or the FHWA and FTA cooperative
agreement with the State to establish the State's SIB Program; and
C. The provisions of the FTA grant agreement with the State that provides Federal assistance
for the SIB, except that any provision of the Federal Transit Administration Master
Agreement incorporated by reference into that grant agreement will not apply if it conflicts
with any provision of section 1602 of SAFETEA-LU, now codified at 23 U.S.C. 610, or
section 1511 of TEA -21, 23 U.S.C. 181 note, or section 350 of the National Highway
System Designation Act of 1995, as amended, 23 U.S.C. 181 note, or Federal guidance
pertaining to the SIB Program, the provisions of the cooperative agreement establishing the
SIB Program within the State, or the provisions of the FTA grant agreement.
D. The requirements applicable to projects of 49 U.S.C. 5307 and 5309, as required by
49 U.S.C. 5323(o); and
E. The provisions of any applicable Federal guidance that may be issued as it may be amended
from time -to -time, unless FTA has provided written approval of an alternative procedure or
course of action.
Selection and Signature Page(s) follow.
APPENDIX A
FEDERAL FISCAL YEAR 2009 CERTIFICATIONS AND ASSURANCES FOR
FEDERAL TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS
(Signature page alternative to providing Certifications and Assurances in TEAM -Web)
Name of Applicant:
The Applicant agrees to comply with applicable provisions of Categories 01— 24.
OR
The Applicant agrees to comply with applicable provisions of the Categories it has selected:
Cate2ory Description
01. Assurances Required For Each Applicant.
02. Lobbying.
03. Procurement Compliance.
04. Protections for Private Providers of Public Transportation.
05. Public Hearing.
06. Acquisition of Rolling Stock for Use in Revenue Service.
07. Acquisition of Capital Assets by Lease.
08. Bus Testing.
09. Charter Service Agreement.
10. School Transportation Agreement.
11. Demand Responsive Service.
12. Alcohol Misuse and Prohibited Drug Use.
13. Interest and Other Financing Costs.
14. Intelligent Transportation Systems.
15. Urbanized Area Formula Program.
16. Clean Fuels Grant Program.
17. EIderly Individuals and Individuals with Disabilities Formula Program and Pilot Program.
18. Nonurbanized Area Formula Program for States.
19. Job Access and Reverse Commute Program.
20. New Freedom Program.
21. Paul S. Sarbanes Transit in Parks Program.
22. Tribal Transit Program.
23. Infrastructure Finance Projects.
24. Deposits of Federal Financial Assistance to a State Infrastructure Banks.
APPENDIX A
FEDERAL FISCAL YEAR 2009 FTA CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE
(Required of all Applicants for FTA assistance and all FTA Grantees with an active capital or formula project)
AFFIRMATION OF APPLICANT
Name of Applicant:
Name and Relationship of Authorized Representative:
BY SIGNING BELOW, on behalf of the Applicant, 1 declare that the Applicant has duly authorized me to make
these certifications and assurances and bind the Applicant's compliance. Thus, the Applicant agrees to comply with
all Federal statutes and regulations, and follow applicable Federal directives, and comply with the certifications and
assurances as indicated on the foregoing page applicable to each application it makes to the Federal Transit
Administration (FTA) in Federal Fiscal Year 2009.
FTA intends that the certifications and assurances the Applicant selects on the other side of this document, as
representative of the certifications and assurances in this document, should apply, as provided, to each project for
which the Applicant seeks now, or may later, seek FTA assistance during Federal Fiscal Year 2009.
The Applicant affirms the truthfulness and accuracy of the certifications and assurances it has made in the
statements submitted herein with this document and any other submission made to FTA, and acknowledges that the
Program Fraud Civil Remedies Act of 1986, 31 U.S.C. 3801 el seq., and implementing U.S. DOT regulations,
"Program Fraud Civil Remedies," 49 CFR part 31 apply to any certification, assurance or submission made to FTA.
The criminal provisions of 18 U.S.C. 1001 apply to any certification, assurance, or submission made in connection
with a Federal public transportation program authorized in 49 U.S.C. chapter 53 or any other statute
In signing this document, I declare under penalties of perjury that the foregoing certifications and assurances, and
any other statements made by me on behalf of the Applicant are true and correct.
Signature Date:
Name
Authorized Representative of Applicant
AFFIRMATION OF APPLICANTS ATTORNEY
For (Name of Applicant):
As the undersigned Attorney for the above named Applicant, I hereby affirm to the Applicant that it has authority
under State, local, or tribal government law, as applicable, to make and comply with the certifications and
assurances as indicated on the foregoing pages. I further affirm that, in my opinion, the certifications and assurances
have been legally made and constitute legal and binding obligations on the Applicant.
I further affirm to the Applicant that, to the best of my knowledge, there is no legislation or litigation pending or
imminent that might adversely affect the validity of these certifications and assurances, or of the performance of the
project.
Signature Date:
Name
Attorney for Applicant
Each Applicant for FTA financial assistance and each FTA Grantee with an active capital or formula project must provide an Affirmation of
Applicant's Attorney pertaining to the Applicant's legal capacity. The Applicant may enter its signature in lieu of the Attorney's signature,
provided the Applicant has on file this Affirmation, signed by the attomey end dated this Federal fiscal year.
Project Grant Agreement # TX -37-x065
ATTACHMENT E
DEPARTMENT OF LABOR TERMS AND CONDITIONS
City of Round Rock
Fed 5316 JARC Page 19 of 20
U.S. Department of Labor
Employment Standards Administration
Office of Labor -Management Standards
Washington, D.C. 20210
October 3, 2008
Robert C. Patrick, Regional Administrator
Federal Transit Administration, Region VI
819 Taylor Street, Room 8A36
Ft. Worth, Texas 76102
Dear Mr. Patrick:
Re: FTA Application(s)
Capital Metropolitan Transportation
Authority
State or Program Administration on behalf
of itself, Operating Assistance; Bus
Shelter Construction and Capital Cost of
3rd Party Contracting on behalf of the
City of Round Rock and Operating
Assistance and (1) 15 -Passenger Van for
Service Expansion on behalf of Easter
Seals Central Texas
TX -37-X065
This is in reply to the request from your office that we review the above -
captioned application for a grant under Title 49 of the U.S. Code, Chapter 53.
Capital Metropolitan Transportation Authority (Capital Metro), Star Tran, Inc.
(as the successor to Management Labor Services, Inc. (MLS)) and Amalgamated
Transit Union (ATU) Locals 1091 and 1549 have previously agreed to become
party to the agreement executed on July 23, 1975, by the American Public
Transit Association and transit employee labor organizations. The July 23,
1975 agreement is supplemented by the October 26, 1989 side letter of
assurances from Capital Metro, MLS and Laidlaw Transit, Inc. and by the
October 27, 30, and 31, 1989 Capital Metro side letters. In addition, the parties
have agreed that paragraph (9) of the October 26, 1989 agreement between
MLS and ATU Local 1091, executed in connection with an earlier grant
application, shall be included as the addendum to the July 23, 1975 agreement
pursuant to paragraph (4) thereof. The terms and conditions of the July 23,
1975 agreement, as supplemented, provide protections to employees
represented by the union which satisfy the requirements of 49 U.S.C., Section
5333(b) for capitalized preventive maintenance assistance.
Furthermore, Capital Metro and ATU Local 1091 have agreed that the
agreement between MLS and ATU Local 1091 dated October 26, 1989, as
supplemented by letters dated October 26, 27, and 30, 1989, from Capital
Metro shall be made applicable to the capital assistance portion of the instant
project. In addition, Capital Metro and the ATU have agreed that the October
26, 1989 agreement executed by Laidlaw Transit, Inc. and ATU Local 1549, as
supplemented by the October 26, 27 and 31, 1989 side letters of Capital Metro
shall be made applicable to the instant project. The October 26, 1989
agreements, as supplemented, provide to employees represented by the union
protection satisfying the requirements of the statute.
Capital Metro has indicated that it will pick up the labor protections on behalf
of the City of Round Rock and Easter Seals Central Texas.
Accordingly, the Department of Labor makes the certification called for in the
Act with respect to the instant project on condition that:
1. This letter and the terms and conditions of the above
protective agreements and arrangements shall be
made applicable to the instant project and shall be
incorporated into the contract of assistance between
Capital Metro and FTA, by reference;
2. The term "project" as used in the above referenced
arrangements shall be deemed to cover and refer to the
operating and capital portions, respectively, of the
instant projects;
3. Disputes over the interpretation, application, and
enforcement of the terms and conditions of the
protective arrangements certified by the Department of
Labor, which include this letter of certification, shall
be resolved in accordance with the provisions in the
aforementioned arrangements for the resolution of
such disputes; and
4. Employees of urban mass transportation carriers in
the service area of the project, other than those
represented by the local union which is a party to, or
otherwise referenced in the protective arrangements,
shall be afforded substantially the same levels of
protection as are afforded to the employees
represented by the union under the above -referenced
arrangements and this certification. Such protections
include procedural rights and remedies as well as
protections for individual employees affected by the
project.
Should a dispute remain after exhausting any
available remedies under the protective arrangements,
and absent mutual agreement by the parties to utilize
any other final and binding procedure for resolution of
the dispute, the Secretary of Labor may designate a
neutral third party or appoint a staff member to serve
as arbitrator and render a final and binding
determination.
Sincerely,
Ann Comer, Chief
Division of Statutory Programs
cc: Kerry Miller/FTA
Sean Wighaman/Capital Metropolitan Transportation Authority
David Bartels/City of Round Rock
Tammy Andres/Easter Seals Central Texas
Leo E. Wetzel/ATU
Project Grant Agreement # TX -37-x065
ATTACHMENT F
CAPITAL METRO CODE OF CONDUCT POLICY
City of Round Rock
Fed 5316 JARC Page 20 of 20
METRO
Sterrran, Inc.
CMTA STARTRAN, INC. CODE OF
CONDUCT
LEGAL -150
Manager of Legal
Issued: January 2000
Revised: November 2008
Approved by: Fred M. Gilliam
President/CEO
CAPITAL METROPOLITAN TRANSPORTATION AUTHORITY
STARTRAN, INC.
CODE OF CONDUCT
SECTION I. Declaration of Policy.
The Capital Metropolitan Transportation Authority ("Capital Metro") Board of
Directors,- its employees,. agents, and contractors must abide by the highest standards of
conduct in carrying out Capital Metro's stewardship of public funds in order for the public to
be assured that the actions of Capital Metro serve only the authority's best interests:
SECTION II. Definitions.
For the purpose of this Code of Conduct, the following definitions shall apply:
1) "Affected" means reasonably likely to be subject to a direct economic effect or
consequence.
2) "Agent" means a person authorized by Capital Metro to act for Capital Metro.
3) "Business entity" means a sole proprietorship, partnership, limited partnership,
firm, corporation, holding company, joint stock company, receivership, trust, or any other
entity recognized by law through
Which business is conducted.
4) "Board of Directors" means the governing body of Capital Metro.
5) "Confidential Information" means any information in Capital Metro's
possession which Capital Metro is legally required or has determined to keep confidential,
and which Capital Metro has the legal right to keep confidential.
6) "Board Member/employee has a "Conflict of Interest" if the employee has a
substantial interest in a business entity that will be affected by his or her participation in a
vote, decision, recommendation, or action.
"Board Member/employee has a "Conflict of Interest" if the 'employee has a
substantial interest in real property that will be affected by his or her participation in a vote,
decision, recommendation, or action and the vote, decision, recommendation, or action will
have a special economic effect on the value of the property, distinguishable from its effect
on the public.
"Board Member/employee has a "Substantial Interest" in a business entity or real
property if:
Page 1 of 4
CMTA STARTRAN, INC. CODE OF CONDUCT —
LEGAL -150 - #215501
(a)
the interest is ownership of 10 percent or more of the voting stock or shares
of the business entity or ownership of 10 percent or more or $15,000 or more
of the fair market value of the business entity;
(b) funds received by the employee from the business entity exceed 10 percent
of the employee's gross income for the previous year;
(c) the interest in real property is an equitable or legal ownership with a fair
market value of $2,500 or more;
(d) an organization which employs, or is about to employ, the employee has a
substantial interest in the business entity as defined in (1) and (2); or
(e) one of the following individuals has a substantial interest, as defined in
subsections (a), (b) and (c) above, in a business entity or real property: an
employee's spouse, mother, father, brother, sister, children, aunt, uncle, first
cousin, mother-in-law, father-in-law, brother-in-law, sister-in-law, stepchild,
stepparents, grandparent, or grandchild. A relationship by marriage will end
by death or divorce unless there is a living child or descendent of the
marriage.
7) "Contractor" means a person or business entity that has entered into a contract
with Capital Metro to provide goods or services for Capital Metro.
8) "Employee" means any person holding a position with Capital Metro for which
compensation is received, including part-time workers employed more than ten (10) hours
per week or intermittent, seasonal, or temporary workers.
SECTION 111. Standards of Conduct.
Board members, employees, agents and contractors shall exercise good -faith
judgment and uphold the mission of Capital Metro as follows'
1) Ensure that Capital Metro complies with all applicable laws and regulations.
2) Adhere to Capital Metro policies and procedures.
3) Efficiently transact Capital Metro business and safeguard Capital Metro
assets from waste, abuse, theft or damage.
4) Exhibit a desire to serve the public, and display a helpful, tolerant manner.
5) Treat fellow Board members, employees, agents, contractors and the public
with honesty, respect and dignity.
6) Reveal all material facts known to them when reporting on work projects.
7) Disclose immediately any information regarding unethical or wrongful conduct
related to Capital Metro transactions to the Board Vice Chair or the Capital Metro Ethics
Officer.
Page 2 or 4
CMTA STARTRAN, INC. CODE OF CONDUCT —
LEGAL -150 - #215501
SECTION IV. Absolute Prohibitions.
No Board Members, Employees, Contractors, or Agents shall:
1) Participate in a business, contract, or real property transaction in which
he/she has a substantial interest.
2) Solicit, accept, or agree to accept any benefit as consideration for his/her
decision, vote, opinion or recommendation.
3) Solicit, accept, or agree to accept any benefit as consideration for his/her
violation of any law or duty.
4) Solicit, accept or agree to accept any benefit from a person that is interested
in any Capital Metro contract or transaction.
5) No Board Member or employee may receive or accept any gift or favor from a
contractor or potential contractor of Capital Metro.
6) Act as a surety for a business that has a contract with Capital Metro.
7) Disclose or use confidential information that Capital Metro has not made
public forhis/her personal benefit.
8) Use his/her official position or employment or Capital Metro's facilities,
equipment or supplies to obtain private gain or advantage.
9) Engage in any transaction or activity or incur an obligation in a business,
contract or real property transaction that would conflict with Capital Metro.
10) Fail to disclose his/her discussions of future employment with any business
interested in Capital Metro transactions.
11) Represent, for remuneration, any person in any proceeding involving Capital
Metro's interests.
12) Capital Metro Board Members,employees, and agents shall not use
their authority to unfairly influence other Board Members or other employees or agents to
perform illegal, immoral or discreditable acts.
13) Communicate details of any active Capital Metro procurement or solicitation
to any contractor or potential contractor.
14) For a period of 2 years after leaving employment, participate for a business
entity in which the employee has a substantial interest in a recommendation, bid, proposal
or solicitation in a Capital Metro contract, procurement or personnel administration matter.
15) For a period of 2 years after leaving employment, receive any pecuniary
benefit from a Capital Metro contract or procurement through the ownership of a substantial
interest, as defined in Section II, subsection 6 above, in a business entity or real property.
Page 3 of 4
CMTA STARTRAN, INC. CODE OF CONDUCT —
LEGAL -150 - #215501
SECTION V. Exceptions to Prohibitions
The Prohibitions listed above do not apply to the following:
1) A. gift or other benefit conferred, independent of the Board_Member's or
employee's relationship with Capital Metro, that is not given or received with the intent to
influence the Board Member or employee in the performance of his or her official. duties.
The Board Vice Chair or the Ethics Officer must be consulted for a determination as to
whether a potential gift falls within this exception.
2) Food, lodging, transportation in consideration for legitimate services rendered
by the Board Member or employee related to his or her official duties.
SECTION VI. Disclosure of Conflict of Interest Requirements.
1) A Board Member or employee must disclose any interest in a business, a
contract, or in real property that would confer a benefit by their vote or decision.
a) A Board Member or employee cannot participate in the
consideration of the matter subject to the vote or
decision.
b) Prior to the vote or decision, the Board Member or
employee shall file an affidavit relating to the interest in the
business, contract or real property with the Board
Vice Chair or Ethics Officer.
2) A Board Member or employee must disclose the name of a potential employer if
the prospective employer has an interest in any Capital Metro transaction upon which the
Board Member or employee may be involved.
SECTION VII. Penalties
In addition to turning over evidence of misconduct to the proper law enforcement
agency when appropriate, the following penalties may be enforced:
1) The failure of a Board Member to comply with the requirements of this policy
shall constitute grounds for censure or removal from the Board in accordance with Section
451.511 of the Texas Transportation Code.
2) The failure of an employee to comply with the requirements of this policy shall
result in disciplinary action up to and including termination.
3) The failure of an agent or contractor of Capital Metro to comply with this
policy shall be grounds for such contractual remedy as may be appropriate up to and'
including termination of the contract and debarment of the contractor.
Page 4 of 4
CGATA STARTRAN, INC. CODE OF CONDUCT —
LEGAL -150 - #215501
DATE: July 16, 2009
SUBJECT: City Council Meeting—July 23, 2009
ITEM: 10F2. Consider a resolution authorizing the Mayor to execute the Capital
Metropolitan Transportation Authority Job Access Reverse Commute Project
Grant (CapMetro JARC).
Department:
Staff Person:
Justification:
Public Works Operations
Tom Word, P.E., Chief of Public Works Operations
On May 12, 2008, the Capital Area Metropolitan Planning Organization (CAMPO) approved the
allocation of Federal funds for the City's Peak Hour Express Bus Commuter and Reverse Commuter
Service in the amount of $541,784. As a sub -recipient of Federal funding, the City must enter into a
project grant agreement with Cap Metro to be eligible to receive the funding. This agreement does not
obligate the City to fund the bus service.
Funding:
Cost: $1,006,780 (cost for 2 years of bus service)
Source of funds: General Fund, Job Access Reverse Commute Fund and Fare Box Revenue
Outside Resources:
Capital Metropolitan Transportation Authority
Capital Area Metropolitan Planning Organization
Background Information:
The remainder of the funding for the Express Bus Commuter and Reverse Commuter Service comes from
the General Fund in the amount of $237,236 and fare box revenue in the amount of $227,760. The
$1,006,780 will fund 2 years of bus service.
The bus service will provide a peak -hour job access and reverse commuter service providing access to
employment for low-income and/or disabled transit dependent individuals, and 'choice riders' between
Austin and Round Rock. The service will expand opportunities for individuals seeking work at companies,
large retailers, as well as other smaller business and commercial centers located along SH 45. The
project will also provide enhanced passenger amenities for commuters by constructing two bus shelters.
The service will also close an existing service gap, allowing transit users who live in Austin to access
employment in Round Rock and Round Rock residents to access Austin by transit.
Public Comment:
CAMPO held public hearings and accepted public comments in March, April and May of 2008.
EXECUTED
DOCUMENT
FOLLOWS
SUBRECIPIENT: City of Round Rock
JARC AGREEMENT
PROJECT/FTA GRANT AGREEMENT # TX -37-x065
SERVICE AREA: AUSTIN UZA
THE STATE OF TEXAS
THE COUNTY OF TRAVIS
§
Project Grant Agreement # TX -37-x065
CAPITAL METROPOLITAN TRANSPORATION AUTHORITY
JOB ACCESS REVERSE COMMUTE PROJECT GRANT AGREEMENT
THIS PROJECT GRANT AGREEMENT (PGA) is made by and between the Capital
Metropolitan Transportation Authority, hereinafter called "Capital Metro," and the City of
Round Rock, hereinafter called the "Subrecipient."
WITNESSETH
WHEREAS, Capital Metro is a political subdivision of the State of Texas created under
Chapter 451 of the Texas Transportation Code with the mission of providing public
transportation under the powers set forth in Chapter 451, and acts as designated recipient for
the Federal Transit Administration (FTA), 49 U.S.C. Section 5316, Job Access Reverse
Commute (JARC) funding for the Austin Urbanized Area (Austin UZA); and,
WHEREAS, the Subrecipient, as a local government public entity receiving Federal Transit
Administration Capital assistance and eligible to receive funding under the 49 U.S.C. Section
5316 JARC program, submitted a Project Proposal for financial assistance to be used to
provide transportation services; and,
WHEREAS, the Capital Area Metropolitan Planning Organization (CAMPO) Transportation
Policy Board has approved the Subrecipient's Project Proposal and,
WHEREAS, the Subrecipient has executed and adheres to the Federal Fiscal Year
Certifications and Assurances for Federal Transit Administration Assistance Programs as
required at the start of each fiscal year grant period for consideration for state and/or federal
grants; and,
NOW, THEREFORE, in consideration of the premises and of the mutual covenants hereinafter
set forth, Capital Metro and the Subrecipient hereto agree as follows:
City of Round Rock
Fed 5316 JARC Page 1 of 20
AGREEMENT
ARTICLE 1. GRANT TIME PERIOD
Project Grant Agreement # TX -37-x065
This PGA shall remain in effect until September 30, 2011, unless terminated or otherwise
modified in an Amendment. Eligible project costs incurred after March 24, 2009 are eligible for
reimbursement once this PGA becomes effective, at the latest date when fully executed by
both parties. The time period of this PGA cannot be extended past the grant time period
without exception and any costs incurred after the contract period shall be ineligible for
reimbursement.
ARTICLE 2. PROJECT DESCRIPTION
The Subrecipient shall commence, carry out and complete the public transportation project
described in the Attachment A, Approved Project Description (Attachment A), Attachment B,
Approved Project Budget (Attachment B), Attachment C, Approved Project Proposal
(Application) (Attachment C), Attachment D, Federal Fiscal Year Certifications and Assurances
for Federal Transit Administration Assistance Programs (Attachment D), Attachment E,
Department of Labor Terms and Conditions (Attachment E), Attachment F, Capital Metro Code
of Conduct Policy (Attachment F), with all practicable dispatch, in a sound, economical and
efficient manner, 49 U.S.C. Section 5316 JARC requirements, and with all applicable federal
and state laws and/or regulations.
If applicable, the Subrecipient shall begin competitive procurement procedures by issuing an
invitation for bids or a request for proposals no later than sixty (60) days after the effective date
of this grant agreement for the purchase of the approved line item(s) referenced in Attachment
B, Approved Project Budget Page (Attachment B). No later than sixty (60) days after the
issuance of public notification, the Subrecipient shall publicly open all bids or privately review
proposals. The Subrecipient shall enter into a binding agreement with a supplier no later than
thirty (30) days after the opening of an acceptable bid or proposal. The Subrecipient shall
notify Capital Metro in writing when it is necessary to exceed these deadlines.
ARTICLE 3. COMPENSATION
The maximum amount payable under this PGA without modification is $541,784 provided that
expenditures are made in accordance with the amounts and for the purposes authorized in the
Attachment A, Attachment B, and the Attachment C.
A. To be eligible for reimbursement under the PGA, a cost must be incurred and
authorized within the PGA period specified in Article 1, Grant Time Period.
B. The Subrecipient may submit requests for reimbursement to Capital Metro no more
frequently than monthly, at least once a quarter, and no later than fifteen (15) calendar
days from the end of the fiscal quarter. The Subrecipient will use invoice statements
acceptable to Capital Metro. Additional documentation to support any cost incurred during
the billing period may be required at the discretion of Capital Metro. As a minimum, each
billing must be accompanied by a summary by budget line item which indicates the total
amount authorized for each line item, previous expenditures, current period expenditures
and the balance remaining in the line item.
City of Round Rock
Fed 5316 JARC Page 2 of 20
Project Grant Agreement # TX -37-x065
C. The original and one copy of the invoice, including any supporting documentation such as
check copies, bank statements, payroll records, copies of vendor invoices, etc., as
applicable, is to be submitted to the following address:
Capital Metropolitan Transportation Authority
Finance Department
P.O. Box 6308
Austin, Texas 78762-6308
D. Capital Metro will make payment within thirty (30) days of the receipt of properly prepared
and approved requests for reimbursement.
E. The Subrecipient will submit a final billing within forty-five (45) days of the completion or
termination of the PGA in accordance with Article 1, Grant Period.
F. Because this contract provides for reimbursement of costs that have already been incurred,
it is the expectation of Capital Metro that all subcontractors and vendors will have been
paid before a request for reimbursement is submitted. If for any reason a subcontractor or
vendor has not been paid the Subrecipient shall pay that subcontractor and/or vendor for
work performed within ten (10) days after the Subrecipient receives payment for the work
performed by the subcontractor. Also, any retained monies on a subcontractor's work shall
be paid to the subcontractor within ten (10) days after the Subrecipient receives any
retainage payment. Capital Metro shall not be responsible for the debts of the Subrecipient.
The requirement of paying contractors and vendors within ten (10) days is also applicable
to all sub -tier subcontractors and the above provisions shall be made a part of all
subcontracts. Failure to comply with any of the above requirements may cause withholding
of payments to the Subrecipient and will be grounds for termination of this grant agreement
by Capital Metro.
G. The above requirements are also applicable to all sub -tier subcontractors and the above
provisions shall be made a part of all subcontracts.
H. Failure to comply with any of the above requirements may cause withholding of payments
to the Subrecipient and will be grounds for termination of this PGA by Capital Metro.
ARTICLE 4. AMENDMENTS
All PGA amendments must be executed by both parties within the grant time period specified
in Article 1, PGA Grant Time Period. The Subrecipient must notify Capital Metro in writing
before any changes to the PGA are made by describing the revision and explaining the need.
ARTICLE 5. SUBCONTRACTS
The Subrecipient shall not enter into any subcontract with individuals or organizations for the
purchase of equipment and/or to provide professional services without prior authorization and
consent to the subcontract by Capital Metro.
ARTICLE 6. AUDIT REQUIREMENTS
Subrecipient audit procedures shall meet or exceed any audit requirements outlined in Title 48,
Code Federal Regulations (C.F.R.), Federal Acquisition Regulations (FAR). Unless permitted
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otherwise by Federal statute or regulation, Subrecipient shall comply with the U.S. Office of
Management and Budget (OMB) Circular A-133 "Audits of States, Local Governments, and
Non -Profit Organizations," for non -Federal entities that expend $500,000 or more of Federal
assistance in a fiscal year. Subrecipient shall perform, if applicable, any financial and
compliance audits as required by the Single Audit Act Amendments of 1996, 31 U.S.C. 7501 et
seq., OMB Circular A-133, "Audits of States, Local Governments, and Non -Profit
Organizations," Revised, and the most recent applicable OMB A-133 Compliance Supplement
provisions for the U.S. DOT. Subrecipient shall provide a copy of the audit reports to Capital
Metro and bring to their attention any audit findings relevant to their use of FTA funds.
ARTICLE 7. STANDARDS FOR FINANCIAL ADMINISTRATION
The Subrecipient's standards for financial administration must conform to the requirements
of 49, C.F.R. Part 18.20.
ARTICLE 8. PROCUREMENT STANDARDS
Subrecipient procurement standards shall meet or exceed the requirements of 48 C.F.R., FAR,
49 C.F.R. Part 18.36, and 49 C.F.R. Part 19 including standards for competitive procurements;
methods of procurement; contracting with small and minority firms, women's business
enterprise and labor surplus area firms; contract cost and price; awarding agency review;
insurance and bonding. The Subrecipient's procurement system must include but not be
limited to the following procurement standards.
A. Procurement procedures which reflect applicable state and local laws and regulations,
provided that the procurements conform to applicable federal law and the standards
identified in this section.
B. A contract administration system which ensures that contractors perform in accordance
with the terms, conditions, and specifications of their contracts or purchase orders.
C. A written code of standards of conduct governing the performance of employees engaged
in the award and administration of contracts. No employee, officer, or agency of the
Subrecipient shall participate in selection or in the award or administration of a contract
supported by state or federal funds if a conflict of interest, real or apparent, would be
involved.
D. A process for review of proposed procurements to avoid purchase of unnecessary or
duplicative items.
E. Use of state and local intergovernmental agreements for procurement or use of common
goods and services to foster greater economy and efficiency.
F. Use of value engineering clauses in contracts for construction projects.
G. Awards made only to responsible contractors possessing the ability to perform successfully
under the terms and conditions of a proposed consideration to such matters as contractor
integrity, compliance with public policy, record of past performance, and financial and
technical resources.
H. Records sufficient to detail the significant history of procurement, including rationale for
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the method of procurement, selection of contract type, contractor selection or rejection,
and the basis for the contract price.
1. Limited use of time -and -materials contracts.
J. Use of good administrative practices and sound business judgment to settle
contractual and administrative issues arising out of procurements.
K. Protest procedures to handle and resolve disputes relating to procurements and prompt
disclosure to Capital Metro of information regarding the protest.
L. Procurement transactions conducted in a manner that provides full and open competition.
M. If equipment or real property is transferred to a Subrecipient, that equipment or real
property shall be owned and operated in accordance with the same rules and regulations
governing the ownership and operation of equipment or real property acquired with
financial assistance from Capital Metro.
N. The equipment and program provisions survive the contract duration.
ARTICLE 9. PROPERTY MANAGEMENT
Capital Metro must concur in the award of all purchase orders for non -expendable personal
property as defined in 49 C.F.R. §18.32 and §18.33. Acquisition of real property must comply
with 49 C.F.R. §18.31.
ARTICLE 10. EQUIPMENT MANAGEMENT
A. Management standards include, but are not limited to:
1. Maintaining equipment records that include a description of the equipment; a serial
number or other identification number; the source of equipment; who holds title; the
acquisition date and cost of the equipment; percentage of Federal participation in the
cost of the equipment; the location, use and condition of the equipment; maintenance
history for each vehicle; and ultimate disposition data including the date of disposal and
sale price.
2. Conducting a physical inventory of the equipment at least once every two (2) years and
reconciling the inventory with equipment records described in the preceding paragraph.
3. Developing a control system to ensure adequate safeguards to prevent loss, damage,
or theft of the equipment. Any Toss, damage, or theft shall be investigated.
4. Developing and following procedures to keep the equipment maintained and in good
condition. At a minimum, the Subrecipient shall follow the vehicle maintenance schedule
recommended by the manufacturer, showing the date the maintenance was performed.
Maintenance records shall be provided to Capital Metro upon request.
5. Requesting disposition instructions from Capital Metro, and if authorized to sell the
equipment, using proper sales procedures to ensure the highest possible return.
B. The Subrecipient will comply with FTA Circular 5010.1 D, Grant Management
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Requirements and Title 43, Texas Administrative Code §31.53 and §31.55, to protect
the public investment in real property and equipment purchased in whole or in part with
state or federal funds.
C. In the event that project equipment is not used in the proper manner or is withdrawn from
public transportation services, the Subrecipient shall immediately notify Capital Metro.
Capital Metro reserves the right to direct the sale or transfer of property acquired under this
PGA upon determination by Capital Metro that said property has not been fully or properly
used upon termination of this agreement, or as otherwise allowed by applicable rules and
regulations.
D. All vehicles purchased under this PGA shall comply with the Motor Vehicle Safety
Standards established by the US Department of Transportation and state law.
E. Irrespective of coverage by insurance, unless otherwise approved in writing by Capital
Metro, in the event of loss or damage to project property, whether by casualty or fire, the
fair market value will be the value of the property immediately before the casualty or fire.
F. The Subrecipient shall notify Capital Metro immediately of theft, wreck, vandalism or other
destruction of project -related facilities or equipment.
ARTICLE 11. COORDINATION
According to Title 43 of the Texas Administrative Code §31.49, the Subrecipient will at all times
coordinate the provision of public transportation services with other transportation operators,
both public and private, in the area. The Subrecipient will furnish Capital Metro copies of any
agreement resulting from such coordination. Agreements that authorize the payment of project
funds to another entity are subject to the approval requirements described in Article 5,
Subcontracts.
ARTICLE 12. LABOR PROTECTION PROVISIONS
The Subrecipient shall abide by the labor provisions outlined in Attachment E,
Department of Labor Terms and Conditions and any labor provisions referenced in
Attachment D, Federal Fiscal Year Certifications and Assurances for Federal Transit
Administration Assistance Programs. If applicable, the Subrecipient shall comply with
any of the labor protection provisions as listed below for the protection of employees in
the mass passenger transportation industry in the area of the project:
A. The project shall be carried out in such a manner and upon such terms and conditions as
will not adversely affect employees in the mass passenger transportation industry within the
service area of the project.
B. All rights, privileges, and benefits (including pension rights and benefits) of employees
(including employees already retired) shall be preserved and continued.
C. The Subrecipient shall be financially responsible for any deprivation of employment
or other worsening of employment position as a result of the project.
D. In the event an employee is terminated or laid off as a result of the project, he or she shall
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be granted priority of employment or reemployment to fill any vacant position for which he
or she is, or by training or retraining can become, qualified. In the event training is
required by such employment or reemployment, the Subrecipient shall provide or provide
for such training or retraining at no cost to the employee.
E. Any employee who is laid off or otherwise deprived of employment or placed in a worse
position with respect to compensation, hours, working conditions, fringe benefits, or rights
and privileges pertaining thereto at any time during his or her employment as a result of the
project, including any program of efficiencies or economies directly or indirectly related
thereto, shall be entitled to receive any applicable rights, privileges and benefits as
specified in the employee protective arrangement certified by the Secretary of Labor under
Section 405(b) of the Rail Passenger Service Act of 1970 on April 16, 1971. An employee
shall not be regarded as deprived of employment or placed in a worse position with respect
to compensation, etc., in case of his or her resignation, death, retirement, dismissal for
cause, or failure to work due to disability or discipline. The phrase "as a result of the
project" as used herein shall include events occurring in anticipation of, during, and
subsequent to the project.
F. In the event any provision of these conditions is held to the invalid or otherwise
unenforceable, the Subrecipient, the employees and/or their representatives may invoke
the jurisdiction of the Secretary of Labor to determine substitute fair and equitable
employee protective arrangements which shall be incorporated in these conditions.
G. The Subrecipient agrees that any controversy respecting the project's effects upon
employees, the interpretation or application of these conditions and the disposition of
any claim arising hereunder may be submitted by any party to the dispute including the
employees or their representative for determination by the Secretary of Labor, whose
decision shall be final.
H. The Subrecipient shall maintain and keep on file all relevant books and records in
sufficient detail as to provide the basic information necessary to the making of the
decisions called for in the preceding paragraph.
I. The Subrecipient will post, in a prominent and accessible place, a notice stating that the
Subrecipient is a recipient of federal assistance under the Federal Transit Act and has
agreed to comply with the provisions of 49 U.S.C., Section 5333(b). The notice shall also
specify the terms and conditions set forth herein for the protection of employees.
ARTICLE 13. MONITORING
A. Capital Metro will monitor the progress of the project authorized in this agreement using
appropriate and necessary inspections, including but not limited to periodic reports,
physical inspection of project facilities, telephone conversations, letters, and conferences.
B. Capital Metro shall monitor and conduct fiscal and/or program audits of the
Subrecipient and its contractors to verify the extent of services provided under the
terms of the PGA. Representatives of Capital Metro or Federal government shall have
access to project facilities and records at all reasonable times.
ARTICLE 14. REPORTS
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A. The Subrecipient shall submit written or electronic reports at intervals and in a format
prescribed by Capital Metro.
1. Quarterly Report -No later than twenty (20) calendar days after the end of the quarter,
for which the report is made, the Subrecipient shall submit an activity report to Capital
Metro. At a minimum, the quarterly report will include the number of vehicles in
operation; total unlinked passenger trips; total miles traveled; total expenses, including
administrative and operating expenses; revenue, including fares and donations,
operating expense per vehicle revenue mile; operating expense per unlinked passenger
trip; and number of unlinked passenger trips per revenue mile traveled. Capital Metro
may require more frequent operating reports for reasons of its own, or if the
Subrecipient does not provide the reports in a timely manner or if the reports indicate
unfavorable trends.
2. Status of Procurements -If the grant includes the purchase of vehicles or other capital
equipment, the Subrecipient shall submit a quarterly report consisting of a brief narrative
including but not limited to procurement milestones, including date of purchase order,
vendor name and location, and estimated delivery date.
3. Status of Construction -If the grant includes construction, the Subrecipient shall submit
quarterly narrative reports which include but are not limited to the progress of
construction.
B. Regardless of the type of assistance included in the grant, the Subrecipient shall promptly
advise Capital Metro in writing if at any time the progress of the project will be negatively
or positively impacted, including:
1. Problems, delays or adverse conditions that will materially affect the Subrecipient's
ability to attain program objectives, prevent the meeting of time schedules and goals, or
preclude the attainment of project work units by established time periods. This
disclosure shall be accompanied by a statement of the action taken, or contemplated,
by the Subrecipient and any Capital Metro assistance needed to resolve the situation.
2. Favorable developments or events that will enable the Subrecipient to meet time
schedules and goals sooner than anticipated or produce more work units than originally
projected.
C. Every two (2) years, or more frequently when instructed by Capital Metro, the
Subrecipient shall conduct a physical inventory of grant -supported property as set
forth in Article 9, Equipment Management, and furnish Capital Metro a copy of the
inventory.
D. The Subrecipient shall maintain written maintenance records for each grant -supported
vehicle, and shall make such records available to Capital Metro upon request.
ARTICLE 15. DISPUTES AND REMEDIES
A. The Subrecipient shall be responsible for the settlement of all contractual and
administrative issues arising out of procurements entered in support of the PGA.
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B. Any dispute concerning the work hereunder, additional costs, or any other non -
procurement issue shall be submitted for resolution by informal mediation, in accordance
with the requirements of the Governmental Dispute Resolution Act, Chapter 2009,
Government Code, unless the subject matter applies under Title 43, Texas Administrative
Code §9.2.
C. This agreement shall not be considered as specifying the exclusive remedy for any default,
but all remedies existing at law and in equity may be availed of by either party and shall be
cumulative.
ARTICLE 16. TERMINATION
A. Either Capital Metro or the Subrecipient may terminate the PGA by giving thirty (30) days
written notice for reasons of its own and not subject to the approval of the other party. In
the event of termination for convenience, neither Capital Metro nor the Subrecipient shall
be subject to additional liability except as otherwise provided in this agreement.
B. If both parties to this PGA agree that the continuation would not produce beneficial
results commensurate with the further expenditure of funds, the parties shall agree upon
the termination conditions, including the effective date. In the event that both parties
agree that resumption of the PGA is warranted, a new PGA must be developed and
executed by all parties.
C. Capital Metro may terminate this PGA at any time before the date of completion
whenever it is determined that the Subrecipient has failed to comply with the conditions
of the PGA. Additionally, if Capital Metro notifies the Subrecipient of a major deficiency
and the Subrecipient does not respond in the manner required by Capital Metro, Capital
Metro will immediately terminate the PGAs, and direct the disposition of equipment
purchased with grant funds, or both.
D. Upon termination of this PGA, whether for cause or at the convenience of the parties
hereto, title to all property and equipment remains with the Subrecipient subject to the
obligations and conditions set forth in this PGA and 49 C.F.R. §18.31 and §18.32, unless
the state or federal funding agency issue disposition instructions to the contrary.
E. In the event of termination, Capital Metro may compensate the Subrecipient for those
eligible expenses incurred during the grant periods that are directly attributable to the
completed portion of the grant covered by the PGA, provided that the grant has been
completed in accordance with the terms of the PGA. The Subrecipient shall not incur
new obligations for the terminated portion after the effective date of termination.
F. Except with respect to defaults of subcontractors, the Subrecipient shall not be in
default by reason of any failure in performance of this PGA in accordance with its terms
(including any failure by the Subrecipient to progress in the performance of the work) if
such failure arises out of causes beyond the control and without the default or
negligence of the Subrecipient. Such causes may include but are not limited to acts of
God or of the public enemy, acts of the Government in either its sovereign or
contractual capacity, fires, floods, epidemics, quarantine restrictions, strikes, freight
embargoes, and unusually severe weather. In every case, however, the failure to
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perform must be beyond the control and without the fault or negligence of the
Subrecipient.
ARTICLE 17. DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM
REQUIREMENTS FOR PUBLIC TRANSPORTATION CONTRACTS
It is the policy of the United States Department of Transportation (USDOT) that
Disadvantaged Business Enterprises (DBE) as defined in 49 C.F.R. Part 26 shall have the
opportunity to participate in the performance of contracts financed in whole or in part with
federal funds. Consequently, the DBE and Capital Metro's DBE program requirements of 49
C.F.R. Part 26 apply to this contract as follows:
A. The Subrecipient and any subcontractor will strive to meet the annual DBE goal by
offering DBEs, as defined in 49 C.F.R. Part 26, Subpart A, the opportunity to compete
fairly for contracts and subcontracts. DBE participation shall be reported monthly.
B. The Subrecipient and any subcontractor shall not discriminate on the basis of race,
color, national origin or sex in the award and performance of contracts.
C. These requirements shall be physically included in any subcontract.
D. Failure to carry out the requirements set forth above shall constitute a material
breach of this contract and may, after the notification of Capital Metro, result in
termination of the contract by Capital Metro or other such remedy as Capital Metro
deems appropriate.
ARTICLE 18. PROHIBITED ACTIVITIES
In accordance with this PGA, the Subrecipient, including any member, employee, agent, or
contractor shall adhere to Capital Metro's Code of Conduct Policy identified in Attachment F,
and any prohibited activities identified in Attachment D, Federal Fiscal Year Certifications and
Assurances for Federal Transit Administration Assistance Programs. Failure on the part of the
Subrecipient to adhere to this policy and requirements may result in the termination of this
PGA.
ARTICLE 19. OPEN MEETINGS
If applicable, the Subrecipient will comply with Texas Government Code, Chapter 551, which
requires all regular, special or called meetings of governmental bodies to be open to the public,
except as otherwise provided by law or specifically permitted in the Texas Constitution.
ARTICLE 20. INDEMNIFICATION
A. To the extent permitted by law, the Subrecipient shall indemnify and save harmless Capital
Metro from all claims and liability due to activities of its agents, employees or volunteers
performed under this agreement and which result from an error, omission, intentional,
reckless, or negligent act of the Subrecipient or of any person employed by the
Subrecipient.
B. To the extent permitted by law, the Subrecipient shall also save harmless Capital Metro
from any and all expenses, including attorney fees, which might be incurred by Capital
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Metro in litigation or otherwise resisting said claim or liabilities which might be imposed
on Capital Metro as a result of activities by the Subrecipient, its agents, employees or
volunteers.
C. The Subrecipient acknowledges that it is not an agent, servant or employee of Capital
Metro and that it is responsible for its own acts and deeds and for those of its agents,
employees or volunteers during the performance of the PGA.
ARTICLE 21. COMPLIANCE WITH LAWS
The Subrecipient shall comply with all federal, state and local laws, statutes, ordinances, rules
and regulations, and the orders and decrees of any courts or administrative bodies or tribunals
in any matter affecting the performance of this grant, including without limitation workers'
compensation laws, minimum and maximum salary and wage statutes and regulations,
nondiscrimination laws and regulations, licensing laws, regulations, and the Texas Uniform
Grant Management Standards. When required, the Subrecipient shall furnish Capital Metro
with satisfactory proof of compliance therewith.
ARTICLE 22. NONCOLLUSION
The Subrecipient warrants that it has not employed or retained any company or person, other
than a bona fide employee working for the firm, to solicit or secure this grant, and that it has
not paid or agreed to pay any company or person, other than a bona fide employee, any fee,
commission, percentage, brokerage fee, gift or any other consideration contingent upon or
resulting from the award or making of this grant. If the Subrecipient breaches or violates this
warranty, Capital Metro shall have the right to annul this agreement without liability or, in its
discretion, to deduct from the grant price or consideration, or otherwise recover, the full
amount of such fee, commission, brokerage fee, gift, or contingent fee.
ARTICLE 23. CIVIL RIGHTS
A. Nondiscrimination -In accordance with Title VI of the Civil Rights Act, as amended, 42
U.S.C. §2000d, section 303 of the Age Discrimination Act of 1975, as amended, 42 U.S.C.
§6102, section 202 of the Americans with Disabilities Act of 1990,42 U.S.C. §12132, and
federal transit law at 49 U.S.C. §5332, the Subrecipient agrees that it will not discriminate
against any employee or applicant for employment because of race, color, creed, national
origin, sex, age, or disability. In addition, the Subrecipient agrees to comply with applicable
federal implementing regulations and other implementing requirements FTA may issue.
B. Equal Employment Opportunity -The following equal employment opportunity
requirements apply to the underlying contract:
1. Race, Color. Creed, National Origin. Sex -In accordance with Title VII of the Civil Rights
Act, as amended, 42 U.S.C. §2000e, and federal transit laws at 49 U.S.C. §5332, the
Subrecipient agrees to comply with all applicable equal employment opportunity
requirements of U.S. Department of Labor (US. DOL) regulations, "Office of Federal
Contract Compliance Programs, Equal Employment Opportunity, Department of Labor,"
41 C.F.R. Parts 60 et seq ., (which implement Executive Order No. 11246, "Equal
Employment Opportunity," as amended by Executive Order No. 11375, "Amending
Executive Order 11246 Relating to Equal Employment Opportunity," 42 U.S.C. §2000e
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note), and with any applicable federal statutes, executive orders, regulations, and
federal policies that may in the future affect construction activities undertaken in the
course of the Project. The Subrecipient agrees to take affirmative action to ensure that
applicants are employed, and that employees are treated during employment, without
regard to their race, color, creed, national origin, sex, or age. Such action shall include,
but not be limited to, the following: employment, upgrading, demotion or transfer,
recruitment or recruitment advertising, layoff or termination; rates of pay or other forms
of compensation; and selection for training, including apprenticeship. In addition, the
Subrecipient agrees to comply with any implementing requirements FTA may issue.
2. In accordance with section 4 of the Age Discrimination in Employment Act of 1967, as
amended, 29 U.S.C. §623 and federal transit law at 49 U.S.C. §5332, the Subrecipient
agrees to refrain from discrimination against present and prospective employees for
reason of age. In addition, the Subrecipient agrees to comply with any implementing
requirements FTA may issue.
3. Disabilities -In accordance with section 102 of the Americans with Disabilities Act, as
amended, 42 U.S.C. §12112, the Subrecipient agrees that it will comply with the
requirements of U.S. Equal Employment Opportunity Commission, "Regulations to
Implement the Equal Employment Provisions of the Americans with Disabilities Act," 29
C.F.R. Part 1630, pertaining to employment of persons with disabilities. In addition, the
Subrecipient agrees to comply with any implementing requirements FTA may issue.
C. The Subrecipient also agrees to include these requirements in each subcontract financed in
whole or in part with federal assistance provided by FTA, modified only if necessary to
identify the affected parties.
ARTICLE 24. NONDISCRIMINATION ON THE BASIS OF DISABILITY
The Subrecipient agrees that no otherwise qualified person with disability(s) shall, solely by
reason of his/her disability, be excluded from participation in, be denied the benefits of, or
otherwise be subject to discrimination under the project. The Subrecipient shall ensure that all
fixed facility construction or alteration and all new equipment included in the project comply
with applicable regulations set forth at 49 C.F.R. Part 27, Nondiscrimination on the Basis of
Handicap in Programs and Activities Receiving or Benefiting from Federal Financial
Assistance, and the Americans with Disabilities Act.
ARTICLE 25. PROGRAM INCOME
A. Except for income from royalties and proceeds from the sale of real property or
equipment, the Subrecipient shall retain program income and apply such income to
allowable capital or operating expenses. If federally funded, Program Income from
royalties and proceeds from sale of real property or equipment shall be handled as
specified in Federal Provisions.
B. The Subrecipient shall comply with standards governing the receipt and application of
program income as set forth in 49 C.F.R. §18.25, Program Income. Program income
means gross income received by the Subrecipient directly generated by a grant supported
activity, or earned only as a result of this PGA during the time period specified in Article 1,
Grant Time Period.
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C. Program income includes income from fees for services performed, from the use or rental
of real or personal property acquired with grant funds, from the sale of commodities or
items fabricated under a PGA, and from payments of principal and interest on loans made
with grant funds. Except as othetwise provided in federal regulations, program income does
not include interest on grant funds, rebates, credits discounts, refunds, etc, and interest
earned on any of them..
ARTICLE 26. SUCCESSORS AND ASSIGNS
The Subrecipient binds themselves, their successors, assigns, executors and administrators in
respect to all covenants of this agreement. The Subrecipient shall not sign, sublet or transfer
their interest in this agreement without the written consent of Capital Metro.
ARTICLE 27. LEGAL CONSTRUCTION
In case any one or more of the provisions contained in this agreement shall for any reason be
held to be invalid, illegal or unenforceable in any respect, such invalidity, illegality or
unenforceability shall not affect any other provision thereof and this agreement shall be
construed as if such invalid, illegal or unenforceable provision had never been contained
herein.
ARTICLE 28. PRIOR AGREEMENTS
This agreement constitutes the sole and only agreement of the parties hereto and supersedes
any prior understandings or written or oral agreements between the parties respecting the
public transportation grant specifically authorized and funded under this agreement.
ARTICLE 29. INCORPORATION OF PROVISIONS
Attachments are attached hereto and incorporated into this contract as if fully set forth herein.
The Subrecipient agrees to abide by all the general terms and conditions identified in the PGA,
Federal Fiscal Year Certifications and Assurances identified in Attachment D, Department of
Labor Terms and Conditions in Attachment E, and Capital Metro Code of Conduct Policy
in Attachment F.
ARTICLE 30. SIGNATORY WARRANTY
The undersigned signatory for the Subrecipient hereby represents and warrants that he or she
is an officer of the organization for which he or she has executed this agreement and that he or
she has full and complete authority to enter into this agreement on behalf of the organization.
IN TESTIMONY WHEREOF, the parties hereto have caused these presents to be executed in
duplicate counterparts.
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Project Grant Agreement # TX -37-x065
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List of Attachments
A - Approved Project Description
B - Approved Project Budget
C - Approved Project Proposal (Application)
D - Federal Fiscal Year Certifications and Assurances for Federal Transit Administration
Assistance Programs
E - Department of Labor Terms and Conditions
F - Capital Metro Code of Conduct Policy
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ATTACHMENT A
APPROVED PROJECT DESCRIPTION
The City of Round Rock, a public local government entity, to implement a peak -hour job
access and reverse commuter service providing access to employment for low-income and/or
disabled transit dependent individuals, and `choice riders' between Austin and Round Rock.
The service will expand opportunities for individuals seeking work at companies, large retailers,
municipalities, as well as other smaller business and commercial centers located along the
service corridor. The project will also provide enhanced passenger amenities for commuters by
constructing two bus shelters. The service will also close a non -existing service gap, allowing
transit users who live in Austin to access employment in Round Rock and Round Rock
residents to access Austin by transit.
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ATTACHMENT B
APPROVED PROJECT BUDGET
Total Project Cost: $1,006,780
Net Project Cost: $779,020
Total Capital: $507,580
Capital Assistance for Operating
ALI Code: 11.71.12 — Capital Cost of 3rd Party Contracting
80% = JARC Federal: $399,360
20% = local match: $99,840
Round Rock to contract service, by means of a turnkey contract (80% of 50%), to
provide a peak -hour job access commute and reverse commute bus service between
Austin and Round Rock, where no service exists, which will provide access to jobs for
low income and/or disabled transit dependent, and 'choice riders' per their attached
approved project proposal.
Capital Assistance
ALI Code: 11.93.02 — Bus Shelter Transit Enhancements
80% = JARC Federal: $6,704
20% = local match: $1,676
Round Rock to construct 2 -bus shelters to provide enhanced job access and reverse
commuter passenger amenities as referenced in their attached approved project
proposal.
Total Operating: $271,440
Operating Assistance
ALI Code: 30.09.01 — Operating Assistance
50% = JARC Federal: $135,720
50% = local match: $135,720
Round Rock's operating costs associated with providing job access commute and
reverse commute services between Austin and Round Rock amenities as referenced in
their attached approved project proposal.
Total JARC Federal Funds: $541,784
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ATTACHMENT C
APPROVED PROJECT PROPOSAL (APPLICATION)
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APPLICATION CHECK OFF SHEET
Application submittal should include the following.
[X] Body of Application (Required). Fill out Parts II, III and IV of the application following
the instructions for each section and question.
See Application for JARC Funds
[X] Letters of Support/Commitment (Required). Attach letters of support or commitment
from project sponsors and others. Letters from sponsors should indicate their level of
commitment, implementation role, and whether they have approved any funding resources or
staffing for the project.
See Attachment F: Letters of Support
See Attachment H: Letter of Commitment
[X] Map clearly indicating service area or route. (If applicable) Attach a map at the
appropriate scale which indicates the geographic area that would be served by the project, or
any routes described under your answer to III.F. Geographic Area.
See Attachment A: Proposed Route Map
[X] Additional Supporting Materials (If applicable). Include any supporting materials you
reference in the body of your application. In addition, you may also include supporting
materials that provide additional context for the project, such as annual reports for the
sponsoring organization, locally adopted ordinances supporting the project, strategic plans,
etc.
See Attachment B: Calculation of Round Rock JARC Capital Cost of Contracting
Operating Cost
See Attachment C: Round Rock Transit Survey
See Attachment D: Employment Concentration Along SH 45 Corridor
See Attachment E: Statutory Language
See Attachment G: Performance Calculations
See Attachment I: Article
[X] Application packet should include:
[X] 5 hard copies of application and supporting materials.
[X] 1 electronic copy of application and all supporting materials. (Electronic copies can be
included on a CD, or may be e-mailed c/o stevie.greathouse(c�campotexas.org)
CITY OF ROUND ROCK
APPLICATION FOR JARC FUNDS
THROUGH THE
CAPITAL AREA METROPOLITAN PLANNING
ORGANIZATION
APPLICATION FOR JARC FUNDS
PART II. Applicant(s)
II.A. Project Sponsors
Please indicate in the spaces below the project sponsor(s). For each sponsor identified, please
include a letter of support or commitment from the agency documenting their interest in being a
project sponsor.
Sponsor/Address
Agency Type
Implementation Role (e.g.
operator, contract manager)
City of Round Rock
221 East Main Street
Round Rock, Texas 78664
[X]Public
I—Non-Profit
❑Private
Contract Manager
II.B. Primary Point of Contact
Include contact information for the staff member who will be the primary point of contact for
this application.
Name: David Bartels
Organization: City of Round Rock
Address: 2008 Enterprise Drive
Round Rock, TX 78664
Phone Number: (512) 671-2760
E -Mail Address: dbartels@round-rock.tx.us
PART III. Project Description
III.A Project Title
The City of Round Rock Peak Hour Express Bus Commuter and Reverse Commuter Service.
III.B Brief Project Description. (Please limit description to the space provided).
The City of Round Rock proposes to implement a peak -hour commute/reverse commute service
between the Capital Metropolitan Transportation Authority (Capital Metro) Park & Ride at Tech
Ridge, major Round Rock employment centers along the SH 45 corridor, and downtown Round
Rock. Currently, there is no transit link between the Capital Metro service area and Round Rock.
The proposed service will close this gap, allowing transit users who live in Austin to access
employment in Round Rock and Round Rock residents to access Austin by transit.
The service will operate from Monday through Friday from 5:15 am to 9:00 am and 3:30 pm to
8:30 pm. Reverse commute riders will access the service at the Tech Ridge Park & Ride lot. One
route will serve employment centers along corridor of SH 45 and another will serve downtown
Round Rock. Commuters from Round Rock to Austin will access the service at either the
Municipal Office Complex (MOC) Park & Ride in downtown Round Rock or the SH 45 Park &
Ride, located at the intersection of IH 35 and SH 45. The proposed plan will provide service to
both "choice riders" commuters, as well as lower income and transit dependent individuals.
III.0 Funding Program
Select the grant funds you are applying for (refer to Part I, Instructions and Guidance for a
description of each funding program and eligibility.)
[X]Job Access/Reverse Commute ❑New Freedom ❑Both Programs
Please describe how the project furthers the goals of the FTA Job Access/Reverse Commute
and/or FTA New Freedom Program in the space below: (please limit description to the space
provided)
The proposed reverse commute service will provide Austin residents who are "choice riders," low-
income, and/or disabled access to employment in Round Rock. The result will be expanded
opportunities for individuals seeking work at companies such as Dell (the largest employer in
Round Rock); Sears TeleServe (an employment center for people who are blind); Prologis
Business Park (including the following businesses: Celerity, Michaelangelos Food Processing,
Dresser Wayne, Accretech, Mag Rabbit, KoMiCo), large retailers such as Target, Wal-Mart, HEB,
Sam's Club Shopping Center, as well as other smaller business and commercial centers located
along the SH 45 corridor.
IIID Project Type
['Capital Only ['Capital and Operating Expenses
[X] Operating Expenses Only [Other (describe)
III.E Who Would Primarily Be Served By The Project
Please describe in the space below which users would primarily benefit from the project (i.e.
individuals with disabilities, medical clients, elderly individuals, welfare recipients, etc.).
(Please limit description to the space provided).
Low Income Workers living both within Round Rock and reverse -commuting from Austin:
There are approx. 420 places of employment within the SH 45 corridor. Approximately 154 of
these are retail establishments where workers earn an average of $23,750 annually. This is slightly
above a living wage for single individual of $9.79 an hour.1 Reverse Commuters from Austin to
Round Rock: The City conducted a survey of its major employers. Of the 412 respondents that
live in Austin and work in the Round Rock area, 198 indicated that they would take transit from
the Tech Ridge Park & Ride to their place of employment. "Choice riders" as well as many
transit dependent people with lower paying retail jobs along the corridor will use the service.
III.F Geographic Area Served
In the space below, generally describe the geographic area that would be served by the project.
Please describe the service area, and if applicable, any routes or particular origins or destinations
to be served. If specific routes, origins, or destinations have not yet been identified, please
describe the process that will be used to evaluate and select them based on need. (Include a map
in the supporting materials. Please limit description to the space provided). (See Attachment A:
Proposed Route Map).
1 "420 Establishments" 2006 La Frontera 1,3, and 5 Mile Demographic Study." Approximately 154 of these are retail
establishments where workers earn an average of $23,750 annually. This is slightly above a living wage for single individual of
$9.79 an hour." 2005 Zip Code Business Patterns; and 2005 County Business Patterns
The service area is characterized as General Commercial. Uses include large and small retail,
small manufacturing, corporate headquarters, municipal services, and financial/insurance services.
The service is composed of a north/south route and an east/west route. The north/south route will
originate at the Round Rock Municipal Office Complex, proceed south along the IH 35 corridor,
and terminate at the Capital Metro Tech Ridge Park & Ride. At this time, no additional stops have
been identified but the route will interface with the east/west route at the SH 45 Park & Ride.
Employment centers served by this route include municipal office buildings in the downtown
area.
The East/West route will originate at the Tech Ridge Park & Ride, proceed north along IH 35 to
the SH 45 Park & Ride, where it begins a loop extending from Arterial "A" on the east to La
Frontera Drive on the west. Employment centers served by this route include Target Retail
Center; HEB Retail Center; Sear's TeleServe; Dell Campus; Wal-Mart Retail Center; Lowe's (La
Frontera), and Prologis Business Park.
III.G Project Cost And Funding Sources
Please describe below the total estimated cost of the project, the amount of Federal funding being
requested, the total non -Federal match funding, and the anticipated funding sources of the non -
Federal match. For Operations projects also describe the Net Operations Cost. (Non -Federal
cost participation is required for all projects using JARC/New Freedom funds. The minimum
commitment is 20% of the project cost for Capital projects, and 50% of the net cost of operations
for Operations projects. The match requirement may be met by other Federal funds if they come
from a source other than USDOT, such as HHS.)
1 a Total Project Cost
1 b Net Cost of Operations2
2 Federal JARC/New Freedom funds requested
3 Total local match (must be a minimum of 20% total project cost for
capital projects/ 50% net cost of operations for operations). (See
Attachment B: Calculation of Round Rock JARC Capital Cost of
Contracting Operating Cost).
Funding Source of Local Match:
2 "Net cost of operations" should exclude operations costs anticipated to be recovered through fares.
$1,006,780
$770,640
$541,784
$237,236
Amount by
Source:
General Fund (Budget approved up to $250,000)
$228,856
General Fund (Shelters)
$8,380
III.H Project Budget
Please provide a detailed, itemized budget for the project by year using budget worksheet on the
next page. Attach additional supporting information as needed. Please note that Fiscal Year
2008 begins on October 1, 2007. Total cost on the budget worksheet should add up to the same
figure being shown for total project cost under III.G, above. If you compete successfully for the
funds, you may be asked to provide further breakdown of your project budget.
JARC/NF Budget Worksheet's
1. Capital Costs
Description
FY 2008
FY 2009
FY 2010
FY 2011
and beyond
Shelters (2)
$8,380
$
$
$
Other Direct Costs
$
$
$
$
Indirect Costs
$
$
$
$
Maintenance/repairs
$
$
$
$
$
$
$
$
2. Administrative Costs
Description
FY 2008
FY 2009
FY 2010
FY 2011
and beyond
Personnel
$
$
$
$
Other Direct Costs
$
$
$
$
Indirect Costs
$
$
$
$
3. Operating Costs
Description
FY 2008
FY 2009
FY 2010
FY 2011
and beyond
Personnel
$
$
$
$
Fringe Benefits
$
$
$
$
Fuel/Oil
$
$
$
$
Maintenance/repairs
$
$
$
$
3 Applicants are strongly encouraged to submit projects for consideration that would be completed prior to FY 2011.
Vehicle Insurance
$
$
$
$
Vehicle Storage
$
$
$
$
Space/Utilities
$
$
$
$
Licensing
$
$
$
$
Driver Training
$
$
$
$
Subcontracts: Private, full turnkey
$499,200
$499,200
$
$
Miscellaneous
$
$
$
$
4. Other Costs — N/A
Description
FY 2008
FY 2009
FY 2010
FY 2011
and beyond
$1,006,780
$
$
$
$
$
'$
$
$
$
$
$
$
5. Total Costs All Years
Total (2008-2011)
FY 2008
FY 2009
FY 2010
FY 2011
and beyond
$1,006,780
$507,580
$499,200
$
$
Part IV. Project Evaluation Criteria (100 points total)
The proposed project will be evaluated based on its ability to address each of the following
criteria. Please briefly address each of the criteria in the space provided. Applicants are
encouraged to attach any available documentation supporting the answers provided.
IV.A Benefit (20 points)
In the space below describe how this project will establish, preserve and/or improve public
transportation mobility and access within the region. In particular, describe how the project will
benefit individuals with disabilities, low income individuals, or welfare recipients, or how the
project will connect residents of the urbanized area with suburban job sites. Please provide an
estimate of the total number of users who would benefit from the project. (Please limit
description to the space provided).
The proposed service will benefit Reverse Commuters from Austin to Round Rock. These
commuters will include low-income and disabled individuals. As mentioned previously, the
proposed service will close the gap between the Capital Metro system and Round Rock by
providing a link from the Tech Ridge Park & Ride to major employers located along the SH 45
corridor and downtown Round Rock.
It is estimated that 216 passengers will use the service daily (or 438 trips). This conservative
estimate is based on the following:
1) The Round Rock Chamber of Commerce conducted a survey in which 198 respondents who
live in Austin and work in Round Rock indicated that they would take transit to work if a service
was available. Similarly, 97 respondents who live in Round Rock said they would use the service
to access employment in Austin. (See Attachment C: Round Rock Transit Survey)
2) The employment concentration within the proposed service corridor is estimated to be 16,926.
Applying the 2.27 percent modal split for transit use within the Austin -Round Rock area, this
equates to a potential 384 transit users, or 768 daily trips. (See Attachment D: Employment
Concentration Along SH 45 Corridor).
3) Earlier Round Rock studies (Public Transportation Master Plan, City of Round Rock, June
2005 and Williamson County Public Transportation Planning Study, 2003) confirm a need for
transit. Although the current service plan does not mirror the service model presented within the
Public Transportation Master Plan, the potential transit trip estimates for origins and destinations
in the study area ranged from 459 to 643 daily.
IV.B. Sustainability (10 points)
In the space below describe how this project will be sustained after the grant funding is
expended. In particular, describe whether there is long term funding commitment from another
source/sources, or what proactive efforts will be undertaken to ensure continuation of the project
at the end of the grant period. (Please limit description to the space provided).
There are two strategies that will be pursued to identify funding sources to sustain the service.
First, Round Rock is included in the Austin Large Urban Metropolitan Area and collects a portion
of the 5307 funding for the area, but cannot use these funds to support operating costs based on
Urban 5307 rules. However, preliminary discussions have explored the potential of establishing
Round Rock as a small urban provider within the large urban designation to allow the use of these
funds for operating expenses to support this service. A similar designation has been received by
Harris County through the insertion of statutory language in the SAFETEA-LU and a similar
designation may be pursued by Round Rock using similar language. While this approach has not
formally vetted with key stakeholders, during informal discussions with Capital Metro, some staff
members have expressed an interest in comprehensively examining this approach and its potential
benefits/costs to the region. Second, the City will market the service to benefitting businesses and
ask them to contribute toward the operating cost. (See Attachment E: Statutory Language).
IV.0 Coordination and Partnerships (20 points)
In the space below describe how the project will be coordinated with other efforts and will
leverage partnerships. (Please limit description to the space provided).
Currently, CARTS is the transportation provider for demand response service to Round Rock. If
Round Rock is successful in this proposal, it will issue an RFP for the service. The City of Round
Rock will contract with the provider that can provide the highest value most cost effectively. The
proposed budget assumes that this will be a private provider and that the contract will be eligible
for Capital Cost of Contracting. However, if CARTS is more cost effective, the City will extend
its contract with that agency to provide this service. In this case, it may mean a more effective
utilization of CART vehicles and assets.
State agencies whose clients could potentially benefit from the service include the Department of
Aging and Rehabilitative Services (DARS), the Texas Commission for the Blind, and the
Texas Workforce Commission. The City has included letters of support from the Texas
Workforce Commission and among other entities that could benefit from the proposed service.
(See Attachment F: Letters of Support). Should the proposal earn funding, the City will include
these agencies as part of their marketing efforts, with the goal to secure some level of funding
from these agencies.
IV.D Interconnectivity (15 points)
In the space below describe how the project will build on or connect with the existing system of
fixed route public transportation, medical transportation services, and special transit services in
the Capital Area; or how the project will connect to existing large employers or service
providers. (Please limit description to the space provided)
The proposed project will interface with several Capital Metro fixed -routes during its AM and PM
stops at the Tech Ridge Park & Ride. Capital Metro, due to its commitment to transit
cooperation, has offered to make available a bus bay for Round Rock's commuter shuttles.
Passengers interested in travel to Downtown Austin will have the option of catching Capital
Metro Routes 1L, 1M, 392, 135, and 935, while passengers requiring access to Round Rock will
have two route options. One will provide non-stop service to the MOC. The second will provide
service to the SH 45 corridor. Connectivity to SH 45 is critical since this corridor supports many
of Round Rock's largest employers. While the proposed project will connect to Capital Metro, it
is important to note that passengers will be subject to fares incurred by riding both systems.
IV.E Implementation of Capital Area Regional Transit Coordination Plan (10 points)
In the space below describe how the project will support the goals of the Capital Area Regional
Transit Coordination Plan, further one of the action items, or overcome a gap/barrier that was
identified as part of the planning process. Describe which Plan Goals or Action Items will be
supported by the project. (Visit http://www.capitalareaRTCC.org to download a copy of the
plan.) (please limit description to the space provided)
The proposed service will support the following Action Item: Expand Network of Shared Stops,
Transfer Points and Park -and -Ride Opportunities (Priority 3 under Operating Practices, page 31).
Per the plan, it will addresses the following goals: Preserve and expand transportation services for
the public; Maintain and improve the quality of transportation services for the public; Reduce the
duplication of transportation services for the public; Increase public awareness of
mobility/improve access to transportation; Address funding, regulatory, programmatic and
geographic barriers; and Further the state's efforts to reduce air pollution.
IV.F Cost Effectiveness (15 points)
In the space below describe how the project will be cost effective by leveraging resources or
minimizing total project costs. (The project will be evaluated based on the answer provided as
well as an analysis of the relationship between project cost and anticipated benefit.)
The proposed service does not duplicate existing transit service and will be provided only during
peak periods, along a corridor with the highest employment concentration. The strategy is to
provide a higher bus level of service with greater frequency rather than provide expanded
coverage with a lower frequency of service.
The estimated cost per trip is $4.38. This is above the national average of $2.80, but this is a start-
up service and the estimate is based on a conservative estimate of trips. Applying the census -
based modal split of 2.27% to the corridor's employment base of 16,926, a more aggressive
estimate of 768 trips is derived. If the service grows so that it also reflects this regional trend, this
would result in a cost per trip of $2.50 - less than the national average. Operating expense per
revenue hour is $80, the assumed cost per hour of service for a private provider. This is below the
national average of $98.70 per revenue hour. Operating expense per estimated revenue mile is
$5.33. This is also below the national average of $7.80 per revenue mile. (See Attachment G:
Performance Calculations).
IV.G Budget and Project Implementation (10 points)
In the space below describe how the project will be developed based on a reasonable and realistic
budget and work tasks. (The project will be evaluated based on the answer provided as well as
an analysis of the budget submitted.)
The City of Round Rock will finalize the route and service plan using its share of Section 5307
funding and local support; the City is not requesting JARC funding for this effort. At this time, the
following tasks are needed to complete the proposed service plan:
Task 1: Finalize Park & Ride and route plan for circulator (Days 1-60)
Task 2: Develop RFP for service (Days 61-90)
Task 3: Advertise RFP; and collect response proposals (Days 91-150)
Task 4: Evaluate RFP and develop short list (Days 151-180)
Task 5: Schedule interviews and conduct contract negotiations (Days 181-241)
Task 6: Procure and install bus shelter at park-and-ride locations (Days 211-301)
This equates to an 11 month schedule. Assuming that funding is made available in January,
service should begin in December 2008.
ATTACHMENT A: PROPOSED ROUTE MAP
EXPRESS COMMUTER ROUTE #1
TX Guarante
Student Loan
La Frontera
Wal rt
Dell
Target
•
SH 45 P&R
Accretech
Celerity
Dresser Wayne
Harte-Hanks
Jewerly Channel
Komico
MagRabbit
Michael Angeles Foods
Symmetricon
I A
METRO
H -E -B
Sears
Teleserve
s‘‘ A5
Legend
Austin Streets
Round Rock Streets
Round Rock Buildings
amiliemmos Express Commuter
Route #.1
Tech Ridge P&R
0
015
1
2 Miles
A-1
ATTACHMENT A: PROPOSED ROUTE MAP
EXPRESS COMMUTER ROUTE #2
Municipal Office Complex •
Legend
Austin Streets
Round Rock Streets
Round Rock Buildings
Express Commuter
Route #2
Tech Ridge PMR
METRO
N
0
0.5
1
2 Miles
A-2
ATTACHMENT B: CALCULATION OF ROUND ROCK JARC CAPITAL COST OF CONTRACTING OPERATING
COST
Operating Cost
Less Fares
Net Operating Cost
CCC Part 1
CCC Part 2
Less Fares
$ 499,200 24 hours of service daily; 260 days annually at $80/hour
$ 113,880 438 trips daily; 260 days annually at $1.00/trip
$ 385,320
$ 249,600
$ 199,680
$ 249,600
$ 113,880
$ 135,720
$ 67,860
Federal Eligible CCC $ 267,540
Total Project Cost
Fares
Net Project Cost
Shelter Cost
JARC Funds
Requested
Local Share
1 year
$ 499,200
$ 113,880
$ 385,320
$ 8,380
$ 270,892
$ 118,618
50 percent of total operating cost (program supports operating costs)
capital portion at 80% reimbursement
50 percent of net operating cost
Tess fares
net operating portion
net operating portion at 50% reimbursement
2 year
$
$
$
$
998,400
227,760
770,640
0
3 year
$ 1,497,600
$ 341,640
$ 1,155,960
$ 0
$ 541,784 $ 812,676
$ 237,236 $ 351,664
B-1
ATTACHMENT C: ROUND ROCK TRANSIT SURVEY
Chamber of Commerce Major Employer Public Transportation Survey
1. If you live in the Capital Metro service area and work in Round Rock, would you use a City bus service from Tech Ridge to
employment centers in Round Rock?
Yes
No
Response;; Response
Percent t Count
51.9% '
answered questi
skipped question
214
412
44
2. If you live in the Capital Metro service area and work in Round Rock, would you use a City bus service from the Lakeline
area to employment centers in Round Rock?
Yes
No
Response ! Response
Percent Count
46 4% ;' 191
53.6% (; 221
answered question
fi
skipped question
412
j 3. If you answered yes to Questions #1 or #2, how many days per week would you use public transportation?
5
44.9% (120)
Response
Count
267 l
i
answered question 267
skipped question
189
4. If yes, what time do you normally start work?
Time 24.8% (69) 20.5% (57) ;� 30.6% (85) 12.2% (34) 7.6% (21)
C-1
1.4% (4) 2,9% (8) 278
answered question ' 278
skipped question
178
ATTACHMENT C: ROUND ROCK TRANSIT SURVEY
5. Would you use a lunch time shuttle from your place of work to access eating and shopping opportunities?
Response
Percent
4g.1 %
50.9%
answered question
skipped question
214
222
20 )
6. If you answered yes to Question e5, how many days per week would you use this service?
3
Days Per
Week
12.3% (26) 30.7% (65) 26 9% (57)
answered question
skipped question
212
244
In what United States Postal Zip Code area do you live?
Response
Count 1
456
q
answered question 456 t
_ s a
skipped question 1:
8. Please provide any additional comments you might have about public transportation in the box below.
l Response
Count
188
answered question
skipped question
268
`€, 9. Thank you for participating in our survey. If you are interested in receiving information about public transportation, please
provide your name and email in the box below.
C-2
answered question
skipped question
Response
Count
96
360
ATTACHMENT C: ROUND ROCK TRANSIT SURVEY
In what United States Postal Zip Code area do you live?
76539
1
76543
1
76571
1
76574
2
78602
1
78609
1
78610
1
78612
3
78613
38
78619
1
78620
1
78621
1
78626
2
78628
8
78633
2
78634
8
78641
17
78642
2
78645
10
78652
1
7865#
1
78660
31
78664
59
78665
13
78669
2
78681
53
78682
2
78702
3
78703
3
5
78704
78705
1
78717
11
787�2
2
C-3
78723
5
78726
5
78727
12
78728
18
78729
13
78731
3
78732
2
78734
1
78736
2
78737
1
78738
1
78739
2
78741
3
78744
1
78745
3
78746
5
78747
1
78748
5
78749
5
78750
13
78751
3
78752
2
78753
9
78754
7
78756
3
78757
4
78758
'18
78759
17
78761
1
78766
1
78942
1
79753
1
ATTACHMENT D: EMPLOYMENT CONCENTRATION ALONG SH 45 CORRIDOR
11111 Large class A mai estate
- UP eel }NSF trackage
Georgetown Spur
Hearthstone
Map Designed by the Austin Chamber of Commerce
Cisterttrii.
Dresser Wayne
Marts -Hanks
3invelry Chennet
ittiMice
Meenebbit
Mistiest &vete
Synnthetrisom
D-1
ATTACHMENT E: STATUTORY LANGUAGE
The proposed language is contained in SAFETEA-LU on pages 425-426:
"(c) General Authority. — Section 5307 (b) is amended —
"(1) Grants. — The Secretary may make grants under this section for —
"(F) operating costs of equipment and facilities for use in public transportation for local
governmental authorities with adopted transit operating and financing plans, which are
within the Houston, Texas, urbanized area but lie outside the service area of the principal public
transportation agency that serves the Houston urbanized area."
The language change will facilitate the City accelerating the execution of the draft Public
Transportation Plan and better providing important public transportation services to the residents
of a fast-growing community. Expanded services will include extended operating hours for
demand/response services, a fixed route service within the City limits and/or an express route to
Austin.
E-1
ATTACHMENT F: LETTERS OF SUPPORT
*WORKFORCE DEVELOPMENT BOARD, INC.
RURAL CAPITAL AREA
P.O. Box 5279 • Round Rock, Texas 78683 • (512) 244-7966 • FAX (512) 244-9023
October 8, 2007
Mr. James Nuse
City Manager
City of Round Rock
221 E. Main Street
Round Rock, Texas 78664
Dear Mr. Nuse:
The Rural Capital Area Workforce Development Board, Inc (RCAWDB) is pleased to provide
this letter of support for the City of Round Rock's pursuit of Job Access Reverse Commute
(JARC) federal funding from the Capital Area Metropolitan Planning Organization (CAMPO).
The RCAWDB administers approximately $17 million of federal and state employment, training
and child care funds. Many of our customers meet low income guidelines to participate in
federal programs we operate out of our Texas Workforce Centers. We understand the
importance of reliable transportation in finding and retaining jobs. The proposed service to
provide a peak -hour commute/reverse commute service would be a great support for low income
workers.
The RCAWDB looks forward to collaborating with you concerning these efforts.
Sincerely,
James R. Satterwhite
Executive Director
F-1
ATTACHMENT F: LETTERS OF SUPPORT
F-2
ATTACHMENT F: LETTERS OF SUPPORT
OWES -SEP
Wayne
October 4, 2007
Mr. James Nuse
City Manager
City of Round Rock
221 E. Main Street
Round Rock, Texas 78664
Dear Mr. Nuse:
Dresser Wayne is pleased to lend our support to the City of Round Rock's initi-
ative concerning the JARC program.
If we can assist with this program, please call or email me via the information
provided below.
Sincerely,
Kathryn Edwards
Manager, Human Resources
Dresser Wayne
Direct line: 512-388-8341
kathyrtedwards@wayne.com
Dresser Wayne, Dresser Inc.
3814 Jarnkt Way • Austin, TX 78728 • Phone: 512-388•8311 • Fax: 512-388-8429 • wirv, r
F-3
ATTACHMENT F: LETTERS OF SUPPORT
°Round Rock
Chamber of Commerce
17 Oct, 2007
Mr. James Nuse
City Manager
City of Round Rock
221 E. Main Street
Round Rock, Texas 78664
Dear Mr. Nuse:
Round Rock Chamber of Commerce is pleased to provide this letter of support for the City of
Round Rock's pursuit of Job Access Reverse Commute (JARC) federal funding from the Capital
Area Metropolitan Planning Organization (CAMPO).
The proposed transportation service will enable existing and potential employees that reside
outside of Round Rock to access employment opportunities in Round Rock. There is currently a
significant need for this type of public transportation service especially since Round Rock has
experienced considerable population and economic growth over the past years.
Round Rock Chamber of Commerce looks forward to collaborating with you concerning these
efforts.
Sincerely,
Charlie Dromgoole
President
212 East Mai, 53,3,4
R011ild Rork,TX 78654
900/41 3479
lel, 512 255 5805
ax 512 2SS 3345
www.roundrockc hArnuer cng
F-4
ATTACHMENT F: LETTERS OF SUPPORT
SEARS HOLDINGS
Call Center
Round Rock, Texas
October 22, 2007
Mr. James Nusc
City Manager
City of Round Rock
221 E. Main Street
Round Rock, Texas 73664
Dear Mr. Nuse:
Sears Holdings Call Center is pleased to provide this letter of support for the City of Round
Rock's pursuit of Job Access Reverse Commute (JARC) federal funding front the Capital Area
Metropolitan Planning Organization (CAMPO).
Currently, there is no transit service that connects Round Rock to Austin. The proposed transit
service will fill that gap and enable existing and potential employees that reside outside in Austin
to access employment opportunities in Round Rock. There is currently a significant need for this
type of public transportation service especially since Round Rock has experienced considerable
population and economic growth over the past years.
Our organization employs approximately 1,200 people. The proposed tanspoilation service
would be a benefit to all employees that conunutc to Round Rock, particularly to our employees
earning lower salaries. The high cost of commuting compared to a‘erage wages jeopardizes the
viability of the workforce as well as the employer.
Sears Holdings Call Center looks forward to collaborating with you concerning these efforts.
Pat Bell
Recruiting Manager
D12 248-7829 office
512 248-7935
F-5
ATTACHMENT F: LETTERS OF SUPPORT
October 22, 2007
Mr. Jarres Nusc
City Ma: ager
City a ..tound Rock
221 E. Main Street
Rouni !t, ock, Texas 78664
Dear M. Nuse:
PO Bac RV (X) tkpind Olocirjeafes 71)(00-31470 I MN 252-9743 I MI4 2194100 I *immolators
Texal c3uaranteed (TO) is pleased to provide this letter of support for the City of Round Rock's
pursuit rf Job Access Reverse Commute (JARC) federal funding from the Capital Area Metropolitan
Planrive Organization (CAMPO).
The pmposed transportation service will enable existing and potential employees that reside outside of
Rourd .ocic to access eniployrnent opportunities in Round Rock. There is currently a significant need
for thi; type of public transportation service especially since Round Rock has experienced
cons:xis:sable population and economic growth over the past years.
TG 1.x forward to collaborating with you concerning these efforts.
Sincertly,
ei; i IOW/
Assi, - t -Vice '11.-:IdLnt
Hum Resources
F-6
ATTACHMENT F: LETTERS OF SUPPORT
(ktotier 18, 2007
Mr. James Nuse
City Manager
City of 'Round Rock
221 E. Main Street
Round Rock, Texas 78664
Dear Mr. Nuse:
Dell is pleased to provide this letter of support for the City of Round Rock's pursuit ofJob Access
Reverse Commute (JARC) federal funding from the Capital Area Metropolitan Planning Organization
(CAMPO). The proposed transportation service will make it possible tbr existing and potential
employees that reside outside of Round Rock to access employment opportunities in Round Rock.
There is currently a significant need for a regional mass transit system in Central Texas. As is. Dell
employees living or working outside the Capital Metro service region have little or no alternative
commuting options. Cenainly a federally -funded shuttle is a step in the right direction. However, we
hope to see more done to provide a regional system that will work for companies like ours that have
multiple campuses in multiple counties and with employees residing throughout the region.
This is even more critical to the long-term sustainable efficiency of Dell's local operations. We recently
announced plans to take our company carbon neutral by improving the energy efficiency of our
operations and our products. and reducing the amount of CO2 emissions. The plan includes expanding
our internal commute solutions program. called Destination Dell, which encourages employees to ride the
bus. catpool. walk or bike to and from work or to telecommute. The goal is to reduce the emissions
impact of our team's business travel, which relies heavily on an efficient and effective regional mass
transit system - something we don't currently have in Central Texas. Even without this amenity. Dell
employees have successfully saved 380,000 miles and nearly 11 tons of harmful emissions from local
roadways and airways in the last two years by alternatively commuting. We have a captive audience. We
just need adequate infrastructure.
Please approve the city's request for funding for this purpose, and fast track plans to address the regional
transit needs of Central Texas. We look forward to collaborating with you concerning these efforts.
Sincerely,
--- -
David Frink
Sr. Manager
Dell Public Affairs and External Communications
.0om i 800 estiY DEN
F-7
ATTACHMENT G: PERFORMANCE CALCULATIONS
Cost per Trip_Conservative Ridership Estimate
$ 499,200 Annual cost of service
438 trips daily; based on RR Transit Survey
260 days of service per year
4.38 Cost per Trip
Cost per Trip_Aggressive Ridership Estimate
$ 499,200 Annual cost of service
768 estimated trips using 2.27 modal split; and employment base of 16,000
260 days of service per year
2.50 Cost per Trip
Operating Expense per Revenue Mile
$ 499,200 Annual cost of service
15.92 miles; length of Tech Ridge/SH45 Loop
14.02 miles; length of Tech Ridge/Downtown Round Rock Loop
estimated operating
10.00 speed
202.76 SH45 revenue miles per vehicle per day
157.25 MOC revenue miles per vehicle per day
total annual revenue
93,601 miles
5.33 operating expense per revenue mile
G-1
ATTACHMENT H: LETTER OF COMMITMENT
ROUND ROCK, TEXAS
OFFICE OF THE MAYOR
Vm M 4 \ LI!
October 25, 2007
Michael Aulick
Executive Diiector
Capital Area Metropolitan Planning Organization
P.O. Box 1088
Austin, TX 78767-1088
RE: Fiscal Year 2006 & Fiscal Year 2007 job Access Reverse Commute Funding Request
Dear Mr. Aulick:
The City of Round Rock is one of the fastest growing cities in Texas with residential,
commercial, and retail development continuing to "explode" within our metropolitan
area. This increase in development and related population and employment has created
several mobility challenges for the City. One such challenge is the public transportation
gap that exists between the Cities of Round Rock and Austin. In response to this
challenge, the City has budgeted $250,000 in FY 2008 to establish express transit service
between Round Rock and Austin.
The City of Round Rock respectfully submits the enclosed request for JARC funding for a
Peak liour Express Bus Commuter And Reverse Commuter Service that provides transit
services for low-income and disabled individuals., as well as "choice riders."
As I mentioned previously, the proposed service will close the gap between the Capital
Metropolitan Transit Agency system and Round Rock by providing a link from the Tech
Ridge Park -and -Ride to major employers located along the SIi 45 corridor and
downtown Round Rock. The express service is an integral part of the City's transit
planning, which currently includes demand response service and a future fixed -route
service.
Roon,i
0)- co. fok„,hirk..2.hr.,-
H-1
ATTACHMENT H: LMER OF COMMITMENT
The City of Round Rock greatly appreciates the support it has received from
CAMPO in the past. The City also looks forward to working with CAMPO on
addressing regional mobility challenges now and in the future.
NyleiN41<we
Mayor
City of Round Rock
Enclosure
cc: 'James R. Nuse, PE., City Manager
Thomas E. Word, Jr., RE., Chief of Public Works Operations
H-2
ATTACHMENT I: ARTICLE
Ness bus s,s,sunn would link Round Rock to downtown Austin lutp:Zistaiesman,prinithisclickability,cont'pvCreaoion
I of 3
Austin AnirtgairNatesman
statesman.com
Era PRINTTHIS
Ckk to Print I SAVE I -KS VAA1L Tt11$ j
PUBLIC TRANSPORTATION
New bus system would link Round Rock to
downtown Austin
Round Rock residents who work downtown - and Austinites
who work in Round Rock - will be able to take public
transportation to link to Capital Metro buses.
13y \drnI
AMERICAN -STATESMAN STAFF
lhursday, September 13, 2007
ROUND ROCK — When Milton Cooper heard about Round Rock's plans to start a bus service to
connect to Austin's (7apital Metro lines, he wondered what had taken so long.
"Where werc they a year ago'?" asked Cooper, who is visually impaired and can't drive.
Last year. Cooper. 43, and some co-workers at the Sears call center in Round Rock bean looking for
a way to get to work from their homes:. in Austin.
"Al first, we were paying for a cab every day," said Angela Starks. 41.
The Texas Commission for the Blind eventually arranged for a bus to take Cooper, Starks and other
Sears workers who are blind or visually impaired from a Capital Metro bus stop in North Austin to
Round Rock.
Next year. Cooper and Starks could be riding on a Round Rock city bus with employees of other
Round Rock businesses who live in Austin. Residents who commute to Austin for work could also
benefit from the service.
Money to start the service is in the city's proposed budget for 2008. On Sept. 27, City Council
members will vote on the budget — and on allocating $250,000 to get the program going by the end
of the 2008 fiscal year.
The program has been a long time in the making. City transportation planners have been studying bus
needs 1br several years.
1-1
104/2007 12:08 PM
ATTACHMENT I: ARTICLE
New bus .system would link Round Rock to downtown Austin http:fistatesman.printthis.tlickability.comlpv4Vaction-cpt&title.,...
The current plan calls for Round Rock to contract with a private bus company using federal and city
money at a cost of just under SI million. Federal funds would make up about half of that.
Initial surveying of residents and area employers yielded a tentative service plan: Riders would be
taken to and from a depot in downtown Round Rock to the Capital Metro stop at Austin's Tech Ridge
park-and-ride lot. off Interstate 35 between I toward and Panner lanes, in the mornings and evenings.
There would be a stop near the intersection of 1-35 and Texas 45 North.
I3uses or shuttles could then circulate along Texas 45 to drop commuters off at businesses such as
Scars and Dell.
Round Rock's continued growth has been an impetus for the program.
"I think a number on the council now think it's probably an appropriate time to start getting into the
service." Toni Word. the city's director ofpublic works.
But the fear that no one will ride the bus and that taxpayers will have to foot more of the bill than
intended remains. Council members cited Capital Metro's decline in customers at their August retreat.
To try to prevent that from happening. city oflicials would set a time to re-evaluate the system --
probably three years. said David Bartels. a planner in the city's public works department — to
determine how many people are riding the buses and whether the city is getting its money's worth.
That might not become an issue. In the initial surveys, some major employers in the area told the city
that their employees would use the buses.
Representatives from the three hospitals in Round Rock said a public transportation link to Austin
would help attract employees.
Seton Medical Center Williamson. which is scheduled to open in February, has had inquiries from
potential workers.
" 'Do buses go by?' " is an occasional question, said Michelle Robertson. the hospital's vice president
and chief operating officer.
Students at the nearby Round Rock Higher Education Center sometimes ask about buses, too.
Associate Director Louise Phillips said.
The proposed service wouldn't take people to the northeast quadrant of town, where two of the
hospitals and the campus are, but the city is looking to partner with employers to run shuttles, Bartels
said.
The buses wouldn't take people along fixed routes throughout Round Rock, as Capital Metro does in
Austin. And it wouldn't affect a subsidized program, the Capital Area Rural Transportation System.
that transports area residents on request. That system is what Cooper and Starks rely on now.
As Round Rock grows. city officials said. ifs just a matter of time before the city implements a
full-service bus line.
They are planning for an eventual population of more than 250.000 in about 25 years. Word said most
cities of that size have their own bus systems.
2 of 3 10A (2007 I 2:08
1-2
ATTACHMENT I: ARTICLE
New bus system would link Round Rock to downtown Austin http:/;statesman.printthis.clickability.cornipticpeaction-cpleaitle''...
3 of3
"At 250,000, there's no question we'll need it," Bartels said.
alorerm@statesman.com; 246-0008
Find this article at:
http /home statesman corninews/contenVnews/stones/locall09/13/0913buses html
, (111 Click to Print J SAVE THS EMAiL THS 1Clof;e
Check the box to include the list of links referenced m the article
1-3
1014'2007 12:08 PM
Project Grant Agreement # TX -37-x065
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APPENDIX A
FEDERAL FISCAL YEAR 2009 CERTIFICATIONS AND ASSURANCES FOR
FEDERAL TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS
PREFACE
In accordance with 49 U.S.C. 5323(n), the following certifications and assurances have been
compiled for Federal Transit Administration (FTA) assistance programs. FTA requests each
Applicant to provide as many certifications and assurances as needed for all programs for which
the Applicant intends to seek FTA assistance during Federal Fiscal Year 2009. Category 01
applies to all Applicants. Category 02 applies to all applications for Federal assistance in excess
of $100,000. Categories 03 through 24 will apply to and be required for some, but not all,
Applicants and projects. An Applicant may select a single certification that will cover all the
programs for which it anticipates submitting an application. FTA requests the Applicant to read
each certification and assurance carefully and select all certifications and assurances that may
apply to the programs for which it expects to seek Federal assistance.
FTA and the Applicant understand and agree that not every provision of these certifications and
assurances will apply to eveiy Applicant or every project for which FTA provides Federal
financial assistance through a Grant Agreement or Cooperative Agreement. The type of project
and the section of the statute authorizing Federal financial assistance for the project will
determine which provisions apply. The terms of these certifications and assurances reflect
applicable requirements of FTA 's enabling legislation currently in effect.
The Applicant also understands and agrees that these certifications and assurances are special
pre -award requirements specifically prescribed by Federal law or regulation and do not
encompass all Federal laws, regulations, and directives that may apply to the Applicant or its
project. A comprehensive list of those Federal laws, regulations, and directives is contained in
the current FTA Master Agreement MA(15) for Federal Fiscal Year 2009 at the FTA Web site
http://www.fia.dot.gov/documents/15-Master.pdf The certifications and assurances in this
document have been streamlined to remove most provisions not covered by statutory or
regulatory certification or assurance requirements.
Because many requirements of these certifications and assurances will require the compliance of
the subrecipient of an Applicant, we strongly recommend that each Applicant, including a State,
that will be implementing projects through one or more subrecipients, secure sufficient
documentation from each subrecipient to assure compliance, not only with these certifications
and assurances, but also with the terms of the Grant Agreement or Cooperative Agreement for
the project, and the applicable Master Agreement for its project, if applicable, incorporated
therein by reference. Each Applicant is ultimately responsible for compliance with the provisions
of the certifications and assurances applicable to itself or its project irrespective ofparticipation
in the project by any subrecipient. The Applicant understands and agrees that when it applies for
FTA assistance on behalf of a consortium, joint venture, partnership, or team, each member of
that consortium, joint venture, partnership, or team is responsible for compliance with the
certifications and assurances the Applicant selects.
APPENDIX A
FTA strongly encourages each Applicant to submit its certifications and assurances through
TEAM -Web, FTA 's electronic award and management system, at http://flateamweb.fia.dot.gov.
Twenty-four (24) Categories of certifications and assurances are listed by numbers 01 through
24 in the TEAM -Web "Recipients" option at the "Cert's & Assurances" tab of "View/Modi.fr
Recipients." Should the Applicant choose not to submit its certifications and assurances through
TEAM -Web, the Applicant may submit its certifications and assurances on paper by submitting
the Signature Page(s) at the end of this document, indicating the certifications and assurances it
is making on one side of the document or on one page, and signing its affirmation and that of its
attorney on the other side or other page.
01. ASSURANCES REQUIRED FOR EACH APPLICANT
Each Applicant for FTA assistance must provide all assurances in this Category "01." Except to
the extent that F7'A expressly determines otherwise in writing, FTA may not award any Federal
assistance until the Applicant provides the following assurances by selecting Category "01."
A. Assurance of Authority of the Applicant and Its Representative
The authorized representative of the Applicant and the attorney who sign these certifications,
assurances, and agreements affirm that both the Applicant and its authorized representative have
adequate authority under applicable State, local, or Indian tribal law and regulations, and the
Applicant's by-laws or internal rules to:
(1) Execute and file the application for Federal assistance on behalf of the Applicant;
(2) Execute and file the required certifications, assurances, and agreements on behalf of the
Applicant binding the Applicant; and
(3) Execute grant agreements and cooperative agreements with FTA on behalf of the Applicant.
B. Standard Assurances
The Applicant assures that it will comply with all applicable Federal statutes and regulations in
carrying out any project supported by an FTA grant or cooperative agreement. The Applicant
agrees that it is under a continuing obligation to comply with the terms and conditions of the
grant agreement or cooperative agreement with FTA issued for its project. The Applicant
recognizes that Federal laws and regulations may be modified from time to time and those
modifications may affect project implementation. The Applicant understands that Presidential
executive orders and Federal directives, including Federal policies and program guidance may be
issued concerning matters affecting the Applicant or its project. The Applicant agrees that the
most recent Federal laws, regulations, and directives will apply to the project, unless FTA issues
a written determination otherwise.
C. Intergovernmental Review Assurance
Except if the Applicant is an Indian tribal government seeking assistance authorized by
49 U.S.C. 5311(c)(1), the Applicant assures that each application for Federal assistance it
submits to FTA has been submitted or will be submitted for intergovernmental review to the
APPENDIX A
appropriate State and local agencies as determined by the State. Specifically, the Applicant
assures that it has fulfilled or will fulfihl the obligations imposed on FTA by U.S. Department of
Transportation (U.S. DOT) regulations, "Intergovernmental Review of Department of
Transportation Programs and Activities," 49 CFR part 17. This assurance does not apply to
Applicants for Federal assistance under FTA's Tribal Transit Program, 49 U.S.C. 5311(c)(1).
D. Nondiscrimination Assurance
As required by 49 U.S.C. 5332 (which prohibits discrimination on the basis of race, color, creed,
national origin, sex, or age, and prohibits discrimination in employment or business opportunity),
by Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000d, and by U.S. DOT
regulations, "Nondiscrimination in Federally -Assisted Programs of the Department of
Transportation -Effectuation of Title VI of the Civil Rights Act," 49 CFR part 21 at 21.7, the
Applicant assures that it will comply with all requirements imposed by or issued pursuant to
49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR part 21, so that no person in the United States, on
the basis of race, color, national origin, creed, sex, or age will be excluded from participation in,
be denied the benefits of, or otherwise be subjected to discrimination in any program or activity
(particularly in the level and quality of transportation services and transportation -related
benefits) for which the Applicant receives Federal assistance awarded by the U.S. DOT or FTA.
Specifically, during the period in which Federal assistance is extended to the project, or project
property is used for a purpose for which the Federal assistance is extended or for another purpose
involving the provision of similar services or benefits, or as long as the Applicant retains
ownership or possession of the project property, whichever is longer, the Applicant assures that:
(1) Each project will be conducted, property acquisitions will be undertaken, and project
facilities will be operated in accordance with all applicable requirements of 49 U.S.C. 5332,
42 U.S.C. 2000d, and 49 CFR part 21, and understands that this assurance extends to its
entire facility and to facilities operated in connection with the project.
(2) It will promptly take the necessary actions to effectuate this assurance, including notifying
the public that complaints of discrimination in the provision of transportation -related
services or benefits may be filed with U.S. DOT or FTA. Upon request by U.S. DOT or
FTA, the Applicant assures that it will submit the required information pertaining to its
compliance with these provisions.
(3) It will include in each subagreement, property transfer agreement, third party contract, third
party subcontract, or participation agreement adequate provisions to extend the requirements
imposed by or issued pursuant to 49 U.S.C. 5332,42 U.S.C. 2000d and 49 CFR part 21 to
other parties involved therein including any subrecipient, transferee, third party contractor,
third party subcontractor at any level, successor in interest, or any other participant in the
project.
(4) Should it transfer real property, structures, or improvements financed with Federal
assistance provided by FTA to another party, any deeds and instruments recording the
transfer of that property shall contain a covenant running with the land assuring
nondiscrimination for the period during which the property is used for a purpose for which
the Federal assistance is extended or for another purpose involving the provision of similar
services or benefits.
APPENDIX A
(5) The United States has a right to seek judicial enforcement with regard to any matter arising
under Title VI of the Civil Rights Act, U.S. DOT implementing regulations, and this
assurance.
(6) It will make any changes in its Title VI implementing procedures as U.S. DOT or FTA may
request to achieve compliance with the requirements imposed by or issued pursuant to
49 U.S.C. 5332,42 U.S.C. 2000d, and 49 CFR part 21.
E. Assurance of Nondiscrimination on the Basis of Disability
As required by U.S. DOT regulations, "Nondiscrimination on the Basis of Handicap in Programs
and Activities Receiving or Benefiting from Federal Financial Assistance," at 49 CFR 27.9, the
Applicant assures that, as a condition to the approval or extension of any Federal assistance
awarded by FTA to construct any facility, obtain any rolling stock or other equipment, undertake
studies, conduct research, or to participate in or obtain any benefit from any program
administered by FTA, no otherwise qualified person with a disability shall be, solely by reason
of that disability, excluded from participation in, denied the benefits of, or otherwise subjected to
discrimination in any program or activity receiving or benefiting from Federal assistance
administered by the FTA or any entity within U.S. DOT. The Applicant assures that project
implementation and operations so assisted will comply with all applicable requirements of
U.S. DOT regulations implementing the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794,
et seq., and the Americans with Disabilities Act of 1990, as amended, 42 U.S.C. 12101 et seq.,
and implementing U.S. DOT regulations at 49 CFR parts 27, 37, and 38, and any other
applicable Federal laws that may be enacted or Federal regulations that may be promulgated.
F. U.S. Office of Management and Budget (OMB) Assurances
Consistent with OMB assurances set forth in SF -424B and SF -424D, the Applicant assures that,
with respect to itself or its project, the Applicant:
(1) Has the legal authority to apply for Federal assistance and the institutional, managerial, and
financial capability (including funds sufficient to pay the non -Federal share of project cost)
to assure proper planning, management, and completion of the project described in its
application;
(2) Will give FTA, the Comptroller General of the United States, and, if appropriate, the State,
through any authorized representative, access to and the right to examine all records, books,
papers, or documents related to the award; and will establish a proper accounting system in
accordance with generally accepted accounting standards or agency directives;
(3) Will establish safeguards to prohibit employees from using their positions for a purpose that
constitutes or presents the appearance of personal or organizational conflict of interest or
personal gain;
(4) Will initiate and complete the work within the applicable project time periods following
receipt of FTA approval;
(5) Will comply with all applicable Federal statutes relating to nondiscrimination including, but
not limited to:
(a) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, which prohibits discrimination on the
basis of race, color, or national origin;
APPENDIX A
(b) Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. 1681 through
1683, and 1685 through 1687, and U.S. DOT regulations, "Nondiscrimination on the
Basis of Sex in Education Programs or Activities Receiving Federal Financial
Assistance," 49 CFR part 25, which prohibit discrimination on the basis of sex;
(c) Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, which
prohibits discrimination on the basis of disability;
(d) The Age Discrimination Act of 1975, as amended, 42 U.S.C. 6101 through 6107, which
prohibits discrimination on the basis of age;
(e) The Drug Abuse Office and Treatment Act of 1972, as amended, 21 U.S.C. 1101 et seq.,
relating to nondiscrimination on the basis of drug abuse;
(f) The Comprehensive Alcohol Abuse and Alcoholism Prevention Act of 1970, as
amended, 42 U.S.C. 4541 el seq. relating to nondiscrimination on the basis of alcohol
abuse or alcoholism;
(g) The Public Health Service Act of 1912, as amended, 42 U.S.C. 201 et seq., relating to
confidentiality of alcohol and drug abuse patient records;
(h) Title VIII of the Civil Rights Act, 42 U.S.C. 3601 et seq., relating to nondiscrimination
in the sale, rental, or financing of housing; and
(i) Any other nondiscrimination statute(s) that may apply to the project;
(6) To the extent applicable, will comply with, or has complied with, the requirements of
Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition
Policies Act of 1970, as amended, (Uniform Relocation Act) 42 U.S.C. 4601 et seq., which,
among other things, provide for fair and equitable treatment of persons displaced or persons
whose property is acquired as a result of federally assisted programs. These requirements
apply to all interests in real property acquired for project purposes and displacement caused
by the project regardless of Federal participation in any purchase. As required by
sections 210 and 305 of the Uniform Relocation Act, 42 U.S.C. 4630 and 4655, and by
U.S. DOT regulations, "Uniform Relocation Assistance and Real Property Acquisition for
Federal and Federally Assisted Programs," 49 CFR 24.4, the Applicant assures that it has
the requisite authority under applicable State and local law to comply with the requirements
of the Uniform Relocation Act, 42 U.S.C. 4601 et seq., and U.S. DOT regulations,
"Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally
Assisted Programs," 49 CFR part 24, and will comply with that Act or has complied with
that Act and those implementing regulations, including but not limited to the following:
(a) The Applicant will adequately inform each affected person of the benefits, policies, and
procedures provided for in 49 CFR part 24;
(b) The Applicant will provide fair and reasonable relocation payments and assistance as
required by 42 U.S.C. 4622, 4623, and 4624; 49 CFR part 24; and any applicable FTA
procedures, to or for families, individuals, partnerships, corporations, or associations
displaced as a result of any project financed with FTA assistance;
(c) The Applicant will provide relocation assistance programs offering the services
described in 42 U.S.C. 4625 to such displaced families, individuals, partnerships,
corporations, or associations in the manner provided in 49 CFR part 24;
(d) Within a reasonable time before displacement, the Applicant will make available
comparable replacement dwellings to displaced families and individuals as required by
42 U.S.C. 4625(c)(3);
APPENDIX A
(e) The Applicant will carry out the relocation process in such manner as to provide
displaced persons with uniform and consistent services, and will make available
replacement housing in the same range of choices with respect to such housing to all
displaced persons regardless of race, color, religion, or national origin;
(f) In acquiring real property, the Applicant will be guided to the greatest extent practicable
under State law, by the real property acquisition policies of 42 U.S.C. 4651 and 4652;
(g) The Applicant will pay or reimburse property owners for their necessary expenses as
specified in 42 U.S.C. 4653 and 4654, with the understanding that FTA will provide
Federal financial assistance for the Applicant's eligible costs of providing payments for
those expenses, as required by 42 U.S.C. 4631;
(h) The Applicant will execute such amendments to third party contracts and subagreements
financed with FTA assistance and execute, furnish, and be bound by such additional
documents as FTA may determine necessary to effectuate or implement the assurances
provided herein; and
(i) The Applicant agrees to make these assurances part of or incorporate them by reference
into any third party contract or subagreement, or any amendments thereto, relating to
any project financed by FTA involving relocation or land acquisition and provide in any
affected document that these relocation and land acquisition provisions shall supersede
any conflicting provisions;
(7) To the extent applicable, will comply with the Davis -Bacon Act, as amended, 40 U.S.C.
3141 et seq., the Copeland "Anti -Kickback" Act, as amended, 18 U.S.C. 874, and the
Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. 3701 et seq.,
regarding labor standards for federally assisted projects;
(8) To the extent applicable, will comply with the flood insurance purchase requirements of
section 102(a) of the Flood Disaster Protection Act of 1973, as amended, 42 U.S.C.
4012a(a), requiring the Applicant and its subrecipients in a special flood hazard area to
participate in the program and purchase flood insurance if the total cost of insurable
construction and acquisition is $10,000 or more;
(9) To the extent applicable, will comply with the Lead -Based Paint Poisoning Prevention Act,
42 U.S.C. 4831(b), which prohibits the use of lead-based paint in the construction or
rehabilitation of residence structures;
(10) To the extent applicable, will not dispose of, modify the use of, or change the terms of the
real property title or other interest in the site and facilities on which a construction project
supported with FTA assistance takes place without permission and instructions from FTA;
(11) To the extent required by FTA, will record the Federal interest in the title of real property,
and will include a covenant in the title of real property acquired in whole or in part with
Federal assistance funds to assure nondiscrimination during the useful life of the project;
(12) To the extent applicable, will comply with FTA provisions concerning the drafting, review,
and approval of construction plans and specifications of any construction project supported
with FTA assistance. As required by U.S. DOT regulations, "Seismic Safety," 49 CFR
41.117(d), before accepting delivery of any building financed with FTA assistance, it will
obtain a certificate of compliance with the seismic design and construction requirements of
49 CFR part 41;
(13) To the extent applicable, will provide and maintain competent and adequate engineering
supervision at the construction site of any project supported with FTA assistance to assure
APPENDIX A
that the complete work conforms with the approved plans and specifications, and will
furnish progress reports and such other information as may be required by FTA or the State;
(14) To the extent applicable, will comply with any applicable environmental standards that may
be prescribed to implement the following Federal laws and executive orders:
(a) Institution of environmental quality control measures under the National Environmental
Policy Act of 1969, as amended, 42 U.S.C. 4321 through 4335 and Executive Order
No. 11514, as amended, 42 U.S.C. 4321 note;
(b) Notification of violating facilities pursuant to Executive Order No. 11738, 42 U.S.C.
7606 note;
(c) Protection of wetlands pursuant to Executive Order No. 11990, 42 U.S.C. 4321 note;
(d) Evaluation of flood hazards in floodplains in accordance with Executive Order
No. 11988, 42 U.S.C. 4321 note;
(e) Assurance of project consistency with the approved State management program
developed pursuant to the requirements of the Coastal Zone Management Act of 1972,
as amended, 16 U.S.C. 1451 through 1465;
(f) Conformity of Federal actions to State (Clean Air) Implementation Plans under
section 176(c) of the Clean Air Act of 1955, as amended, 42 U.S.C. 7401 through
7671q;
(g) Protection of underground sources of drinking water under the Safe Drinking Water Act
of 1974, as amended, 42 U.S.C. 300f through 300j-6;
(h) Protection of endangered species under the Endangered Species Act of 1973, as
amended, 16 U.S.C. 1531 through 1544; and
(i) Environmental protections for Federal transportation programs, including, but not
limited to, protections for parks, recreation areas, or wildlife or waterfowl refuges of
national, State, or local significance or any land from a historic site of national, State, or
local significance to be used in a transportation project as required by 49 U.S.C. 303(b)
and 303(c);
(j) Protection of the components of the national wild and scenic rivers systems, as required
under the Wild and Scenic Rivers Act of 1968, as amended, 16 U.S.C. 1271 through
1287; and
(k) Provision of assistance to FTA in complying with section 106 of the National Historic
Preservation Act of 1966, as amended, 16 U.S.C. 470f; with the Archaeological and
Historic Preservation Act of 1974, as amended, 16 U.S.C. 469 through 469c ; and with
Executive Order No. 11593 (identification and protection of historic properties),
16 U.S.C. 470 note;
(15) To the extent applicable, will comply with the requirements of the Hatch Act, 5 U.S.C. 1501
through 1508 and 7324 through 7326, which limit the political activities of State and local
agencies and their officers and employees whose primary employment activities are
financed in whole or part with Federal funds including a Federal loan, grant agreement, or
cooperative agreement except, in accordance with 49 U.S.C. 5307(k)(2) and 23 U.S.C.
142(g); the Hatch Act does not apply to a nonsupervisory employee of a public
transportation system (or of any other agency or entity performing related functions)
receiving FTA assistance to whom that Act does not otherwise apply;
(16) To the extent applicable, will comply with the National Research Act, Pub. L. 93-348,
July 12, 1974, as amended, 42 U.S.C. 289 et seq., and U.S. DOT regulations, "Protection of
APPENDIX A
Human Subjects," 49 CFR part 11, regarding the protection of human subjects involved in
research, development, and related activities supported by Federal assistance;
(17) To the extent applicable, will comply with the Animal Welfare Act, as amended, 7 U.S.C.
2131 et seq., and U.S. Department of Agriculture regulations, "Animal Welfare," 9 CFR
subchapter A, parts 1, 2, 3, and 4, regarding the care, handling, and treatment of warm
blooded animals held or used for research, teaching, or other activities supported by Federal
assistance;
(18) Will have performed the financial and compliance audits as required by the Single Audit
Act Amendments of 1996, 31 U.S.C. 7501 et seq., OMB Circular A-133, "Audits of States,
Local Governments, and Non -Profit Organizations," Revised, and the most recent
applicable OMB A-133 Compliance Supplement provisions for the U.S. DOT; and
(19) To the extent applicable, will comply with all applicable provisions of all other Federal laws
or regulations, and follow Federal directives governing the project, except to the extent that
FTA has expressly approved otherwise in writing.
02. LOBBYING CERTIFICATION
An Applicant that submits or intends to submit an application to FTA for Federal assistance
exceeding $100,000 is required to provide the following certification. FTA may not award
Federal assistance exceeding $100,000 until the Applicant provides this certification by selecting
Category "02."
A. As required by 31 U.S.C. 1352 and U.S. DOT regulations, "New Restrictions on Lobbying,"
at 49 CFR 20.110, the Applicant's authorized representative certifies to the best of his or her
knowledge and belief that for each application to FTA for Federal assistance exceeding
$100,000:
(1) No Federal appropriated funds have been or will be paid by or on behalf of the
Applicant to any person to influence or attempt to influence an officer or employee of
any Federal agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress regarding the award of Federal assistance, or the
extension, continuation, renewal, amendment, or modification of any Federal assistance
agreement; and
(2) If any funds other than Federal appropriated funds have been or will be paid to any
person to influence or attempt to influence an officer or employee of any Federal
agency, a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with any application for Federal assistance, the
Applicant assures that it will complete and submit Standard Form -LLL, "Disclosure
Form to Report Lobbying," including information required by the .instructions
accompanying the form, which form may be amended to omit such information as
authorized by 31 U.S.C. 1352.
(3) The language of this certification shall be included in the award documents for all
subawards at all tiers (including subcontracts, subgrants, subagreements, and contracts
under grants, loans, and cooperative agreements).
B. The Applicant understands that this certification is a material representation of fact upon
which reliance is placed by the Federal government and that submission of this certification
APPENDIX A
is a prerequisite for providing Federal assistance for a transaction covered by 31 U.S.C.
1352. The Applicant also understands that any person who fails to file a 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.
03. PROCUREMENT COMPLIANCE
In accordance with 49 CFR 18.36(g)(3)(ii), each Applicant that is a State, local, or Indian tribal
government that is seeking Federal assistance to acquire property or services in support of its
project is requested to provide the following certification by selecting Category "03." FTA also
requests other Applicants to provide the following certification. An Applicant for FTA assistance
to acquire properly or services in support of its project that fails to provide this certification may
be determined ineligible for award of Federal assistance for the project, if FT'A determines that
its procurement practices and procurement system fail to comply with Federal laws or
regulations in accordance with applicable Federal directives.
The Applicant certifies that its procurements and procurement system will comply with all
applicable Federal laws and regulations in accordance with applicable Federal directives, except
to the extent FTA has expressly approved otherwise in writing.
04. PROTECTIONS FOR PRIVATE TRANSPORTATION PROVIDERS
Each Applicant that is a State, local, or Indian tribal government that is seeking Federal
assistance authorized under 49 U.S.C. chapter 5310 acquire any property or an interest in the
property of a private provider of public transportation or to operate public transportation
equipment or facilities in competition with, or in addition to, transportation service provided by
an existing private provider of public transportation is required to provide the following
certification. FTA may not award Federal assistance for such a project until the Applicant
provides this certification by selecting Category "04."
As required by 49 U.S.C. 5323(a)(1), the Applicant certifies that before it acquires the property
or an interest in the property of a private provider of public transportation or operates public
transportation equipment or facilities in competition with, or in addition to, transportation service
provided by an existing public transportation company, it has or will have:
A. Determined that the assistance is essential to carrying out a program of projects as required
by 49 U.S.C. 5303, 5304, and 5306;
B. Provided for the participation of private companies engaged in public transportation to the
maximum extent feasible; and
C. Paid just compensation under State or local law to the company for any franchise or
property acquired.
05. PUBLIC HEARING
An Applicant seeking Federal assistance authorized under 49 US. C. chapter 53 for a capital
project that will substantially affect a community or a community's public transportation service
APPENDIX A
is required to provide the following certification. FTA may not award Federal assistance for a
capital project of that type until the Applicant provides this certification by selecting
Category "05."
As required by 49 U.S.C. 5323(b), for a proposed capital project that will substantially affect a
community, or the public transportation service of a community, the Applicant certifies that it
has, or before submitting its application, it will have:
A. Provided an adequate opportunity for public review and comment on the proposed project;
B. After providing notice, including a concise description of the proposed project, published in a
newspaper of general circulation in the geographic area to be served, held a public hearing on
the project if the project affects significant economic, social, or environmental interests;
C. Considered the economic, social, and environmental effects of the proposed project; and
D. Determined that the proposed project is consistent with official plans for developing the
community.
06. ACQUISITION OF ROLLING STOCK FOR USE IN REVENUE SERVICE
An Applicant seeking Federal assistance authorized under 49 U.S.C. chapter 53 to acquire any
rolling stockfor use in revenue service is required to provide the following certification. FTA
may not award any Federal assistance to acquire such rolling stock until the Applicant provides
this certification by selecting Category "06."
As required by 49 U.S.C. 5323(m) and implementing FTA regulations, "Pre -Award and Post -
Delivery Audits of Rolling Stock Purchases," 49 CFR part 663, at 49 CFR 663.7, the Applicant
certifies that it will comply with the requirements of 49 CFR part 663 as modified by
amendments authorized by section 3023(k) of SAFETEA-LU when procuring revenue service
rolling stock. Among other things, the Applicant agrees to conduct or cause to be conducted the
requisite pre -award and post delivery reviews, and maintain on file the certifications required by
49 CFR part 663, subparts B, C, and D.
07. ACQUISITION OF CAPITAL ASSETS BY LEASE
An Applicant that intends to request the use of Federal assistance authorized under 49 U.S.C.
chapter 53 to acquire capital assets by lease is required to provide the following certifications.
FTA may not provide Federal assistance to support those costs until the Applicant provides this
certification by selecting Category "07."
As required by FTA regulations, "Capital Leases," 49 CFR part 639, at 49 CFR 639.15(b)(1) and
49 CFR 639.21, if the Applicant acquires any capital asset by lease financed with Federal
assistance authorized under 49 U.S.C. chapter 53, the Applicant certifies as follows:
(1) It will not use Federal assistance authorized 49 U.S.C. chapter 53 to finance the cost of
leasing any capital asset until it performs calculations demonstrating that leasing the capital
asset would be more cost-effective than purchasing or constructing a similar asset; and it
will complete these calculations before entering into the lease or before receiving a capital
grant for the asset, whichever is later; and
APPENDIX A
(2) It will not enter into a capital lease for which FTA can provide only incremental Federal
assistance unless it has adequate financial resources to meet its future obligations under the
lease if Federal assistance is not available for capital projects in the subsequent years.
08. BUS TESTING
An Applicant for Federal assistance appropriated or made available for 49 U.S.C. chapter 53 to
acquire any new bus model or any bus model with a new major change in configuration or
components is required to provide the following certification. F7'A may not provide Federal
assistance for the acquisition of any new bus model or bus model with a major change until the
Applicant provides this certification by selecting Category "08."
As required by 49 U.S.C. 5318 and FTA regulations, "Bus Testing," at 49 CFR 665.7, the
Applicant certifies that, before expending any Federal assistance to acquire the first bus of any
new bus model or any bus model with a new major change in configuration or components, or
before authorizing fmal acceptance of that bus (as described in 49 CFR part 665):
A. The bus model will have been tested at FTA's bus testing facility; and
B. The Applicant will have received a copy of the test report prepared on the bus model.
09. CHARTER SERVICE AGREEMENT
An Applicant seeking Federal assistance authorized under 49 U.S. C. chapter 53 (except as
permitted by 49 CFR 604.2), or under 23 U.S.C. 133 or 142, to acquire or operate any public
transportation equipment or facilities is required to enter into the following Charter Service
Agreement. FTA may not provide Federal assistance authorized under 49 US. C. chapter 53
(except as permitted by 49 CFR 604.2), or under 23 US.C. 133 or 142, for such projects until the
Applicant enters into this Charter Service Agreement by selecting Category "09."
A. As required by 49 U.S.C. 5323(d) and (g) and FTA regulations at 49 CFR 604.4, the
Applicant understands and agrees that it and each subrecipient, lessee, third party contractor,
or other participant in the project at any tier may provide charter service for transportation
projects that uses equipment or facilities acquired with Federal assistance authorized under
the Federal transit laws (except as permitted by 49 CFR 604.2), or under 23 U.S.C. 133
or 142, only in compliance with those laws and FTA regulations, "Charter Service," 49 CFR
part 604, the terms and conditions of which are incorporated herein by reference.
B. The Applicant understands and agrees that:
(1) The requirements of FTA regulations, "Charter Service," 49 CFR part 604, will apply to
any charter service it or its subrecipients, lessees, third party contractors, or other
participants in the project provide,
(2) The definitions of FTA regulations, "Charter Service," 49 CFR part 604, will apply to
this Charter Service Agreement, and
(3) A pattern of violations of this Charter Service Agreement may require corrective
measures and imposition of remedies, including barring the Applicant, subrecipient,
lessee, third party contractor, or other participant in the project that has engaged in that
pattern of violations from receiving FTA financial assistance, or withholding an amount
APPENDIX A
of Federal assistance as set forth in FTA regulations, "Charter Service," 49 CFR
part 604, Appendix D.
10. SCHOOL TRANSPORTATION AGREEMENT
An Applicant that is seeking Federal assistance authorized under 49 US. C. chapter 53 or under
23 U.S.C. 133 or 142 to acquire or operate public transportation facilities and equipment is
required to enter into the following School Transportation Agreement. FTA may not provide
Federal assistance authorized under 49 US. C. chapter 53 or under 23 U.S.C. 133 or 142 for
such projects until the Applicant enters into this School Transportation Agreement by selecting
Category "10."
A. As required by 49 U.S.C. 5323(0 and (g) and FTA regulations at 49 CFR 605.14, the
Applicant understands and agrees that it and each subrecipient, lessee, third party contractor,
or other participant in the project at any tier may engage in school transportation operations
in competition with private school transportation operators that uses equipment or facilities
acquired with Federal assistance authorized under the Federal transit laws or under
23 U.S.C. 133 or 142, only in compliance with those laws and FTA regulations, "School
Bus Operations," 49 CFR part 605, to the extent consistent with 49 U.S.C. 5323(0 or (g),
the terms and conditions of which are incorporated herein by reference.
B. The Applicant understands and agrees that:
(1) The requirements of FTA regulations, "School Bus Operations," 49 CFR part 605, to the
extent consistent with 49 U.S.C. 5323(0 or (g), will apply to any school transportation
service it or its subrecipients, lessees, third party contractors, or other participants in the
project provide,
(2) The definitions of FTA regulations, "School Bus Operations," 49 CFR part 605 will
apply to this School Transportation Agreement, and
(3) If there is a violation of this School Transportation Agreement, FTA will bar the
Applicant, subrecipient, lessee, third party contractor, or other participant in the project
that has violated this School Transportation Agreement from receiving Federal transit
assistance in an amount FTA considers appropriate.
11. DEMAND RESPONSIVE SERVICE
An Applicant that operates demand responsive service and applies for direct Federal assistance
authorized for 49 US. C'. chapter 53 to acquire non -rail public transportation vehicles is
required to provide the following certification. FTA may not award direct Federal assistance
authorized for 49 U.S.C. chapter 53 to an Applicant that operates demand responsive service to
acquire non -rail public transportation vehicles until the Applicant provides this certification by
selecting Category "11."
As required by U.S. DOT regulations, "Transportation Services for Individuals with Disabilities
(ADA)," at 49 CFR 37.77(d), the Applicant certifies that its demand responsive service offered
to individuals with disabilities, including individuals who use wheelchairs, is equivalent to the
level and quality of service offered to individuals without disabilities. Viewed in its entirety, the
APPENDIX A
Applicant's service for individuals with disabilities is provided in the most integrated setting
feasible and is equivalent with respect to: (1) response time, (2) fares, (3) geographic service
area, (4) hours and days of service, (5) restrictions on trip purpose, (6) availability of information
and reservation capability, and (7) constraints on capacity or service availability.
12. ALCOHOL MISUSE AND PROHIBITED DRUG USE
lf the Applicant is required by FTA regulations, "Prevention of Alcohol Misuse and Prohibited
Drug Use in Transit Operations," at 49 CFR part 655, to provide the following certification
concerning its activities to prevent alcohol misuse and prohibited drug use in its public
transportation operations, FTA may not provide Federal assistance to that Applicant until it
provides this certification by selecting Category "12."
As required by FTA regulations, "Prevention of Alcohol Misuse and Prohibited Drug Use in
Transit Operations," at 49 CFR part 655, subpart I, the Applicant certifies that it has established
and implemented an alcohol misuse and anti-drug program, and has complied with or will
comply with all applicable requirements of FTA regulations, "Prevention of Alcohol Misuse and
Prohibited Drug Use in Transit Operations," 49 CFR part 655.
13. INTEREST AND OTHER FINANCING COSTS
An Applicant that intends to request the use of Federal assistance for reimbursement of interest
or other financing costs incurred for its capital projects financed with Federal assistance under
the Urbanized Area Formula Program, the Capital Investment Program, or the Paul S. Sarbanes
Transit in Parks Program is required to provide the following certification. FTA may not provide
Federal assistance to support interest or other financing costs until the Applicant provides this
certification by selecting Category "13."
As required by 49 U.S.C. 5307(g)(3), 5309(g)(2)(B)(iii), 5309(g)(3)(B)(iii), 5309(i)(2)(C), and
5320(h)(2)(C), the Applicant certifies that it will not seek reimbursement for interest or other
financing costs unless it is eligible to receive Federal assistance for those costs and its records
demonstrate that it has used reasonable diligence in seeking the most favorable financing terms
underlying those costs, to the extent FTA may require.
14. INTELLIGENT TRANSPORTATION SYSTEMS
An Applicant for FTA assistance for an intelligent Transportation Systems (ITS) project, defined
as any project that in whole or in part finances the acquisition of technologies or systems of
technologies that provide or significantly contribute to the provision of one or more ITS user
services as defined in the "National ITS Architecture," is requested to provide the following
assurance. FTA strongly encourages any Applicant for FTA financial assistance to support an
ITS project to provides this assurance by selecting Category "14." An Applicant for FTA
assistance for an ITS project that fails to provide this assurance, without providing other
documentation assuring the Applicant's commitment to comply with applicable Federal ITS
APPENDIX A
standards and protocols, may be determined ineligible for award ofFederal assistance for the
ITS project.
As used in this assurance, the term Intelligent Transportation Systems (ITS) project is defined to
include any project that in whole or in part finances the acquisition of technologies or systems of
technologies that provide or significantly contribute to the provision of one or more ITS user
services as defined in the "National ITS Architecture."
A. As provided in SAFETEA-LU section 5307(c), 23 U.S.C. 512 note, apart from certain
exceptions, "intelligent transportation system projects carried out using funds made
available from the Highway Trust Fund, including funds made available under this subtitle
to deploy intelligent transportation system technologies, [shall] conform to the national
architecture, applicable standards or provisional standards, and protocols developed under
[SAFETEA-LU, section 5307] subsection (a)." To facilitate compliance with SAFETEA-
LU section 5307(c), 23 U.S.C. 512 note, the Applicant assures it will comply with all
applicable provisions of Section V (Regional ITS Architecture) and Section VI (Project
Implementation) of FTA Notice, "FTA National ITS Architecture Policy on Transit
Projects," at 66 FR 1455 et seq., January 8, 2001, and other FTA policies that may be issued
in connection with any ITS project it undertakes financed with funds authorized under
Title 49 or Title 23, United States Code, except to the extent that FTA expressly determines
otherwise in writing.
B. With respect to any ITS project financed with Federal assistance derived from a source
other than Title 49 or Title 23, United States Code, the Applicant assures that it will use its
best efforts to assure that any ITS project it undertakes will not preclude interface with other
intelligent transportation systems in the Region.
15. URBANIZED AREA FORMULA PROGRAM
Each Applicant for Urbanized Area Formula Program assistance authorized under 49 US. G.
530718 required to provide the following certifications on behalf of itself and any subrecipients
participating in its projects. Unless F7'A determines otherwise in writing, the Applicant is
ultimately responsible for compliance with its certifications and assurances even though a
subrecipient, lessee, third party contractor, or other participant may participate in that project
Consequently, in providing certifications and assurances that involve the compliance of its
prospective subrecipients, the Applicant is strongly encouraged to take appropriate measures,
including but not limited to obtaining sufficient documentation from each subrecipient, to assure
the validity of all certifications and assurances the Applicant has made to FTA. If, however a
"Designated Recipient" as defined at 49 US. C. 5307(a)(2)(A) enters into a Supplemental
Agreement with FTA and a Prospective Grantee, that Grantee is recognized as the Applicant for
Urbanized Area Formula Program assistance and must provide the following certifications and
assurances.
Each Applicant is required by 49 US. C. 5307(d)(1)(J) to expend at least one (I) percent of its
Urbanized Area Formula Program assistance for public transportation security projects, unless
the Applicant has certified that such expenditures are not necessary. Information about the
Applicant 's intentions will be recorded in the "Security" tab page of the TEAM -Web "Project
APPENDIX A
Information" window when the Applicant enters its Urbanized Area Formula Program
application in TEAM -Web.
FTA may not award Urbanized Area Formula Program assistance to any Applicant that is
required by 49 U.S.C. 5307(d)(1)(K) to expend one (1) percent of its Urbanized Area Formula
Program assistance for eligible transit enhancements unless that Applicant's quarterly report for
the fourth quarter of the preceding Federal fiscal year has been submitted to FTA and includes
the requisite list or the Applicant attaches in TEAM -Web or includes in its quarterly report
information sufficient to demonstrate that the Designated Recipients in its area together have
expended one (1) percent of the amount of Urbanized Area Program assistance made available
to them for transit enhancement projects.
FTA may not award Federal assistance for the Urbanized Area Formula Program to the
Applicant until the Applicant provides these certifications and assurances by selecting
Category "15."
As required by 49 U.S.C. 5307(d)(1), the Applicant certifies as follows:
A. In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or will have the legal,
financial, and technical capacity to carry out its proposed program of projects, including the
safety and security aspects of that program;
B. In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory
continuing control over the use of Project equipment and facilities;
C. In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
Project equipment and facilities;
D. In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant will assure that any elderly
individual, any individual with disabilities, or any person presenting a Medicare card issued
to himself or herself pursuant to title II or title XVIII of the Social Security Act (42 U.S.C.
401 et seq. or 42 U.S.C. 1395 et seq.), will be charged for transportation during non -peak
hours using or involving a facility or equipment of a project financed with Federal
assistance authorized for 49 U.S.C. 5307, not more than fifty (50) percent of the peak hour
fare;
E. In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in carrying out a procurement
financed with Federal assistance authorized under 49 U.S.C. 5307: (1) will use competitive
procurement (as defined or approved by FTA), (2) will not use exclusionary or
discriminatory specifications in its procurements, (3) will comply with applicable Buy
America laws, and (4) will comply with the general provisions for FTA assistance of
49 U.S.C. 5323 and the third party procurement requirements of 49 U.S.C. 5325;
F. In compliance with 49 U.S.C. 5307(d)(1)(F), the Applicant has complied with or will
comply with the requirements of 49 U.S.C. 5307(c). Specifically, the Applicant: (1) has
made available, or will make available, to the public information on the amounts available
for the Urbanized Area Formula Program, 49 U.S.C. 5307, and the program of projects it
proposes to undertake; (2) has developed or will develop, in consultation with interested
parties including private transportation providers, a proposed program of projects for
activities to be financed; (3) has published or will publish a proposed program of projects in
a way that affected citizens, private transportation providers, and local elected officials have
APPENDIX A
the opportunity to examine the proposed program and submit comments on the proposed
program and the performance of the Applicant; (4) has provided or will provide an
opportunity for a public hearing to obtain the views of citizens on the proposed program of
projects; (5) has assured or will assure that the proposed program of projects provides for
the coordination of transportation services assisted under 49 U.S.C. 5336 with transportation
services assisted by another Federal government source; (6) has considered or will consider
the comments and views received, especially those of private transportation providers, in
preparing its final program of projects; and (7) has made or will make the final program of
projects available to the public;
G. In compliance with 49 U.S.C. 5307(d)(1)(G), the Applicant has or will have available and
will provide the amount of funds required by 49 U.S.C. 5307(e) for the local share, and that
those funds will be provided from approved non -Federal sources except as permitted by
Federal law;
H. In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will comply with: (1) 49 U.S.C.
5301(a) (requirements for public transportation systems that maximize the safe, secure, and
efficient mobility of individuals, minimize environmental impacts, and minimize
transportation -related fuel consumption and reliance on foreign oil); (2) 49 U.S.C. 5301(d)
(special efforts to design and provide public transportation for elderly individuals and
individuals with disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning and private
enterprise requirements);
I. In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant has a locally developed process
to solicit and consider public comment before raising a fare or implementing a major
reduction of public transportation;
J. In compliance with 49 U.S.C. 5307(d)(1)(J), each Federal fiscal year, the Applicant will
spend at least one (1) percent of its funds authorized by 49 U.S.C. 5307 for public
transportation security projects, unless the Applicant has certified to FTA that such
expenditures are not necessary. Public transportation security projects include increased
lighting in or adjacent to a public transportation system (including bus stops, subway
stations, parking lots, and garages), increased camera surveillance of an area in or adjacent
to that system, emergency telephone line or lines to contact law enforcement or security
personnel in an area in or adjacent to that system, and any other project intended to increase
the security and safety of an existing or planned public transportation; and
K. In compliance with 49 U.S.C. 5307(d)(1)(K), if the Applicant is a Designated Recipient
serving an urbanized area with a population of at least 200,000, (1) the Applicant certifies
either that it has expended or will expend for transit enhancements as defined at 49 U.S.C.
5302(a)(15) not less than one (1) percent of the amount of the Urbanized Area Formula
Assistance it receives this Federal fiscal year, or that at least one Designated Recipient in its
urbanized area has certified or will certify that the Designated Recipients within that
urbanized area together have expended or will expend for transit enhancements as defined at
49 U.S.C. 5302(a)(15) not less than one (1) percent of the amount of the total amounts the
Designated Recipients receive each Federal fiscal year under 49 U.S.C. 5307, and (2) either
the Applicant has listed or will list the transit enhancement projects it has carried out with
those funds, or at least one Designated Recipient in the Applicant's urbanized area has listed
or will list the transit enhancement projects carried out with funds authorized under
49 U.S.C. 5307. If the Designated Recipient's quarterly report for the fourth quarter of the
APPENDIX A
preceding Federal fiscal year includes a list of transit enhancement projects the Designated
Recipients in its urbanized area have implemented during that preceding Federal fiscal year
using those funds, the information in that quarterly report will fulfill the requirements of
49 U.S.C. 5307(d)(1)(K)(ii), and thus that quarterly report will be incorporated by reference
and made part of the Designated Recipient's and Applicant's certifications and assurances.
16. CLEAN FUELS GRANT PROGRAM
Each Applicant for Clean Fuels Grant Program assistance authorized under 49 U.S.C. 5308 is
required to provide the following certifications on behalf of itself and its subrecipients. Unless
FTA determines otherwise in writing, the Applicant is ultimately responsible for compliance with
its certifications and assurances even though a subrecipient, lessee, third party contractor, or
other participant may participate in that project Consequently, in providing certifications and
assurances that involve the compliance of its prospective subrecipients, the Applicant is strongly
encouraged to take the appropriate measures, including but not limited to obtaining sufficient
documentation from each subrecipient, to assure the validity of all certifications and assurances
the Applicant has made to PTA. FTA may not award Federal assistance for the Clean Fuels
Grant Program until the Applicant provides these certifications by selecting Category "16."
As required by 49 U.S.C. 5308(d)(1), which makes the requirements of 49 U.S.C. 5307
applicable to Clean Fuels Grant Program assistance, and 49 U.S.C. 5307(d)(1), the designated
recipient or the recipient serving as the Applicant on behalf of the designated recipient, or the
State or State organization serving as the Applicant on behalf of the State, certifies as follows:
A. In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or will have the legal,
financial, and technical capacity to carry out its proposed program of projects, including the
safety and security aspects of that program;
B. In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory
continuing control over the use of project equipment and facilities;
C. In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
project equipment and facilities;
D. In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant will assure that any elderly
individual, any individual with disabilities, or any person presenting a Medicare card issued
to himself or herself pursuant to title H or title XVIII of the Social Security Act (42 U.S.C.
401 et seq. or 42 U.S.C. 1395 et seq.), will be charged for transportation during non -peak
hours using or involving a facility or equipment of a project financed with Federal
assistance authorized under 49 U.S.C. 5308, not more than fifty (50) percent of the peak
hour fare;
E. In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in carrying out a procurement
financed with Federal assistance authorized under 49 U.S.C. 5308: (1) will use competitive
procurement (as defined or approved by FTA), (2) will not use exclusionary or
discriminatory specifications in its procurements, (3) will comply with applicable Buy
America laws, and (4) will comply with the general provisions for FTA assistance of
49 U.S.C. 5323 and the third party procurement requirements of 49 U.S.C. 5325;
F. In compliance with 49 U.S.C. 5307(d)(1)(F), the Applicant has compiled with or will
comply with the requirements of 49 U.S.C. 5307(c). Specifically, the Applicant: (1) has
APPENDIX A
made available, or will make available, to the public information on the amounts available
for the Clean Fuels Grant Program, 49 U.S.C. 5308, and the projects it proposes to
undertake; (2) has developed or will develop, in consultation with interested parties
including private transportation providers, the proposed projects to be financed; (3) has
published or will publish a list of the proposed projects in a way that affected citizens,
private transportation providers, and local elected officials have the opportunity to examine
the proposed projects and submit comments on the proposed projects and the performance
of the Applicant; (4) has provided or will provide an opportunity for a public hearing to
obtain the views of citizens on the proposed projects; (5) has assured or will assure that the
proposed projects provide for the coordination of transportation services assisted under
49 U.S.C. 5336 with transportation services assisted by another Federal government source;
(6) has considered or will consider the comments and views received, especially those of
private transportation providers, in preparing its final list of projects; and (7) has made or
will make the final list of projects available to the public;
G. In compliance with 49 U.S.C. 5307(d)(1)(G), the Applicant has or will have available and
will provide the amount of funds required by 49 U.S.C. 5308(d)(2) for the local share, and
that those funds will be provided from approved non -Federal sources except as permitted by
Federal law;
H. In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will comply with: (1) 49 U.S.C.
5301(a) (requirements for public transportation systems that maximize the safe, secure, and
efficient mobility of individuals, minimize environmental impacts, and minimize
transportation -related fuel consumption and reliance on foreign oil); (2) 49 U.S.C. 5301(d)
(special efforts to design and provide public transportation for elderly individuals and
individuals with disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning and private
enterprise requirements);
I. In compliance with 49 U.S.C. 5307(d)(1)(1), the Applicant has a locally developed process
to solicit and consider public comment before raising a fare or implementing a major
reduction of public transportation; and
J. The Applicant certifies will operate vehicles purchased with Federal assistance provided
under the Clean Fuels Grant Program, 49 U.S.C. 5308 only with clean fuels.
17. ELDERLY INDIVIDUALS AND INDIVIDUALS WITH DISABILITIES
FORMULA GRANT PROGRAM AND PILOT PROGRAM
Before FTA may award Elderly Individuals and Individuals with Disabilities Formula Grant
Program assistance and, if applicable, Elderly Individuals and Individuals with Disabilities Pilot
Program assistance to a State, the US. Secretary of Transportation or his or her designee is
required to make the pre -award determinations required by 49 U.S.C. 5310. Because certain
information is needed before FTA can make those determinations, each State is requested to
provide the following certifications assurances on behalf of itself and its subrecipients. Unless
FTA determines otherwise in writing, the State itself is ultimately responsible for compliance
with its certifications and assurances even though a subrecipient, lessee, third party contractor,
or other participant may participate in that project. Consequently, in providing certifications
and assurances that involve the compliance of its prospective subrecipients, the State is strongly
encouraged to take the appropriate measures, including but not limited 10 obtaining sufficient
APpENDIX A
documentationfrom each subrecipient, to assure the validity of all certifications and assurances
the State has made to FTA. A State that fails to provide these certifications and assurances on
behalf of itself and its subrecipients may be determined ineligible for a grant of Federal
assistance under 49 U.S.C. 5310 [17'A lacks sufficient informationfrom which to make those
determinations required by Federal laws and regulations governing the Elderly Individuals and
Individuals with Disabilities Formula Grant Program and, if applicable, the Elderly Individuals
and Individuals with Disabilities Pilot Program authorized by 49 US. C. 5310 and Section 3012
of SAFETEA-LU, respectively. The State is thus requested to select Category "(17)."
A. As required by 49 U.S.C. 5310(d), which makes the requirements of 49 U.S.C. 5307
applicable to the Elderly Individuals and Individuals with Disabilities Formula Grant
Program to the extent that the Federal Transit Administrator or his or her designee
determines appropriate, and 49 U.S.C. 5307(d)(1), the State or State organization serving as
the Applicant (State) and that administers, on behalf of the State, the Elderly Individuals and
Individuals with Disabilities Program authorized by 49 U.S.C. 5310, and, if applicable, the
Elderly Individuals and Individuals with Disabilities Pilot Program authorized by
subsection 3012(b) of SAFETEA-LU, 49 U.S.C. 5310 note, certifies and assures on behalf
of itself and its subrecipients as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or will have the legal,
financial, and technical capacity to carry out its proposed program of projects, including
the safety and security aspects of that program;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory
continuing control. over the use of project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in carrying out a
procurement financed with Federal assistance authorized under 49 U.S.C. 5310 or
subsection 3012(b) of SAFETEA-LU: (1) will use competitive procurement (as defined
or approved by FTA), (2) will not use exclusionary or discriminatory specifications in
its procurements, (3) will comply with applicable Buy America laws, and (4) will
comply with the general provisions for FTA assistance of 49 U.S.C. 5323 and the third
party procurement requirements of 49 U.S.C. 5325;
(5) The State has or will have available and will provide the amount of funds required by
49 U.S.C. 5310(c), and if applicable by section 3012(b)(3) and (4), for the local share,
and that those funds will be provided from approved non -Federal sources except as
permitted by Federal law; and
(6) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will comply with:
(1) 49 U.S.C. 5301(a) (requirements for public transportation systems that maximize the
safe, secure, and efficient mobility of individuals, minimize environmental impacts, and
minimize transportation -related fuel consumption and reliance on foreign oil);
(2) 49 U.S.C. 5301(d) (special efforts to design and provide public transportation for
elderly individuals and individuals with disabilities); and (3) 49 U.S.C. 5303 through
5306 (planning and private enterprise requirements);
B. The State assures that each subrecipient either is recognized under State law as a private
nonprofit organization with the legal capability to contract with the State to carry out the
APPENDIX A
proposed project, or is a public body that has met the statutory requirements to receive
Federal assistance authorized for 49 U.S.C. 5310.
C. The private nonprofit subrecipient's application for 49 U.S.C. 5310 assistance contains
information from which the State concludes that the transit service provided or offered to be
provided by existing public or private transit operators is unavailable, insufficient, or
inappropriate to meet the special needs of the elderly and persons with disabilities.
D. In compliance. with 49 U.S.C. 5310(d)(2)(A) and section 3012(b)(2), the State certifies that,
before it transfers funds to a project fimded under 49 U.S.C. 5336, that project will has been
or will have been coordinated with private nonprofit providers of services under 49 U.S.C.
5310;
E. In compliance with 49 U.S.C. 5310(d)(2)(C), the State certifies that allocations to
subrecipients of financial assistance authorized under 49 U.S.C. 5310 or subsection 3012(b)
of SAFETEA-LU will be distributed on a fair and equitable basis; and
F. In compliance with 49 U.S.C. 5310(d)(2)(B) and Subsection 3012(b)(2) of SAFETEA-LU,
the State certifies that: (1) projects it has selected or will select for assistance under that
program were derived from a locally developed, coordinated public transit -human services
transportation plan; and (2) the plan was developed through a process that included
representatives of public, private, and nonprofit transportation and human services providers
and participation by the public.
18. NONURBANIZED AREA FORMULA PROGRAM FOR STATES
The provisions of 49 U.S.C. 5311 establishing the Nonurbanized Area Formula Program for
States do not impose, as a pre -condition ofaward, any explicit certification or assurance
requirements established specifically for that program. Only a State or a State organization
acting as the Recipient on behalf of a State (State) may be a direct recipient of this Nonurbanized
Area Formula Program assistance. Separate certifications and assurances have been established
in Category 22 for an Indian tribe that is an Applicant for Tribal Transit Program assistance
authorized by 49 U.S.C. 5311(c)(1).
Before FTA may award Nonurbanized Area Formula Program assistance to a State, the
U.S. Secretary of Transportation or his or her designee is required to make the pre -award
determinations required by 49 US.C. 5311. Because certain information is needed before F7'A
can make those determinations, each State is requested to provide the following certifications
and assurances on behalf of itself and its subrecipients. Unless FTA determines otherwise in
writing, the State itself -is ultimately responsible for compliance with its certifications and
assurances even though a subrecipient, lessee, third party contractor,"or other participant may
participate in that project Consequently, in providing certifications and assurances that involve
the compliance of its prospective subrecipients, the State is strongly encouraged to take the
appropriate measures, including but not limited to obtaining sufficient documentation from each
subrecipient, to assure the validity of all certifications and assurances the State has made to
FTA. A State that fails to provide these certifications and assurances on behalf of itself and its
subrecipients may be determined ineligible for a grant of Federal assistance under 49 US. C.
5311 if FTA lacks sufficient information from which to make those determinations required by
Federal laws and regulations governing the Nonurbanized Area Formula Program authorized
APPENDIX A
by 49 US.C. 5311. The State is thus requested to select Category "(18)."
The State or State organization serving as the Applicant and that administers, on behalf of the
State (State) the Nonurbanized Area Formula Program for States authorized by 49 U.S.C. 5311,
assures on behalf of itself and its subrecipients as follows:
A. The State has or will have the necessary legal, financial, and managerial capability to apply
for, receive, and disburse Federal assistance authorized for 49 U.S.C. 5311; and to carry out
each project, including the safety and security aspects of that project;
B. The State has or will have satisfactory continuing control over the use of project equipment
and facilities;
C. The State assures that the project equipment and facilities will be adequately maintained;
D. In compliance with 49 U.S.C. 5311(b)(2)(C)(i), the State's program has provided for a fair
distribution of Federal assistance authorized for 49 U.S.C. 5311 within the State, including
Indian reservations within the State;
E. In compliance with 49 U.S.C. 5311(b)(2)(C)(ii), the State's program provides or will
provide the maximum feasible coordination of public transportation service to receive
assistance under 49 U.S.C. 5311 with transportation service assisted by other Federal
sources;
F. The projects in the State's Nonurbanized Area Formula Program are included in the
Statewide Transportation Improvement Program and, to the extent applicable, the projects
are included in a metropolitan Transportation Improvement Program;
G. The State has or will have available and will provide the amount of funds required by
49 U.S.C. 5311(g) for the local share, and that those funds will be provided from approved
non -Federal sources except as permitted by Federal law; and
H. In compliance with 49 U.S.C. 5311(1), the State will expend not less than fifteen (15)
percent of its Federal assistance authorized under 49 U.S.C. 5311 to develop and support
intercity bus transportation within the State, unless the chief executive officer of the State,
or his or her designee, after consultation with affected intercity bus service providers,
certifies to the Federal Transit Administrator, apart from these certifications and assurances
herein, that the intercity bus service needs of the State are being adequately met.
19. JOB ACCESS AND REVERSE COMMUTE FORMULA GRANT PROGRAM
Each Applicant for Job Access and Reverse Commute (JARC) Formula Grant Program
assistance authorized under 49 U.S.C. 5316 is required to provide the following certifications on
behalf of itself and any subrecipient that may be implementing its project. Unless FTA
determines otherwise in writing, the Applicant itself is ultimately responsible for compliance
with its certifications and assurances even though a subrecipient, lessee, third party contractor,
or other participant may participate in that project Consequently, in providing certifications
and assurances that involve the compliance of its prospective subrecipients, the Applicant is
strongly encouraged to take the appropriate measures, including but not limited to obtaining
sufficient documentation from each subrecipient, to assure the validity of all certifications and
assurances the Applicant has made to FTA. PTA may not award Federal assistance for the JARC
Formula Grant Program until the Applicant provides these certifications by selecting
Category "19."
APPENDIX A
cooperation with the appropriate MPO an areawide solicitation for applications, and make
awards on a competitive basis and (2) with respect to financial assistance authorized under
49 U.S.C. 5316(c)(1)(B) or 49 U.S.C. 5316(c)(1)(C), it will conduct a statewide solicitation
for applications, and make awards on a competitive basis;
C. In compliance with 49USC. 5316(f)(2), the Applicant certifies that any allocations to
subrecipients of financial assistance authorized under 49 U.S.C. 5316 will be distributed on
a fair and equitable basis;
D. In compliance with 49 U.S.C. 5316(g)(2), the Applicant certifies that, before it transfers
funds to a project funded under 49 U.S.C. 5336, that project will has been or will have been
coordinated with private nonprofit providers of services;
E In compliance with 49 U.S.C. 5316(g)(3), the Applicant certifies that: (1) the projects it has
selected or will select for assistance under that program were derived from a locally
developed, coordinated public transit -human services transportation plan; and (2) the plan
was developed through a process that included representatives of public, private, and
nonprofit transportation and human services providers and participation by the public; and
F. In compliance with 49 U.S.C. 5316(c)(3), before the Applicant uses funding apportioned
under 49 U.S.C. 5316(c)(1)(B) or (C) for projects serving an area other than that specified in
49 U.S.C. 5316(2)(B) or (C), the Applicant certifies that the chief executive officer of the
State, or his or her designee will have certified to the Federal Transit Administrator, apart
from these certifications herein, that all of the objectives of 49 U.S.C. 5316 are being met in
the area from which such fiinding would be derived.
20. NEW FREEDOM PROGRAM
Each Applicant for New Freedom Program assistance authorized under 49 US. C. 5317 must
provide the following certifications on behalf of itself and any subrecipient that may be
implementing its project. Unless FTA determines otherwise in writing, the Applicant itself is
ultimately responsible for compliance with its certifications and assurances even though a
subrecipient, lessee, third party contractor, or other participant may participate in that project.
Consequently, in providing certifications and assurances that involve the compliance of its
prospective subrecipients, the Applicant is strongly encouraged to take the appropriate
measures, including but not limited to obtaining sufficient documentation from each
subrecipient, to assure the validity of all certifications and assurances the Applicant has made to
FTA. FTA may not award Federal assistance for the New Freedom Program until the Applicant
provides these certifications by selecting Category "20."
A. As required by 49 U.S.C. 5317(e)(1), which makes the requirements of 49 U.S.C. 5310
applicable to New Freedom grants to the extent the Federal Transit Administrator or his or
her designee determines appropriate, by 49 U.S.C. 5310(d)(1), which makes the
requirements of 49 U.S.C. 5307 applicable to Elderly Individuals and Individuals with
Disabilities Formula grants to the extent the Federal Transit Administrator or his or her
designee determines appropriate, and by 49 U.S.C. 5307(d)(1), the Applicant for New
Freedom Program assistance authorized under 49 U.S.C. 5317 certifies and assures on
behalf of itself and its subrecipients, if any, as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or will have the legal,
APPENDIX A
A. As required by 49 U.S.C. 5316(0(1), which makes the requirements of 49 U.S.C. 5307
applicable to Job Access and Reverse Commute (JARC) formula grants, and 49 U.S.C.
5307(d)(1), the Applicant for JARC Formula Program assistance authorized under
49 U.S.C. 5316, certifies on behalf of itself and its subrecipients, if any, as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or will have the legal,
financial, and technical capacity to carry out its proposed program of projects, including
the safety and security aspects of that program;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory
continuing control over the use of project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant will assure that any elderly
individual, any individual with disabilities, or any person presenting a Medicare card
issued to himself or herself pursuant to title II or title XVIII of the Social Security Act
(42 U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.), will be charged for transportation
during non -peak hours using or involving a facility or equipment of a project financed
with Federal assistance authorized under 49 U.S.C. 5316 not more than fifty (50)
percent of the peak hour fare;
(5) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in carrying out a
procurement financed with Federal assistance authorized under 49 U.S.C. 5316: (1) will
use competitive procurement (as defined or approved by FTA), (2) will not use
exclusionary or discriminatory specifications in its procurements, (3) will comply with
applicable Buy America laws, and (4) will comply with the general provisions for
FTA assistance of 49 U.S.C. 5323 and the third party procurement requirements of
49 U.S.C. 5325;
(6) In compliance with 49 U.S.C. 5316(0(1) and 49 U.S.C. 5307(d)(1)(F), the Applicant
certifies that (1) with respect to financial assistance authorized under 49 U.S.C. 5316, it
will conduct in cooperation with the appropriate MPO an areawide solicitation for
applications, and make awards on a competitive basis and (2) with respect to financial
assistance authorized under 49 U.S.C. 5316, it will conduct a statewide solicitation for
applications, and make awards on a competitive basis; and that these activities will be
carried out in a manner that complies with or will comply with 49 U.S.C. 5307(c);
(7) The Applicant has or will have available and will provide the amount of funds required
by 49 U.S.C. 5316(h) for the local share, and that those funds will be provided from
approved non -Federal sources except as permitted by Federal law;
(8) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will comply with:
(1) 49 U.S.C. 5301(a) (requirements for public transportation systems that maximize the
safe, secure, and efficient mobility of individuals, minimize environmental impacts, and
minimize transportation -related fuel consumption and reliance on foreign oil); and
(2) 49 U.S.C. 5301(d) (special efforts to design and provide public transportation for
elderly individuals and individuals with disabilities); and (3) 49 U.S.C. 5303 through
5306 (planning and private enterprise requirements).
B. In compliance with 49 U.S.C. 5316(d), the Applicant certifies that (1) with respect to
financial assistance authorized under 49 U.S.C. 5316(c)(1)(A), it will conduct in
APPENDIX A
financial, and technical capacity to carry out its proposed program of projects, including
the safety and security aspects of that program;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory
continuing control over the use of project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in carrying out a
procurement financed with Federal assistance authorized under 49 U.S.C. 5317: (1) will
use competitive procurement (as defined or approved by FTA), (2) will not use
exclusionary or discriminatory specifications in its procurements, (3) will comply with
applicable Buy America laws, and (4) will comply with the general provisions for FTA
assistance of 49 U.S.C. 5323 and the third party procurement requirements of 49 U.S.C.
5325;
(5) The Applicant has or will have available and will provide the amount of funds required
by 49 U.S.C. 5317(g) for the local share, and that those funds will be provided from
approved non -Federal sources except as permitted by Federal law; and
(6) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will comply with:
(1) 49 U.S.C. 5301(a) (requirements for public transportation systems that maximize the
safe, secure, and efficient mobility of individuals, minimize environmental impacts, and
minimize transportation -related fuel consumption and reliance on foreign oil);
(2) 49 U.S.C. 5301(d) (special efforts to design and provide public transportation for
elderly individuals and individuals with disabilities); and (3) 49 U.S.C. 5303 through
5306 (planning and private enterprise requirements);
B. In compliance with 49 U.S.C. 5317(d), the Applicant certifies that (1) with respect to
financial assistance authorized under 49 U.S.C. 5317(c)(1)(A), it will conduct in
cooperation with the appropriate MPO an areawide solicitation for applications, and make
awards on a competitive basis and (2) with respect to financial assistance authorized under
49 U.S.C. 5317(c)(1)(B) or 49 U.S.C. 5317(c)(1)(C), it will conduct a statewide solicitation
for applications, and make awards on a competitive basis;
C. In compliance with 49 U.S.C. 5317(f)(2), the Applicant certifies that, before it transfers
funds to a project fimded under 49 U.S.C. 5336, that project has been or will have been
coordinated with private nonprofit providers of services;
D. In compliance with 49 U.S.C. 5317(e)(2), the Applicant certifies that any allocations to
subrecipients of financial assistance authorized under 49 U.S.C. 5317 will be distributed on
a fair and equitable basis; and
E. In compliance with 49 U.S.C. 5317(f)(3), the Applicant certifies that: (1) projects it has
selected or will select for assistance under that program were derived from a locally
developed, coordinated public transit -human services transportation plan; and (2) the plan
was developed through a process that included representatives of public, private, and
nonprofit transportation and human services providers and participation by the public
21. PAUL S. SARBANES TRANSIT IN PARKS PROGRAM
Each State, tribal area, or local government authority that is an Applicant for Paul S. Sarbanes
Transit in Parks Program assistance (Applicant) authorized by 49 US. C. 5320, is required to
APPENDIX A
provide the following certifications. .F7'A may not award assistance for the Paul S. Sarbanes
Transit in Parks Program to the Applicant until the Applicant provides these certifications by
selecting Category "21."
A. As required by 49 U.S.C. 5320(i), which makes the requirements of 49 U.S.C. 5307
applicable to the Paul S. Sarbanes Transit in Parks Program to the extent the Federal Transit
Administrator or his or her designee determines appropriate, and 49 U.S.C. 5307(d)(1), the
Applicant certifies as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or will have the legal,
financial, and technical capacity to carry out its proposed project, including the safety
and security aspects of that project;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory
continuing control over the use of project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(E) in carrying out a procurement financed
with Federal assistance authorized under 49 U.S.C. 5320, the Applicant: (1) will use
competitive procurement (as defined or approved by FTA), (2) will not use exclusionary
or discriminatory specifications in its procurements, (3) will comply with applicable
Buy America laws, and (4) will comply with the general provisions for FTA assistance
of 49 U.S.C. 5323 and the third party procurement requirements of 49 U.S.C. 5325;
(5) In compliance with 49 U.S.C. 5307(d)(1)(F) and with 49 U.S.C.5320(e)(2)(C), the
Applicant has complied with or will comply with the requirements of 49 U.S.C. 5307(c).
Specifically, it: (1) has made available, or will make available, to the public information
on the amounts available for the Paul S. Sarbanes Transit in Parks Program, 49 U.S.C.
5320, and the projects it proposes to undertake; (2) has developed or will develop, in
consultation with interested parties including private transportation providers, projects to
be financed; (3) has published or will publish a list of projects in a way that affected
citizens, private transportation providers, and local elected officials have the opportunity
to examine the proposed projects and submit comments on the proposed projects and the
performance of the Applicant; (4) has provided or will provide an opportunity for a
public hearing to obtain the views of citizens on the proposed projects; (5) has assured
or will assure that the proposed projects provide for the coordination of transportation
services assisted under 49 U.S.C. 5336 with transportation services assisted by another
Federal government source; (6) has considered or will consider the comments and views
received, especially those of private transportation providers, in preparing its final list of
projects; and (7) has made or will make the final list of projects available to the public;
(6) In compliance with 49 U.S.C. 5307(d)(1)(H), the Applicant will comply with:
(1) 49 U.S.C. 5301(a) (requirements for public transportation systems that maximize the
safe, secure, and efficient mobility of individuals, minimize environmental impacts, and
minimize transportation -related fuel consumption and reliance on foreign oil);
(2) 49 U.S.C. 5301(d) (special efforts to design and provide public transportation for
elderly individuals and individuals with disabilities); and (3) 49 U.S.C. 5303 through
5306 (planning and private enterprise requirements).
(7) In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant has a locally developed
APPENDIX A
process to solicit and consider public comment before raising a fare or implementing a
major reduction of public transportation.
B. In compliance with 49 U.S.C.5320(e)(2)(A), (B), and (D), the Applicant assures that it will:
(1) Comply with the metropolitan planning provisions of 49 U.S.C. 5303;
(2) Comply with the statewide planning provisions of 49 U.S.C. 5304; and
(3) Consult with the appropriate Federal land management agency during the planning
process.
22. TRIBAL TRANSIT PROGRAM
Each Applicant for Tribal Transit Program assistance must provide all certifications and
assurances set forth below. Except to the extent that FTA determines otherwise in writing, FTA
may not award any Federal assistance under the Tribal Transit Program until the Applicant
provides these certifications and assurances by selecting Category "22."
In accordance with 49 U.S.C. 5311(c)(1) that authorizes the Secretary of Transportation to
establish terms and conditions for direct grants to Indian tribal governments, the Applicant
certifies and assures as follows:
A. The Applicant assures that:
(1) It has or will have the necessary legal, financial, and managerial capability to apply for,
receive, and disburse Federal assistance authorized for 49 U.S.C. 5311; and to carry out
each project, including the safety and security aspects of that project;
(2) It has or will have satisfactory continuing control over the use of project equipment and
facilities;
(3) The project equipment and facilities will be adequately maintained; and
(4) Its project will achieve maximum feasible coordination with transportation service
assisted by other Federal sources.
B. In accordance with 49 CFR 18.36(g)(3)(ii), the Applicant certifies that its procurement
system will comply with the requirements of 49 CFR 18.36, or will inform FTA promptly
that its procurement system does not comply with 49 CFR 18.36.
C. To the extent applicable to the Applicant or its Project, the Applicant certifies that it will
comply with the certifications, assurances, and agreements in Category 08 (Bus Testing),
Category 09 (Charter Bus Agreement), Category 10 (School Transportation Agreement),
Category 11 (Demand Responsive Service), Category 12 (Alcohol Misuse and Prohibited
Drug Use), and Category 14 (National Intelligent Transportation Systems Architecture and
Standards) of this document.
D. If its application exceeds $100,000, the Applicant agrees to comply with the certification in
Category 02 (Lobbying) of this document.
23. INFRASTRUCTURE FINANCE PROJECTS
Each Applicant for Infrastructure Finance assistance authorized under 23 U.S. C. chapter 6, is
required to provide the following certifications. FTA may not award Infrastructure Finance
assistance to the Applicant until the Applicant provides these certifications by selecting
APPENDIX A
Category "23."
A. As required by 49 U.S.C. 5323(o), which makes the requirements of 49 U.S.C. 5307
applicable to Applicants seeking Infrastructure Finance assistance authorized under
23 U.S.C. chapter 6, and by 49 U.S.C. 5307(d)(1), the Applicant certifies as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or will have the legal,
financial, and technical capacity to carry out its proposed program of projects, including
the safety and security aspects.of that program;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory
continuing control over the use of project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant will assure that any elderly
individual, any individual with disabilities, or any person presenting a Medicare card
issued to himself or herself pursuant to title II or title XVIII of the Social Security Act
(42 U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.), will be charged for transportation
during non -peak hours using or involving a facility or equipment of a project financed
with Federal assistance authorized under 23 U.S.C. chapter 6, not more than fifty (50)
percent of the peak hour fare;
(5) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in carrying out a
procurement financed with Federal assistance authorized under 23 U.S.C. chapter 6:
(1) will use competitive procurement (as defined or approved by FTA), (2) will not use
exclusionary or discriminatory specifications in its procurements, (3) will comply with
applicable Buy America laws, and (4) will comply with the general provisions for
FTA assistance of 49 U.S.C. 5323 and the third party procurement requirements of
49 U.S.C. 5325;
(6) In compliance with 49 U.S.C. 5307(d)(1)(F), the Applicant has complied with or will
comply with the requirements of 49 U.S.C. 5307(c). Specifically, it: (1) has made
available, or will make available, to the public information on the amounts available for
Infrastructure Finance assistance, 23 U.S.C. chapter 6, and the projects it proposes to
undertake; (2) has developed or will develop, in consultation with interested parties
including private transportation providers, the proposed projects to be financed; (3) has
published or will publish a list of projects in a way that affected citizens, private
transportation providers, and local elected officials have the opportunity to examine the
proposed projects and submit comments on the proposed projects and the performance
of the Applicant; (4) has provided or will provide an opportunity for a public hearing to
obtain the views of citizens on the proposed projects; (5) has assured or will assure that
the proposed projects provide for the coordination of transportation services assisted
under 49 U.S.C. 5336 with transportation services assisted by another Federal
government source; (6) has considered or will consider the comments and views
received, especially those of private transportation providers, in preparing its final list of
projects; and (7) has made or will make the final. list of projects available to the public;
(7) In compliance with 49 U.S.C. 5307(d)(1)(G), the Applicant has or will have available
and will provide the amount of funds required for the local share, and that those funds
will be provided from approved non -Federal sources except as permitted by Federal law;
APPENDIX A
(8) In compliance with 49 U.S.C. 5307(d)(1)(H), (1) the Applicant will comply with:
49 U.S.C. 5301(a) (requirements for public transportation systems that maximize the
safe, secure, and efficient mobility of individuals, minimize environmental impacts, and
minimize transportation -related fuel consumption and reliance on foreign oil);
(2) 49 U.S.C. 5301(d) (special efforts to design and provide public transportation for
elderly individuals and individuals with disabilities); and (3) 49 U.S.C. 5303 through
5306 (planning and private enterprise requirements);
(9) In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant has a locally developed
process to solicit and consider public comment before raising a fare or implementing a
major reduction of public transportation;
(10) To the extent that the Applicant will be using funds authorized under 49 U.S.C. 5307
for the project, in compliance with 49 U.S.C. 5307(d)(1)(J), each Federal fiscal year, the
Applicant will spend at least one (1) percent of those funds authorized under 49 U.S.C.
5307 for public transportation security projects (this includes only capital projects in the
case of a Applicant serving an urbanized area with a population of 200,000 or more),
unless the Applicant has certified to FTA that such expenditures are not necessary.
Public transportation security projects include increased lighting in or adjacent to a
public transportation system (including bus stops, subway stations, parking lots, and
garages), increased camera surveillance of an area in or adjacent to that system,
emergency telephone line or lines to contact law enforcement or security personnel in an
area in or adjacent to that system, and any other project intended to increase the security
and safety of an existing or planned public transportation; and
(11) To the extent that the Applicant will be using funds authorized under 49 U.S.C. 5307
for the project, in compliance with 49 U.S.C. 5309(d)(1)(K): (1) an Applicant that serves
an urbanized area with a population of at least 200,000 will expend not less than one
(1) percent of the amount it receives each Federal fiscal year under 49 U.S.C. 5307 for
transit enhancements, as defined at 49 U.S.C. 5302(a), and (2) if it has received transit
enhancement funds authorized by 49 U.S.C. 5307(k)(1), its quarterly report for the
fourth quarter of the preceding Federal fiscal year includes a list of the projects it has
implemented during that Federal fiscal year using those funds, and that report is
incorporated by reference and made part of its certifications and assurances.
B. As required by 49 U.S.C. 5323(o), which makes the requirements of 49 U.S.C. 5309
applicable to Applicants seeking Infrastructure Finance assistance authorized under
23 U.S.C. chapter 6, and by 49 U.S.C. 5309(g)(2)(B)(iii), 5309(g)(3)(B)(iii), and
5309(i)(2)(C), the Applicant certifies that it will not seek reimbursement for interest and
other financing costs incurred in connection with the Project unless it is eligible to receive
Federal assistance for those expenses and its records demonstrate that it has used reasonable
diligence in seeking the most favorable financing terms underlying those costs, to the extent
FTA may require.
24. DEPOSITS OF FEDERAL FINANCIAL ASSISTANCE
TO STATE INFRASTRUCTURE BANKS
The State organization that administers the State Infrastructure Bank (SIB) Program on behalf of
a State (State) and that is also an Applicant for Federal assistance authorized under 49 US. C.
APPENDIX A
chapter 53 that it intends to deposit in its SIB is requested to provide the following assurances on
behalf of itself its SIB, and each subrecipient. Unless FTA determines otherwise in writing, the
State itself is ultimately responsible for compliance with its certffications and assurances even
though the SIB and a subrecipient may participate in that project. Consequently, in providing
certifications and assurances that involve the compliance of its SIB and prospective
subrecipients, the State is strongly encouraged to take the appropriate measures, including but
not limited to obtaining sufficient documentation from the SIB and each subrecipient, to assure
the validity of all certifications and assurances the State has made to FTA. FTA may not award
Federal assistance for the SIB Program to the State until the State provides these assurances by
selecting Category "24."
The State organization, serving as the Applicant (State) for Federal assistance for its State
Infrastructure Bank (SIB) Program authorized by section 1602 of SAFETEA-LU, now codified
at 23 U.S.C. 610, or by section 1511 of TEA -21, 23 U.S.C. 181 note, or by section 350 of the
National Highway System Designation Act of 1995, as amended, 23 U.S.C. 181 note, agrees and
assures the agreement of its SIB and the agreement of each recipient of Federal assistance
derived from the SIB within the State (subrecipient) that each public transportation project
financed with Federal assistance derived from SIB will be administered in accordance with:
A. Applicable provisions of section 1602 of SAFETEA-LU, now codified at 23 U.S.C. 610, or
by section 1511 of TEA -21, 23 U.S.C. 181 note, or by section 350 of the National Highway
System Designation Act of 1995, as amended, 23 U.S.C. 181;
B. The provisions of the FHWA, FRA, and FTA or the FHWA and FTA cooperative
agreement with the State to establish the State's SIB Program; and
C. The provisions of the FTA grant agreement with the State that provides Federal assistance
for the SIB, except that any provision of the Federal Transit Administration Master
Agreement incorporated by reference into that grant agreement will not apply if it conflicts
with any provision of section 1602 of SAFETEA-LU, now codified at 23 U.S.C. 610, or
section 1511 of TEA -21, 23 U.S.C. 181 note, or section 350 of the National Highway
System Designation Act of 1995, as amended, 23 U.S.C. 181 note, or Federal guidance
pertaining to the SIB Program, the provisions of the cooperative agreement establishing the
SIB Program within the State, or the provisions of the FTA grant agreement.
D. The requirements applicable to projects of 49 U.S.C. 5307 and 5309, as required by
49 U.S.C. 5323(o); and
E. The provisions of any applicable Federal guidance that may be issued as it may be amended
from time -to -time, unless FTA has provided written approval of an alternative procedure or
course of action.
##
Selection and Signature Page(s) follow.
APPENDIX A
FEDERAL FISCAL YEAR 2009 CERTIFICATIONS AND ASSURANCES FOR
FEDERAL TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS
(Signature page alternative to providing Certifications and Assurances in TEAM -Web)
Name of Applicant:
The Applicant agrees to comply with applicable provisions of Categories 01 — 24.
OR
The Applicant agrees to comply with applicable provisions of the Categories it has selected:
Category Description
01. Assurances Required For Each Applicant.
02. Lobbying.
03. Procurement Compliance.
04. Protections for Private Providers of Public Transportation.
05. Public Hearing.
06. Acquisition of Rolling Stock for Use in Revenue Service.
07. Acquisition of Capital Assets by Lease.
08. Bus Testing.
09. Charter Service Agreement.
10. School Transportation Agreement.
11. Demand Responsive Service.
12. Alcohol Misuse and Prohibited Drug Use.
13. Interest and Other Financing Costs.
14. Intelligent Transportation Systems.
15. Urbanized Area Formula Program.
16. Clean Fuels Grant Program.
17. Elderly Individuals and Individuals with Disabilities Formula Program and Pilot Program.
18. Nonurbanized Area Formula Program for States.
19. Job Access and Reverse Commute Program.
20. New Freedom Program.
21. Paul S. Sarbanes Transit in Parks Program.
22. Tribal Transit Program.
23. Infrastructure Finance Projects.
24. Deposits of Federal Financial Assistance to a State Infrastructure Banks.
APPENDIX A
FEDERAL FISCAL YEAR 2009 FTA CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE
(Required of all Applicants for FTA assistance and all FTA Grantees with an active capital or formula project)
Name of Applicant:
AFFIRMATION OF APPLICANT
Name and Relationship of Authorized Representative:
BY SIGNING BELOW, on behalf of the Applicant, I declare that the Applicant has duly authorized me to make
these certifications and assurances and bind the Applicant's compliance. Thus, the Applicant agrees to comply with
all Federal statutes and regulations, and follow applicable Federal directives, and comply with the certifications and
assurances as indicated on the foregoing page applicable to each application it makes to the Federal Transit
Administration (FTA) in Federal Fiscal Year 2009.
FTA intends that the certifications and assurances the Applicant selects on the other side of this document, as
representative of the certifications and assurances in this document, should apply, as provided, to each project for
which the Applicant seeks now, or may later, seek FTA assistance during Federal Fiscal Year 2009.
The Applicant affirms the truthfulness and accuracy of the certifications and assurances it has made in the
statements submitted herein with this document and any other submission made to FTA, and acknowledges that the
Program Fraud Civil Remedies Act of 1986, 31 U.S.C. 3801 et seq., and implementing U.S. DOT regulations,
"Program Fraud Civil Remedies," 49 CFR part 31 apply to any certification, assurance or submission made to FTA.
The criminal provisions of 18 U.S.C. 1001 apply to any certification, assurance, or submission made in connection
with a Federal public transportation program authorized in 49 U.S.C. chapter 53 or any other statute
In signing this document, I declare under penalties of perjury that the foregoing certifications and assurances, and
any other statements made by me on behalf of the Applicant are true and correct.
Signature Date:
Name
Authorized Representative of Applicant
For (Name of Applicant):
AFFIRMATION OF APPLICANTS ATTORNEY
As the undersigned Attorney for the above named Applicant, I hereby affirm to the Applicant that it has authority
under State, local, or tribal government law, as applicable, to make and comply with the certifications and
assurances as indicated on the foregoing pages. I further affirm that, in my opinion, the certifications and assurances
have been legally made and constitute legal and binding obligations on the Applicant.
I further affirm to the Applicant that, to the best of my knowledge, there is no legislation or litigation pending or
imminent that might adversely affect the validity of these certifications and assurances, or of the performance of the
project.
Signature Date:
Name
Attorney for Applicant
Each Applicant for FTA financial assistance and each FTA Grantee with an active capital or formula project must provide an Affirmation of
Applicant's Anomey pertaining to the Applicant's legal capacity. The Applicant may enter its signature in lieu of the Attorney's signature,
provided the Applicant has on file this Affirmation, signed by the attorney and dated this Federal fiscal year.
Project Grant Agreement # TX -37-x065
ATTACHMENT E
DEPARTMENT OF LABOR TERMS AND CONDITIONS
City of Round Rock
Fed 5316 JARC Page 19 of 20
U.S. Department of Labor
Employment Standards Administration
Office of Labor -Management Standards
Washington, D.C. 20210
October 3, 2008
Robert C. Patrick, Regional Administrator
Federal Transit Administration, Region VI
819 Taylor Street, Room 8A36
Ft. Worth, Texas 76102
Dear Mr. Patrick:
Re: FTA Application(s)
Capital Metropolitan Transportation
Authority
State or Program Administration on behalf
of itself, Operating Assistance; Bus
Shelter Construction and Capital Cost of
3rd Party Contracting on behalf of the
City of Round Rock and Operating
Assistance and (1) 15 -Passenger Van for
Service Expansion on behalf of Easter
Seals Central Texas
TX -37-X065
This is in reply to the request from your office that we review the above -
captioned application for a grant under Title 49 of the U.S. Code, Chapter 53.
Capital Metropolitan Transportation Authority (Capital Metro), Star Tran, Inc.
(as the successor to Management Labor Services, Inc. (MLS)) and Amalgamated
Transit Union (ATU) Locals 1091 and 1549 have previously agreed to become
party to the agreement executed on July 23, 1975, by the American Public
Transit Association and transit employee labor organizations. The July 23,
1975 agreement is supplemented by the October 26, 1989 side letter of
assurances from Capital Metro, MLS and Laidlaw Transit, Inc. and by the
October 27, 30, and 31, 1989 Capital Metro side letters. In addition, the parties
have agreed that paragraph (9) of the October 26, 1989 agreement between
MLS and ATU Local 1091, executed in connection with an earlier grant
application, shall be included as the addendum to the July 23, 1975 agreement
pursuant to paragraph (4) thereof. The terms and conditions of the July 23,
1975 agreement, as supplemented, provide protections to employees
represented by the union which satisfy the requirements of 49 U.S.C., Section
5333(b) for capitalized preventive maintenance assistance.
Furthermore, Capital Metro and ATU Local 1091 have agreed that the
agreement between MLS and ATU Local 1091 dated October 26, 1989, as
supplemented by letters dated October 26, 27, and 30, 1989, from Capital
Metro shall be made applicable to the capital assistance portion of the instant
project. In addition, Capital Metro and the ATU have agreed that the October
26, 1989 agreement executed by Laidlaw Transit, Inc. and ATU Local 1549, as
supplemented by the October 26, 27 and 31, 1989 side letters of Capital Metro
shall be made applicable to the instant project. The October 26, 1989
agreements, as supplemented, provide to employees represented by the union
protection satisfying the requirements of the statute.
Capital Metro has indicated that it will pick up the labor protections on behalf
of the City of Round Rock and Easter Seals Central Texas.
Accordingly, the Department of Labor makes the certification called for in the
Act with respect to the instant project on condition that:
1. This letter and the terms and conditions of the above
protective agreements and arrangements shall be
made applicable to the instant project and shall be
incorporated into the contract of assistance between
Capital Metro and FTA, by reference;
2. The term "project" as used in the above referenced
arrangements shall be deemed to cover and refer to the
operating and capital portions, respectively, of the
instant projects;
3. Disputes over the interpretation, application, and
enforcement of the terms and conditions of the
protective arrangements certified by the Department of
Labor, which include this letter of certification, shall
be resolved in accordance with the provisions in the
aforementioned arrangements for the resolution of
such disputes; and
4. Employees of urban mass transportation carriers in
the service area of the project, other than those
represented by the local union which is a party to, or
otherwise referenced in the protective arrangements,
shall be afforded substantially the same levels of
protection as are afforded to the employees
represented by the union under the above -referenced
arrangements and this certification. Such protections
include procedural rights and remedies as well as
protections for individual employees affected by the
project.
Should a dispute remain after exhausting any
available remedies under the protective arrangements,
and absent mutual agreement by the parties to utilize
any other final and binding procedure for resolution of
the dispute, the Secretary of Labor may designate a
neutral third party or appoint a staff member to serve
as arbitrator and render a final and binding
determination.
Sincerely,
6&/"A. CO"771.t.a.,
Ann Comer, Chief
Division of Statutory Programs
cc: Kerry Miller/FTA
Sean Wighaman/Capital Metropolitan Transportation Authority
David Bartels/City of Round Rock
Tammy Andres/Easter Seals Central Texas
Leo E. Wetzel/ATU
Project Grant Agreement # TX -37-x065
ATTACHMENT F
CAPITAL METRO CODE OF CONDUCT POLICY
City of Round Rock
Fed 5316 JARC Page 20 of 20
rt METRO
StarTran, Inc.
—AT
CMTA STARTRAN, INC. CODE OF
CONDUCT
LEGAL -150
Manager of Legal
Issued: January 2000
Revised: November 2008
Approved by: Fred M. Gilliam
President/CEO
CAPITAL METROPOLITAN TRANSPORTATION AUTHORITY
STARTRAN, INC.
CODE OF CONDUCT
SECTION I. Declaration of Policy.
The Capital Metropolitan Transportation Authority ("Capital Metro") Board of
Directors,- its employees, .agents, and contractors must abide by the highest standards of
conduct in carrying out Capital Metro's stewardship of public funds in order for the public to
be assured that the actions of Capital Metro serve only the authority's best interests.
SECTION II. Definitions.
For the purpose of this Code of Conduct, the following definitions shall apply:
1) "Affected" means reasonably likely to be subject to a direct economic effect or
consequence.
2) "Agent" means a person authorized by Capital Metro to act for Capital Metro.
3) "Business entity" means a sole proprietorship, partnership, limited partnership,
firm, corporation, holding company, joint stock company, receivership, trust, or any other
entity recognized by law through
Which business is conducted.
4) "Board of Directors" means the governing body of Capital Metro.
5) "Confidential Information" means any information in Capital Metro's
possession which Capital Metro is legally required or has determined to keep confidential,
and which Capital Metro has the legal right to keep confidential.
6) "Board Member/employee has a "Conflict of interest" if the employee has a
substantial interest in a business entity that will be affected by his or her participation in a
vote, decision, recommendation, or action.
"Board Member/employee has a "Conflict of Interest" if the employee has a
substantial interest in real property that will be affected by his or her participation in a vote,
decision, recommendation, or action and the vote, decision, recommendation, or action will
have a special economic effect on the value of the property, distinguishable from its effect
on the public.
"Board Member/employee has a "Substantial Interest" in a business entity or real
property if:
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CIATA STARTRAN, INC. CODE OF CONDUCT —
LEGAL -150 - #215501
(a) the interest is ownership of 10 percent or more of the voting stock or shares
of the business entity or ownership of 10 percent or more or $15,000 or more
of the fair market value of the business entity;
(b) funds received by the employee from the business entity exceed 10 percent
of the employee's gross income for the previous year;
(c) the interest in real property is an equitable or legal ownership with a fair
market value of $2,500 or more;
(d) an organization which employs, or is about to employ, the employee has a
substantial interest in the business entity as defined in (1) and (2); or
(e) one of the following individuals has a substantial interest, as defined in
subsections (a), (b) and (c) above, in a business entity or real property: an
employee's spouse, mother, father, brother, sister, children, aunt, uncle, first
cousin, mother-in-law, father-in-law, brother-in-law, sister-in-law, stepchild,
stepparents, grandparent, or grandchild. A relationship by marriage will end
by death or divorce unless there is a living child or descendent of the
marriage.
7) "Contractor" means a person or business entity that has entered into a contract
with Capital Metro to provide goods or services for Capital Metro.
8) "Employee" means any person holding a position with Capital Metro for which
compensation is received, including part-time workers employed more than ten (10) hours
per week or intermittent, seasonal, or temporary workers.
SECTION 111. Standards of Conduct.
Board members, employees, agents and contractors shall exercise good -faith
judgment and uphold the mission of Capital Metro as follows:
1) Ensure that Capital Metro complies with all applicable laws and regulations.
2) Adhere to Capital Metro policies and procedures.
3) Efficiently transact Capital Metro business and safeguard Capital Metro
assets from waste, abuse, theft or damage.
4) Exhibit a desire.to serve the public, and display a helpful, tolerant manner.
5) Treat fellow Board members, employees, agents, contractors and the public
with honesty, respect and dignity.
6) Reveal all material facts known to them when reporting on work projects.
7) Disclose immediately any information regarding unethical or wrongful conduct
related to Capital Metro transactions to the Board Vice Chair or the Capital Metro Ethics
Officer.
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CMTASTARTRAN, INC. CODE OF CONDUCT —
LEGAL -150 - #215501
SECTION IV. Absolute Prohibitions.
No Board Members, Employees, Contractors, or Agents shall:
1) Participate in a business, contract, or real property transaction in which
he/she has a substantial interest.
2) Solicit, accept, or agree to accept any benefit as consideration for his/her
decision, vote, opinion or recommendation.
3) Solicit, accept, or agree to accept any benefit as consideration for his/her
violation of any law or duty.
4) Solicit, accept or agree to accept any benefit from a person that is interested
in any Capital Metro contract or transaction.
5) No Board Member or employee may receive or accept any gift or favor from a
contractor or potential contractor of Capital Metro.
6) Act as a surety for a business that has a contract with Capital Metro.
7) Disclose or use confidential information that Capital Metro has not made
public for his/her personal benefit.
8) Use his/her official position or employment or Capital Metro's facilities,
equipment or supplies to obtain private gain or advantage.
9) Engage in any transaction or activity or incur an obligation in a business,
contract or real property transaction that would conflict with Capital Metro.
10) Fail to disclose his/her discussions of future employment with any business
interested in Capital Metro transactions.
11) Represent, for remuneration, any person in any proceeding involving Capital
Metro's interests.
12) Capital Metro Board Members,.employees, and agents shall not use
their authority to unfairly influence other Board Members or other employees or agents to
perform illegal, immoral or discreditable acts.
13) Communicate details of any active Capital Metro procurement or solicitation
to any contractor or potential contractor.
14) For a period of 2 years after leaving employment, participate for a business
entity in which the employee has a substantial interest in a recommendation, bid, proposal
or solicitation in a Capital Metro contract, procurement or personnel administration matter.
15) For a period of 2 years after leaving employment, receive any pecuniary
benefit from a Capital Metro contract or procurement through the ownership of a substantial
interest, as defined in Section II, subsection 6 above, in a business entity or real property.
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CMTA STARTRAN, INC. CODE OF CONDUCT —
LEGAL -150 - #215501
SECTION V. Exceptions to Prohibitions
The Prohibitions listed above do not apply to the following:
1) A gift or other benefit conferred, independent of the Board_Member's or
employee's relationship with Capital Metro, that is not given or received with the intent to
influence the Board Member or employee in the performance of his or her official duties.
The Board Vice Chair or the Ethics Officer must be consulted for a determination as to
whether a potential gift falls within this exception.
2) Food, lodging, transportation in consideration for legitimate services rendered
by the Board Member.or employee related to his or her official duties.
SECTION VI. Disclosure of Conflict of Interest Requirements.
1) A Board Member or employee must disclose any interest in a business, a
contract, or in real property that would confer a benefit by their vote or decision.
a) A Board Member or employee cannot participate in the
consideration of the matter subject to the vote or
decision.
b) Prior to the vote or decision, the Board Member or •
employee shall file an affidavit relating to the interest in the
business, contract or real property with the Board
Vice Chair or Ethics Officer.
2) A Board Member or employee must disclose the name of a potential employer if
the prospective employer has an interest in any Capital Metro transaction upon which the
Board Member or employee may be involved.
SECTION VII. Penalties
In addition to turning over evidence of misconduct to the proper law enforcement
agency when appropriate, the following penalties may be enforced:
1) The failure of a Board Member to comply with the requirements of this policy
shall constitute grounds for censure or removal from the Board in accordance with Section
451.511 of the Texas Transportation Code.
2) The failure of an employee to comply with the requirements of this policy shall
result in disciplinary action up to and including termination.
3) The failure of an agent or contractor of Capital Metro to comply with this
policy shall be grounds for such contractual remedy as may be appropriate up to and -
including termination of the contract and debarment of the contractor.
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CMTA STARTRAN, INC. CODE OF CONDUCT —
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