HomeMy WebLinkAbout06- Intermodal Facility Master Agreement with Federal Transit Administration Caw
U.S. department REGION VIII 12300 West Dakota Avenue
Colorado,Montana, Suite 310
of Transportation North Dakota, Lakewood,Colorado 80228
Federal Transit South Dakota, 720-963-3300(voice)
Utah,and Wyoming 720-963-3333 fax
Administration (fax)
June 29, 2007
Brian LaMeres
City Controller
City of Bozeman
PO Box 1230
Bozeman, MT 59771-1230
Re: Request for a Letter of No Prejudice for Parking and Transit Facility
Dear Mr. LaMeres:
The Federal Transit Administration has completed its review of the letter from the City of
Bozeman dated June 28, 2007, requesting a Letter of No Prejudice in the amount of$9,254,911 to
allow it to proceed to incur costs for the construction phase of the City's Parking and Transit
Facility. FTA hereby approves the City's request.
This approval allows the City of Bozeman to incur costs for the project described above and retain
the project's eligibility for future Federal Transit Administration grant assistance. As with all pre-
award authority, all Federal requirements must be met prior to incurring costs in order to retain
eligibility of those costs for future FTA grant assistance. The authority to incur costs provided in
this letter does not constitute an FTA commitment that future Federal dollars will be approved for
this project. This Letter of No Prejudice expires June 30, 2012.
Please contact Ryan Hammon at 720-963-3319 or at ryan.hammon�r�dot.gov with any questions
you may have about proceeding under the authority to incur costs provided in this letter.
Sincerely,
L
Terry J. Rosapep
Acting Regional Administrator
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
FEDERAL TRANSIT ADMINISTRATION
MASTER AGREEMENT
For Federal Transit Administration Agreements authorized by
49 U.S.C. chapter 53,Title 23, United States Code (Highways),
the Safe,Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users,
the Transportation Equity Act for the 21" Century, as amended,
the National Capital Transportation Act of 1969, as amended,
or other Federal laws that FTA administers.
FTA MA(13)
October 1, 2006
http-/ wwww.fta.dot.,c,,ov/documents/I3-Mastendoc
TABLE OF CONTENTS
Section 1. Definitions. g
Section 2. Project Implementation. 12
a. General. 12
b. U.S. DOT Administrative Requirements. 13
c. Application of Federal, State, and Local Laws, Regulations, and Directives. 13
d. Recipient's Primary Responsibility to Comply with Federal Requirements. 14
e. Recipient's Responsibility to Extend Federal Requirements to Other Entities. 15
f. No Federal Government Obligations to Third Parties. 16
g. Changes in Project Performance (i.e., Disputes, Breaches, Defaults, or Litigation). 16
Section 3. Ethics. 16
a. Code of Ethics. 16
b. Debarment and Suspension. 17 .
c. Bonus or Commission. 17
d. Lobbying Restrictions. 17
e. Employee Political Activity. lg
f. False or Fraudulent Statements or Claims. lg
Section 4. Federal Assistance. 18
a. "Net Project Cost." 19
V
b. Other Basis for FTA Participation, 19
Section 5. Local Share. 19
a. Restrictions on the Source of the Local Share. 19
b. Duty to Obtain the Local Share. 19
c. Prompt Payment of the Local Share. 19
d. Reduction of the Local Share. 20
Section 6. Approved Project Budget. 20
Section 7. Accounting Records. 20
a. Project Accounts. 20
b. Funds Received or Made Available for the Project. 20
c. Documentation of Project Costs and Program Income. 21
d. Checks, Orders, and Vouchers. 21
Section S. Reporting, Record Retention, and Access. 21
a. Types of Reports. 21
b. Report Formats. 21
c. Record Retention. 21
d. Access to Records of Recipients and Subrecipients. 21
e. Project Closeout. 21
FrA Master A.areement MA(13). 10-1-20)6 2
Section 9. Payments. 21
a. Recipient's Request for Payment. 22
b. Payment by FTA. 22
C. Costs Reimbursed. 24
d. Bond Interest and Other Financing Costs. 25
e. Excluded Costs. 25
f- Federal Claims, Excess Payments, and Disallowed Costs, including Interest. 26
g. De-obligation of Funds. 27
Section 10. Project Completion,Audit, Settlement, and Closeout. 27
a. Project Completion. 27
b. Audit of Recipients. 27
c. Funds Owed to the Federal Government. 28
d. Project Closeout. 28
Section 11. Right of the Federal Government to Terminate. 28
Section 12. Civil Rights. 29
a. Nondiscrimination in Federal Public Transportation Programs. 29
b. Nondiscrimination -Title VI of the Civil Rights Act. 29
c. Equal Employment Opportunity. 29
d. Disadvantaged Business Enterprise. 30
e. Nondiscrimination on the Basis of Sex. 30
f. Nondiscrimination on the Basis of Age. 31
g. Access for Individuals with Disabilities. 31
h. Drug or Alcohol Abuse - Confidentiality and Other Civil Rights Protections. 32
i. Access to Services for Persons with Limited English Proficiency. 32
j. Environmental Justice. 32
k. Other Nondiscrimination Laws. 32
Section 13. Planning and Private Enterprise. 32
a. General. 32
b. Governmental and Private Nonprofit Providers of Nonemergency Transportation. 33
c. Infrastructure Investment. 33
Section 14. Preference for United States Products and Services. 33
a. Buy America. 33
b. Cargo Preference-Use of United States-Flag Vessels. 34
c. Fly America. 34
Section 15. Procurement. 34
a. Federal Standards. 34
b. Full and Open Competition. 34
c. Exclusionary or Discriminatory Specifications. 34
d. Geographic Restrictions. 34
e. In-State Bus Dealer Restrictions. 35
FTA Master Agreement MA(13), 10-1-2006 3
f. Neutrality in Labor Relations. 35
g. Federal Supply Schedules. 35
h. Force Account. 35
i. FTA Technical Review. 35
j. Project Approval/Third Party Contract Approval. 35
k. Preference for Recycled Products. 35
1. Clean Air and Clean Water. 35
m. National Intelligent Transportation Systems Architecture and Standards. 36
n. Rolling Stock. 36
o. Bonding. 36
p. Architectural, Engineering, Design, or Related Services 37
q. Design-Build Projects. 38
r. Award to Other than the Lowest Bidder. 38
s. Award to Responsible Contractors. 38
t. Access to Third Party Contract Records. 38
u. Electronic and Information Technology. 38
Section 16. Leases. 39
a. Capital Leases. 39
b. Leases Involving Certificates of Participation. 39
Section 17. Patent Rights. 39
a. General. 39
b. Federal Rights. 39
Section 18. Rights in Data and Copyrights. 39
a. Definition. 39
b. General. 39
c. Federal Rights in Data and Copyrights. 40
d. Special Federal Rights in Data for Research, Development, Demonstration, and 40
Special Studies Projects.
e. Hold Harmless. 40
f. Restrictions on Access to Patent Rights. 41
g. Data Developed Without Federal Funding or Support. 41
h. Requirements to Release Data. 41
Section 19. Use of Real Property, Equipment, and Supplies. 41
a. Use of Project Property. 41
b. General. 42
c. Maintenance. 42
d. Records. 42
e. Incidental Use. 42
f. Encumbrance of Project Property. 42
g. Transfer of Project Property. 43
FI'A Master Agreement MA(13), 10-1-2406 4
h. Disposition of Project Property. 43
i. Insurance Proceeds. 45
j. Transportation - Hazardous Materials. 45
k. Misused or Damaged Project Property. 45
1. Responsibilities After Project Closeout. 45
Section 20. Insurance. 45
a. Minimum Requirements. 45
b. Flood Hazards. 45
Section 21. Relocation. 46
a. Relocation Protections. 46
b. Nondiscrimination in Housing. 46
c. Prohibition Against Use of Lead-Based Paint, 46
Section 22. Real Property. 46
a. Land Acquisition. 46
b. Covenant Assuring Nondiscrimination. 46
c. Recording Title of Real Property. 47
d. FTA Approval of Changes in Real Property Ownership. 47
Section 23. Construction. 47
a. Drafting, Review, and Approval of Construction Plans and Specifications. 47
b. Supervision of Construction. 47
c. Construction Reports. 47
d. Project Management for Major Capital Projects. 47
e. Seismic Safety. 47
Section 24.Employee Protections. 47
a. Construction Activities. 47
b. Activities Not Involving Construction. 48
c. Activities Involving Commerce. 48
d. Public Transportation Employee Protective Arrangements. 48
Section 25. Environmental Protections. 49
a. National Environmental Policy. 50
b. Air Quality. 50
c. Clean Water. 51
d. Use of Public Lands. 51
e. Wild and Scenic Rivers. 51
f. Coastal Zone Management. 51
g. Wetlands. 51
h. Floodplains. 51
i. Endangered Species and Fisheries Conservation. 52
j. Historic Preservation. 52
k. Indian Sacred Sites. 52
FIFA Master Agreement MA(13), 10-1-2006 5
1. Mitigation of Adverse Environmental Effects. 52
Section 26. Energy Conservation. 53
Section 27. State Management and Monitoring Systems. 53
Section 28. Charter Service Operations. 53
Section 29. School Transportation Operations. 53
Section 30.Metric System. 54
Section 31. Geographic Information and Related Spatial Data. 54
Section 32. Substance Abuse. 54
a. Drug-Free Workplace. 54
b. Alcohol Misuse and Prohibited Drug Use. 54
Section 33. Motor Carrier Safety 54
a. Financial Responsibility. 55
b. Driver Qualifications. 55
c. Substance Abuse Rules for Motor Carriers. 55
Section 34. State Safety Oversight of Rail Fred Guideway Public Systems. 55
Section 35. Seat Belt Use. 55
Section 36. Protection of Sensitive Security Information. 55
Section 37.Special Notification Requirements for States. 56
Section 38.Special Provisions for the Urbanized Area Formula Program. 56
a. Fares and Services. 56
b. Audit Requirements. 56
c. Half-Fare Requirements. 56
d. Use of Formula Assistance for Operations. 56
e. Public Transportation Security. 57
f. Public Transportation Enhancements. 57
g. Reporting Requirements. 57
h. Participation of Subrecipients. 57
Section 39. Special Provisions for the Elderly Individuals and Individuals with Disabilities 57
Formula Program and Pilot Program. 57
a. Eligible Subrecipients. 57
b. State Procedures. 58
c. Participation of Subrecipients. 58
d. Eligible Project Activities. 58
e. Leasing of Vehicles. 59
f. Transfer of Project Facilities and Equipment. 59
Section 40. Special Provisions for New Freedom Projects. 59
a. General. 59
b. FTA Notice. 59
c. Participation of Subrecipients. 59
Section 41. Special Provisions for the Nonurbanized Area Formula Program. 59
FTA Master Agreennent MA(13), 10-1-2006
a. Provisions Applicable to States. 60
b. Provisions Applicable to Indian Tribes. 61
Section 42. Special Provisions for the Clean Fuels Formula Grant Program. 61
a. General. 61
b. Participation of Subrecipients. 61
Section 43. Special Provisions for Research, Development, Demonstration, and 61
Special Studies Projects.
a. Project Report. 62
b. Project Identification. 62
c. Protection of Human Subjects. 62
d. Protection of Animals. 62
c. Export Control. 62
Section 44. Special Provisions for Medical Transportation Projects. 63
Section 45. Special Provisions for the National Technical Assistance Center for Senior 63
Transportation.
Section 46.Special Provisions for Human Resources Fellowships. 63
a. General. 63
b. Fellowship Awards. 63
Section 47. Special Provisions for the Job Access and Reverse Commute Formula Grant 63
Program.
a. General. 63
b. FTA Notice. 63
c. Participation of Subrecipients 54
Section 48 Special Provisions for the Alternative Transportation in Parks and 64
Public Lands Program
a. General. 64
b. FTA Notices_ 64
Section 44. Special Provisions for Over-the-Road Bus Accessibility Projects. 64
a. General. 64
b. Accessibility. 64
c. FTA Notice. 65
Section 50. Special Provisions for State Infrastructure Bank Projects. 65
a. General. 65
b. Limitations on Accessing Federal Assistance in the Transit Account. 65
Section 51. Special Provisions for TIFIA Projects. 65
Section 52. Disputes,Breaches,Defaults, or Other Litigation. 66
a. Notification to FTA. 66
b. Federal Interest in Recovery. 66
c_ Enforcement. 66
d. FTA Concurrence. 66
e. Alternative Dispute Resolution. 66
FTA Master Agreement MA(13), 10-1-2006 7
Section 53. Amendments to the Project. 66
Section 54. FTA's Electronic Management System. 67
a. Recipient Use. 67
b. TEAM System Terminology. 67
Section 55. Information Obtained Through Internet Links. 67
Section 56. SeverabiIity. 67
FTA Master Agreement MA(13), 10-1-2006 8
UNITED STATES DEPARTMENT OF TRANSPORTATION
FEDERAL TRANSIT ADMINISTRATION
MASTER AGREEMENT
This is the official Master Agreement containing standard terms and conditions governing the
administration of a Project supported with Federal assistance awarded by the Federal Transit
Administration (FTA) through a Grant Agreement or Cooperative Agreement with the Recipient,
or supported by FTA through a Transportation Infrastructure Loan, Loan Guarantee, or Line of
Credit with the Recipient. This Master Agreement applies to Federal assistance authorized by
Federal public transportation laws at 49 U.S.C. chapter 53 or Title 23, United States Code
(Highways); the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for
Users (SAFETEA-LU), Pub. L. 109 -59, Aug. 10, 2005; the Transportation Equity Act for the
215` Century(TEA-21), Pub. L. 105-178, June 9, 1998, as amended, the National Capital
Transportation Act of 1969, D.C. Official Code, §§ 9-1111.01 et seq., or other Federal legislation
FTA administers to the extent FTA so determines.
FTA and the Recipient understand and agree that not every provision of this Master Agreement
will apply to every Recipient or every Project for which FTA provides Federal assistance
through a Grant Agreement or Cooperative Agreement. The type of Project, the Federal laws
and regulations authorizing Federal assistance for the Project, and the legal status of the
Recipient as a "State," "local government,"private non-profit entity, or private for-profit entity
will determine which Federal Iaws, regulations, and directives apply. Federal laws,regulations,
and directives that do not apply will not be enforced. Nevertheless, the Recipient understands
and agrees that it must comply with all applicable Federal laws, regulations, and directives,
except to the extent that FTA determines otherwise in writing. Any violation of a Federal law,
regulation, or directive applicable to the Recipient or its Project may result in penalties to the
violating party.
This Master Agreement does not have an Expiration Date. The provisions of this Master
Agreement will continue to apply to the Project unless or until modified or superseded by
subsequent Federal laws, regulations, or directives, or subsequent Grant Agreements,
Cooperative Agreements, or Master Agreements.
Thus, in consideration of the mutual covenants, promises, and representations herein, FTA and
the Recipient agree as follows:
Section I. Definitions.
a. Application means the signed and dated request for Federal assistance, including any
amendment thereto, with all explanatory, supporting, and supplementary documents filed with
FTA by or on behalf of the Recipient and accepted or approved by FTA.
FTA Master Agreement MA(13), 10-1-2006 9
b. Approval, Authorization, Concurrence, Waiver means a conscious written statement
(transmitted in typewritten hard copy or electronically) of a Federal Government official
authorized to permit the Recipient to take or omit an action required by the Grant Agreement or
Cooperative Agreement for the Project, or this Master Agreement, which action may not be
taken or omitted without such permission. Except to the extent that FTA determines otherwise in
writing, such approval, authorization, concurrence, or waiver permitting the performance or
omission of a specific action does not constitute permission to perform or omit other similar
actions. An oral permission or interpretation has no legal force or effect.
c. Approved Project Budget means the most recent statement of the costs of the Project, the
maximum amount of Federal assistance for which the Recipient is currently eligible, the specific
tasks (including specific contingencies) covered, and the estimated cost of each task that has
been approved by FTA. As used in the "Approved Project Budget," the term "Scopes" means
categories and the term "Scope Level Codes" means category codes. Although "Scopes" and
"Scope Level Codes" generally indicate the type of activities encompassed by the Project, the
data listed under "Scopes" and "Scope Level Codes" (for example), do not necessarily reflect,
and are not intended to be treated as, prima facie evidence of the precise limits or boundaries of a
Project, except to the extent that FTA determines otherwise in writing. FTA reserves the right to
consider other information in determining what constitutes the "Scope of the Project" when that
term is used for legal purposes.
d. Cooperative Agreement means an instrument by which FTA awards Federal assistance to a
specific Recipient to support a particular Project in which FTA takes an active role or retains
substantial control, as set forth in 31 U.S.C. § 6305. The Cooperative Agreement consists of the
FTA Award establishing the specific parameters of the Project, an Execution statement signed by
the Recipient, and may include additional Special Conditions, Special Requirements, or Special
Provisions. This Master Agreement is incorporated by reference and made part of the
Cooperative Agreement.
e. Federal Directive, for purposes of this Master Agreement, includes any Executive Order of
the President of the United States, and any Federal document, irrespective of whether it takes the
form of a published policy, administrative practice, circular, guideline, guidance document, or
letter signed by the head of a Federal agency or his or her designee, that provides instructions
concerning a Federal program, including application processing procedures, program
management, or other similar matters. The terns "Federal Directive"encompasses "FTA
Directives," "U.S. DOT Directives," and similar documents issued by other agencies of the
Federal Government.
f. Federal Government means the United States of America and any executive department or
agency thereof.
g. Federal Transit Administration designates the former Urban Mass Transportation
Administration. Any reference in any law, map, regulation, document, paper, or other record of
the United States to the Urban Mass Transportation Administration is deemed a reference to the
Federal Transit Administration.
FrA Master Agreenient MA(I3). 10-1-2006 10
h. Federaf Transit Administrator designates the former Urban Mass Transportation
Administrator. Any reference in any law, map, regulation, document, paper, or other record of
the United States to the Urban Mass Transportation Administrator is deemed a reference to the
Federal Transit Administrator.
i. FTA is the acronym for the Federal Transit Administration, an operating administration of
the U.S. Department of Transportation (U.S. DOT). -FTA"replaces the acronym "UMTA."
j. Grant Agreement means the instrument by which FTA awards Federal assistance to a
specific Recipient to support a particular Project in which FTA does not take an active role or
retain substantial control, as set forth in 31 U.S.C. § 6304. The Grant Agreement consists of the
FTA Award establishing the specific parameters of the Project, an Execution statement signed by
the Recipient, and may include additional Special Conditions, Special Requirements, or Special
Provisions. This Master Agreement is incorporated by reference and made part of the Grant
Agreement.
k. Local Government includes a public transportation authority, as well as a county,
municipality, city, town, township, special district, council of governments,public corporation,
board, or commission established under the laws of a State (whether or not incorporated as a
private nonprofit organization under State law), regional or interstate government entity, Indian
tribe, or any agency or instrumentality thereof.
1. Project means the activity or activities (task or tasks) listed in Project Description, the
Approved Project Budget, and any modifications set forth in the Conditions of Award in the
Grant Agreement or Cooperative Agreement for the Project, and any other Special Conditions,
Special Requirements, or Special Provisions applicable to the Project. To the extent that a
Recipient is required by any provision of 49 U.S.C. chapter 53 to prepare a "Program of
Projects," for purposes of this Master Agreement,the term "Project" encompasses both
"Program" and "each Project within the Program," as the context may require. For a Loan, Loan
Guarantee, or Line of Credit financed with Federal assistance authorized under the
Transportation Infrastructure Finance and Innovation Act of 1998, as amended, 23 U.S.C. §§ 601
through 609, "Project" means the transportation activities financed by that Loan, Loan
Guarantee, or Line of Credit. For purposes of legal interpretations and other matters, FTA
reserves the right to consider information apart from the data listed in FTA's electronic
management system under "Scopes" and "Scope Level Codes" of the "Approved Project Budget"
to determine what constitutes the Scope of the Project or eligible project activities.
m. Public Transportation means transportation by a conveyance that provides regular and
continuing general or special transportation to the public, but does not include schoolbus, charter,
or intercity bus transportation or intercity passenger rail transportation provided by the entity
described in 49 U.S.C. chapter 243 (Amtrak or a successor to Amtrak). The term "public
transportation" also includes "mass transportation" and "transit."
n. Recipient means the entity that receives Federal assistance directly from FTA to support the
Project. The term "Recipient" includes each "Grantee" that receives Federal assistance directly
from FTA through a Grant and each Recipient that receives Federal assistance directly from FTA
F FA Master Agreement MA(13), 10-1-2006 11
through a Cooperative Agreement. Even if a single organization within a legal entity is
designated the Recipient in the Grant Agreement or Cooperative Agreement, the entire legal
entity is the Recipient, except to the extent that FTA has determined otherwise in writing. Thus,
unless FTA has determined otherwise in writing, if the Recipient is a consortium, partnership, or
other multi-party entity, each participant in, member of, or party to that consortium, partnership,
or multi-party entity is deemed a "Recipient" for purposes of compliance with applicable
requirements of the Grant Agreement or Cooperative Agreement for its Project.
o. Subagreement means an agreement through which a Recipient awards Federal assistance
derived from FIFA to a subrecipient as defined below. The term "subagreement" also includes
the term "subgrant," but does not include the term "third party subcontract."
p. Subrecipient means any entity that receives Federal assistance awarded by an FTA Recipient,
rather than by FIFA directly. The term "subrecipient" also includes the term "subgrantee," but
does not include "third party contractor" or "third party subcontractor."
q. Third Party Contract means a contract or purchase order awarded by the Recipient or
subrecipient to a vendor or contractor, financed in whole or in part with Federal assistance
awarded by FIFA.
r. Third Party Subcontract means a subcontract at any tier financed in whole or in part with
Federal assistance originally derived from FTA that is entered into by the third party contractor
or third party subcontractor.
s. U.S. DOT is the acronym for the United States Department of Transportation, including its
operating administrations.
Section 2. Project Implementation.
a. General. The Recipient agrees to carry out the Project as follows:
(1) Project Description. Because the "Project Description" in the FTA Award section of the
Grant Agreement or Cooperative Agreement provides only a brief description of the Project or
Projects to be funded, the Recipient agrees to perform the work as described in the "Project
Description' and in its Application that is incorporated by reference in the approved Grant
Agreement or Cooperative Agreement for the Project.
(2) Effective Date. The effective date of the Grant Agreement, Cooperative Agreement, or
Amendment thereto is the date on which the FTA Authorized Official awards Federal assistance
as shown on the Grant Agreement, Cooperative Agreement, or Amendment thereto. The
Recipient agrees to undertake Project work promptly after receiving notice that FTA has
awarded Federal assistance for the Project.
(3) Recipient's Capacity. The Recipient agrees to maintain or acquire sufficient legal,
financial, technical, and managerial capacity to: (1) plan, manage, and complete the Project and
FTA Master Agreement MA(13), 10-1-2006 12
provide for the use of Project property; (2) carry out the safety and security aspects of the Project
and (3) comply with the terms of the Grant Agreement or Cooperative Agreement providing
Federal assistance for the Project, this Master Agreement, the Approved Project Budget, the
Project schedules, the Recipient's annual Certifications and Assurances to FTA, and all
applicable Federal laws, regulations, and directives pertaining to the Project and the Recipient,
except to the extent that FTA determines otherwise in writing.
(4) Completion Dates. The Recipient agrees to complete the Project in a timely manner.
Nevertheless, except in the case of a Full Funding Grant Agreement or as otherwise specified,
FTA and the Recipient agree that milestone dates and other Project completion dates are to be
treated as good faith estimates rather than precise and firm legal requirements.
b. U.S. DOT Administrative Requirements. The Recipient agrees to comply with the Federal
administrative requirements that apply to the category in which it belongs:
(1) U.S. DOT regulations, "Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments," 49 C.F.R. Part 18, apply to a
Recipient that is a State, local, or Indian tribal government.
(2) U.S. DOT regulations, "Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit
Organizations," 49 C.F.R. Part 19, apply to a Recipient that is an institution of higher education
or a nonprofit organization.
(3) Except to the extent that FTA determines otherwise in writing, U.S. DOT regulations,
"Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher
Education, Hospitals, and Other Non-profit Organizations," 49 C.F.R. Part 19, apply to a
Recipient that is a private for-profit organization.
c. Application of Federal, State, and Local Laws, Regulations, and Directives.
(l) Federal Laws, Regulations, and Directives. The Recipient agrees that Federal laws and
regulations control Project award and implementation. The Recipient also agrees that Federal
directives, as defined in this Master Agreement, set forth Federal terms applicable to the Project,
except to the extent that FTA determines otherwise in writing. Thus, FTA strongly encourages
adherence to applicable Federal directives. The Recipient understands and agrees that unless
FTA has provided express written approval of an alternative procedure or course of action
differing from a procedure or course of action set forth in the applicable Federal directive, the
Recipient may incur a violation of the terms of its Grant Agreement or Cooperative Agreement
or this Master Agreement if it implements an alternative procedure or course of action not
approved by FTA.
The Recipient understands and agrees that Federal laws,regulations, and directives applicable to
the Project and to the Applicant on the date on which the FTA Authorized Official awards
Federal assistance for the Project may be modified from time to time. In particular, new Federal
laws, regulations, and directives may become effective after the date on which the Recipient
FTA Master Agreement MA(13). 10-1-2006 13
executes the Grant Agreement or Cooperative Agreement for the Project, and might apply to that
Grant Agreement or Cooperative Agreement. The Recipient agrees that the most recent of such
Federal laws, regulations, and directives will govem the administration of the Project at any
particular time, except to the extent that FTA determines otherwise in writing.
FTA's written determination may take the form of a Special Condition, Special Requirement,
Special Provision, or Condition of Award within the Grant Agreement or Cooperative
Agreement for the Project, a change to an FTA directive, or a letter to the Recipient signed by
the Federal Transit Administrator or his or her duly authorized designee, the text of which
modifies or otherwise conditions a specific provision of the Grant Agreement or Cooperative
Agreement for the Project or this Master Agreement. To accommodate changing Federal
requirements, the Recipient agrees to include in each agreement with each subrecipient and each
third party contract implementing the Project notice that Federal laws, regulations, and directives
may change and that the changed requirements will apply to the Project, except to the extent that
FTA determines otherwise in writing. All standards or limits in the Grant Agreement or
Cooperative Agreement for the Project, and in this Master Agreement are minimum
requirements, unless modified by FTA.
(2) State Territorial and Local Law. Should a Federal law pre-empt a State, territorial, or
local law, regulation, or ordinance, the Recipient must comply with the Federal law and
implementing regulations. Nevertheless, no provision of the Grant Agreement or Cooperative
Agreement for the Project, or this Master Agreement requires the Recipient to observe or enforce
compliance with any provision, perform any other act, or do any other thing in contravention of
State, territorial, or local law,regulation, or ordinance. Thus if compliance with any provision of
the Grant Agreement or Cooperative Agreement for the Project, or this Master Agreement
violates or would require the Recipient to violate any State, territorial, or local law, regulation, or
ordinance, the Recipient agrees to notify FTA immediately in writing. Should this occur, FTA
and the Recipient agree that they will make appropriate arrangements to proceed with or, if
necessary, terminate the Project expeditiously.
d. Recipient's Primary Responsibility to Comply with Federal Requirements, Irrespective of
involvement by any other entity in the Project, the Recipient agrees that it, rather than any other
entity, is ultimately responsible for compliance with all applicable Federal laws,regulations, and
directives, this Master Agreement, and the underlying Grant Agreement or Cooperative
Agreement for the Project, except to the extent that FTA determines otherwise in writing.
(1) Significant Participation by a Subrecipient. Although the Recipient may delegate any or
almost all Project responsibilities to one or more subrecipients,the Recipient agrees that it, rather
than any subrecipient, is ultimately responsible for compliance with all applicable Federal laws,
regulations, and directives, except to the extent that FTA determines otherwise in writing.
(2) Significant Participation by a Lessee of a Recipient. Although the Recipient may lease
Project property and delegate some or many Project responsibilities to one or more lessees, the
Recipient agrees that it, rather than any lessee, is ultimately responsible for compliance with all
applicable Federal laws, regulations, and directives, except to the extent that FTA determines
otherwise in writing.
FTA Master Agreement MA(13), 10-1-2006 14
(3) Significant Participation by a Third Party Contractor. Although the Recipient may enter
into a third party contract in which the third party contractor agrees to provide property or
services in support of the Project, or even carry out Project activities normally performed by the
Recipient (such as in a turnkey contract), the Recipient agrees that it, rather than the third party
contractor, is ultimately responsible to FTA for compliance with all applicable Federal laws,
regulations, and directives, except to the extent that FTA determines otherwise in writing.
(4) Exceptions. The Recipient, however, is relieved of the requirement to comply with
Federal requirements in the following two circumstances:
(a) When the Designated Recipient of Urbanized Area Formula Program assistance as
defined at 49 U.S.C. § 5307(a)(2) has entered into a Supplemental Agreement with FTA and a
Grantee covering the Project, the Designated Recipient is not responsible for compliance with
Federal requirements in connection with the Project, or
(b) When the Federal Government, through appropriate official action, relieves the
Recipient of a portion of or all responsibility to the Federal Government.
e. Recipient's Responsibility to Extend Federal Requirements to Other Entities.
(1) Entities Affected. Only entities that are signatories to the Grant Agreement or
Cooperative Agreement for the Project are parties to that Grant Agreement or Cooperative
Agreement. To achieve compliance with certain Federal laws, regulations, or directives,
however, other entities participating in the Project through their involvement with the Recipient,
(such as a subrecipient,lessee, third party contractor, or other) will necessarily be affected.
Accordingly, the Recipient agrees to take the appropriate measures necessary to ensure that all
Project participants comply with applicable Federal laws, regulations, and directives affecting
Project implementation,except to the extent FTA determines otherwise in writing. In addition, if
an entity other than the Recipient is expected to fulfill responsibilities typically performed by the
Recipient, the Recipient agrees to assure that the entity carries out the Recipient's responsibilities
as set forth in the Grant Agreement or Cooperative Agreement for the Project or this Master
Agreement.
(2) Documents Affected. The applicability provisions of Federal laws, regulations, and
directives determine the extent to which those provisions affect an entity (such as a subrecipient,
lessee, third party contractor or other) participating in the Project through the Recipient. Thus,
the Recipient agrees to use a written document to ensure that each entity participating in the
Project complies with applicable Federal laws, regulations, and directives, except to the extent
that FTA determines otherwise in writing.
(a) Required Clauses. The Recipient agrees to use a written document (such as a
subagreement, lease, third party contract or other) including appropriate Clauses stating the
entity's (subrecipient, lessee, third party contractor, or other) responsibilities under Federal laws,
regulations, or directives, except to the extent that FTA determines otherwise in writing.
F FA Master Agreement MA(13), 10-1-2006 15
(b) Flowdown. The Recipient agrees to include in each document (subagreement,
lease, third party contract, or other) any necessary provisions requiring the Project participant
(third party contractor, subrecipient, or other) to impose applicable Federal requirements and
directives on its subrecipients, lessees, third party contractors and other Project participants at the
lowest tier necessary, except to the extent that FTA determines otherwise in writing.
(c) Performance of Recipient's Responsibilities_ When the document (subagreement,
lease, third party contract or other) requires the Project participant(subrecipient,lessee, third
party contractor, or other) to undertake responsibilities for the Project usually performed by the
Recipient, the Recipient agrees also to include in that document (subagreement, lease, third party
contract or other) appropriate provisions that would be applicable to the Recipient as set forth in
the Grant Agreement or Cooperative Agreement for the Project or this Master Agreement, and
extend those provisions to the subrecipients, lessees, third party contractors, and other Project
participants to the lowest tier necessary, except to the extent as FTA determines otherwise in
writing.
f. No Federal Government Obligations to Third Parties. In connection with the Project, the
Recipient agrees that, absent the Federal Government's express written consent, the Federal
Government shall not be subject to any obligations or liabilities to any subrecipient, lessee, third
party contractor, or other person or entity that is not a party to the Grant Agreement or
Cooperative Agreement for the Project. Notwithstanding that the Federal Government may have
concurred in or approved any solicitation, subagreement, lease, or third party contract at any tier,
the Federal Government has no obligations or liabilities to entity other than the Recipient,
including any subrecipient, lessee, or third party contractor at any tier.
g. Changes in Project Performance (i.e., Disputes, Breaches, Defaults, or Litigation). The
Recipient agrees to notify FTA immediately, in writing, of any change in local law, conditions
(including its legal, financial, or technical capacity), or any other event that may adversely affect
the Recipient's ability to perform the Project in accordance with the terms of the Grant
Agreement or Cooperative Agreement for the Project and this Master Agreement. The Recipient
also agrees to notify FTA immediately, in writing, of any current or prospective major dispute,
breach, default, or litigation that may adversely affect the Federal Government's interests in the
Project or the Federal Government's administration or enforcement of Federal laws or
regulations; and agrees to inform FTA, also in writing,before naming the Federal Government as
a party to litigation for any reason, in any forum. At a minimum,the Recipient agrees to send
each notice to FTA required by this subsection to the FTA Regional Counsel within whose
Region the Recipient operates its public transportation system or implements the Project.
Section 3. Ethics.
a. Code of Ethics. The Recipient agrees to maintain a written code or standards of conduct that
shall govern the actions of its officers, employees, board members, or agents engaged in the
award or administration of subagreements, leases, or third party contracts supported with Federal
assistance. The Recipient agrees that its code or standards of conduct shall specify that its
officers, employees, board members, or agents may neither solicit nor accept gratuities, favors,
FTA Master Agreement MA(13), 10-1-2006 16
or anything of monetary value from any present or potential subrecipient, lessee, or third party
contractor at any tier or agent thereof. Such a conflict would arise when an employee, officer,
board member, or agent, including any member of his or her immediate family, partner, or
organization that employs, or intends to employ, any of the parties listed herein has a financial
interest in the firm selected for award. The Recipient may set de minimis rules where the
financial interest is not substantial, or the gift is an unsolicited item of nominal intrinsic value.
The Recipient agrees that its code or standards shall also prohibit its officers, employees, board
members, or agents from using their respective positions in a manner that presents a real or
apparent personal or organizational conflict of interest or personal gain. As permitted by State or
local law or regulations, the Recipient agrees that its code or standards of conduct shall include
penalties, sanctions, or other disciplinary actions for violations by its officers, employees, board
members, or their agents, or its third party contractors or subrecipients or their agents.
(1) Personal Conflicts of Interest. The Recipient agrees that its code or standards of conduct
shall prohibit the Recipient's employees, officers, board members, or agents from participating in
the selection, award, or administration of any third party contract or subagreement supported by
Federal assistance if a real or apparent conflict of interest would be involved. Such a conflict
would arise when an employee, officer, board member, or agent, including any member of his or
her immediate family, partner, or organization that employs, or intends to employ, any of the
parties listed herein has a financial interest in the firm selected for award.
(2) Organizational Conflicts of Interest. The Recipient agrees that its code or standards of
conduct shall include procedures for identifying and preventing real and apparent organizational
conflicts of interest. An organizational conflict of interest exists when the nature of the work to
be performed under a proposed third party contract or subagreement may, without some
restrictions on future activities, result in an unfair competitive advantage to the third party
contractor or subrecipient or impair its objectivity in performing the contract work.
b. Debarment and Suspension. The Recipient agrees to comply, and assures the compliance of
each subrecipient, lessee, or third party contractor at any tier, with Executive Orders Nos. 12549
and 12689, "Debarment and Suspension," 31 U.S.C. § 6101 note, and U.S. DOT regulations,
"Governmentwide Debarment and Suspension (Nonprocurement)," 49 C.F.R. Part 29. The
Recipient agrees to, and assures that its subrecipients, lessees, and third party contractors will
review the "Excluded Parties Listing System" at http://epls.arnet.gov/before entering into any
third party contract or subagreement.
c. Bonus or Commission. The Recipient affirms that it has not paid, and agrees not to pay, any
bonus or commission to obtain approval of its Federal assistance application for the Project.
d. Lobbying Restrictions. The Recipient agrees that:
(1) In compliance with 31 U.S.C. I352(a), it will not use Federal assistance to pay the costs
of influencing any officer or employee of a Federal agency, Member of Congress, officer of
Congress or employee of a member of Congress, in connection with making or extending the
Grant Agreement or Cooperative Agreement;
FTA Master Agreeraenl MA(13), 10-1-2006 17
(2) In addition, it will comply with other applicable Federal laws and regulations prohibiting
the use of Federal assistance for activities, designed to influence Congress or a State legislature
with respect to legislation or appropriations, except through proper, official channels; and
(3) It will comply, and will assure the compliance of each subrecipient, lessee, or third party
contractor at any tier, with U.S. DOT regulations, "New Restrictions on Lobbying," 49 C.F.R.
Part 20, modified as necessary by 31 U.S.C. § I352.
e. Employee Political Activity. To the extent applicable, the Recipient agrees to comply with
the provisions of the Hatch Act, 5 U.S.C. §§ 150I through 1508, and 7324 through 7326, and
U.S. Office of Personnel Management regulations, "Political Activity of State or Local Officers
or Employees," 5 C.F.R. Part 151. The Hatch Act limits the political activities of State and local
agencies and their officers and employees, whose principal employment activities are financed in
whole or part with Federal funds including a Federal grant, cooperative agreement, or loan.
Nevertheless, in accordance with 49 U.S.C. § 5307(k)(2)(B) and 23 U.S.C. § 142(g), the Hatch
Act does not apply to a nonsupervisory employee of a public transportation system (or of any
other agency or entity performing related functions) receiving FTA assistance to whom the
Hatch Act would not otherwise apply.
f. False or Fraudulent Statements or Claims. The Recipient acknowledges and agrees that:
(1) Civil Fraud, The Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C.
§§ 3801 et seq., and U.S. DOT regulations, "Program Fraud Civil Remedies," 49 C.F.R. Part 31,
apply to the Recipient's activities in connection with the Project. By executing the Grant
Agreement or Cooperative Agreement for the Project, the Recipient certifies or affirms the
truthfulness and accuracy of each statement it has made, it makes, or it may make in connection
with the Project. In addition to other penalties that may apply, the Recipient also acknowledges
that if it makes a false, fictitious, or fraudulent claim, statement, submission, certification,
assurance, or representation to the Federal Government, the Federal Government reserves the
right to impose on the Recipient the penalties of the Program Fraud Civil Remedies Act of 1986,
as amended, to the extent the Federal Government deems appropriate.
(2) Criminal Fraud. If the Recipient makes a false, fictitious, or fraudulent claim, statement,
submission, certification, assurance, or representation to the Federal Government or includes a
false, fictitious, or fraudulent statement or representation in any agreement with the Federal
Government in connection with a Project authorized under 49 U.S.C. chapter 53 or any other
Federal law, the Federal Government reserves the right to impose on the Recipient the penalties
of 49 U.S.C. § 5323(1), 18 U-S.C. § 1001 or other applicable Federal law to the extent the
Federal Government deems appropriate.
Section 4. Federal Assistance.
The Recipient agrees that FFTA will provide Federal assistance for the Project equal to the
smallest of the following amounts: (a) the maximum amount permitted by Federal law or
regulations, (b) the "Maximum FIFA Amount Approved," set forth in the Grant Agreement or
FTA Master AgreementMA(!.t), 10-1-2006 18
Cooperative Agreement for the Project, or(c) the amount calculated,in accordance with the
"Maximum Percentage(s) of FTA Participation," as may be modified by the Conditions of
Award or other Special Conditions, Special Requirements, or Special Provisions of the Grant
Agreement or Cooperative Agreement for the Project. FTA's responsibility to make Federal
assistance payments is limited to the amounts listed in the Approved Project Budget for the
Project. The "Estimated Total Eligible Cost" in the Grant Agreement or Cooperative Agreement
for the Project is the amount that forms the basis on which FTA determines the "Maximum FTA
Amount Awarded."
a. "Net Project Cost". For any Project required by Federal law or by FTA to be financed on the
basis of its "Net Project Cost" as defined by 49 U.S.C. § 5302(a)(8), FTA intends to provide
Federal assistance to the Recipient for that portion of the Project that cannot reasonably be
financed from the Recipient's revenues, i.e., "Net Project Cost" of the Project- Therefore, the
amount stated as the "Estimated Total Eligible Cost" on the Grant Agreement or Cooperative
Agreement is the "Estimated Net Project Cost" and is the amount that forms the basis on which
FTA will calculate the amount of Federal assistance that will be awarded for the Project.
b. Other Basis for>~TA Partici ation. For any Project not required by Federal law or FTA to be
financed on the basis of its "Net Project Cost" as defined by 49 U.S.C. § 5302(a)(8), FTA intends
to provide Federal assistance to the Recipient for all or part of the total Project cost that is
eligible for Federal assistance. Therefore, the amount stated as the "Estimated Total Eligible
Cost" on the Grant Agreement or Cooperative Agreement for the Project is the amount that
forms the basis on which FTA will calculate the amount of Federal assistance that will be
awarded for the Project.
Section 5. Local Share.
A Recipient that is required to provide a local share for the Project agrees as follows,
a. Restrictions on the Source of the Local Share. The Recipient agrees to provide sufficient
funds or approved in-kind resources, together with the Federal assistance awarded, that will
assure payment of the actual cost of each Project activity covered by the Grant Agreement or
Cooperative Agreement for the Project. The Recipient agrees that no local share funds provided
will be derived from receipts from the use of Project facilities or equipment, revenues of the
public transportation system in which such facilities or equipment are used, or other Federal
funds, except as permitted by Federal law or regulation.
b. Duty to Obtain the Local Share. The Recipient agrees to complete all proceedings necessary
to provide the local share of the Project costs at or before the time the local share is needed for
Project costs, except to the extent that FTA determines otherwise in writing.
c. Prompt Payment of the Local Share. The Recipient agrees to provide the proportionate
amount of the Iocal share promptly as Project costs are incurred or become due, except to the
extent that the Federal Government determines in writing that the local share may be deferred.
FTA Master Agreement MA(13), 10-1-2006 19
d. Reduction of the Local Share. The Recipient agrees that no refund or reduction of the local
share may be made unless, at the same time, a refund of the proportional amount of the Federal
assistance provided is made to the Federal Government.
Section 6. Approved Project Budget.
Except to the extent that FTA determines otherwise in writing, the Recipient agrees as follows:
The Recipient will prepare a Project budget which, upon approval by FTA, is designated the
"Approved Project Budget." The Recipient will incur obligations and make disbursements of
Project funds only as authorized by the latest Approved Project Budget, which will be
incorporated by reference and made part the underlying Grant Agreement or Cooperative
Agreement for the Project. An amendment to the Approved Project Budget requires the issuance
of a formal amendment to the underlying Grant Agreement or Cooperative Agreement, except
that re-allocation of funds among budget items or fiscal years that does not increase the total
amount of the Federal assistance awarded for the Project may be made consistent with applicable
Federal laws, regulations and directives. Prior FTA approval is required for transfers of funds
from non-construction to construction categories or vice versa or when, in non-construction
grants, cumulative transfers of funds between total direct cost categories exceed ten (10) percent
of the total budget. The Recipient agrees to obtain prior written approval for any budget revision
that would result in the need for additional funds. An award of additional Federal assistance will
require a new Approved Project Budget_ If the Recipient estimates that it will have unobligated
funds remaining after the end of the performance period of the Project, the Recipient agrees to
report this to FTA at the earliest possible time and ask for disposition instructions.
Section 7. Accounting Records.
In compliance with applicable Federal laws, regulations, and directives, and except to the extent
that FTA determines otherwise in writing, the Recipient agrees as follows:
a. Project Accounts. The Recipient agrees to establish and maintain for the Project either a
separate set of accounts or separate accounts within the framework of an established accounting
system that can be identified with the Project. The Recipient also agrees to maintain all checks,
payrolls, invoices, contracts, vouchers, orders, or other accounting documents related in whole or
part to the Project so that they may be clearly identified, readily accessible, and available to FTA
upon request and, to the extent feasible, kept separate from documents not related to the Project.
b. Funds Received or Made Available for the Project. The Recipient agrees to deposit in a
financial institution all advance Project payments it receives from the Federal Government and to
record in the Project Account all amounts provided by the Federal Government for the Project
and all other funds provided for, accruing to, or otherwise received on account of the Project
(Project funds) in compliance with applicable Federal laws,regulations, and directives, except to
the extent that FTA determines otherwise in writing. Use of financial institutions owned at least
fifty (50) percent by minority group members is encouraged.
FTA Maser Agreement MA(I3), 10-1-2006 20
c. Documentation of Project Costs and Program Income. The Recipient agrees-to support all
costs charged to the Project, including any approved services or property contributed by the
Recipient or others, with properly executed payrolls, time records, invoices, contracts, or
vouchers describing in detail the nature and propriety of the charges. The Recipient also agrees
to maintain accurate records of all program income derived from Project implementation, except
certain income FTA determines to be exempt from Federal program income requirements.
d. Checks, Orders, and Vouchers. The Recipient agrees that it will not draw checks, drafts, or
orders for property or services to be charged against the Project Account until it has received and
filed a properly signed voucher describing in proper detail the purpose for the expenditure.
Section 8. Reporting, Record Retention, and Access.
a. Types of Reports. The Recipient agrees to submit to FTA all reports required by Federal
laws and regulations, and directives, the Grant Agreement or Cooperative Agreement for the
Project, this Master Agreement, and any other reports FTA may specify, except to the extent that
FTA determines otherwise in writing.
b. Report Formats. The Recipient agrees that all reports and other documents or information
intended for public availability developed in the course of the Project and required to be
submitted to FTA must be prepared and submitted in electronic and or typewritten hard copy
formats as FTA may specify. Electronic submissions must comply with the electronic
accessibility provisions of Subsections 12.g(9) and 15.0 of this Master Agreement. FTA also
reserves the right to specify that records be submitted in other formats.
c. Record Retention. During the course of the Project and for three years thereafter from the
date of transmission of the final expenditure report, the Recipient agrees to maintain intact and
readily accessible all data, documents, reports, records, contracts, and supporting materials
relating to the Project as the Federal Government may require.
d. Access to Records of Recipients and Subrecipients. The Recipient agrees to permit, and
require its subrecipients to permit, the U.S. Secretary of Transportation, the Comptroller General
of the United States, and, to the extent appropriate, the State, or their authorized representatives,
upon their request to inspect all Project work, materials, payrolls, and other data, and to audit the
books, records, and accounts of the Recipient and its subrecipients pertaining to the Project, as
required by 49 U.S.C. § 5325(g).
e. Project Closeout. The Recipient agrees that Project closeout does not alter the reporting and
record retention requirements of this Section S of the Master Agreement.
Section 9. Payments.
The Recipient agrees that it will not seek payment from FTA for Project costs until it has
executed the Grant Agreement or Cooperative Agreement for the Project.
FTA Master Agreement MA(13), 10-1-2006 21
a. Recipient's Request for Payment, Except to the extent that FTA determines otherwise in
writing, to obtain a payment for Project expenses from FTA, the Recipient agrees to:
(1) Demonstrate or certify that it will provide adequate local funds that, when combined
with Federal payments, will cover all costs to be incurred for the Project. Except to the extent
that the Federal Government determines in writing that the Recipient may defer provision of its
local share for the Project, a Recipient required to provide a local share by Federal law,
regulation, directive, the Grant Agreement or Cooperative Agreement for the Project agrees that
it will not:
(a) Request or obtain Federal funds exceeding the amount justified by the local share
previously provided, and
(b) Take any action that would cause the proportion of Federal funds made available to
the Project at any time to exceed the percentage authorized by the Grant Agreement or
Cooperative Agreement for the Project,
(2) Submit to FTA all financial and progress reports required to date by the Grant
Agreement or Cooperative Agreement for the Project and this Master Agreement, and
(3) Identify the source(s)of Federal assistance provided for the Project from which the
payment is to be derived.
b. Payment by FTA. Except to the extent FTA determines otherwise in writing, the Recipient
agrees that FTA will make all payments of Federal assistance through the Automated Clearing
House (ACH) method of payment regardless of the amount involved,but not before the
Recipient has executed the Grant Agreement or Cooperative Agreement for the Project, in
accordance with the following provisions:
(1) Electronic Clearing House Operation Payments. If payment is made through the FTA
Electronic Clearinghouse Operation (ECHO) using an ECHO Control Number, the Recipient
agrees to comply with: FTA's ECHO requirements that implement U.S. Department of Treasury
(U.S. Treasury) Circular 1075, Part 205, "Withdrawal of Cash from the Treasury for Advances
Under Federal Grants and Other Programs;" Treasury Financial Manual, Vol. 1, Part 6,
Chapter 2000; the ECHO System Operations Manual, "Guidelines for Disbursements" for FTA
Projects; and the provisions of this Subsection 9.b(l). The Recipient also agrees that if it fails to
comply with the following provisions of this Subsection 9.b(1), the Federal Government may
revoke the unexpended portion of Federal assistance awarded for the Project.
(a) The Recipient agrees to withdraw cash only when actually needed for immediate
disbursement required for Project purposes. Except to the extent permitted otherwise by Federal
law, regulation, or directive, the Recipient agrees to expend all Federal assistance obtained
through the Project for Project purposes no later than three (3) days after receiving those funds.
If the Recipient fails to expend that Federal assistance within three (3) days of receipt, fails to
return withdrawn but unexpended Federal assistance to FTA within a reasonable period, or fails
FFA Master Agreement MA(13), 10-1-2006 22
to establish procedures to minimize the time elapsing between cash advances and the
disbursement, the Federal Government may revoke or temporarily suspend the Recipient's
ECHO Control Number and the Recipient's access to the ECHO System. In addition, the
Recipient agrees that if it fails to comply with these provisions, it may be subjected to other
remedies or penalties authorized by Federal law or regulation.
(b) The Recipient agrees to report its cash disbursements and balances promptly in
compliance with applicable Federal Iaws, regulations, and directives.
(c) The Recipient agrees to provide for control and accountability for all Federal
assistance for the Project consistent with Federal requirements and procedures for use of the
ECHO system.
(d) The Recipient agrees that it will not withdraw Federal assistance for a Project in an
amount exceeding the sum obligated by the Federal Government or the current available balance
for that Project.
(e) The Recipient agrees to withdraw Federal assistance only for payment of eligible
Project costs.
(f) The Recipient agrees that it will not withdraw Federal assistance until it is needed
for disbursement for Project expenses.
(g) The Recipient agrees to notify the appropriate Regional or Program Office when a
single withdrawal will exceed $50,000,000 at least three days before the withdrawal is
anticipated.
(h) The Recipient agrees to remit interest to the Federal Government on any Federal
assistance it has prematurely withdrawn, irrespective of whether that Federal assistance has been
deposited in an interest-bearing account. The Recipient agrees that a debt for any premature
withdrawal of Federal assistance does not qualify as a "claim" covered by the Debt Collection
Act of 1982, as amended, 31 U.S.C. §§ 3701 et seq., and that the interest provisions of this
Subsection 9.b(l)(h) of this Master Agreement, rather than the interest provisions of the Debt
Collection Act of 1982, as amended, 31 U.S.C. §§ 3701 et seq., will determine the amount of
interest due for the Federal assistance it has prematurely withdrawn. The Recipient agrees that
the amount of interest due the Federal Government depends on whether or not the Recipient is a
State or State instrumentality.
1. A Recipient that is a State or State instrumentality agrees to remit to the Federal
Government the amount of interest calculated in accordance with U.S. Treasury regulations,
"Rules and Procedures for Efficient Federal-State Funds Transfers," 31 C.F.R. Part 205, which
implements section 5(b) of the Cash Management Improvement Act of 1990, as amended,
31 U.S.C. § 6503(b).
2. A Recipient that is neither a State nor a State instrumentality agrees to remit to
the Federal Government the amount of prejudgment common law interest, as authorized by joint
FIFA Master Agreement MA(13), 10-1-2006 23
U.S. Treasury and U.S. Department of Justice (point U.S. Tre 1 C F R 5� DQOJ9(�gultions,
"Standards for the Administrative Collection of Claims, at 3
(2) Re u if the requisition method of payment is used, the Recipient agrees as
follows:
(a) Recite nt Res °ns'bilities. The Recipient agrees to complete and submit:
1. 'payment Information Form—Echo-ACH Payment System, Revised 10192," to
FTA's Accounting Division.
uest for Advance or Reimbursement," to the designated
2. Standard Form 270, "Req
FTA office.
(b} FTA Res ansibilities. Upon receiving a request for paym that the Recipient
supporting information,FTA will approve payment by direct deposit, provided
has complied with the requirements of the Grant Agreement the Fede erative ngCe requested ireement for e
Project and this Master Agreement, has satisfied FTA
needed For Project purposes in that requisition period,at d sat sfactoryc amplianr�e with thetoward
Project completion• After the Recipient has demonstrated Recipient's tr
P
receding requirements,FTA may reimburse the e apparent d allowable costs
udget for the
{or to be incurred in the requisition period}, as set forth
Project, but not to exceed the maximum amount of Federal assistance that may be paid through
the Federal fiscal year of that requisition.
C. Costs Reimbursed. The Recipient agrees that Project t osts eligible that FTA d p rmi P stion
must comply with all the following requirements. E p
otherwise in writing, to be eligible for reimbursement,Project costs must be:
er
(l) Consistent with the Project Description A Project
Proje�ttand hishMaster
provisions of the Grant Agreement or Cooperative g
Agreement,
(2) Necessary in order to accomplish the Project,
(3) Reasonable for the goods or services purchased,
(4) Actual net costs to the Recipient (i.e., the price paid minus any refunds, rebates, or other
items of value received by the Recipient that have the effect of reducing the cost actually
incurred, excluding program income),
(5) Incurred for work performed after
exceetEaf thelextent that the Federal Government
Cooperative Agreement for the Probe p
determines otherwise in writing,
(6) Satisfactorily documented,
24
FTA master Agreement MA(13). 10-1-2006
(7) Treated consistently in accordance with accounting principles and procedures approved
by the Federal Government for the Recipient, and with accounting principles and procedures
approved by the Recipient for its third party contractors and subrecipients,
(8) Eligible for Federal participation under Federal law, regulations, or directives, and
(9) In compliance with U.S. DOT regulations pertaining to allowable costs at 49 C.F.R.
5 18.22(b) or 49 C.F.R. § 19.27, which regulations specify the applicability of U.S. Office of
Management and Budget (U.S. OMB) circulars and Federal Acquisition Regulation (FAR)
provisions as follows:
(a) U.S. OMB Guidance for Grants and Agreements, "Cost Principles for State, Local,
and Indian Tribal Governments (OMB Circular A-87)," 2 C.F.R. Part 225, applies to Project
costs incurred by a Recipient that is a State, local, or Indian tribal government.
(b) U.S. OMB Guidance for Grants and Agreements, "Cost Principles for Educational
Institutions (OMB Circular A-21)," 2 C.F.R. Part 220, applies to Project costs incurred by a
Recipient that is an institution of higher education.
(c) U.S. OMB Guidance for Grants and Agreements "Cost Principles for Non-profit
Organizations (OMB Circular A-122)," 2 C.F.R. Part 230, applies to Project costs incurred by a
Recipient that is a private nonprofit organization.
(d) FAR, at 48 C.F.R. Chapter 1, Subpart 31.2, "Contracts with Commercial
Organizations"" applies to Project costs incurred by a Recipient that is a for-profit organization.
d. Bond Interest and Other Financing Costs. To the extent permitted by Federal law, regulation,
or directive, bond interest and other financing costs are allowable. The Recipient agrees that
FTA"s participation in Project interest costs will be limited to an amount that does not exceed the
most favorable financing terms reasonably available for the Project at the time of borrowing,
except to the extent FTA determines otherwise in writing.
e. Excluded Costs. The Recipient understands and agrees that, except to the extent FTA
determines otherwise in writing, ineligible costs will be treated as follows:
(1) In determining the amount of Federal assistance FTA will provide for the Project, FTA
will exclude:
(a) Any Project cost incurred by the Recipient before the Effective Date of the Grant
Agreement, Cooperative Agreement or Amendment thereto, unless otherwise permitted by
Federal law, regulation, or directive, or unless an authorized FTA official states in writing to the
contrary;
(b) Any cost that is not included in the latest Approved Project Budget;
FTA Master Agreeinent MA(13), 10-1-2006 25
(c) Any cost for Project property or services received in connection with a
subagreement, lease, third party contract, or other arrangement that is required to be, but has not
been, concurred in or approved in writing by FTA;
(d) Any ordinary governmental or nonproject operating cost, consistent with the
prohibitions of 49 U.S.C. § 5323(h); and
(e) Any cost ineligible for FTA participation as provided by applicable Federal laws,
regulations, or directives, except to the extent the Federal Government determines otherwise in
writing.
(2) The Recipient understands and agrees that payment to the Recipient for any Project cost
does not constitute the Federal Government's final decision about whether that cost is allowable
and eligible for payment and does not constitute a waiver of any violation by the Recipient of the
terms of the Grant Agreement or Cooperative Agreement for the Project or this Master
Agreement. The Recipient acknowledges that the Federal Government will not make a final
determination about the allowability and eligibility of any cost until an audit of the Project has
been completed. If the Federal Government determines that the Recipient is not entitled to
receive any portion of the Federal assistance requested or provided, the Federal Government will
notify the Recipient in writing, stating its reasons. The Recipient agrees that Project closeout
will not after the Recipient's responsibility to return any funds due the Federal Government as a
result of later refunds, corrections, or other transactions; nor will Project closeout alter the
Federal Government's right to disallow costs and recover funds on the basis of a later audit or
other review. Unless prohibited by Federal law or regulation, the Federal Government may
recover any Federal financial assistance made available for the Project as necessary to satisfy any
outstanding monetary claims that the Federal Government may have against the Recipient.
f. Federal Claims, Excess Payments, Disallowed Costs including Interest.
(1) Recipient's Responsibility to Pax. Upon notification to the Recipient that specific
amounts are owed to the Federal Government, whether for excess payments of Federal
assistance, disallowed costs, or funds recovered from third parties or elsewhere, the Recipient
agrees to remit to the Federal Government promptly the amounts owed, including applicable
interest, penalties and administrative charges.
(2) Amount of Interest. The Recipient agrees that whether the amount due the Federal
Government is treated as a Federal claim or is treated as a debt determines how interest is
calculated thereon and becomes due. Thus, Recipient agrees to remit interest to the Federal
Government in accordance with the following:
(a) Federal Claims against the Recipient. For claims pursuant to the Debt Collection
Act of 1982, as amended, 31 U.S.C. §§ 3701 et seg., the Recipient agrees that the amount of
interest owed to the Federal Government will be determined in accordance with the provisions of
joint U.S. Treasury/U.S. DOJ regulations, "Standards for the Administrative Collection of
Claims," at 31 C.F.R. § 901.9(a) through (g) or common law interest authorized by 31 C.F.R.
§ 901.9(i), whichever is applicable.
FI.A Master Agreement MA(13), 10-1-2006 26
(b) Excess Payments. For excess payments made by the Federal Government to the
Recipient that do not qualify as a "claim"for purposes of the Debt Collection Act of 1982, as
amended, 31 U.S.C. §§ 3701 et seq., the Recipient agrees that the amount of interest owed to the
Federal Government depends on whether the Recipient is a State or State instrumentality.
1. A Recipient that is a State or State instrumentality agrees that interest owed to
the Federal Government will be determined in accordance with U.S. Treasury regulations, 'Rules
and Procedures for Efficient Federal-State Funds Transfers," 31 C.F.R. Part 205 that implement
section 5(b) of the Cash Management Improvement Act of 1990, as amended, 31 U.S.C.
§ 6503(b).
2. A Recipient that is neither a State nor a State instrumentality agrees that
common law interest owed to the Federal Government will be determined in accordance with
joint U.S. Treasury/U.S. DOJ regulations, "Standards for the Administrative Collection of
Claims," at 31 C.F.R. § 901.9(i).
(c) Disallowed Costs. The Recipient agrees that a debt for a disallowed cost might, in
certain cases, qualify as a "claim" for purposes of the Debt Collection Act of 1982, as amended,
31 U.S.C. §§ 3701 et seq. Whether or not the disallowed cost qualifies as a "claim" under that
Act, the Recipient agrees to pay either interest and related charges for disallowed costs as
determined by the Federal Government in accordance with joint U.S. Treasury/U.S. DOJ
regulations, "Standards for the Administrative Collection of Claims," at 31 C.F.R. § 901.9(a)
through (g) or common law interest authorized by 31 C.F.R. § 901.9(i), whichever is applicable.
g. De-obligation of Funds. The Recipient agrees that the Federal Government may de-obligate
unexpended Federal funds before Project closeout.
Section 10. Project Completion,Audit, Settlement, and Closeout.
a. Project Completion. Within ninety (90) calendar days following Project completion or
termination by the Federal Government, the Recipient agrees to submit a final Financial Status
Report (either electronically or on Standard Form 269A), a certification of Project expenses, and
third party audit reports, as applicable.
b. Audit of Recipients. Except to the extent the Federal Government determines otherwise in
writing, the Recipient acknowledges and agrees as follows:
(1) Audit Requirements. The Recipient agrees to have performed financial and compliance
audits required by the Single Audit Act Amendments of 1996, 31 U.S.C. §§ 7501 et seq. As
provided by 49 C.F.R. § 19.26, these financial and compliance audits must comply with the
provisions of OMB Circular A-133, Revised, "Audits of States, Local Governments, and
Non-Profit Organizations," the latest OMB A-133 Compliance Supplement for U.S. DOT, and
any further revision or supplement thereto. The Recipient also agrees to obtain any other audits
required by the Federal Government. The Recipient agrees that these audits will be conducted in
FFA Master Agreement MA(13), 10-1-2006 27
accordance with U.S. Government Accountability Office, (U.S. GAO) "Government Auditing
Standards." The Recipient agrees that Project closeout will not alter the Recipient's audit
responsibilities.
(2) Audit Costs. Audit costs for Project administration and management are allowable to
the extent authorized by OMB Circular A-87, OMB Circular A-21, OMB Circular A-122, or the
FAR at 48 C.F.R. Chapter I, Subpart 31.2, whichever is applicable.
c. Funds Owed to the Federal Government. The Recipient agrees to remit to the Federal
Government any excess payments made to the Recipient, any costs disallowed by the Federal
Government, and any amounts recovered by the Recipient from third parties or from other
sources, as well as any penalties and any interest required by Subsection 9.f(2) of this Master
Agreement.
d. Project Closeout. Project closeout occurs when FTA notifies the Recipient that FIFA has
closed the Project, and either forwards the final Federal assistance payment or acknowledges that
the Recipient has remitted the proper refund. The Recipient agrees that Project closeout by FTA
does not invalidate any continuing requirements imposed by the Grant Agreement or
Cooperative Agreement for the Project, this Master Agreement, or any unmet requirements set
forth in the Federal Government's final notification or acknowledgment.
Section 11. Right of the Federal Government to Terminate.
Upon written notice, the Recipient agrees that the Federal Government may suspend or terminate
all or any part of the Federal assistance to be provided for the Project if the Recipient has
violated the terms of the Grant Agreement or Cooperative Agreement for the Project including
this Master Agreement, or if the Federal Government determines that the purposes of the laws
authorizing the Project would not be adequately served by the continuation of Federal assistance
for the Project. The Recipient understands and agrees that any failure to make reasonable
progress on the Project or violation of the Grant Agreement or Cooperative Agreement for the
Project, or this Master Agreement that endangers substantial performance of the Project shall
provide sufficient grounds for the Federal Government to terminate the Grant Agreement or
Cooperative Agreement for the Project. In general, termination of Federal assistance for the
Project will not invalidate obligations properly incurred by the Recipient before the termination
date to the extent those obligations cannot be canceled. If, however, the Federal Government
determines that the Recipient has willfully misused Federal assistance by failing to make
adequate progress, failing to make reasonable and appropriate use of Project property, or failing
to comply with the terms of the Grant Agreement or Cooperative Agreement for the Project
including this Master Agreement, the Federal Government reserves the right to require the
Recipient to refund the entire amount of Federal assistance provided for the Project or any lesser
amount as the Federal Government may determine. Expiration of any Project time period
established for the Project does not, by itself, constitute an expiration or termination of the Grant
Agreement or Cooperative Agreement for the Project.
FTA Masser Agreement MA(13), 10-1-2006
28
Section 12. Civil Rights.
The Recipient agrees to comply with all applicable civil rights laws, regulations and directives,
except to the extent that the Federal Government determines otherwise in writing. These
include, but are not limited to, the following:
a. Nondiscrimination in Federal Public,Transportation Programs. The Recipient agrees to
comply, and assures the compliance of each third party contractor at any tier and each
subrecipient at any tier of the Project, with the provisions of 49 U.S.C. § 5332, which prohibit
discrimination on the basis of race, color, creed, national origin, sex, or age, and prohibits
discrimination in employment or business opportunity.
b. Nondiscrimination „_Title VI of the Civil Rights Act. The Recipient agrees to comply, and
assures the compliance of each third party contractor at any tier and each subrecipient at any tier
of the Project, with all provisions prohibiting discrimination on the basis of race, color, or
national origin of Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. §§ 2000d
et seq., and with U.S. DOT regulations, "Nondiscrimination in Federally-Assisted Programs of
the Department of Transportation—Effectuation of Title VI of the Civil Rights Act," 49 C.F.R.
Part 21. Except to the extent FTA determines otherwise in writing, the Recipient also agrees to
comply with any applicable implementing Federal directives that may be issued,
c. Equal Employment Opportunity. The Recipient agrees to comply, and assures the
compliance of each third party contractor at any tier of the Project and each subrecipient at any
tier of the Project, with all equal employment opportunity (EEO) provisions of 49 U.S.C. § 5332,
with Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000e, and
implementing Federal regulations and any subsequent amendments thereto. Except to the extent
FTA determines otherwise in writing, the Recipient also agrees to comply with any applicable
Federal EEO directives that may be issued. Accordingly:
(1) General. The Recipient agrees as follows:
(a) The Recipient agrees that it will not discriminate against any employee or applicant
for employment because of race, color, creed, sex, disability, age, or national origin. The
Recipient agrees to take affirmative action to ensure that applicants are employed and that
employees are treated during employment without regard to their race, color, creed, sex,
disability, age, or national origin. Such action shall include, but not be limited to, employment,
upgrading, demotions or transfers, recruitment or recruitment advertising, layoffs or
terminations; rates of pay or other forms of compensation; and selection for training, including
apprenticeship.
(b) If the Recipient is required to submit and obtain Federal Government approval of its
EEO program, that EEO program approved by the Federal Government is incorporated by
reference and made part of the Grant Agreement or Cooperative Agreement for the Project.
Failure by the Recipient to carry out the terms of that EEO program shall be treated as a violation
of the Grant Agreement or Cooperative Agreement. Upon notification to the Recipient of its
failure to carry out the approved EEO program, the Federal Government may impose such
F FA Master Agreement MA(13), 10-1-2006 29
remedies as it considers appropriate, including termination of Federal assistance in accordance
with Section 11 of this Master Agreement, or other measures that may affect the Recipient's
eligibility to obtain future Federal assistance for transportation Projects.
(2) Equal Employment Opportunity Requirements for Construction Activities. For
activities determined by the U.S. Department of Labor(U.S. DOL) to qualify as "construction,"
the Recipient agrees to comply and assures the compliance of each third party contractor at any
tier or subrecipient at any tier of the Project, with all applicable equal employment opportunity
requirements of U.S. DOL regulations, "Office of Federal Contract Compliance Programs, Equal
Employment Opportunity, Department of Labor," 41 C.F.R. Parts 60 et seq., which implement
Executive Order No. l 1246, "Equal Employment Opportunity," as amended by Executive Order
No. 11375, "Amending Executive Order No. 11246 Relating to Equal Employment
Opportunity," 42 U.S.C. § 2000e note, and also with any Federal laws, regulations, and
directives affecting construction undertaken as part of the Project.
d. Disadvantaged siness Enterprise. To the extent authorized by Federal law, the Recipient
agrees to facilitate participation by Disadvantaged Business Enterprises (DBE) in the Project and
assures that each subrecipient, lessee, and third party contractor at any tier of the Project will
facilitate participation by DBEs in the Project to the extent applicable. Therefore:
(1) The Recipient agrees and assures that it will comply with section 1101(b) of
SAFETEA-LU, 23 U.S.C. § 101 note, and U.S. DOT regulations, "Participation by
Disadvantaged Business Enterprises in Department of Transportation Financial Assistance
Programs," 49 C.F.R. Part 26.
(2) The Recipient agrees and assures that it shall not discriminate on the basis of race, color,
sex, or national origin in the award and performance of any third party contract, or subagreement
supported with Federal assistance derived from U.S. DOT in the administration of its DBE
program and will comply with the requirements of 49 C.F.R. Part 26. The Recipient agrees to
take all necessary and reasonable steps set forth in 49 C.F.R. Part 26 to ensure nondiscrimination
in the award and administration of all third party contracts and subagreements supported with
Federal assistance derived from U.S. DOT. As required by 49 C.F.R. Part 26 and approved by
U.S. DOT, the Recipient's DBE program, if any, is incorporated by reference and made part of
the Grant Agreement or Cooperative Agreement for the Project. The Recipient agrees that
implementation of this DBE program is a legal obligation, and that failure to carry out that DBE
program shall be treated as a violation of the Grant Agreement or Cooperative Agreement for the
Project and the Master Agreement. Upon notification by U.S. DOT to the Recipient of its failure
to implement its approved DBE program, U.S. DOT may impose sanctions as provided for under
49 C.F.R. Part 26 and may, in appropriate cases, refer the matter for enforcement under
18 U.S.C. § 1001, and/or the Program Fraud Civil Remedies Act, 31 U.S.C. §§ 3801 et seq.
e. Nondiscrimination on the Basis of Sex. The Recipient agrees to comply with all applicable
requirements of Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. §§ 1681
et seq_, and with implementing Federal regulations that prohibit discrimination on the basis of
sex that may be applicable.
FrA Maser ALreement MA(13), 10-1-2006 30
f. Nondiscrimination on the Basis of Age. The Recipient agrees to comply with applicable
requirements of:
(1) The Age Discrimination Act of 1975, as amended, 42 U.S.C. §§ 6101 et seq., and with
implementing U.S. Health and Human Services regulations, "Nondiscrimination on the Basis of
Age in Programs or Activities Receiving Federal Financial Assistance, 45 C.F.R. Part 90, which
prohibit discrimination against individuals on the basis of age.
(2) The Age Discrimination in Employment Act (ADEA) 29 U.S.C. §§ 621 through 634 and
with implementing U.S. Equal Employment Opportunity Commission (U.S. EEOC) regulations,
"Age Discrimination in Employment Act," 29 C.F.R. Part 1625.
g. Access for Individuals with Disabilities. The Recipient agrees to comply with 49 U.S.C.
§ 5301(d), which states the Federal policy that elderly individuals and individuals with
disabilities have the same right as other individuals to use public transportation services and
facilities, and that special efforts shall be made in planning and designing those services and
facilities to implement transportation accessibility rights for elderly individuals and individuals
with disabilities. The Recipient also agrees to comply with all applicable provisions of
section 504 of the Rehabilitation Act of 1973, as amended, with 29 U.S.C. § 794, which prohibits
discrimination on the basis of disability; with the Americans with Disabilities Act of 1990
(ADA), as amended,42 U.S.C. §§ 12101 et seq., which requires that accessible facilities and
services be made available to individuals with disabilities; and with the Architectural Barriers
Act of 1968, as amended, 42 U.S.C. §§ 4151 et seq., which requires that buildings and public
accommodations be accessible to individuals with disabilities, and any subsequent amendments
to these laws. In addition, the Recipient agrees to comply with applicable implementing Federal
regulations and directives and any subsequent amendments thereto, as follows:
(1) U.S. DOT regulations, "Transportation Services for Individuals with Disabilities
(ADA)," 49 C.F.R. Part 37;
(2) U.S. DOT regulations, "Nondiscrimination on the Basis of Handicap in Programs and
Activities Receiving or Benefiting from Federal Financial Assistance," 49 C.F.R. Part 27;
(3) Joint U.S. Architectural and Transportation Barriers Compliance Board
(U.S. ATBCB)/U.S. DOT regulations, "Americans With Disabilities (ADA) Accessibility
Specifications for Transportation Vehicles," 36 C.F.R. Part 1192 and 49 C.F.R. Part 38;
(4) U.S. DOJ regulations, "Nondiscrimination on the Basis of Disability in State and Local
Government Services," 28 C.F.R. Part 35;
(5) U.S. DOJ regulations, "Nondiscrimination on the Basis of Disability by Public
Accommodations and in Commercial Facilities," 28 C.F.R. Part 36;
(6) U.S. General Services Administration (U.S. GSA) regulations, "Accommodations for the
Physically Handicapped," 41 C.F.R. Subpart 101-19;
FTA Master Agreeinent MA(t3), 10-1-2006 31
(7) U.S. EEOC, "Regulations to Implement the Equal Employment Provisions of the
Americans with Disabilities Act," 29 C.F.R. Part 1630;
(8) U.S. Federal Communications Commission regulations, "Telecommunications Relay
Services and Related Customer Premises Equipment for the Hearing and Speech Disabled,"
47 C.F.R. Part 64, Subpart F; and
(9) U.S. ATBCI3 regulations, "Electronic and Information Technology Accessibility
Standards," 36 C.F.R. Part 1194;
(10)FTA regulations, "Transportation for Elderly and Handicapped Persons,"49 C.F.R.
Part 609; and
(11)Federal civil rights and nondiscrimination directives implementing the foregoing
regulations, except to the extent the Federal Government determines otherwise in writing.
h. Drug or Alcohol Abuse-Confidentiality and Other Civil Rights Protections. To the extent
applicable, the Recipient agrees to comply with the confidentiality and other civil rights
protections of the Drug Abuse Office and Treatment Act of 1972, as amended, 21 U.S.C.
§§ 1 101 et seq., with the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment
and Rehabilitation Act of 1970, as amended, 42 U.S.C. §§ 4541 et seq., and with the Public
Health Service Act of 1912, as amended,42 U.S.C. §§ 201 et seq., and any amendments to these
laws.
i. Access to Services for Persons with Limited English Proficiency. To the extent applicable
and except to the extent that FTA determines otherwise in writing, the Recipient agrees to
comply with the policies of Executive Order No. 13166, "Improving Access to Services for
Persons with Limited English Proficiency," 42 U.S.C. § 2000d-1 note, and with the provisions of
U.S. DOT Notice, "DOT Guidance to Recipients on Special Language Services to Limited
English Proficient (LEP) Beneficiaries," 66 Fed. Reg. 6733 et seq., January 22, 2001.
j. Environmental Justice. The Recipient agrees to comply with the policies of Executive Order
No. 12898, "Federal Actions to Address Environmental Justice in Minority Populations and
Low-Income Populations," 42 U_S.C. § 4321 note, except to the extent that the Federal
Government determines otherwise in writing.
k. Other Nondiscrimination Laws. The Recipient agrees to comply with all applicable
provisions of other Federal laws, regulations, and directives pertaining to and prohibiting
discrimination, except to the extent the Federal Government determines otherwise in writing.
Section 13. Planning and Private Enterprise.
a. General. The Recipient agrees to implement the Project consistent with the plans developed
in accordance with the following Federal planning and private enterprise provisions:
FTA Master Agreement MA(I 3). 10-1-2006 32
(1) 49 U.S.C. §§ 5303, 5304, 5306, and 5323(x)(1);
(2) Joint Federal Highway Administration (FHWA)/FFA document, "Interim Guidance for
Implementing Key SAFETEA-LU Provisions on PIanning, Environment, and Air Quality for
Joint FHWA/FTA Authorities," dated September 2, 2005, as amended by joint FHWA/FTA
guidance, "SAFETEA-LU Deadline for New Planning Requirements (July 1, 2007)," dated May
2, 2006 [Clarifying Guidance on Implementation of SAFETEA-LU Planning Provisions], and
other subsequent Federal directives implementing SAFETEA-LU, except to the extent FTA
determines otherwise in writing;
(3) Joint FHWA/FTA regulations, 'Planning Assistance and Standards," 23 C.F.R. Part 450
and 49 C.F.R. Part 613 to the extent that those regulations are consistent with the SAFETEA-LU
amendments to public transportation planning and private enterprise Iaws and, when
promulgated, any subsequent amendments to those regulations; and
(4) FTA regulations, "Major Capital Investment Projects," 49 C.F.R. Part 611, to the extent
that those regulations are consistent with the SAFETEA-LU amendments to the public
transportation planning and private enterprise laws and, when promulgated, any subsequent
amendments to those regulations.
b. Governmental and Private Nonprofit Providers of Nonemergency Transportation. In addition
to providing opportunities to participate in planning as described in Subsection 13.a of this
Master Agreement, to the extent feasible the Recipient agrees to comply with the provisions of
49 U.S.C. § 5323(k), which afford governmental agencies and nonprofit organizations that
receive Federal assistance for nonemergency transportation from Federal Government sources
(other than U.S. DOT) an opportunity to be included in the design, coordination, and planning of
transportation services.
c. Infrastructure Investment. During the implementation of the Project, the Recipient agrees to
take into consideration the recommendations of Executive Order No. 12803, "Infrastructure
Privatization," 31 U.S.C. § 501 note, and Executive Order No. 12893, "Principles for Federal
Infrastructure Investments," 31 U.S.C. § 501 note.
Section 14. Preference for United States Products and Services.
To the extent applicable, the Recipient agrees to comply with the following U.S, domestic
preference requirements:
a. Buy America. The Recipient agrees to comply with 49 U.S.C. § 53230) and FTA
regulations, 'Buy America Requirements," 49 C.F.R. Part 661 to the extent those regulations are
consistent with SAFETEA-LU provisions, and subsequent amendments to those regulations that
may be promulgated. The Recipient also agrees to comply with FTA directives to the extent
those directives are consistent with SAFETEA-LU provisions, except to the extent that FTA
determines otherwise in writing.
FTA Master Acreernent MA(13), 10-1-2006 33
b. Cargo Preference-Use of United States-Flag Vessels. To the extent applicable, the Recipient
agrees to comply with 46 App. U.S.C.A. § 1241(b)(1) and U.S. Maritime Administration
regulations, "Cargo Preference-U.S.-Flag Vessels," 46 C.F.R. Part 381.
c. Fly America. The Recipient understands and agrees that the Federal Government will not
participate in the costs of international air transportation of any individuals involved in or
property acquired for the Project unless that air transportation is provided by U.S.-flag air
carriers to the extent service by U.S.-flag air carriers is available, in accordance with the
requirements of the International Air Transportation Fair Competitive Practices Act of 1974, as
amended, 49 U.S.C. § 40118, and with U.S. GSA regulations, "Use of United States Flag Air
Carriers," 41 C.F.R. §§ 301-10.131 through 301-10.143.
Section 15. Procurement.
To the extent applicable, the Recipient agrees to comply with the following third party
procurement provisions:
a. Federal Standards. The Recipient agrees to comply with the third party procurement
requirements of 49 U.S.C. chapter 53 and other applicable Federal laws in effect now or as
subsequently enacted; with U.S. DOT third party procurement regulations of 49 C.F.R. § 18.36
or at 49 C.F.R. §§ 19.40 through 19.48, and other applicable Federal regulations pertaining to
third party procurements and subsequent amendments thereto, to the extent those regulations are
consistent with SAFETEA-LU provisions. The Recipient also agrees to comply with the
provisions of FTA Circular 4220.1E, "Third Party Contracting Requirements," to the extent
those provisions are consistent with SAFETEA-LU provisions and to comply with any
subsequent amendments thereto, except to the extent FTA determines otherwise in writing.
Although the FTA "Best Practices Procurement Manual" provides additional procurement
guidance, the Recipient understands that the F17A "Best Practices Procurement Manual" is
focused on third party procurement processes and may omit certain Federal requirements
applicable to the third party contract work to be performed.
b. Full and Open Competition. In accordance with 49 U.S.C. § 5325(a), the Recipient agrees to
conduct all procurement transactions in a manner that provides full and open competition as
determined by FTA.
c. Exclusionary or Discriminatory Specifications. Apart from inconsistent requirements
imposed by Federal laws or regulations, the Recipient agrees to comply with the requirements of
49 U.S.C. § 5325(h) by not using any Federal assistance awarded by FTA to support a
procurement using exclusionary or discriminatory specifications.
d. Geographic Restrictions. The Recipient agrees that it will not use any State or local
geographic preference, except State or local geographic preferences expressly mandated or as
permitted by FTA. For example, in procuring architectural, engineering, or related services,
however, the contractor's geographic location may be a selection criterion, provided that a
sufficient number of qualified firms are eligible to compete.
FTA Maser Agreement MA(13), 10-1-2006 34
e. In-State Bus Dealer Restrictions. In accordance with 49 U.S.C. § 5325(i), the Recipient
agrees that any State law requiring buses to be purchased through in-State dealers will not apply
to acquisitions of vehicles financed with Federal assistance authorized under 49 U.S.C.
chapter 53.
f. Neutrality in Labor Relations. To the extent permitted by law, the Recipient agrees to
comply with Executive Order No. 13202, "Preservation of Open Competition and Government
Neutrality Towards Government Contractors' Labor Relations on Federal and Federally Funded
Construction Projects," Executive Order No. 13202, as amended by Executive Order No. 13208,
41 U.S.C. § 251 note, which among other things, prohibits requirements for affiliation with a
labor organization as a condition for award of any third party contract or subcontract for
construction or construction management services, except to the extent that the Federal
Government determines otherwise in writing.
g. Federal Supply Schedules,. State, local, or nonprofit Recipients may not use Federal Supply
Schedules to acquire federally assisted property or services except to the extent permitted by
U.S. GSA, U.S. DOT, or FTA laws, regulations, directives, or determinations.
h. Force Account. The Recipient agrees that FTA may determine the extent to which Federal
assistance may be used to participate in force account costs.
i. FTA Technical Review. The Recipient agrees to permit FTA to review and approve the
Recipient's technical specifications and requirements to the extent FTA believes necessary to
ensure proper Project administration_
j. Project Approval/Third Party Contract Approval. Except to the extent FTA determines
otherwise in writing, the Recipient agrees that FTA`s award of Federal assistance for the Project
does not, by itself, constitute pre-approval of any non-competitive third party contract associated
with the Project.
k. Preference for Recycled Products. To the extent applicable, the Recipient agrees to comply
with U.S. EPA regulations, "Comprehensive Procurement Guidelines for Products Containing
Recovered Materials,"40 C.F.R. Part 247, which implements section 6002 of the Resource
Conservation and Recovery Act, as amended, 42 U.S.C. § 6962, and with subsequent Federal
regulations that may be promulgated. Accordingly, the Recipient agrees to provide a
competitive preference for products and services that conserve natural resources, protect the
environment, and are energy efficient, except to the extent that the Federal Government
determines otherwise in writing.
1. Clean Air and Clean Water. The Recipient agrees to include in each third party contract and
each subagreement exceeding $100,000 adequate provisions to ensure that each Project
participant will agree to:
(1) Report the use of facilities placed on or likely to be placed on the U.S. Environmental
Protection Agency (U.S. EPA) "List of Violating Facilities,"
FTA Master Agreernent MA(13), 10-1-2000 35
(2) Refrain from using any violating facilities,
(3) Report violations to FTA and the Regional U.S. EPA Office, and
(4) Comply with the inspection and other applicable requirements of:
(a) Section 306 of the Clean Air Act, as amended, 42 U.S.C. § 7414, and other
applicable provisions of the Clean Air Act, as amended,42 U.S.C. §§ 7401 through 7671q; and
(b) Section 508 of the Clean Water Act, as amended, 33 U.S.C. § 1368, and other
applicable requirements of the CIean Water Act, as amended, 33 U.S.C. §§ 1251 through 1377.
m. National Intelligent Transportation Stems Architecture and Standards. To the extent
applicable, the Recipient agrees to conform to the National Intelligent Transportation Systems
(ITS) Architecture and Standards as required by SAFETEA-LU § 5307(c), 23 U.S.C. § 512 note,
and comply with FTA Notice, "FTA National ITS Architecture Policy on Transit Projects"
66 Fed. Reg. 1455 et seq.,January S, 2001, and any subsequent further implementing directives,
except to the extent FTA determines otherwise in writing.
n. Rollin_ Stock.tock. In acquiring rolling stock, the Recipient agrees as follows:
(1) Method of Acquisition. In compliance with 49 U.S.C_ § 5325(f), the Recipient agrees
that any third party contract award it makes for rolling stock will be based on initial capital costs,
or on performance, standardization, life cycle costs, and other factors, or on a competitive
procurement process.
(2) Multi-year Options,. In accordance with 49 U.S.C. § 5325(e)(1), a Recipient procuring
rolling stock financed with Federal assistance under 49 U.S.C. chapter 53 may not enter into a
multi-year contract with options, exceeding five (5) years after the date of the original contract,
to purchase additional rolling stock and replacement parts.
(3) Pre-Award and Post-Delivery Requirements. The Recipient agrees to comply with the
requirements of 49 U.S.C. § 5323(m) and FTA regulations, 'Pre-Award and Post-Delivery
Audits of Rolling Stock Purchases," 49 C.F.R. Part 663 and, when promulgated, any
amendments to those regulations. The Recipient understands and agrees that to the extent the
provisions of 49 U.S.C. § 5323(m), as amended by SAFETEA-LU conflict with FTA's
implementing regulations as currently promulgated, the provisions of 49 U.S.C_ § 5323(m), as
amended, prevail.
(4) Bus Testing. To the extent applicable, the Recipient agrees to comply with the
requirements of 49 U.S.C. § 5318(e) and FTA regulations, "Bus Testing," 49 C.F.R. Part 665,
and any amendments to those regulations that may be promulgated.
o. Bonding. Except to the extent that FTA determines otherwise in writing, the Recipient
agrees to comply with the following bonding requirements, as applicable:
FTA Master Agreement MA(I 3). 10-1-2006 36
(1) Construction Activities. The Recipient agrees to provide bid guarantee, contract
performance, and payment bonds to the extent deemed adequate by FTA and applicable Federal
regulations, and comply with any other construction bonding provisions as FTA may determine.
(2) Other Activities. The Recipient agrees to comply with any other bonding requirements
or restrictions as FTA may determine.
p. Architectural, Engineering, Design, or Related Services. In compliance with 49 U.S.C.
§ 5325(b), the Recipient agrees to comply with the following requirements pertaining to the
procurement of architectural, engineering, or related services that will be financed with funds
authorized under 49 U.S.C. chapter 53 or required by Federal law to be administered in
accordance with 49 U.S.C. chapter 53:
(1) When procuring architectural, engineering, or related services, the Recipient agrees that
it and its subcontractors at any tier will:
(a) Negotiate for those services in the same manner as a contract for architectural,
engineering, or related services is negotiated under chapter 11 of Title 40, United States Code, or
(b) Comply with an equivalent State qualifications-based requirement for contracting
for architectural, engineering, and design services, provided the State has adopted by law such
requirement before August 10, 2005.
(2) Upon awarding a contract for those services, the Recipient agrees that and its
subcontractors at any tier will:
(a) Perform and audit the third party contract or the third party subcontract in
compliance with the cost principles of the FAR as set forth in 48 C.F.R. Part 31.
(b) Will accept the indirect cost rates established by a cognizant Federal or State
government agency in accordance with the FAR for one-year applicable accounting periods,
if those rates are not currently under dispute.
(c) Apply the firm's indirect cost rates, without any limitation by administrative or
de facto ceilings, for purposes of contract estimation, negotiation, administration, reporting,
and contract payment, after the firm's indirect cost rates are accepted as described in
Subsection 15.p(2)(b) of this Master Agreement.
(d) The Recipient agrees and assures that it and any of a group of entities sharing cost
or rate data described in Subsection 15.p(2)(c) of this Master Agreement shall:
1. Notify any affected firm before requesting or using that data,
2. Maintain the confidentiality of that data and assure that it is not accessible or
provided to others, and
F FA Master Agreement MA(13), 1 o-I-2oQfi 3
3. Not disclose that data under any circumstances if doing so is prohibited by law.
q. Design-Build Projects. In accordance with 49 U.S.C. § 5325(d)(2), the Recipient may use
design-build procurements to implement its Projects after it has complied with requirements
established by the Federal Government, whether through Federal regulations or through Federal
directives, except to the extent the Federal Government determines otherwise in writing.
r. Award to Other than the Lowest Bidder. In accordance with 49 U.S.C. § 5325(c), a
Recipient may award a third party contract to other than the lowest bidder, if the award furthers
an objective (such as improved long-term operating efficiency and lower long-term costs)
consistent with the purposes of 49 U.S.C. chapter 53 , and any implementing Federal regulations
or directives that FTA may issue, except to the extent FTA determines otherwise in writing.
s. Award to Responsible Contractors. In compliance with 49 U.S.C. § 53250), the Recipient
agrees to award third party contracts only to those contractors possessing the ability to
successfully perform under the terms of the proposed procurement, and before awarding a third
party contract, the Recipient agrees to consider:
(I) The integrity of the third party contractor,
(2) The third party contractor's compliance with public policy,
(3) The third party contractor's past performance, including the performance reported in
Contractor Performance Assessment Reports required by 49 U.S.C. § 5309(1)(2), if any, and
(4) The third party contractor's financial and technical resources.
t. Access to Third Party Contract Records. The Recipient agrees to require its third party
contractors and third party subcontractors, at as many tiers as required, to provide to the
U.S. Secretary of Transportation and the Comptroller General of the United States or their duly
authorized representatives, access to all third party contract records to the extent required by
49 U.S.C. § 5325(g). The Recipient further agrees to require its third party contractors and third
party subcontractors, to provide sufficient access to third party procurement records as needed
for compliance with Federal regulations or to assure proper Project management as determined
by F1'A.
u. Electronic and Information Technology. When using Federal assistance to procure reports or
information to be delivered to the Recipient for distribution to FFA, among others, the Recipient
agrees to include in its specifications a requirement that the reports or information will be
prepared using electronic or information technology capable of assuring that the reports or
information, when provided to FTA, will meet the applicable accessibility standards of
section 508 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794d, and U.S. ATBCB
regulations, "Electronic and Information Technology Accessibility Standards," 36 C.F.R.
Part 1194.
FTA Master Agreejnen(MA(13), 10-1-2006
38
Section 16. Leases.
a. Capital Leases. To the extent applicable, the Recipient agrees to comply with FTA
regulations, "Capital Leases," 49 C.F.R. Part 639, and any revision thereto.
b. Leases Involving Certificates of Participation. The Recipient agrees to obtain FTA
concurrence before entering into any leasing arrangement involving the issuance of certificates
of participation in connection with the acquisition of any capital asset.
Section 17. Patent Rights.
a. General. If any invention, improvement, or discovery of the Recipient or any subrecipient or
any third party contractor at any tier is conceived or first actually reduced to practice in the
course of or under the Project, and that invention, improvement, or discovery is patentable under
the laws of the United States of America or any foreign country, the Recipient agrees to notify
FTA immediately and provide a detailed report in a format satisfactory to FTA.
b. Federal Rights. The Recipient agrees that its rights and responsibilities, and those of each
subrecipient and each third party contractor at any tier, pertaining to that invention,
improvement, or discovery will be determined in accordance with applicable Federal laws,
regulations, including any waiver thereof. Absent a determination in writing to the contrary by
the Federal Government, the Recipient agrees to transmit to FTA those rights due the Federal
Government in any invention, improvement, or discovery resulting from that subagreement, third
party contract, or third party subcontract, as specified in U.S. Department of Commerce
regulations, "Rights to Inventions Made by Nonprofit Organizations and Small Business Firms
Under Government Grants, Contracts and Cooperative Agreements," 37 C.F.R. Part 401
(implementing 35 U.S.C. §§ 200 et seq.), irrespective of the status of the Recipient, subrecipient,
or third party contractor(i.e., a large business, small business, State government, State
instrumentality, local government, Indian tribe, nonprofit organization, institution of higher
education, individual, etc.).
Section 18. Rights in Data and Copyrights.
a. Definition. The term "subject data," as used in this Section 1S of this Master Agreement
means recorded information, whether or not copyrighted, that is delivered or specified to be
delivered under the Grant Agreement or Cooperative Agreement for the Project. Examples
include,but are not Iimited to: computer software, standards, specifications, engineering
drawings and associated lists, process sheets, manuals, technical reports, catalog item
identifications, and related information. "Subject data" does not include financial reports, cost
analyses, or similar information used for Project administration.
b. General. The following restrictions apply to all subject data first produced in the
performance of the Grant Agreement or Cooperative Agreement for the Project:
FrA Master Agreement MA(13), 10-1-2006 39
(1) Except for its own internal use, the Recipient may not publish or reproduce subject data
in whole or in part, or in any manner or form, nor may the Recipient authorize others to do so,
without the prior written consent of the Federal Government, unless the Federal Government has
previously released or approved the release of such data to the public.
(2) The restrictions on publication of Subsection l 8.b(1) of this Master Agreement,
however, do not apply to a Grant Agreement or Cooperative Agreement with an institution of
higher learning.
c. Federal Rights in Data and Copyrights. The Recipient agrees to provide to the Federal
Government a royalty-free, non-exclusive and irrevocable license to reproduce, publish, or
otherwise use, and to authorize others to use, for Federal Government purposes the subject data
described in this Subsection 18.c of this Master Agreement. As used herein, "for Federal
Government purposes," means use only for the direct purposes of the Federal Government.
Without the copyright owner's consent, the Federal Government may not provide or otherwise
extend to other parties the Federal Government's license to:
(1) Any subject data developed under the Grant Agreement or Cooperative Agreement for
the Project, or under a subagreement or third party contract supported with Federal assistance
derived from the Grant Agreement or Cooperative Agreement for the Project, whether or not a
copyright has been obtained; and
(2) Any rights of copyright to which a Recipient, subrecipient, or a third party contractor
purchases ownership with Federal assistance.
d. Special Federal Rights in Data for Research Development, Demonstration and Special
Studies Projects. In general, FTA's purpose in providing Federal assistance for a research,
development, demonstration, or special studies Project is to increase transportation knowledge,
rather than limit the benefits of the Project to Project participants. Therefore, except to the extent
that FTA determines otherwise in writing, the Recipient of Federal assistance to support a
research, development, demonstration, or a special studies Project agrees that, in addition to the
rights in data and copyrights that it must provide to the Federal Government as set forth in
Subsection 18.c of this Master Agreement, FTA may make available to any FTA recipient,
subrecipient, third party contractor, or third party subcontractor, either FTA's license in the
copyright to the subject data or a copy of the subject data. If the Project is not completed for any
reason whatsoever, all data developed under the Project shall become subject data as defined in
Subsection 18.a of this Master Agreement and shall be delivered as the Federal Government may
direct. This Subsection 18A, however, does not apply to adaptations of automatic data
processing equipment or programs for the Recipient's use when the costs thereof are financed
with Federal funds for capital Projects.
e. Hold Harmless. Except as prohibited or otherwise limited by State law or except to the
extent that FTA determines otherwise in writing, upon request by the Federal Government, the
Recipient agrees to indemnify, save, and hold harmless the Federal Government and its officers,
agents, and employees acting within the scope of their official duties against any liability,
FTA Master Agreement MA(E3), 10-1-2006 40
including costs and expenses, resulting from any willful or intentional violation by the Recipient
of proprietary rights, copyrights, or right of privacy, arising out of the publication, translation,
reproduction, delivery, use, or disposition of any data furnished under the Project. The Recipient
shall not be required to indemnify the Federal Government for any such liability caused by the
wrongful acts of Federal employees or agents.
f. Restrictions on Access to Patent Rights. Nothing in Section 18 of this Master Agreement
pertaining to rights in data shall either imply a license to the Federal Government under any
patent or be construed to affect the scope of any license or other right otherwise granted to the
Federal Government under any patent.
g. Data Developed Without Federal Funding or Support. In connection with the Project, the
Recipient may find it necessary to provide data to FTA developed without any Federal funding
or support by the Federal Government. The requirements of Subsections 18.b, 18.c, and 18A of
this Master Agreement do not apply to data developed without Federal funding or support, even
though that data may have been used in connection with the Project. Nevertheless, the Recipient
understands and agrees that the Federal Government will not be able to protect data from
unauthorized disclosure unless that data is clearly marked "Proprietary" or "Confidential."
h. Requirements to Release Data. To the extent required by U.S. DOT regulations, "Uniform
Administrative Requirements for Grants and Agreements with Institutions of Higher Education,
Hospitals, and Other Non-Profit Organizations," at 49 C.F.R. § 19.36(d), or subsequent Federal
laws or regulations, the Recipient understands and agrees that the data and information it submits
to the Federal Government may be required to be released in accordance with the provisions of
the Freedom of Information Act (or another Federal law providing access to such records).
Section 19. Use of Real Property, Equipment, and Supplies.
The Recipient understands and agrees that the Federal Government retains a Federal interest in
any real property, equipment, and supplies financed with Federal assistance (Project property)
until, and to the extent, that the Federal Government relinquishes its Federal interest in that
Project property. With respect to any Project property financed with Federal assistance under the
Grant Agreement or Cooperative Agreement, the Recipient agrees to comply with the following
provisions of this Master Agreement, except to the extent FTA determines otherwise in writing:
a. Use of Project Property. The Recipient agrees to maintain continuing control of the use of
Project property to the extent satisfactory to FTA. The Recipient agrees to use Project property
for appropriate Project purposes (which may include joint development purposes that generate
program income, both during and after the award period and used to support public
transportation activities) for the duration of the useful life of that property, as required by FTA.
Should the Recipient unreasonably delay or fail to use Project property during the useful life of
that property, the Recipient agrees that it may be required to return the entire amount of the
Federal assistance expended on that property. The Recipient further agrees to notify FTA
immediately when any Project property is withdrawn from Project use or when any Project
property is used in a manner substantially different from the representations the Recipient has
FTA Master Agreement MA(13), 10-1-2006 1
made in its Application or in the Project Description for the Grant Agreement or Cooperative
Agreement for the Project.
b. General. A Recipient that is a State, local, or Indian tribal government agrees to comply with
the property management standards of 49 C.F.R. §§ 18.31 through 18.34, including any
amendments thereto, and with other applicable Federal regulations and directives. A Recipient
that is an institution of higher education or private nonprofit entity, agrees to comply with the
property management standards of 49 C.F.R. §§ 19.30 through 19.37, including any amendments
thereto, and with other applicable Federal regulations and directives. Any exception to the
requirements of 49 C.F.R. §§ 18.31 through 18.34, or the requirements of 49 C.F.R. §§ 19.30
through 19.37, requires the express approval of the Federal Government in writing. A Recipient
that is a for-profit entity agrees to comply with property management standards satisfactory to
FTA. The Recipient also agrees to comply with PTA's reimbursement requirements for
premature dispositions of certain Project equipment, as set forth in Subsection 19.g of this
Master Agreement.
c. Maintenance. The Recipient agrees to maintain Project property in good operating order, in
compliance with any applicable Federal regulations or directives that may be issued, except to
the extent that FTA determines otherwise in writing.
d. Records. The Recipient agrees to keep satisfactory records pertaining to the use of Project
property, and submit to FTA upon request such information as may be required to assure
compliance with this Section 19 of this Master Agreement.
e. Incidental Use. The Recipient agrees that:
(1) General. Any incidental use of Project property will not exceed that permitted under
applicable Federal laws, regulations, and directives.
(2) Alternative Fueling Facilities. In accordance with 49 U.S.C. § 5323(p), any incidental
use of its federally financed alternative fueling facilities and equipment by nontransit public
entities and private entities will be permitted, only if:
(a)The incidental use does not interfere with the Recipient's Project or public
transportation operations;
(b) The Recipient fully recaptures all costs related to the incidental use from the
nontransit public entity or private entity;
(c) The Recipient uses revenues received from the incidental use in excess of costs for
planning, capital, and operating expenses that are incurred in providing public transportation; and
(d) Private entities pay all applicable excise taxes on fuel.
f. Encumbrance of Project Property. Unless FTA approves otherwise in writing, the Recipient
agrees to maintain satisfactory continuing control of Project property as follows:
FTA Master Agreement MA(13), 10-1-2006 42
(1) Written Transactions. Absent the express consent of the Federal Government, the
Recipient agrees that it will not execute any transfer of title, lease, lien, pledge, mortgage,
encumbrance, third party contract, subagreement, grant anticipation note, alienation, innovative
finance arrangement (such as a cross border lease, leveraged lease, or otherwise), or any other
obligation pertaining to Project property, that in any way would affect the continuing Federal
interest in that Project property.
(2) Oral Transactions. Absent the express consent of the Federal Government, the Recipient
agrees that it will not obligate itself to any third party with respect to Project property in any
manner that would adversely affect the continuing Federal interest in any Project property.
(3) Other Actions. The Recipient agrees that it will not take any action that would either
adversely affect the Federal interest or adversely impair the Recipient's continuing control of the
use of Project property.
g. Transfer of Project Property. The Recipient understands and agrees as follows:
(1) Recipient Request,. The Recipient may transfer any Project property financed with
Federal assistance authorized under 49 U.S.C. chapter 53 to a local governmental authority to be
used for any public purpose with no further obligation to the Federal Government, provided the
transfer is approved by the Federal Transit Administrator and conforms with the requirements of
49 U.S.C. §§ 5334(h)(1) through 5334(h)(3).
(2) Federal Government Direction. The Recipient agrees that the Federal Government may
direct the disposition of, and even require the Recipient to transfer title to, any Project property
financed with Federal assistance awarded for the Grant Agreement or Cooperative Agreement.
(3) Leasing Project Property to Another Party. Unless FTA has determined or determines
otherwise in writing, if the Recipient leases any Project property to another party, the Recipient
agrees to retain ownership of the leased Project property, and assures that the lessee will use the
Project property appropriately, either through a written lease between the Recipient and lessee,
or another similar document. Upon request by FTA, the Recipient agrees to provide a copy of
any relevant documents.
h. Disposition of Project Property. With prior FTA approval, the Recipient may sell, transfer,
or lease Project property and use the proceeds to reduce the gross project cost of other eligible
capital public transportation projects to the extent permitted by 49 U.S.C. § 5334(h)(4). The
Recipient also agrees that FTA may establish the useful life of Project property, and that it will
use Project property continuously and appropriately throughout the useful life of that property.
(1) Project Property Whose Useful Life Has Expired. When the useful life of Project
property has expired, the Recipient agrees to comply with ETA's disposition requirements.
(2) Protect Property Prematurely Withdrawn from Use. For Project property withdrawn
from appropriate use before its useful life has expired, the Recipient agrees as follows:
FTA Master Agreement MA(13), 10-1-2006 43
(a) Notification Requirement. The Recipient agrees to notify FTA immediately when
any Project property is prematurely withdrawn from appropriate use, whether by planned
withdrawal, misuse, or casualty loss.
(b) Calculating the Fair Market Value of Prematurely Withdrawn Project Property.
The Recipient agrees that the Federal Government retains a Federal interest in the fair market
value of Project property prematurely withdrawn from appropriate use. The amount of the
Federal interest in the Project property shall be determined on the basis of the ratio of the Federal
assistance made available for the property to the actual cost of the property. The Recipient
agrees that the fair market value of Project property prematurely withdrawn from use will be
calculated as follows:
1. Equipment and Supplies. Unless otherwise determined in writing by FTA, the
Recipient agrees that the fair market value of Project equipment and supplies shall be calculated
by straight-line depreciation of that property, based on the useful life of the equipment or
supplies as established or approved by FTA. The fair market value of Project equipment and
supplies shall be the value immediately before the occurrence prompting the withdrawal of the
equipment or supplies from appropriate use. In the case of Project equipment or supplies lost or
damaged by fire, casualty, or natural disaster, the fair market value shall be calculated on the
basis of the condition of the equipment or supplies immediately before the fire, casualty, or
natural disaster, irrespective of the extent of insurance coverage. As authorized by 49 C.F.R.
§ 18.32(b), a State may use its own disposition procedures, provided that those procedures
comply with the laws of that State.
2. Real Propert y. The Recipient agrees that the fair market value of real property
financed under the Project shall be determined by FTA either on the basis of competent appraisal
based on an appropriate date approved by FTA, as provided by 49 C.F.R. Part 24, by straight line
depreciation of improvements to real property coupled with the value of the Iand as determined
by FTA on the basis of appraisal, or other Federal law or regulations that may be applicable.
3. Exceptional Circumstances. The Recipient agrees that the Federal Government
may require the use of another method to determine the fair market value of withdrawn Project
property. In unusual circumstances, the Recipient may request that another reasonable valuation
method be used including, but not limited to, accelerated depreciation, comparable sales, or
established market values. In determining whether to approve such a request, the Federal
Government may consider any action taken, omission made, or unfortunate occurrence suffered
by the Recipient pertaining to the preservation of Project property no longer used for appropriate
purposes.
(c) Financial Obligations to the Federal Government. Unless otherwise approved in
writing by the Federal Government, the Recipient agrees to remit to the Federal Government the
Federal interest in the fair market value of any Project property prematurely withdrawn from
appropriate use. In the case of fire, casualty, or natural disaster, the Recipient may fulfill its
obligations to remit the Federal interest by either:
FTA Master Agreement MA(13), 10-1-2006 44
1. Investing an amount equal to the remaining Federal interest in like-kind property
that is eligible for assistance within the scope of the Project that provided Federal assistance for
the property that has been prematurely withdrawn from use; or
2. Returning to the Federal Government an amount equal to the remaining Federal
interest in the withdrawn Project property.
i. Insurance Proceeds. If the Recipient receives insurance proceeds as a result of damage or
destruction to the Project property, the Recipient agrees to:
(1) Apply those insurance proceeds to the cost of replacing the damaged or destroyed
Project property taken out of service, or
(2) Return to the Federal Government an amount equal to the remaining Federal interest in
the damaged or destroyed Project property.
J. Transportation - Hazardous Materials. The Recipient agrees to comply with applicable
requirements of U.S. Pipeline and Hazardous Materials Safety Administration regulations,
"Shippers - General Requirements for Shipments and Packagings," 49 C.F.R. Part 173, in
connection with the transportation of any hazardous materials.
k. Misused or Damaged Project Propert y. If any damage to Project property results from abuse
or misuse occurring with the Recipient's knowledge and consent, the Recipient agrees to restore
the Project property to its original condition or refund the value of the Federal interest in that
property, as the Federal Government may require.
1. Responsibilities After Project Closeout. The Recipient agrees that Project closeout will not
change the Recipient's Project property management responsibilities as stated in Section 19 of
this Master Agreement, and as may be set forth in subsequent Federal laws, regulations, and
directives, except to the extent the Federal Government determines otherwise in writing.
Section 20. Insurance.
In addition to other insurance requirements that may apply, the Recipient agrees as follows:
a. Minimum Requirements. At a minimum, the Recipient agrees to comply with the insurance
requirements normally imposed by its State and local laws, regulations, and ordinances, except to
the extent that the Federal Government determines otherwise in writing.
b. Flood Hazards. To the extent applicable, the Recipient agrees to comply with the flood
insurance purchase provisions of section 102(a) of the Flood Disaster Protection Act of 1973,
42 U.S.C. § 4012a(a), with respect to any Project activity involving construction or an
acquisition having an insurable cost of$10,000 or more.
FFA Master Agreement MA(13), 10-1-2006 45
Section 21. Relocation.
When relocation of individuals or businesses is required, the Recipient agrees as follows:
a. Relocation Protections. The Recipient agrees to comply with 49 U.S.C. § 5324(a), which
requires compliance with the Uniform Relocation Assistance and Real Property Acquisition
Policies Act of 1970, as amended, 42 U.S.C. §§ 4601 et seq.; and U.S. DOT regulations,
"Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally
Assisted Programs," 49 C.F.R. Part 24, which provide for fair and equitable treatment of persons
displaced and persons whose property is acquired as a result of Federal and federally assisted
programs. [See, new U.S. DOT final rule, "Uniform Relocation Assistance and Real Property
Acquisition for Federal and Federally Assisted Programs," 49 C.F.R. Part 24, at 70 Fed. Reg.
590 et seq., January 4, 2005.] These requirements apply to relocation in connection with all
interests in real property acquired for the Project regardless of Federal participation in the costs
of that real property.
b. Nondiscrimination in Housing. In carrying out its responsibilities to provide housing that
may be required for compliance with Federal relocation requirements for individuals, the
Recipient agrees to comply with Title VIII of the Civil Rights Act of 1968, as amended,
42 U.S.C. §§ 3601 et seq., and with Executive Order No. 12892, "Leadership and Coordination
of Fair Housing in Federal Programs: Affirmatively Furthering Fair Housing," 42 U.S.C. § 3608
note.
c. Prohibition Against Use of Lead-Based Paint. In undertaking construction or rehabilitation
of residential structures on behalf of individuals affected by real property acquisition in
connection with the Project, the Recipient agrees that it will not use lead-based paint, consistent
with the prohibitions of section 401(b) of the Lead-Based Paint Poisoning Prevention Act,
42 U.S.C. § 4831(b), and the provisions of U.S. Housing and Urban Development regulations,
"Lead-based Paint Poisoning in Certain Residential Structures," 42 C.F.R. Part 35.1.
Section 22. Real Property.
For real property acquired with Federal assistance, the Recipient agrees as follows:
a. Land Acquisition. The Recipient agrees to comply with 49 U.S.C. § 5324(a), which requires
compliance with the Uniform Relocation Assistance and Real Property Acquisition Policies Act
of 1970, as amended, 42 U.S.C. §§ 4601 et seq.; and with U.S. DOT regulations, "Uniform
Relocation Assistance and Real Property Acquisition for Federal and Federally Assisted
Programs," 49 C.F_R. Part 24. These requirements apply to all interests in real property acquired
for Project purposes regardless of Federal participation in the cost of that real property.
b. Covenant Assuring Nondiscrimination. The Recipient agrees to include a covenant in the
title of the real property acquired for the Project to assure nondiscrimination during the useful
life of the Project.
PTA Master Agreement MA(13), 10-1-2006 46
c. Recording Title to Real Property. To the extent required by FTA, the Recipient agrees to
record the Federal interest in title to real property used in connection with the Project.
d. FTA Approval of Chafes in Real Property Ownership. The Recipient agrees that it will not
dispose of, modify the use of, or change the terms of the real property title of, or any other
interest in the site and facilities used in the Project without permission and instructions from
FTA.
Section 23. Construction.
Except to the extent the Federal Government determines otherwise in writing, the Recipient
agrees as follows:
a. Drafting, Review, and Approval of Construction Plans and Specifications. The Recipient
agrees to comply with FTA requests pertaining to the drafting, review, and approval of
construction plans and specifications.
b. Supervision of Construction. The Recipient agrees to provide and maintain competent and
adequate engineering supervision at the construction site to ensure that the completed work
conforms to the approved plans and specifications.
c. Construction Reports. The Recipient agrees to provide progress reports and other data and
information as may be required by FTA or the State in which the construction takes place.
d. Project Management for Major Capital Projects. To the extent applicable, the Recipient
agrees to comply with FTA regulations, "Project Management Oversight," 49 C.F.R. Part 633,
and any subsequent Project Management Oversight regulations FTA may issue.
e. Seismic Safety. The Recipient agrees to comply with the Earthquake Hazards Reduction Act
of 1977, as amended, 42 U.S.C. §§ 7701 et seq., with Executive Order No. 12699, "Seismic
Safety of Federal and Federally-Assisted or Regulated New Building Construction," 42 U.S.C.
§ 7704 note, and with U.S. DOT regulations, "Seismic Safety," 49 C.F.R. Part 41 (specifically,
49 C.F.R. § 41.117).
Section 24. Employee Protections.
a. Construction Activities. The Recipient agrees to comply, and assures the compliance of each
third party contractor and each subrecipient at any tier of the Project, with the following laws and
regulations providing protections for construction employees:
(1) Davis-Bacon Act, as amended, 40 U.S.C. §§ 3141 et.seq., pursuant to FTA enabling
legislation requiring compliance with the Davis-Bacon Act at 49 U.S.C. § 5333(a), and
implementing U.S. DOL regulations, "Labor Standards Provisions Applicable to Contracts
Governing Federally Financed and Assisted Construction (also Labor Standards Provisions
FTA Master Agreement MA(13), 10-1-2406 47
Applicable to Nonconstruction Contracts Subject to the Contract Work Hours and Safety
Standards Act)," 29 C.F.R. Part 5;
(2) Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. §§ 3701 et seq.,
specifically, the wage and hour requirements of section 102 of that Act at 40 U.S.C. § 3702, and
implementing U.S. DOL regulations, "Labor Standards Provisions Applicable to Contracts
Governing Federally Financed and Assisted Construction (also Labor Standards Provisions
Applicable to Nonconstruction Contracts Subject to the Contract Work Hours and Safety
Standards Act)," 29 C.F.R. Part 5; and the safety requirements of section 107 of that Act at
40 U.S.C. § 3704, and implementing U.S. DOL regulations, "Safety and Health Regulations for
Construction," 29 C.F.R. Part 1926; and
(3) Copeland "Anti-Kickback" Act, as amended, 18 U.S.C. § 874, and implementing
U.S. DOL regulations, "Contractors and Subcontractors on Public Building or Public Work
Financed in Whole or in part by Loans or Grants from the United States," 29 C.F.R. Part 3.
b. Activities Not Involving Construction. The Recipient agrees to comply, and assures the
compliance of each third party contractor and each subrecipient at any tier of the Project, with
the employee protection requirements for nonconstruction employees of the Contract Work
Hours and Safety Standards Act, as amended,40 U.S.C. §§ 3701 et seq., in particular with the
wage and hour requirements of section 102 of that Act at 40 U.S.C. § 3702, and with U.S. DOL
regulations, "Labor Standards Provisions Applicable to Contracts Governing Federally Financed
and Assisted Construction (also Labor Standards Provisions Applicable to Nonconstruction
Contracts Subject to the Contract Work Hours and Safety Standards Act)," 29 C.F.R. Part 5.
c. Activities Involving Commerce. The Recipient agrees that the Fair Labor Standards Act,
29 U.S.C. §§ 201 et seq., applies to employees performing Project work involving commerce.
d. Public Transportation Employee Protective Arrangements. If the Grant Agreement or
Cooperative Agreement for the Project indicates that public transportation employee protective
arrangements required by U.S. DOL apply to public transportation operations performed in
connection with the Project, the Recipient agrees to comply with the applicable requirements for
its Project as follows:
(1) Standard Public Transportation Employee Protective Arrangements. To the extent that
the Project involves public transportation operations and as required by Federal law, the
Recipient agrees to implement the Project in accordance with the terms and conditions that the
U.S. Secretary of Labor has determined to be fair and equitable to protect the interests of any
employees affected by the Project and that comply with the requirements of 49 U.S.C. § 5333(b),
and with the U.S. DOL guidelines, "Section 5333(b),Federal Transit Law," 29 C.F.R. Part 215
and any amendments thereto. These terms and conditions are identified in U.S. DOL's
certification of public transportation employee protective arrangements to FTA, the date of
which appears in the Grant Agreement or Cooperative Agreement for the Project. The Recipient
agrees to implement the Project in accordance with the conditions stated in that U.S. DOL
certification. That certification and any documents cited therein are incorporated by reference
and made part of the Grant Agreement or Cooperative Agreement for the Project. The
FTA Master Agreement MA(t 3), 10-1-2006 48
requirements of this Subsection 24.d(l) of this Master Agreement do'not apply to Projects for
elderly individuals or individuals with disabilities that are authorized by 49 U.S.C. § 5310(a)(2)
or subsection 3012(b) of SAFETEA-LU, or to Projects for nonurbanized areas authorized by
49 U.S.C. § 5311; separate requirements for those Projects are contained in Subsections 24.d(2)
and (3), respectively, of this Master Agreement.
(2) Public Transportation_Employee Protective-Arrangements for Elderly Individuals and
Individuals with Disabilities for the Elderly Individuals and Individuals with Disabilities
Formula_Program and Pilot Program. To the extent that the U.S. Secretary of Transportation has
determined or determines in the future that employee protective arrangements required by
49 U.S.C. § 5333(b) are necessary or appropriate for a governmental authority subrecipient
participating a Project authorized by 49 U.S.C. § 5310(b)(2) or subsection 3012(b) of
SAFETEA-LU, 49 U.S.C. § 5310 note, the Recipient agrees to carry out the Project in
compliance with the terms and conditions determined by the U.S. Secretary of Labor necessary
to comply with the requirements of 49 U.S.C. § 5333(b), and the U.S. DOL guidelines, "Section
5333(b), Federal Transit Law," at 29 C.F.R. Part 215, and any amendments thereto. These terms
and conditions are identified in the U.S. DOL's certification of public transportation employee
protective arrangements to FTA, the date of which appears in the Grant Agreement. The
Recipient agrees to implement the Project in compliance with the conditions stated in that
U.S. DOL certification. That U.S. DOL certification and any documents cited therein are
incorporated by reference and made part of the Grant Agreement.
(3) Public Transportation Em to ee Protective Arrangements for Projects in Nonurbanized
Areas Authorized by 49 U.S.C. § 5311. The Recipient agrees to comply with the terms and
conditions of the Special Warranty for the Nonurbanized Area Program agreed to by the
U.S. Secretaries of Transportation and Labor, dated May 31, 1979, U.S. DOL implementing
procedures, and any revisions thereto.
Section 25. Environmental Protections.
The Recipient recognizes that many Federal and State laws imposing environmental and resource
conservation requirements may apply to the Project. Some, but not all, of the major Federal laws
that may affect the Project include: the National Environmental Policy Act of 1969, as amended,
42 U.S.C. §§4321 through 4335; the Clean Air Act, as amended,42 U.S.C. §§ 7401 through
7671q and scattered sections of Title 29, United States Code; the Clean Water Act, as amended,
33 U.S.C. §§ 1251 through 1377; the Resource Conservation and Recovery Act, as amended,
42 U.S.C. §§ 6901 through 6992k; the Comprehensive Environmental Response, Compensation,
and Liability Act, as amended,42 U.S.C. §§ 9601 through 9675, as well as environmental
provisions within Title 23, United States Code, and 49 U_S.C. chapter 53. The Recipient also
recognizes that U.S. EPA, FHWA and other Federal agencies have issued, and in the future are
expected to issue, Federal regulations and directives that may affect the Project. Thus, the
Recipient agrees to comply, and assures the compliance of each subrecipient and each third party
contractor, with any applicable Federal laws, regulations and directives as the Federal
Government are in effect now or become effective in the future, except to the extent the Federal
Government determines otherwise in writing. Listed below are environmental provisions of
FTA Master Agreement MA(13), 10-1-2006 49
particular concern to FTA and the Recipient. The Recipient understands and agrees that those
laws, regulations, and directives may not constitute the Recipient's entire obligation to meet all
Federal environmental and resource conservation requirements.
a. National Environmental Policy. Federal assistance is contingent upon the Recipient's
facilitating FTA's compliance with all applicable requirements and implementing regulations of
the National Environmental Policy Act of 1969, as amended, (NEPA)42 U.S.C. §§ 4321 through
4335 (as restricted by 42 U.S.C. § 5159, if applicable); Executive Order No. 11514, as amended,
"Protection and Enhancement of Environmental Quality," 42 U.S.C. §4321 note; FTA statutory
requirements at 49 U.S.C. § 5324(b); U.S. Council on Environmental Quality regulations
pertaining to compliance with NEPA, 40 C.F.R. Parts 1500 through 1508; and joint FHWA/FTA
regulations, "Environmental Impact and Related Procedures," 23 C.F.R. Part 771 and 49 C.F.R.
Part 622, and subsequent Federal environmental protection regulations that may be promulgated.
As a result of enactment of 23 U.S.C. §§ 139 and 326 as well as to amendments to 23 U.S.C.
§ 138, environmental decisionmaking requirements imposed on FTA projects to be implemented
consistent with the joint FHWA/FTA document, "Interim Guidance for Implementing Key
SAFETEA--LU Provisions on Planning, Environment, and Air Quality for Joint FHWA/FTA
Authorities," dated September 2, 2005, and any subsequent applicable Federal directives that
may be issued, except to the extent that FTA determines otherwise in writing.
b. Air Quality. Except to the extent the Federal Government determines otherwise in writing,
the Recipient agrees to comply with all applicable Federal laws, regulations, and directives
implementing the Clean Air Act, as amended, 42 U.S.C. §§ 7401 through 7671q. In addition:
(1) The Recipient agrees to comply with the applicable requirements of section 176(c) of the
Clean Air Act, 42 U.S.C. § 7506(c), consistent with the joint FHWA/FTA document, "Interim
Guidance for Implementing Key SAFETEA-LU Provisions on Planning, Environment, and Air
Quality for Joint FHWA/FTA Authorities," dated September 2, 2005, and any subsequent
applicable Federal directives that may he issued; with U.S. EPA regulations, "Conformity to
State or Federal Implementation Plans of Transportation Plans, Programs, and Projects
Developed, Funded or Approved Under Title 23 US.C. or the Federal Transit Act," 40 C.F.R.
Part 51, Subpart T; and "Determining Conformity of Federal Actions to State or Federal
Implementation Plans," 40 C.F.R. Part 93, and any subsequent Federal conformity regulations
that may be promulgated. To support the requisite air quality conformity finding for the Project,
the Recipient agrees to implement each air quality mitigation or control measure incorporated in
the Project. The Recipient further agrees that any Project identified in an applicable State
Implementation Plan (SIP) as a Transportation Control Measure will be wholly consistent with
the design concept and scope of the Project described in the SIP.
(2) U.S. EPA also imposes requirements implementing the Clean Air Act, as amended,
which may apply to public transportation operators, particularly operators of Iarge public
transportation bus fleets. Accordingly,the Recipient agrees to comply with the following
U.S. EPA regulations to the extent they apply to the Project: "Control of Air Pollution from
Mobile Sources,"40 C.F.R. Part 85; "Control of Air Pollution from New and In-Use Motor
Vehicles and New and In-Use Motor Vehicle Engines," 40 C.F.R. Part 86; and "Fuel Economy
of Motor Vehicles," 40 C.F.R. Part 600.
FFA Master Agreement MA(13), 10-1-2006 50
(3) The Recipient agrees to comply with the notice of violating facility provisions of
Section 306 of the Clean Air Act, as amended,42 U.S.C. § 7414, and facilitate compliance with
Executive Order No. 1 ]738, "Administration of the Clean Air Act and the Federal Water
Pollution Control Act with Respect to Federal Contracts, Grants, or Loans," 42 U.S.C. § 7606
note.
c. Clean Water. Except to the extent the Federal Government determines otherwise in writing,
the Recipient agrees to comply with all applicable Federal regulations and directives issued
pursuant to the Clean Water Act, as amended, 33 U.S.C. §§ 1251 through 1377. Specifically:
(1) The Recipient agrees to protect underground sources of drinking water consistent with
the provisions of the Safe Drinking Water Act of 1974, as amended,42 U.S.C. §§ 300f through
300j-6.
(2) The Recipient agrees to comply with the notice of violating facility provisions of
Section 508 of the Clean Water Act, as amended, 33 U.S.C. § 1368, and facilitate compliance
with Executive Order No. 11738, "Administration of the Clean Air Act and the Federal Water
Pollution Control Act with Respect to Federal Contracts, Grants, or Loans," 42 U.S.C. § 7606
note.
d. Use of Public Lands. The Recipient agrees that in implementing its Project, it will not use
any publicly owned land from a park, recreation area, or wildlife or waterfowl refuge of national,
State,or local significance as determined by the Federal, State, or local officials having
jurisdiction thereof, and it will not use any land from a historic site of national, state, or local
significance,unless the Federal Government makes the findings required by 49 U.S.C. §§ 303(b)
and 303(c). The Recipient also agrees to comply with joint FHWA/FTA regulations, "Parks,
Recreation Areas, Wildlife and Waterfowl Refuges, and Historic Sites," 23 C.F.R. Parts 771 and
774, and 49 C.F.R. Part 622, when promulgated.
e. Wild and Scenic Rivers. The Recipient agrees to comply with applicable provisions of the
Wild and Scenic Rivers Act of 1968, as amended, 16 U.S.C. §§ 1271 through 1287, relating to
protecting components of the national wild and scenic rivers system; and to the extent applicable,
with U.S. Forest Service regulations, "Wild and Scenic Rivers," 36 C.F.R. Part 297, and with
U.S. Bureau of Land Management regulations, "Management Areas,"43 C.F.R. Part 8350.
f. Coastal Zone Management. The Recipient agrees to assure Project consistency with the
approved State management program developed under the Coastal Zone Management Act
of 1972, as amended, 16 U.S.C. §§ 1451 through 1465.
g. Wetlands. The Recipient agrees to facilitate compliance with the protections for wetlands of
Executive Order No. 1 1990, as amended, "Protection of Wetlands," at 42 U.S.C. § 4321 note.
h. Floodplains. The Recipient agrees to facilitate compliance with the flood hazards protections
in floodplains in accordance with Executive Order No. 11988, as amended, "Floodplain
Management," 42 U.S.C. § 4321 note.
FTA Master Agreement MA(13), 10-1-2006 51
i. Endangered Species and Fisheries Conservation. The Recipient agrees to comply with
protections for endangered species of the Endangered Species Act of 1973, as amended,
16 U.S.C. §§ 1531 through 1544, and the Magnuson Stevens Fisheries Conservation Act, as
amended, 16 U.S.C. §§ 1801 et seq.
j. Historic Preservation. The Recipient agrees to encourage compliance with the Federal
historic and archaeological preservation requirements of section 106 of the National Historic
Preservation Act, as amended, 16 U.S.C. § 470f; Executive Order No. 11593, "Protection and
Enhancement of the Cultural Environment," 16 U.S.C. § 470 note; and the Archaeological and
Historic Preservation Act of 1974, as amended, 16 U.S.C. §§ 469a through 469c, as follows:
(1) In accordance with U.S. Advisory Council on Historic Preservation regulations,
"Protection of Historic and Cultural Properties," 36 C.F.R. Part 800, the Recipient agrees to
consult with the State Historic Preservation Officer concerning investigations to identify
properties and resources included in or eligible for inclusion in the National Register of Historic
Places that may be affected by the Project, and agrees to notify FTA of those properties that are
affected.
(2) The Recipient agrees to comply with all applicable Federal regulations and directives to
avoid or mitigate adverse effects on those historic properties, except to the extent the Federal
Government determines otherwise in writing.
k. Indian Sacred Sites. The Recipient agrees to facilitate compliance with the preservation of
places and objects of religious importance to American Indians, Eskimos, Aleuts, and Native
Hawaiians, in accordance with the American Indian Religious Freedom Act, 42 U.S.C. § 1996,
and with Executive Order No_ 13007, "Indian Sacred Sites,"42 U.S.C. § 1996 note, except to the
extent that the Federal Government determines otherwise in writing.
1. Mitigation of Adverse Environmental Effects. Should the proposed Project cause or result in
adverse environmental effects, the Recipient agrees to take all reasonable measures to minimize
the impact of those adverse effects, as required by 49 U.S.C. § 5324(b), and other applicable
Federal laws and regulations, including 23 C.F.R. Part 771 and 49 C.F.R. Part 622. The
Recipient agrees to comply with all environmental mitigation measures that may be identified as
commitments in applicable environmental documents, (i.e., environmental assessments,
environmental impact statements, memoranda of agreement, and other documents as required by
49 U.S.C. § 303) and agrees to comply with any conditions the Federal Government might
impose in a finding of no significant impact or record of decision. The Recipient agrees that
those environmental mitigation measures are incorporated by reference and made part of the
Grant Agreement or Cooperative Agreement for the Project. The Recipient also agrees that any
deferred mitigation measures will be incorporated by reference and made part of the Grant
Agreement or Cooperative Agreement for the Project as soon as agreement with the Federal
Government is reached. The Recipient agrees that those mitigation measures agreed upon may
not be modified or withdrawn without the express written approval of the Federal Government.
FrA Master AoreementMA(I3), 30-1-2006 52
Section 26. Energy Conservation.
The Recipient agrees to comply with applicable mandatory energy efficiency standards and
policies of applicable State energy conservation plans issued in accordance with the Energy
Policy and Conservation Act, as amended,42 U.S.C. §§ 6321 et seq., except to the extent that the
Federal Government determines otherwise in writing. To the extent applicable, the Recipient
agrees to perform an energy assessment for any building constructed, reconstructed, or modified
with F17A assistance, as provided in FTA regulations, "Requirements for Energy Assessments,"
49 C.F.R. Part 622, Subpart C.
Section 27. State Management and Monitoring Systems.
The Recipient agrees to comply with joint FHWA/FTA regulations, "Management and
Monitoring Systems," 23 C.F.R. Parts 500, Parts A and B, and FTA regulations, "Transportation
Infrastructure Management," 49 C.F.R. Part 614, to the extent applicable.
Section 28. Charter Service Operations.
The Recipient agrees that neither it nor any public transportation operator performing work in
connection with a Project financed under 49 U.S.C. chapter 53 or under 23 U.S.C. §§ 133 or 142
will engage in charter service operations, except as authorized by 49 U.S.C. § 5323(d) and FTA
regulations, "Charter Service," 49 C.F.R. Part 604, and any subsequent Charter Service
regulations or FTA directives that may be issued, except to the extent that FTA determines
otherwise in writing. Any charter service agreement required by FTA regulations is incorporated
by reference and made part of the Grant Agreement or Cooperative Agreement for the Project.
The Recipient understands and agrees that in addition to any remedy specified in the charter
service agreement, if a pattern of violations of that agreement is found, the violator will be barred
from receiving Federal transit assistance in an amount to be determined by FTA or U.S. DOT.
Section 29. School Transportation Operations.
The Recipient agrees that neither it nor any public transportation operator performing work in
connection with a Project financed under 49 U.S.C. chapter 53, or under 23 U.S.C. §§ 133 or 142
will engage in school transportation operations for the transportation of students or school
personnel exclusively in competition with private school transportation operators, except as
authorized by 49 U.S.C. §§ 5323(f) or(g), as applicable, and FTA regulations, "School Bus
Operations," 49 C.F.R. Part 605, and any subsequent School Transportation Operations
regulations or FTA directives that may be issued, except to the extent that FTA determines
otherwise in writing. Any school transportation operations agreement required by FTA
regulations is incorporated by reference and made part of the Grant Agreement or Cooperative
Agreement for the Project. The Recipient understands and agrees that if it or an operator violates
that school transportation operations agreement, the violator will be barred from receiving
Federal transit assistance in an amount to be determined by FTA or U.S. DOT.
FTA Master Agreement MA(13), 10-1-2006 53
Section 30. Metric System.
To the extent U.S. DOT or FTA directs, the Recipient agrees to use the metric system of
measurement in its Project activities, in accordance with the Metric Conversion Act, as amended
by the Omnibus Trade and Competitiveness Act, 15 U.S.C. §§ 205a et seq.; Executive Order
No. 12770, "Metric Usage in Federal Government Programs," 15 U.S.C. § 205a note; and
U.S. DOT or F17A regulations and directives. As practicable and feasible, the Recipient agrees
to accept products and services with dimensions expressed in the metric system of measurement.
Section 31. Geographic Information and Related Spatial Data.
In accordance with U.S. OMB Circular A-16, "Coordination of Geographic Information and
Related Spatial Data Activities," August 19, 2002, the Recipient agrees to implement its Project
so that any activities involving spatial data and geographic information systems activities
financed directly or indirectly, in whole or in part, by Federal assistance, consistent with the
National Spatial Data Infrastructure promulgated by the Federal Geographic Data Committee,
except to the extent that FTA determines otherwise in writing.
Section 32. Substance Abuse.
To the extent applicable, the Recipient agrees to comply with the following Federal regulations:
a. Drug-Free Workplace. U.S. DOT regulations, "Governmentwide Requirements for
Drug-Free Workplace (Financial Assistance)," 49 C.F_R. Part 32, that implement the Drug-Free
Workplace Act of 1988, 41 U.S.C. §§ 701 et seq.
b. Alcohol Misuse and Prohibited Drug Use. FTA regulations, "Prevention of Alcohol Misuse
and Prohibited Drug Use in Transit Operations,"49 C.F.R. Part 655, that implement 49 U.S.C.
§ 5331.
Section 33. Motor Carrier Safety
To the extent applicable, the Recipient agrees to comply with, and assures the compliance of its
subrecipients, lessees, and third party contractors with, applicable provisions of the following
regulations promulgated by the U.S. Federal Motor Carrier Safety Administration
(U.S. FMCSA):
a. Financial Responsibility. The Recipient agrees as follows:
(1) To the extent that the Recipient is engaged in interstate commerce and not within a
defined commercial zone, the Recipient agrees to comply with U.S. FMCSA regulations,
FTA Master Agreement MA(13), 10-1-2(x)6 54
"Minimum Levels of Financial Responsibility for Motor Carriers,"49 U.S.C. Part 387, dealing
with economic registration and insurance requirements. For Recipients of Federal assistance
under 49 U.S.C. §§ 5307, 53I0, or 5311, 49 C.F.R. Part 387 is modified by 49 U.S.C.
§ 31138(e)(4) which reduces the amount of insurance required of such Recipients to the highest
amount of any state in which the transit provider operates.
(2). To the extent that the Recipient is engaged in interstate commerce and not within a
defined commercial zone and is not a unit of government (defined as Federal Government, a
state, any political subdivision of a state or any agency established under a compact between
states), the Recipient agrees to comply with U.S. FMCSA regulations, Subpart B, "Federal
Motor Carrier Safety Regulations," at 49 CFR Parts 390 through 396.
b. Driver Qualifications. The Recipient agrees to comply with U.S. FMCSA's regulations,
"Commercial Driver's License Standards, Requirements, and Penalties," 49 C.F.R. Part 383.
c. Substance Abuse Rules for Motor Carriers. The Recipient agrees to comply with
U.S. FMCSA's regulations, "Drug and Alcohol Use and Testing Requirements,"49 C.F.R.
Part 382, which apply to transit providers that operate a commercial motor vehicle that has a
gross vehicle weight rating over 26,000 pounds or is designed to transport sixteen (16) or more
passengers, including the driver.
Section 34. State Safety Oversight of Rail Fixed Guideway Public Systems.
To the extent applicable, the Recipient agrees to comply with 49 U.S.C. § 5330, with FTA
regulations, "Rail Fixed Guideway Systems; State Safety Oversight,"49 C.F.R. Part 659, and
any Federal directives that may be issued to implement 49 U.S.C. § 5330, and any subsequent
amendment or revision thereto.
Section 35. Seat Belt Use.
In accordance with Executive Order No. 13043, "Increasing Seat Belt Use in the United States,"
April 16, 1997, 23 U.S.C. § 402 note, the Recipient is encouraged to adopt and promote
on-the-job seat belt use policies and programs for its employees and other personnel that operate
company-owned, rented, or personally operated vehicles, and to include this provision in any
third party contracts, third party subcontracts, or subagreements involving the Project.
Section 36. Protection of Sensitive Security Information.
To the extent applicable, the Recipient agrees to comply with 49 U.S.C. § 40119(b) and
implementing U.S. DOT regulations, "Protection of Sensitive Security Information,"49 C.F.R.
Part 15, and with 49 U.S.C. § l 14(s) and implementing U.S. Department of Homeland Security,
Transportation Security Administration regulations, "Protection of Sensitive Security
Information,"49 C.F.R. Part 1520.
FIFA Master Agreement MA(13), 10-1-2006 55
Section 37. Special Notification Requirements for States.
To the extent required by Federal law, the State agrees that, in administering any Federal
assistance Program or Project supported by the underlying Grant Agreement or Cooperative
Agreement, any request for proposals, solicitation, grant application, form, notification, press
release, or other publication involving the distribution of Federal assistance for the Program or
the Project shall indicate that FTA is the Federal agency that is providing the Federal assistance,
the Catalog of Federal Domestic Assistance Number of the program from which the Federal
assistance is authorized, as applicable, and the amount provided.
Section 38. Special Provisions for the Urbanized Area Formula Program.
The Recipient agrees that the following provisions apply to Urbanized Area Formula Program
assistance authorized under 49 U.S.C. § 5307, and agrees to comply with the requirements
thereof, except to the extent that FTA determines otherwise in writing:
a. Fares and Services. Before increasing fares or instituting a major reduction of service, the
Recipient agrees to use its established administrative process to solicit and consider public
comment.
b. Audit Requirements. The Recipient agrees that the Federal Government may conduct, or
may require the Recipient to engage an independent entity to conduct, annual or more frequent
reviews and audits as required by 49 U.S.C. § 5307(h) and any applicable Federal regulations or
directives that may be issued. The Recipient agrees that such audits will be conducted in
accordance with U.S. GAO "Government Auditing Standards."
c. Half-Fare Requirements. The Recipient agrees that the fares or rates it charges elderly
individuals and handicapped individuals during nonpeak hours for public transportation using or
involving Project facilities and equipment will not exceed one-half of the rates that generally
apply to other individuals at peak hours, irrespective of whether the operation of Project facilities
or equipment is by the Recipient or by another entity connected with the Project either through
lease, third party contract, or otherwise. In addition, the Recipient agrees to give the rate
required herein to any individual presenting a Medicare card duly issued to that individual
pursuant to Title 11 or XVIII of the Social Security Act, 42 U.S.C. §§ 401 et seq., or 42 U.S.C.
§§ 1395 et. seq.,respectively.
d. Use of Formula Assistance for Operations. A Recipient authorized to use Federal assistance
authorized under 49 U.S.C. § 5307 to support operations agrees as follows:
(1) The Recipient will comply with the restrictions of 49 U.S.C. §§ 5307(b) and 5307(f) in
using Urbanized Area Formula Program assistance for operations, unless permitted otherwise by
subsequent Federal law, regulation, or directive.
F FA Master A-ree►nent MA(13), 10-1-2006 56
(2) Federal assistance authorized by 49 U.S.C. § 5307 may be applied to the Net Project
Cost of the Recipient's operating expenses incurred during the Project time period as set forth in
the Approved Project Budget and, with FTA approval, may be extended to a later date to the
extent permitted by law, provided that applicable operating assistance limits are not exceeded.
e. Public Transportation Security. For each fiscal year, the Recipient agrees to spend at least
one (1) percent of its Federal assistance authorized under 49 U.S.C. § 5307 for public
transportation security projects as described in 49 U.S.C. § 5307(d)(1)(J)(i), unless the Recipient
has determined that such expenditures for security projects are not necessary. For a Recipient
serving an urbanized area with a population of 200,000 or more, only capital projects are eligible
for support with that Federal assistance.
f. Public Transportation Enhancements. If the Recipient serves an urbanized area with a
population of 200,000 or more, the Recipient agrees to spend each fiscal year at least one (I)
percent of its Federal assistance authorized under 49 U.S.C. § 5307 for public transportation
enhancements as defined at 49 U.S.C. § 5302(a), and submit an annual report listing the projects
carried out in the preceding fiscal year with that Federal assistance.
g. Reporting Requirements. For each fiscal year, the Recipient agrees to conform, and assures
that any public transportation operator to which the Recipient provides Federal assistance
authorized under 49 U.S.C. § 5307 will conform to the National Transit Database reporting
system and the uniform system of accounts and records required by 49 U.S.C. § 5335(a) for
FTA's national transit database. FTA regulations, "Uniform System of Accounts and Records
and Reporting System," 49 C.F.R. Part 630, and any subsequent reporting regulations and
directives FTA may promulgate.
h. Participation of Subreci rents. The Recipient agrees to enter into a written agreement with
each subrecipient participating in an Urbanized Area Formula Project, which agreement sets
forth the subrecipient's responsibilities, and includes appropriate clauses imposing requirements
necessary to assure that the subrecipient will not compromise the Recipient's compliance with
Federal requirements applicable to the Project and the Recipient's obligations under the Grant
Agreement for the Project and this Master Agreement.
Section 39. Special Provisions for the Elderly Individuals and Individuals with Disabilities
Formula Program and Pilot Program.
The Recipient agrees that the following provisions apply to Elderly Individuals and Individuals
with Disabilities Formula Program and Pilot Program assistance authorized under 49 U.S.C.
§ 5310 as amended by SAFETEA-LU and subsection 3012(b) of SAFETEA-LU, 49 U.S.C.
§ 5310 note, respectively, and agrees to comply with the requirements thereof, except to the
extent that FTA determines otherwise in writing:
a. Eligible Subreci ients. The Recipient agrees to provide Federal assistance authorized under
49 U.S.C. § 5310 or subsection 3012(b) of SAFETEA-LU, 49 U.S.C. § 5310 note, only to a
subrecipient that qualifies as: (1) a private nonprofit organization meeting the special needs of
FTA Master Agreement MA(13), 10-1-2006 5
elderly individuals and individuals with disabilities for whom public transportation services are
unavailable, insufficient, or inappropriate; (2) a governmental authority approved by the State to
coordinate services for elderly individuals and individuals with disabilities; or (3) a
governmental authority that certifies to the Governor that there are no nonprofit organizations in
its area readily available to provide service meeting the special needs of the elderly individuals
and individuals with disabilities.
b. State Procedures. The Recipient agrees to administer each Project financed with Federal
assistance authorized under the Elderly Individuals and Individuals with Disabilities Formula
Program in accordance with 49 U.S.C. § 5310. A Recipient participating in the Elderly
Individuals and Individuals with Disabilities Pilot Program agrees to administer its Projects in
accordance with subsection 30I2(b) of SAFETEA-LU,49 U.S.C. § 5310 note and applicable
provisions of 49 U.S.C. § 5310. Except to the extent that FTA determines otherwise in writing,
the provisions of FTA Circular 9070.1E, "Elderly and Persons with Disabilities Program
Guidance and Application Instructions" including any revisions thereto, and other applicable
FTA laws, regulations, and directives, apply to the Project to the extent the provisions of
FTA Circular 9070.IE are consistent 49 U.S.C. § 5310 as amended by SAFETEA-LU, or
subection 3012(b) of SAFETEA-LU, 49 U.S.C. § 5310 note, if applicable. To the extent,
however, that 49 U.S.C. § 5310 as amended by SAFETEA-LU, section 3012(b) of
SAFETEA-LU, 49 U.S-C, § 5310 note, or any existing or subsequent Federal law or regulation
conflicts with the provisions of FTA Circular 9070.1E or any subsequent revision thereto, the
latest Federal law or regulation will apply. The Recipient also agrees that when FTA Circular
9070.1 F"Elderly Individuals And Individuals With Disabilities Program Guidance and
Application Instructions," is issued, the Recipient will comply with the procedures of that
circular, except to the extent that FTA determines otherwise in writing. In summary, the
Recipient agrees to comply with the Iatest guidance issued by FTA pertaining to the Elderly
Individuals and Individuals with Disabilities Program.
c. Participation of Subrecipients. The Recipient agrees to enter into a written agreement with
each subrecipient participating in an Elderly Individuals and Individuals with Disabilities
Formula Project or Pilot Project, which agreement sets forth the subrecipient's responsibilities,
and includes appropriate clauses imposing requirements necessary to assure that the subrecipient
will not compromise the Recipient's compliance with Federal requirements applicable to the
Project and the Recipient's obligations under the Grant Agreement for the Project and this
Master Agreement.
d. Eligible Project Activities. Federal assistance authorized under 49 U.S.C. § 5310 may be
used for a Project to meet the special needs of elderly individuals and individuals with
disabilities, as follows:
(1) Capital Projects. Except as set forth in Subsection 39.d(2) of this Master Agreement
below, only capital projects are eligible for Federal assistance authorized under 49 U.S.C.
§ 5310, and may include meal delivery service to the extent permitted by 49 U.S.C. § 5310(g).
(2) Operating Assistance Limitation. Only if the Recipient is selected to participate in the
Elderly Individuals and Individuals with Disabilities Pilot Program established by
FTA Maser Agreement MA(13), 10-1-2006 58
subsection 3012(b) of SAFETEA-LU, 49 U.S.C. § 5310 note, may Federal assistance authorized
under 49 U.S.C. § 5310 be used to finance operating expenses, and then only 33 percent of the
funds apportioned to that Recipient may be used to finance operating expenses for projects to
meet the special needs of elderly individuals and individuals with disabilities.
e. Leasing of Vehicles. Vehicles acquired with Federal assistance authorized under 49 U.S-C.
§ 5310 may be ]eased to local governmental authorities to improve transportation services to
meet the special needs of elderly individuals and individuals with disabilities.
f. Transfer of Project Propert x. In addition to 49 U.S.C. § 5334(h), which authorizes the
transfer of Project property, 49 U.S.C. § 5310(h) also authorizes the Recipient to transfer Project
property acquired with Federal assistance authorized under 49 U.S.C. § 5310 to any entity
eligible to receive assistance under 49 U.S.C. chapter 53, provided the subrecipient currently
possessing the Project property consents to the transfer, and the transferred Project property will
continue to be used in accordance with the requirements of 49 U.S-C. § 5310.
Section 40. Special Provisions for the New Freedom Program
The Recipient agrees that the following provisions apply to New Freedom Program assistance
authorized under 49 U.S-C. § 5317, and agrees to comply with the requirements thereof, except
to the extent that FTA determines otherwise in writing:
a. General. The Recipient agrees to comply with the requirements of 49 U.S.C. § 5317 and
with other Federal laws that may be applicable, as well as with implementing Federal regulations
and directives, when issued.
b. FTA Notice. The Recipient agrees to comply with the provisions of the most recent
applicable FTA Notice pertaining to the New Freedom Program, and any subsequent revision
thereto. In addition, the Recipient agrees to comply with FTA Circular, "New Freedom Program
Guidance and Application Instructions," when issued.
c. Participation of Subrecipients. The Recipient agrees to enter into a written agreement with
each subrecipient participating in a New Freedom Project, which agreement sets forth the
subrecipient's responsibilities, and includes appropriate clauses imposing requirements necessary
to assure that the subrecipient will not compromise the Recipient's compliance with Federal
requirements applicable to the Project and the Recipient's obligations under the Grant
Agreement or Cooperative Agreement for the Project and this Master Agreement.
Section 41. Special Provisions for the Nonurbanized Area Formula Program.
The Recipient agrees that the following provisions apply to Nonurbanized Area Formula
Program assistance administered by States and authorized under 49 U.S.C. § 5311(b), and agrees
to comply with the requirements thereof:
FTA Master Agreement MA(13), 10-1-2006 59
a. Provisions Applicable to States.
(1) State Procedures. The Recipient agrees to administer each Project in accordance with
49 U.S.C. § 5311(b) and other applicable provisions of 49 U.S.C. § 5311 as amended by
SAFETEA-LU. Except to the extent that FTA determines otherwise in writing, the provisions of
FTA Circular 9040.1E, "Nonurbanized Area Formula Program Guidance and Grant Application
Instructions," including any revisions thereto, and other applicable FTA laws, regulations, and
directives apply to the Project to the extent those provisions are consistent with 49 U.S.C. § 5311
as amended by SAFETEA-LU. To the extent, however, that 49 U.S.C. § 5311 as amended by
SAFETEA-LU or any existing or subsequent Federal law or regulation conflicts with the
provisions of FTA Circular 9040.1E or any subsequent revision thereto, the latest Federal law or
regulation will apply. The Recipient also agrees that when FTA Circular 9040.1F
"Nonurbanized Area Formula Program Guidance and Grant Application Instructions," is issued,
the Recipient will comply with the procedures-of that circular, except to the extent that FTA
determines otherwise in writing. In summary, the Recipient agrees to comply with the latest
guidance issued by FTA pertaining to this program.
(2) Participation of Subrecipients. The Recipient agrees to enter into a written agreement
with each subrecipient participating in a Nonurbanized Area Formula Project, which agreement
sets forth the subrecipient's responsibilities, and includes appropriate clauses imposing
requirements necessary to assure that the subrecipient will not compromise the Recipient's
compliance with Federal requirements applicable to the Project and the Recipient's obligations
under the Grant Agreement for the Project and this Master Agreement.
(3) Eligible Project Activities. Federal assistance provided for the Grant Agreement and
subagreements may be used for public transportation Projects in areas other than urbanized areas.
Projects financed with Federal assistance transferred from other Federal programs must be
eligible for Federal assistance authorized under 49 U.S.C. § 5311(b), and may include purchase
of service agreements with private providers of public transportation service, as well as capital
and operating assistance, and meal delivery service, to the extent permitted by 49 U.S.C.
§ 5310(g).
(4) Transfer of Project Property. In addition to 49 U.S.C. § 5334(h), which authorizes the
Recipient to transfer Project facilities and equipment, 49 U.S.C. § 5311(h) also authorizes the
Recipient to transfer Project property acquired with Federal assistance authorized under
49 U.S.C. § 5311 to any entity eligible to receive Federal assistance authorized under 49 U.S.C.
chapter 53, provided that the subrecipient currently in possession of the Project property consents
to the transfer, and the transferred Project property will continue to be used in accordance with
the requirements of 49 U.S.C. § 5311.
(5) Intercity Transportation. The Recipient agrees to spend a minimum of at least fifteen
(15) percent of its Federal assistance authorized under 49 U.S.C. § 5311(f) each fiscal year for
intercity transportation Projects, unless the chief executive officer of the State or duly authorized
designee has certified to FTA that the intercity bus service needs within the State are being
adequately fulfilled.
FTA Master Agreement MA(13), E0-1-2006 C0
(6) Reporting Requirements. As required by 49 U.S.C. §§ 5311(b)(4) and 5335(a), the
Recipient agrees to conform, and assures that any public transportation operator to which the
Recipient provides Federal assistance authorized under 49 U.S.C. § 5311(b) will conform, to the
reporting system and the uniform system of accounts and records required by 49 U.S.C.
§ 5335(a) for FTA`s national transit database and FTA regulations, "Uniform System of
Accounts and Records and Reporting System," 49 C.F.R. Part 630, and any subsequent
implementing regulations and directives FTA may issue.
b. Provisions Applicable to Indian Tribes. The Recipient agrees as follows:
(1) To the extent that an Indian tribe is a subrecipient of Federal assistance authorized under
49 U.S.C. § 5311(b), the Indian tribe will be required to comply with the requirements of
Subsection 41.a of this Master Agreement that are applicable to other subrecipients of the State
receiving funding derived from 49 U.S.C. § 5311(c)(2), except to the extent that FTA determines
otherwise in writing.
(2) An Indian tribe that administers a Tribal Transit Project financed with Federal assistance
authorized under 49 U.S.C. § 5311(c)(1) is not subject to the provisions of Subsections 41(a) and
41(b)(1) of this Master Agreement with respect to its implementation of that Tribal Transit
Project.
Section 42, Special Provisions for the Clean Fuels Grant Program.
The Recipient agrees that the following provisions apply to Clean Fuels Grant Program
assistance authorized under 49 U.S.C. § 5308, and agrees to comply with the requirements
thereof, except to the extent that FTA determines otherwise in writing:
a. General. The Recipient agrees to comply with 49 U_S.C. § 5308, and with provisions of
49 U.S.C. § 5307, and other Federal laws that may be applicable, as well as with implementing
Federal regulations and directives, when issued.
b. Participation of Subrecipients. The Recipient agrees to enter into a written agreement with
each subrecipient participating in a Clean Fuels Grant Project, which agreement sets forth the
subrecipient's responsibilities, and includes appropriate clauses imposing requirements necessary
to assure that the subrecipient will not compromise the Recipient's compliance with Federal
requirements applicable to the Project and the Recipient's obligations under the Grant
Agreement for the Project and this Master Agreement.
Section 43. Special Provisions for Research, Development, Demonstration, and Special
Studies Projects.
The Recipient agrees to comply with the following provisions pertaining to Projects financed
with Federal assistance authorized for research, development, demonstration or special studies
projects, except to the extent that FTA determines otherwise in writing:
FTAMister Agreement MA(13), 10-1-2006 61
a. Project Report- The Recipient agrees to:
(1) Prepare and make available a comprehensive report of the results of the Project, the
conclusions reached, and the methods used.
(2) Include appropriate notice in the report that: (a) the report is being disseminated under
the sponsorship of the U.S. Department of Transportation, Federal Transit Administration, in
order to foster information exchange, (b) the U.S. Government assumes no liability or
responsibility for the contents of that report or the use of that report, (c) the U.S. Government is
not endorsing any manufacturers, products, or services cited in that report, and (d) any trade
name that may appear in that report has been included only because it is essential to the contents
of that report.
b. Project Identification. The Recipient agrees that each tangible product developed in the
course of or resulting from the Project shall contain or include an appropriate sign, designation,
or notification stating that the Project has been financed with Federal assistance provided by the
U.S. Department of Transportation, Federal Transit Administration. Unless determined
otherwise in writing by FTA, this requirement applies to all equipment, hardware, construction,
reports, data, or any similar items produced in the course of the Grant Agreement or Cooperative
Agreement for the Project.
c. Protection of Human Subjects. The Recipient agrees to comply with the requirements of 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 Human Subjects," 49 C.F.R. Part 11, pertaining to
protections for human subjects participating in or involved in research, development, and related
activities in connection with the Project.
d. Protection of Animals. The Recipient agrees to comply with the requirements of the
Laboratory Animal Welfare Act of 1966, as amended, 7 U.S.C. §§ 2131 et sect., and
U.S. Department of Agriculture regulations, "Animal Welfare," 9 C.F.R. Subchapter A, Parts 1,
2, 3, and 4 pertaining to the care, handling, and treatment of warm blooded animals involved in
Project research, development, and related activities.
e. Export Control. The Recipient agrees that any technical information developed in the course
of implementing the Grant Agreement or Cooperative Agreement for the Project may be subject
to export control regulations promulgated by the U.S. Department of Commerce, Bureau of
Export Administration, and by other Federal Government departments, including the
U.S. Department of State, the U.S. Department of the Treasury, and the U.S. Department of
Defense. Thus, the Recipient agrees that it will not export to any countries or any foreign
persons any technical information or any direct product of that technical information that is
subject, directly or indirectly, to U.S. Export Control regulations, without first obtaining the
necessary Federal license or licenses and complying with any applicable U.S. Export Control
regulations.
FTA Master Agreement MA(13), 10-1-2006 62
Section 44. Special Provisions for the Medical Transportation Demonstration Projects.
The Recipient of Federal assistance under the Medical Transportation Demonstration Program
agrees to comply with 49 U.S.C. § 5314(a)(6) and other applicable Federal laws, regulations, and
directives when issued, except to the extent FTA determines otherwise in writing.
Section 45. Special Provisions for the National Technical Assistance Center for Senior
Transportation.
The Recipient of Federal assistance authorized under the National Technical Assistance Center
for Senior Transportation agrees to comply with the requirements of 49 U.S.C. § 5314(c) and
other applicable Federal laws, regulations and directives when issued,except to the extent that
FTA determines otherwise in writing.
Section 46. Special Provisions for Human Resources Fellowships.
The Recipient agrees that the following provisions apply to Human Resources Fellowships
Program assistance authorized under 49 U.S.C. § 5322(b), and agrees to comply with the
requirements thereof, except to the extent that FTA determines otherwise in writing:
a. General. The Recipient agrees to comply with the 49 U.S.C. § 5322(b) and other applicable
Federal regulations, and directives, when issued.
b. Fellowship Awards. The Recipient agrees any individual who receives a fellowship financed
with Federal assistance under the Human Resources Fellowships Program will be selected on the
basis of demonstrated ability and the contribution the individual reasonably can be expected to
make to an efficient public transportation operation.
Section 47. Special Provisions for Job Access and Reverse Commute Formula Grant
Program.
The Recipient agrees that the following provisions apply to Job Access and Reverse Commute
(JARC) Formula Grant Program assistance authorized under 49 U.S.C. § 5316, and agrees to
comply with the requirements thereof, except to the extent that FTA determines otherwise in
writing:
a. General. The Recipient agrees to comply with 49 U.S.C. § 5316, and provisions of 49 U.S.C.
§ 5307 and with other Federal laws that may be applicable, and with Federal regulations and
directives when issued.
b. FTA Notice. The Recipient agrees to comply with the provisions of the most recent
applicable FTA Notice pertaining to the JARC Formula Grant Program, and any subsequent
revision thereto. In addition, the Recipient agrees to comply with FTA Circular, "The Job
FTA Master Agreement MA(13), 10-1-2006 63
Access And Reverse Commute (JARC) Program Guidance And Application Instructions," when
issued.
c. Participation of Subrecipients. The Recipient agrees to enter into a written agreement with
each subrecipient participating in a Job Access and Reverse Commute Project, which agreement
sets forth the subrecipient's responsibilities, and includes appropriate clauses imposing
requirements necessary to assure that the subrecipient will not compromise the Recipient's
compliance with Federal requirements applicable to the Project and the Recipient's obligations
under the Grant Agreement and this Master Agreement.
Section 48. Special Provisions for the Alternative Transportation in Parks and Public
Lands Program
The Recipient agrees that the following provisions apply to Alternative Transportation in Parks
and Public Lands Program financial assistance authorized under 49 U.S.C. § 5320, and agrees to
comply with the requirements thereof, except to the extent that FTA determines otherwise in
writing:
a. General. The Recipient agrees to comply with 49 U.S.C. § 5320, and provisions of 49 U.S.C.
§ 5307 and with other Federal laws that may be applicable, and with Federal regulations and
directives, when issued.
b. FTA Notices. The Recipient agrees to comply with the provisions of the most recent
applicable FTA Notices pertaining to the Alternative Transportation in Parks and Public Lands
Program, and any subsequent revision thereto. Specifically, the Recipient agrees that the
provisions of foregoing documents and revisions thereto will supersede conflicting provisions of
this Master Agreement
Section 49. Special Provisions for Over-the-Road Bus Accessibility Projects.
The Recipient agrees that the following provisions apply to Federal assistance authorized under
the Over-the-Road Accessibility Program Grants, and agrees to comply with the requirements
thereof, except to the extent that FTA determines otherwise in writing:
a. General. The Recipient agrees to comply with any applicable Federal directives that may be
issued to implement the Over-the-Road Bus Accessibility Program authorized by section 3038 of
TEA-21, as amended by section 3039 of SAFETEA-LU,49 U.S.C. § 5310 note.
b. Accessibility. The Recipient agrees to comply with the "Over-the-Road Buses," regulations
within "U.S. DOT regulations, "Transportation Services for Individuals with Disabilities
(ADA)," 49 C.F.R. Part 37, Subpart H, and with joint U.S. ATBCB/U.S. DOT regulations,
"Americans With Disabilities (ADA) Accessibility Specifications for Transportation Vehicles,"
36 C.F.R. Part 1192 and 49 C.F.R. Part 38.
FTA Master Agreement MA(13), 10-1-2006 64
c. FTA Notice. The Recipient agrees to comply with the provisions of the most recent
applicable FTA Notice pertaining to Over-the-Road Bus Accessibility Program Grants, and any
subsequent revision thereto, supersede conflicting provisions of this Master Agreement.
Section 54. Special Provisions for State Infrastructure Bank Projects.
The Recipient agrees that the following provisions apply to a Project financed with Federal
assistance deposited in a State Infrastructure Bank, and agrees to comply with the requirements
thereof:
a. General. The Recipient agrees to administer its Project in accordance with laws applicable to
the SIB that provides Federal assistance for the Project. Federal requirements for the Project
may be set forth in: (1) 23 U.S.C. § 610, (2) section 1511 of TEA-21, 23 U.S.C. §•181 note to
the extent it has not been superseded by 23 U.S.C. § 610, (3) section 350 of the National
Highway System Designation Act of 1995, as amended, (NHS Act), 23 U.S.C. § 101 note, to the
extent it has not been superseded by 23 U.S.C. § 610 (4) any law amending any of the foregoing,
and any subsequent law applicable to the Project, (5) any other applicable Federal directives that
may be issued, except to the extent FTA determines otherwise in writing, (6) the terms and
conditions of U-S. Department of Labor Certification(s) of Public Transportation Employee
Protective Arrangements, (7) the Cooperative Agreement establishing the State Infrastructure
Bank (SIB) program in the State(entered into by the Federal Highway Administrator, Federal
Transit Administrator, and authorized State official), and (8) the FTA Grant Agreement
providing Federal assistance for the SIB Project; except, however, any provision of this Master
Agreement conflicting with applicable Federal law, applicable Federal SIB Guidelines, the
Cooperative Agreement establishing the SIB program within the State, or this Grant Agreement
will not apply to the Grant Agreement or the Project to the extent the SIB program is involved,
except to the extent FTA determines otherwise in writing.
b. Limitations on Accessing Federal Assistance in the Transit Account. The Recipient
understands that the total amount of Federal assistance awarded under the Grant Agreement for
the SIB may not be available for immediate withdrawal. Thus, the State agrees to restrict the
amount of Federal assistance it withdraws to an amount not exceeding the limitations specified in
its Grant Agreement or the Approved Project Budget for that Grant Agreement.
Section 51. Special Provisions for TIFIA Projects.
To the extent applicable, the Recipient agrees to administer each Project financed with Federal
assistance authorized under the Transportation Infrastructure Finance and Innovation Act, as
amended, in accordance with: (1) 23 U.S.C. §§ 601 through 609, including any further
amendments thereto that may be enacted; (2)49 U.S.C. §§ 5307,5309, and 5323(0)} (3)joint
U.S. DOT/FTA regulations, "Credit Assistance for Surface Transportation Projects," 49 C.F.R-
Part 80 and 49 C.F.R. Part 640, to the extent those regulations have not been superseded by
SAFETEA-LU, and any subsequent amendments to those regulations when promulgated. Any
provision of this Master Agreement that conflicts with 23 U.S.C. §§ 601 through 609,49 U.S.C.
FTA Master Agreement MA(13), 10-1-2006 65
5307, 5309, 5323(o), or the foregoing joint U.S. DOT/FTA regulations, or amendments
thereto will not apply to the TIFIA Loan or Loan Guarantee for the Project. The Recipient
agrees that FTA may declare the Recipient in violation of the Master Agreement if the Recipient
has defaulted on a TIFIA Loan or a Loan guaranteed under TIFIA and such default has not been
cured within 90 days.
Section 52. Disputes,Breaches, Defaults, or Other Litigation.
The Recipient agrees that FTA has a vested interest in the settlement of any dispute,breach,
default, or litigation involving the Project. Accordingly:
a. Notification to FTA. The Recipient agrees to notify FTA in writing of any current or
prospective major dispute, breach, default, or litigation that may affect the Federal Government's
interests in the Project or the Federal Government's administration or enforcement of Federal
laws or regulations. If the Recipient seeks to name the Federal Government as a party to
litigation for any reason, in any forum, the Recipient agrees to inform FTA in writing before
doing so. Each notice to FTA under this Section shall be sent, at a minimum, to the Ff`A
Regional Counsel within whose Region the Recipient operates its public transportation system or
implements the Project.
b. Federal Interest in Recovery. The Federal Government retains the right to a proportionate
share, based on the percentage of the Federal share awarded for the Project, of proceeds derived
from any third party recovery, except that the Recipient may return any liquidated damages
recovered to its Project Account in lieu of returning the Federal share to the Federal Government.
c. Enforcement. The Recipient agrees to pursue all legal rights provided within any third party
contract.
d. FTA Concurrence. FTA reserves the right to concur in any compromise or settlement of any
claim involving the Project and the Recipient.
e. Alternative Dispute Resolution. FTA encourages the Recipient to use alternative dispute
resolution procedures, as may be appropriate.
Section 53. Amendments to the Project.
The Recipient agrees that a change in Project circumstances causing an inconsistency with the
terms of the Grant Agreement or Cooperative Agreement for the Project or this Master
Agreement will require an amendment to the Grant Agreement or Cooperative Agreement for the
Project signed by the original signatories or their authorized designees or successors. The
Recipient agrees that a change in the fundamental information submitted in its Application will
also require an Amendment to its Application or the Grant Agreement or Cooperative Agreement
for the Project.
FrA Master Agreement MA(t 3), 10-1-2006 66
Section 54. FTA's Electronic Management System.
a. Recipient Use. Unless FTA permits otherwise in writing, the Recipient agrees to use FTA's
electronic management system to submit information and reports to FTA. FTA, however,
reserves the right to determine the extent to which the Recipient may use ETA's electronic
management system to execute legal documents pertaining to FTA Projects.
b. TEAM System Terminology. The Recipient and FTA agree that the terms used by FTA in
its current Transportation Electronic Management (TEAM) system do not necessarily reflect, and
are not intended to be treated as, the exclusive evidence of what such matters as Project, its
scope, activities, etc include, except to the extent FTA so states in writing. FTA reserves the
right to treat information other than that reflected in the TEAM system as determinative of what
constitutes the "Project," "Scope of the Project," and "Project Activities."
Section 55. Information Obtained Through Internet Links.
This Master Agreement may include electronic Iinks to Federal laws, regulations, and directives.
FTA does not guarantee the accuracy of information accessed through such links. Accordingly,
the Recipient agrees that information obtained through any electronic link within this Master
Agreement does not represent an official version of a Federal law, regulation, or directive, and
might be inaccurate. Thus, information obtained through such links is neither incorporated by
reference nor made part of this Master Agreement. The Federal Register and the Code of
Federal Regulations are the official sources for regulatory information pertaining to the Federal
Government.
Section 56. Severability.
If any provision of the Grant Agreement or Cooperative Agreement for the Project, or this
Master Agreement is determined invalid, the remainder of that Agreement shall not be affected if
that remainder would continue to conform to the requirements of applicable Federal laws or
regulations_
FTA Maser Agreement MA(13), 10-I-2006 67
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
FEDERAL TRANSIT ADMINISTRATION
GRANT AGREEMENT
(FTA G-13, October 1, 2006)
On the date the authorized U.S. Department of Transportation, Federal Transit Administration
(FTA) official signs this Grant Agreement, FTA has Awarded Federal assistance in support of
the Project described below. Upon Execution of this Grant Agreement by the Grantee named
below, the Grantee affirms this U.S. Department of Transportation, Federal Transit
Administration (FTA) Award in support of the Project described below and enters into this Grant
Agreement with FTA. The following documents are incorporated by reference and made part of
this Grant Agreement:
(1) "Federal Transit Administration Master Agreement," FTA MA(13), October 1, 2006,
http://www.fta.dot.gov/documents/I 3-Master.doe,
(2) The Certifications and Assurances applicable to the Project that the Grantee has selected and
provided to FTA, and
(3) Any Award notification containing special conditions or requirements, if issued.
FTA OR THE FEDERAL GOVERNMENT MAY WITHDRAW ITS OBLIGATION TO
PROVIDE FEDERAL ASSISTANCE IF THE GRANTEE DOES NOT EXECUTE THIS
GRANT AGREEMENT WITHIN 90 DAYS FOLLOWING THE DATE OF THIS FTA
AWARD SET FORTH HEREIN.
FTA AWARD
FTA hereby awards a Federal Grant as follows:
Project No.:
Grantee:
Citation of Statute(s) Authorizing Project:
Estimated Total Eligible Cost:
Maximum FTA Amount Awarded f Including All Amendments]:
Amount of This FTA Award:
Maximum Percentage(s) of FTA Participation:
Pro�Lct No.
U.S._Department of Labor Certification of Public Transportation Employee Protective
Arrangements: Certification Date
Original Project:
Amendment Number:
Project Description:
Conditions of Award:
FTA has awarded Federal assistance for this Grant Agreement as of ,
which is the Date of this FTA Award.
By: Signature:
Name:
Title:
FEDERAL TRANSIT ADMINISTRATION
U.S. DEPARTMENT OF TRANSPORTATION
Project No.
EXECUTION OF GRANT AGREEMENT
There are several identical counterparts of this Grant Agreement in typewritten hard copy; each
counterpart is to be fully signed in writing by the duly authorized officials of FTA or the Federal
Government and the Grantee, and each counterpart is deemed to be an original having identical
legal effect. Upon full Execution of this Grant Agreement by the Grantee, the Effective Date
will be the date FTA or the Federal Government awarded Federal assistance for this Grant
Agreement.
The Grantee, by executing this Grant Agreement, affirms this FTA Award; adopts and ratifies all
statements, representations, warranties, covenants, and materials it has submitted to FTA;
consents to this FTA Award; and agrees to all terms and conditions set forth in this Grant
Agreement_
Executed by the Grantee this day of , 200
ATTEST: BY:
Signature: Signature:
Name (Print/Type): Name (Print/Type):
TITLE AND ORGANIZATION TITLE AND ORGANIZATION