07-782Suspension - 8/22/07
Presented By:
Referred To:
Committee:Date:
1 WFIEREAS, the City of Saint Paul Police Department wishes to enter into the attached agreement
2 with the State of Minnesota to receive a grant from the Federal Transit Administrafion § 5309 program
3 to provide cameras and surveillance equipment along the Central Corridor in Saint Paul; and
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5 WHEREAS, the grant agreement requires a local match of $300,000, which the Saint Paul Police
6 Department is able to provide; now, therefore, be it
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RESOLVED, that the Saint Paul City Council hereby authorizes the proper city officials to enter into
the attached Grant Contract with the State of Minnesota. A copy of said agreement shall be kept on
file and on record in the Office of Financial Services.
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30
Yeas
Thune
Adopted by Council: Date:
By:
Approved
By:
Council File #
RESOLUTION
OF SAINT PAUL, MINNESOTA
Green Sheet #
07-782
3042333
0
Approved by City
App -o ed by yor o �b ' ion to Council:
B
:1i �FiscalWO&CR�200TCentralCortidor5309revised.xls
Requested by Department of:
� Green Sheet Green Sheet Green Sheet Green Sheet Green Sheet Green Sheet �
D?���2-
PD - po��ceDepaztment
CoMac[ Person & Phone:
Chief John Harrington
' 265-5588
Mus[ Be on Couneil Aaen
��, Doc. Type: RESOLUTION
E-DOCUment Required: Y
Doeument Contact: Evette Scarver
ConWct Phone: 266-5541
30-JUL-07 ; Green Sheet NO: 3042333
�
Assign
Number
For
Routing
Order
0
i
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Yolice Deoartment i Pdice Deparhment
� diceDeparhnent PdiceDepaa�ent
City Attornep I CiN Attorney
vor's O�ce Niayor I
Cwncl
,City Clerk CiN Clerk
�olice Department Police Depar�ent
Total # of Signature Pages _(Clip AII Locations for Signature)
Signatures on [he attached council resolution authorizing the Ciry of Saint Paul, Police Departrnent, (SPPD) to en[er into the attached
agreement with the State of Minnesota.
iaanons: Approve (A) or R
Planning Commission
CIB Committee
Civil Service Commission
the
1. Has this personRirm ever worked under a contract for this tlepartment?
Yes No
2. Has this persoNfirm ever been a city employee?
Yes No
3. Does this persoNfirm possess a skill not normally possessed by any
currentcityemployee? �
Yes No
I _ I E�cplain all yes answers on separate sheet and attach to green sheet
�_—_
I Initiating Problem, Issues, Opportunity (Who, What, When, Where, Why):
The SPPD will receive a grant from the Federal Transit Administraflon - 5309 program to provide cameras and surveillance
I equipment along the Central Corridor in Saint Paul. '
Advantages If Approvetl: � � �
Reduce crime along the Cenh�al Corridor by monitoring activities using radios, cameras, and other surveillance equipment.
Disadvantages If Approved:
None.
���������
Uisadvantages If Not Approveci:
Lost opportunity to monitor the Ce�trai Corridor to reduce crime.
Transaction:
Funding Source:
Financial Information:
(Explain)
���� �a������
State ot Minnesota
AetiviTy Number:
July 30, 2007 1126 A4vl
Cost/Revenue Budgeted:
Page 1
MnDOTContract-No.91103 ����g�
ST�iTE OF 1VIINNESOTA
GRANT CONTRACT
Federal Project Number MY-03-00�7-0]
THIS GRANI' CONTRACT, which shall be interpreted pursuant to the laws of the state of Minnesota, is between the
state of NIinnesota, acring through its Comurissioner of Transportation ("STATE") and the City of SL Paui, a government
entity (GI2Ai�IT'EE).
Background
STATB received a grani from ihe Federal Transit Administration (PTA) Section 5309 program for improvements along
the Central Corridor that runs between downtown St. Paul, Minnesota and downtown Minneapolis, Minnesota. The
purpose of this grant contract is to pass through federal funds to GRAN'I'EE to purchase, install, maintain, and promote a
camera surveillance network along the Central Corridor within the Gity of St. Paul.
NOW, THEILEFORE, it is agreed:
I. TERM OF CONT'RACT. This Grant Contract is effective upon execution by appropriate STAT'E and GRAN'�'FF.
officials and expires on December 31, 2008, or when all obligations set forth in this Grant Contract have been
satisfactorily fulfilled, whichever occurs fust_
II. GRAN'I'EE'S DL3T'IES. GRANT'EE agrees to:
A. complete the work described in the proposal and request for funding which is attached and
incorporated into this Grant Contract as E�ibit I.
B. grovide a local match in the amount of $300,000.00.
C. provide STATE with quarterly financial and program status reports; and.
D. conduct any third party procurements under fhis contract according to the FI'A Circular 4220.1E. as
reguired in Article XIV.
III. CONSIDERATION AND TERMS OF PAYMENT'
STA'I'E shali pass through to GRANT`F.E a Total Obligation not to exceed $1,200.000.00 for work described in
E�ibit I. Reimbursement shall be made by STATE, not to exceed each invoiced amovnt, wi[hin 30
days after GRAN'I'EE presents STAT'E with a detailed invoice.
IV. CONDITIONS OF PAYMENT. All services provided by GRANTEE pursuant to this grant shall be performed to
the sarisfaction of STA"FE, as deternuned in the sole discretion of STATB's Authorized Ageni, and in accord with
all applicable federai and state laws. GRANTEE sha11 not receive payment for work found by STATE to be
unsatisfactory, or performed in violation of federal or state law.
V. AIJTAORIZED AGENTS. STATE's Authorized Agent for the purposes of administrauon of this Grant
Contract is Charles A. Morris, Project Manager, Mn/DOT Office of Transit, Department of Transportation,
Mail Stop 430, 395 John IreIand Boulevard, St, Paul, MN 55155-1899, (651) 366-4178, or his successor. Such
agent shall have final authority for acceptance of GRANTEE's services and if such services are accepted as
satisfactory, shatl so certify on each invoice submitted pursuant to Ar[icie III.
GRAN't'EE's Authorized Agent for the purposes of administration of this Grant Contract is Douglas Holtz,
Commander, Western District Investigafions, 367 Grove Street, St. Paui, MN 55101, (651) 266-5528, or his
successor. GRANTEE's Authorized Agent sha12 have fuP3 authoriry to represent GRANTEE in its fiilfillment of
the terms, conditions, and requirements of this Grant Contract.
U��7��
MnDOT Convact No. 91103
VI. GOVERNIlVG LAW JiJRISDICTION and VENiJE. IVFinnesota law, w�thout regard to its choice-af-law
provisions, governs this �ant contract. Venue for all legal proceedings ont of this grant contract, or its
breach, must be in the appropriate state or federal court with competent jurisdiction in Ramsey Connty,
Minnesota.
VII. ASSIGNMF.NT. (iRAN"I'EE shall neitber assign nor transfer any rights or obligations under this Grant Contract
without the prior written consent of STATE.
VIII. ANjErFDME1V'FS. Any amendments to this Grant Contract shall be in writing, and shall be executed by ihe same
parties who executed the arigiaal Grant Contract, or their successors in office.
IX. LIABILPI'Y. Each party shall be responsible for i[s own acts and omissions, the act and omissions of its
employees, and the results thereof to tha extent authorized by law. The parties shall not be responsible for the
acts of any others and the results thereof. The liabiIiry of STATE is govemed by Minnesota Statutes, Section
3.736 and other applicable law. 'I'he liability oP GRANTEE is govemed by the Municipa] Tort Claims Act in
Minnesota Stamtes, Chapter 466.
X. STATE AUDiTS. Under Minnesota Statutes Secuon I6C.05, subdivision 5, the books, records, documents,
and accounting procedures and practices of GRANTEE relevant to this Grant Contract, including copies of
agreements of GRANTEE's subcon[ractors, shall be subject to examination by [he Minnesota Department of
Transportation Auditor, State Auditor, or the Legislative Auditor, for a minimum of six years from the expiration
date of this Grant Contract.
XI. DATA PRACTICES. GRANTEE agrees to comply with the Minnesota Govemment Data Practices Act,
Minnesota Statutes Chapter 13, as it applies to all data provided by STATE in accordance with this
Grant Contract and as it applies to all data created, gathered, generated, or acquired in accordance with
Uus Grant Contract.
XII. AFFIIZMATIV� ACI'ION. (For Grant Contraas over $100,000.00.) GRANTEE certifies that it is in
compliance with Minnesota Statutes Section 363.073.
XIB[[. WORKERS' COMPENSATION. In accordance with the provisions of Minnesota Statutes Section I76182,
STATE affums that GRANTF.E has provided acceptable evidence of compIiance with the workers'
compensation insurance coverage requirement of Minnesota Siatutes Section 176.181, subdivision 2.
XN. TI�IZD PARTY CONTRACTS.
A. Federal Procurement Reqnirements.
GRANTEE agrees to comply with the applicable procurement requirements of FI'A Circulaz 4220.IE Third
Party Contracting Requirements. .
B. STATE Approval Required.
GRANTEE shall not execute a contract with the subcontractor or otherwise enter into a binding agreement
nntil it has first received written approval from STATE's Authorized Agent. STAT'E's Authorized Agent wili
respond to requests from GRANTEE for authorizarion to subcontract within 10 working days of receiving the
request. GRANTEE's payment to the subcontractor shall be made within the time Iimits, subject to Ehe
interest penalty payments, and subject to al1 other provisions of 1Vlinnesota Statutes, Section 471.425,
Subdivision 4a.
C. Requ'ued Contract Clauses.
All contracts between GRANTEE and third parties must contain all applicable provisions of this Grant
Contract. The use of third party contnctors does nat relieve GRANPEE from performing and delivering the
work stated in this Grant Contract.
MnDOT Contract No. 91103 � �_� � �
D_ Local Procurement Prceess.
GRANTEE will provide STATE witl� a copy of the grceurement policy of its governing body.
E. Disadvantaged Business Enteiprise (DBE) Goal_
1. STA'FE has assigned a DBE goal of ]0.4% of the total amount of financia] assistance to GRANTEE
for work under this Grant Contract.
2. GRANTEE agrees to compTy with federal requirements under Title 49 Code of FederaI Regulavons
Part 26 and the state and federal policy as codified in E�tibit II, Disadvantaged Business Enterprises
(DBE} Speciat Provisions, which is attached and incorporated into this Grant Contract, to ensure DBE
participation and nondiscriisunation in the award and administration of all third party contracts and
subagreements supported with federal assistance from the U.S.DOT.
3. GRANTEE agrees to inclvde the conients of Eathibit II, Disadvantaged Business Enterprise (DBE)
Special Provisions in all subcontracts and third party contracts funded under this Grant Con�act.
4. GRAN"I`EE agrees to provide STA"I'E with information about the level of participation by DBEs.
For assistance in complying with STATE's Speciad Provisions, GRANTEE agrees to contact Michael Plumley,
DBE Specialist, MnDOT Office of,Civil Rights at (651) 366-3076.
F. Independent Contractor.
Under the terms of this Grant Contract, GRAN'I'F.E is an independent contractor and retaSns full contro] over
the employment, direct compensation, and dischazge of al1 persons engaged in work performed its operations.
GRANTEE is solely responsible for all matters relating to payment of employees, including compliance with
social security, payroll taxes and withholdings, unemployment compensation, and all other regulations
goveming these matters. GRANT'EE is responsible for its own acts and those of its subordinates, empIoyees,
and any and all third party contractors during the term of this Grant Contract
XV. 'I'ERMINATION
A. Ternunation by the State.
This Grant Contract may be cancelled by STATE at any time for non-performance under this Grant Contract
upon 30 days written notice to the other party. In the event of such cance]lation, GRANTEE shall be entitled
to payment for work or services sausfactorily performed prior to the effective date of termination.
B. Temunation for Insufficient Funding.
The State may immediately tersninate this contract if it does not obtain funding from the Federal Transit
Administzarion; or if funding cannot be continued at a level sufficient to allow for the payment of the services
covered here. Termination must be by written or fa7c notice to the Grantee. The S[ate is not obligated to pay
for any services that are provided after notice and effective date of termination. However, the Gran[ee will be
entifled to payment for services satisfactorily performed to the extent that funds are availaBle. The State will
not be assessed any penalty if the contract is ternunated becavse of the decision of the Federal Transit
Administration, not to appropriate funds. The State must provide the Grantee notice of the lack of funding
within a reasonable time of the State's receiving that notice.
XVI. FEDERAL CERTIFTCATIONS AND ASSURANCES.
GRANT'EE aa ees to comply with the 2007 Annual List of Federal Certifzcations and Assurances for Federal
TransitAdministration Grants, and its subsequent versions, which is attached and incorgorated into this Grant
Contract as E�ibit III.
XVII. FEDERAL CONTRACT CLAUSES.
GRANTEE agrees to comply with the following federal reguirements, and agrees to require, unless specifically
exempted, subcontractors and third party conhactors at every uer to comply with same. These federa] contract
cIauses have been taken from the cuirent FPA Best Practices Procurement ManuaI, Appendix A.
A. ENERGY CONSERVATION REOUIREMENTS
42 U.S.C- 6321 et seq. ; 49 CFR Par[ 18
MnDOT Contract No. 91103 � � — � � �
Applicabilitv to Contracts
The Energy Conservation requsements are app]icable to atl contracts.
Flow Down
The Energy Conservation requvements extend to all third party contractors and [heir contracts at every tier and subrecipients and cheir
snbagreements at every tier.
Model CIause/LanQUaee
No specific clause is recommended in the regulations because the Energy Conservation requirements ue so dependent on the state
energy conservation plan. The following langua�e has been developed by FTA:
Energy Conservation - The contractor a�ees to comply with mandatory standards and policies rela[ing to rnergy e�ciency which
aze confained in the state enerby conservation pfan issued in compliance with the Energy Policy and Conservation Act.
B. CLEAN WATER REOUIREMENTS
33 U.S.C.1251
Applicabilitv to Contracts
The Clean Water requirements apply to each coniract and subcontract which exceeds $100,000.
Flow Down
The Clean W a[er requirements flow down to FTA recipients and subrecipients at every tier.
Model Clause/Lan2uaee
While no mandatory clause is contained in the Federal Water Pollution Control Act, as amended, the following ]anguage developed by
FT'A contains all the manda[ory requirements:
Clean Water -(1) The Contractor agrees to comply vrith all applicable standazds, orders or regulations issued pursuant to Yhe Federa]
Water Pollution Control Act, as amended, 33 II.S.C. 1251 et s�. The Contraaor agrees to report each violation to the Purchaser and
understands and agrees that the Auchaser wi13, in turn, report each violation as required to assure notifica[ion to FI'A and the
appropriate EPA Regional Office.
(2) The Con[ractor also agrees to incFude [hese requirements in each subcontract exceeding $100,000 financed in whole or in part with
Federal assisiance provided by FTA.
C. LOBBYING
31 U.S.C.1352; 49 CFR Part 19; 49 CFR Part 20
Applicabilitv to Contracts
The Z.obbying requirements apply to Construction/Architectural and Engineering/Acquisition of Rolling Stock/Professional Service
ContracUOperational Service ContracUTurnkey contracts. .
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The Lobbying requuements mandate the maximum flow down, pwsuant to Byrd Anti-Lobbying Amendment, 3T U.SC. § 1352(b}(5)
and 49 C.F.R. Part 19, Appendix A, Section 7.
Mandatorv Clause/Laneuaee
Clause and specific language therein are mandated by 49 CFR Part 19, Appendix A.
Modifcations have been made to the Clause pursuant to Section 10 of the Lobbying Disclosure Act of 1995, P.L. 104-65 [to be
codified at 2 U.S.C. § 1601, et seq.]
- Lobbying Certification and Disclosure of Lobbying Activities for third party conVactors are mandated by 31 U.S.C. 1352(b)(5), as
amended by Secrion 10 of the Lobbying Disclosure Act of 1995, and DOT implementing re�ulation, "New Restricrions on Lobbying,"
at 49 CFR § 20110(d)
- Language in Lobbying Certification is mandated by 49 CFR Part I9, Appendix A, Section 7, which provides tha( contractors fite the
certification reqnired by 49 CFR Part 2Q Appendix A.
Modifications have been made [o the Lobbying CerEification pucsuant ro Section 10 of the Lobbying Disclosure Act of 1995.
- Use of "Disclosure of Lobbying Acrivities," Standard Form-IS L set forth in Appendix B of 49 CTR Part 2Q as amended by
"Govemment wide Guidance For New Restrictions on Lobbying," 61 Fed. Reg. 1413 (I/19/96) is mandated by 49 E:b'R Part 2Q
Appendix A.
Byrd Anti-Lobbying Amendment, 31 U.S.C. 1352, as amended by the Lobbyiag Disclosure Act of 1995, P.L.104-65 [to be
codiSed at 2 U.S.C. § 1601, et seq.] - Contractors who apply or bid for an awazd of $f00,000 or more shall file the certification
required by 49 CFR part 20, `New ResVicfions on Lobbying." Each tier certifies to the tier above that it will no[ and has not used
Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any
agency, a member of Congress, officer or employee of Congess, or an employee of a member of Congress in conneetion with
obtaining any Federal contract, �ant or any other award covered by 31 U.S.C. 1352. Each tier shall also disclose the name of any
registrant under the Lobbying Disclosure Act of 1995 who has made Iobbying contacts on its behalf with no�rFederal funds with
4
respect to that Federa] convact, �an[ or award covered by 31 U.S.C. 1352_
recipient_
��7-�g �-
MnDOT Convact No. 91103
Such disclosures are forwarded from tier to tier up to the
APPENDIX A, 49 CFR PART 20--CERTIFICATION REGaRDING LOBBYING
Certification for Contracts, Grants, Loans, and Cooperative Ageements
(To be submitted with each bid or offer exceeding $IOD,000}
The undersigned [Contractor) certifies, to the best of his or her Imowledge and belief, that:
(I) No Federat appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or
attempttnn to influence an officer or empIoyee of an agency, a Member of Congress, an ofFicer or employee of Congress, or an
empIoyee of a Member of Congress in connection with the awuding of any Federal contract, the making of any Federal grant, the
making of any Federai loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or
modification of any Federal contract, �ant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or wiIl be paid to any person for making lobbying contacts to an
officer or employee of any agency, a Member of Congress, an officer. or employee of Congress, or an employee of a Member of
Congess in connection with this Federal contract, gant, loan, or cooperative agreement, the undersigned shall complete and submi[
Standard Form--LLL, "Disclosure Form to Report Lobbying," in accordance with its instructioas [as amended by "Government wide
Guidance for New Restrictions on Lobbying," 61 Fed. Reg. 1413 ( I/19/96). Note: Language in paragraph (2) herein has been
modified in accordance with Section 10 of the Lobbying Disclosure Act of 1995 (P.L. 104-65, to be codified at 2 U.S.C_ 1601, et
seq.)]
(3) The undersigned shall require that the language of this certification be tncluded in [he awazd documents for all subawards at all
tiers (including subcontracts, subgrants, and contracts under gants, ]oans, and cooperative ageements) and ihat all subrecipients shalI
certify and disclose accordingly. .
This certification is a material representation of fact upon which reliance was placed when (his transaction was made or entered into.
Submission of this certification is a prerequisite for making or en[ering inTO this transaction imposed by 31, U.S.C. § 1352 (as
amended by the Lobbying Disclosure Act of 1995). Any person who fails to file ihe reqnired certification shal] be subject [o a civil
penalty of not less than $10,000 and not more than $I00,000 for each such failure.
[Note: Pursuant [0 31 U.S.C. § 1352(c)(1)-(2)(A), any person who makes a prohibited expenditwe or fails to file or amend a required
certification or disclosure form shall be subject to a civil penalty of not less than $1Q000 and not more than $100,000 for each such
expenditure or failure.]
The Contractor, , certifies or affirms the uvthfv}ness and acasacy of each statement of its certification and
disclosure, Sf any. In addirion, the Contractor understands and agrees that the provisions of 3I U.S.C. A 3801, et seg., apply to this
certification and disclosure, if any. -
Signature of Contractor s Authorized Official
Name and Title of Contractoi s Authorized OfficiaF
Date
D. ACCESS TO RECORDS AND REPORTS
49 U.S.C. 5325; 18 CFR 18.36 (i); 49 CFR 633.17
Applicabilitv to Contracts
Reference Chart "Requirements for Access to Records and Reports by Type of Contracts"
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FTA does not require the inclusion of these requaemenis in subconVacts.
Model Clause/L.an¢uage
The specified language is no[ mandated by the statutes or rewlavons referenced, but the fanguage provided pazaphrases the statutory
or regutatory language.
Access to Records - The following access fo records requirements apply to this Contract
I. Where the �urchaser is not a State but a local government and is the FTA Reciplent or a subgan[ee of the FTA Recipient in
accordance with 49 C.F.R. 1836(i), the Contractor agrees to provide the Purchaser, the F1'A Administrator, the Comptroller General
of the United States or any of their authorized representatives access to any books, documents, papers and records of [he Contractor
which are duectly pertinent to this contract for the purposes of making audiu, examinations, excerpts and transcrigtions. Contractor
also agees, pursuant to 49 C.F.R. 63317 to provide the FTA Administrator or his authorized representatives including any PMO
Ey
����ga-
MnDOT Contract No. 9I103
Contractor access to Contractoi s records and construction sites pertaining to a major capital project, defined at 49 U.S.C. 5302(a) 2,
which is receiving federai financial assisiance through the progams described at 49 U.S.C. 5307, 5309 or 5311_
2. Where the Purchaser is a State and is the F"FA Recipient or a subgaatee of the FTA Recipient in accordance with 49 CF.R.
633.17, Contractor agrees to provide the Purchaser, the FTA Administrator or his authorized representavves, induding any PMO
Contractor, access to the Contractor's records and construction sites pertaining to a major capital project, defined at 49 U.S.C.
5302(a)1, which is receiving federal financial assisiance throu�h the pro�ams described at 49 U.S.G 5307, 5309 or 5311. By
definition, a major capital project excludes con2racts of less ihan the simplified acguisition ttueshold currently set at $200,000.
3. Where the Purchaser enters into a negotiated contract for other than a small purchase or under the simpiified acquisition threshoid
and is an institution of hieher education, a hospital or other non-profit organization and is the FTA Recipient or a sub�antee of ihe
FTA Recipient in accordance with 49 CPR. 19.48, Contractor agees to provide the Purchaser, FI'A Administrator, the Comptro{ler
General of the United States or any of their duly authorized representarives with access to any books, documents, papers and fecord of
the Contractor which are direcdy pertinent to this canVaM for the pvrposes of making audiis, e�minations, excerpts and
transcriptions.
4. Where any Purchaser which is the FI'A Recipient or a subgantee of the FTA Recipient in accordance with 49 U.S.C. 5325(a)
enters into a contract for a capital project or improvement (defined at 49 U.S.C. 5302(a)I) through other than competitive bidding, the
Contractox shall make available records reIated to the conhact to [he Purchaser, the Secretary of Transportation and the Comptrolter
General or any authorized officer or employee of any of them for the purposes of conducting an audit and inspection.
5. The Conuactor agees to permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and
transcriptions as reasonably needed.
6. The Con7actor agrees to maintain all books, records, accoun[s and reports required under this contract for a period of not less [han
tluee yeazs afrer the date of termination or expiratioa of this contract, except in the event of litigation or settlement of cIaims arising
from the performance of.this contract, in which case ConVactor agees to maintain same until the Purchaser, the FTA Administrafor,
the Comptroller General, or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or
exceptions related thereto. Reference 49 CFR 18.39(i)( I I).
7. FTA does not require the inclusion of these requirements in subcontracts.
Requirements for Access to Records and Reports by Types of Contract
� Contract � �;. �, . � . . , . . «�.-.. � .,� . .�.. .,...
� Characterisfic ':. � � �. � � � � - _
s '"
�: -
,� ,� f
_ .� - --- �,-
� I State Grantees
i � None Those , None - None . None None
a. Conffacts imposed on
; below SAT state pass thru �
'($100,000) ��: None [o ConVactor Yes, lf non- None unless None unless � None unless '
unless� , competitive � non- - non- ( non-
b. Contracts non- awazd or if competitive ; competitive i competitive
above competitiv funded tttru awazd � awazd award
$100,000/Capit e awazd 5307(5309/5
al Pro}ects ' 311
i II Non State
Grantees � Those
i
v Yes � imposed on � Yes , Yes Yes Yes
a. Contracts '
non-state
' below SAT ��. Yes Grantee pass � Yes Yes ' Yes � Yes
($100,000) ttw to
b. Contracts Contractor
above
$200,000/Capit
al Projects
Sources of Authority:
1 49 USC 5325 (a}
Z 49 CFR 633.17
3 18 CFR 1836 (iJ
E. FEDERAL CHANGES
49 CFR Part 18
Applicabilitv to Contracts
The Federal Changes requirement applies to all comracts.
MnDOT Convact No. 91203 �/'/O i�'
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The Federai Changes requirement flows down appropriatety to each applicable changed requirement.
Model Clause/Lanauage
No specific 3angvage is mandated. The following ]ana age has been developed by FTA.
Federal Changes - Contractor shall at al] times comply with aIl applicable FTA regulaUOns, policies, procedures and duectives,
including witho¢t lunitation those listed direcUy or by reference in the Master Agreement between Aschaser and FTA, as they may be
amended or promulgated from time to rime during the term of this contract. Con�acFOr s failure to so comply shall constitute a
material breach of this contract
F. CLEAN AIR
42 U.S.C. 7401 et seq; 40 CFR 15.61; 49 CFI2 Part 18
App&cabilitv to Contracts
The Clean Air requuements appiy to all contracts exceeding $100,000, including indefinite quanrities where the amount is exputed to
exceed $100,000 in any year.
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The Clean Air reguirements flow down to all subcontracts which exceed $100,000.
Model ClauseslLaneua¢e
No specific language is required. FTA has proposed the following language.
Clean Air -(I) The Contractor agees to comply with all applicahle standazds, orders or regulations issued pursuant to the Clean Air
AM, as amended, 42 U.S.C. §§ 7401 et seg. The Contraaor agees to report each violation to the Purchaser and understands a�d
agrees tha[ ihe
Pwchaser wi71, in turn, report each violation as required to assure nolification to FI'A and the appropriate EPA Regional Office.
(2) The Contrac[or also agees to include these reguirements in each subcontract exceeding $100,000 financed in whole or in part with
Federal assistance provided by FTA.
G. NO GOVERNMENT OBLIGATION TO THIRD PARTIES
AualicabIlitv to Contracts
Applicable Eo all conhacts.
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Not required by statute or regulation for either primary contractors or subcontractors, this concept shonld flow down to all ]evels to
clarify, to all parties to the contract, that the Federal Government dces not have contractual liability to third parties, absent specific
written consenf.
Model Clause/Lan¢uage
While no specific language is required, FI'A has developed the following language.
No Obligation by the Federal Government
(1) The Purchaser and Contractor acknowledge and agree that, notwithstanding any concurrence by the Federal Govemment in or
approva] of the solicitation or award of the underlying contract, absent the express written consen[ by the Federal Govemmen[, [he
Federal Government is not a party to this con[ract and shall not be sub}ect to any obligations or Fiabiliries to the Purchaser, Contractor,
or any other party (whether or not a party to ihat contract) pertaining to any ma[tez resulting from the underlying contract.
(2) The Conhactor agees to include the above clause in each subcontract financed in whole or in pazt with Federal assistance
provided by F'FA. It is fmtl�ez agreed that the c]ause shaII not be modified, except to ic3entify the sabcon[ractor who wili be subject to
its provisions.
A. PROGRAM FRAUD AND FALSE OR FRAUDULENT STATEMEN'I'S
AND RELATED ACTS
31 U.S.C. 3801 et seq.; 49 CFR Part 31 28 U.S.C. 1001; 49 U.S.C. 5307
Apnlicabilitv to Contracts
These reqnirements aze applicable [o all contracts.
Flow Down
These requirements flow down to contractors and subcontractors who make, present, or submit covered claims and statements.
Model ClavselLanma2e
These requirements have no specified language, so FI'A proffers the following language.
Program Fraud and FaLse or Fraudulent Statements or Related Acts.
(1} The Contractor acknowledges that the provisions of the Progam Fraud Civil Remedies AcE of 1986, as amended, 31 U.S.C. § 3801
e[ s�. and U.S. DOT regularions, "Program Frand Civil Remedies," 49 C.F.R. Part 31, apply to its actions pertaining to this Project.
Upon execution of the underlying contract, the Contractor certifies or affirms the truthfulness and accuracy of any statement it has
made, it makes, it may make, or causes to be made, pertaining to the underlying convact or the FTA assisted project for which this
contract work is being performed. In addition to other penalties that may be applicable, the Contractor furtfier acknowledges that if it
MnDOT ContraM No. 97103 v � ' � ��
makes or causes to he made, a false, fictirious, or fraudulent claim, statement, submission, or certification, the Federal Government
reserves the ri�ht to impose the penalties of the Pro�am Fraud Civi]
Remedies Act of 1986 on the Contractor to the extent Ehe Federaf Govemment deems appropriate.
(2) The Conuactor aiso acknowledges ihat if it makes, or causes to be made, a false, ficiitious, or fraudulent claim, statement,
submission, or certification to the Federal Govemment under a convact connected with a projut that is financed in who]e or in part
with Federal assistance originally awazded by FI'A under the authoriry of 49 U.S.C. §�307, the Government reserves the ri�ht to
impose the penalties of 18 U.S.C. § I001 and 49 U.S.C. § 5307(n)(1) on the Contractor, to the extent the Federal Government deems
appropriate.
(3) The Contractor a�ees to inc]ude the above two clauses in each subcontract financed in whole or in part with Federal assistance
provided by FTA. It is fisther ageed that the c2auses shail not be modified, except to identify the subconvactor who will be subject to
the provisions.
I. TERMINATION
49 U.S.C. Part 18; FTA Cirrnlar 42201E
Applicabilitv to Contracts
All con[racts (with the excepuon of contracts wiih nonprofit organizations and institutions of higher education,) in excess of $10,000
shall contain suitable provisions for [ermination by the graritee including Ehe mammer by which it will be effected and the basis for
se[tlement (For contracts with nonprofit organizations and insti[utions of higher edeication the threshold is $100,000.) In addition,
such conVacts shall describe conditions under which [he contract may be terminated for default as well as conditions where the
contract may be terminated because of circumstances beyond the control of the contrac[or.
Flow Down
The terznination requirements flow down to all contracts in excess of $1Q000, with the excepaon of contracts with nonprofit
organizations and institutions of higher learning.
Model Clause/Laneuaqe
FTA does not prescribe the form or conten[ of such clauses. The following aze suggestions of clauses to be vsed in different types of
contracts:
a. Termination for Convenience (General Provision) The (Recipient) may terminate this contract, in whole or in part, a[ any [ime
by written notice to the Contractor when it is in the Govemment's best interest. The Contractor shall be paid its costs, incIuding
contract close-out cosLS, and profit on work petformed up to the time of termination. The Contrac[or shall promptly submit its
termination claim to (Recipient) to be paid the Contractor. If [he ConVactor has any property in its possession belonging to the
(Reciptent), the Contractor will account for the same, and dispose of it in the manner the (Recipient) directs.
b. Termination for Default [Breach or Cause] (General Provision) If fhe Contractor does not deliver supplies in accordance with
the contract delivery schedule, or, if the contract is for services, the Contractor fails to perform in the manner called for in the contract,
or if the Contractor fails to comply with any other provisions of [he contrac[, the (Recipient) may terminate this contract for default.
Termination shall be effected by serving a notice of termination on the contractor setting forth the manner in which the Contractor is
in default. The contractor wil] only be paid the contract price for supplies delivered and accepted, or services performed in accordance
with the manner of performance set forth in the contract.
If it is later determined by the (Recipient) that the Contractor had an excusable reason for not perforzning, such as a shike, fire, or
flood, events which are not the fault nf or are beyond the control of the Contractor, the (Recipient), after setting up a new delivery of
performance schedule, may allow the Contractor to continue work, or treat the termination as a temunation for convenience.
c. Opportunity to Cure (Genera! Provision) The (Recipient) in its sole discretion may, in the case of a termination for breach or
defaui[, allow the ConVactor [an appropriately short period of Ume] in which to cure the defect. In such case, the notice of terminalion
will state the time period in which cure is permitted and other appropriate conditions
If ConVac[or fails [o remedy to (Recipient)'s satisfactlon the breach or default of any of the [erms, covenants, or conditions of this
Contracf within [ten (10) days] after receipt by Contractor of wriften notice from (Recipient) setiing forth the nature of said breach or
default, (Recipient} shall have the right to terminate the Contract withou[ any further obligation to Contraetor. Any such terminakon
for default shall not in any way operate to preclude (Recipient) from also pursuing all available remedies against ConVac[or and its
sureties for said breach or default.
d. Waiver of Remedies for any Breach In the event that (Recipient) elects to waive its remedies for any breach by Contractor of any
covenant, term or condition of this Contract, such waiver by (Recipien[) shal] not limit (Recipient)'s remedies for any succeeding
breach of that or of any other term, covenant, or condiuon of this Contract.
e. Terminafion for Convenience (Ptofessiona] or Transit Service Contracts) The (Recipient), by vmtten notice, may terminate
this contract, in whole or in part, when it is in the GovernmenYs interest. If this contract is temilnated, the Recipient shall be Iiable
only for payr,�ent under the payment provisions of ihis contract for services rendered before U:e effect;ve date of termination.
f. Termination for Default (Supplies and Service) If the Contractor faiIs to deliver supplies or to perform the services within the
time specified in this contract or any extension or if the Contracior fails to comply with any other prov9sions of This contract, the
(Recipient) may terminate this contract for default. The (Recipient) shall terminate by delivering to the Conuactor a Notice of
Temunation specifying the nature of the defaul[. The Contractor will only be paid the con[ract price for supplies delivered and
accepted, or services performed in accordance with the manner or performance set forth in this contrac[.
If, after termination for faiiure to fulfill contract obligations, it is deternvned that the Contractor was not in default, the righ[s and
obligations of the parties shall be the same as if the termination had been issued for the convenience of the Recipient.
0
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MnDOT Connact No. 91103
g. Termination for Default (Transportafion Serrices} If the Contractor fai}s to pick up the commodities or to per€orm the services,
including delivery services, within the time specified in this contract or any extension or if the Convactor fails .o comply with any
other provisions of this contract, the (Ruipient) may terminate this contraa for default The (Recipient) shall terudnate by deliverin�
to the Convactor a Notice of Ternunation specifying the nanae of default_ The Contractor wi11 only be paid the contract price for
services performed in accordance with the manner of performance set forth in this contrac[.
If thSs conVact is terminated while the Contractor has possession of Recipient goods, the Contractor shail, upon direcrion of the
(Recipient), protect and preserve the goods until surrendered to the Recipient or its a�ent. The Contractor and (Recipient) shall agee
on payment for the preservation and protecuon of goods_ Failure to a�ee on an amount will be resolved under the Dispute clause.
If, afrer termination for fai]ure to fiilfill contract obligarions, it is determined that the Contractor was not in default, the rights and
obiigations of the parties shall be the same as if the termination had been issued for the convenience of the (Recipient).
h. Termination for ➢efault (Consfmction} If the Contraaor refuses or fails to prosecute the work or any separable part, w�ith the
di]igence that will insure iis complecion within the time specified in this contract or any extension or fails to complete the work within
this time, or if the Contractor fails ro comply with any other provisions of this contract, the (Recipient) may term3nate this contract for
default. The (Recfpient) shall terminate by delivering to the Contractor a Notice of Te�mination specifying the nature of the default.
In this event, the Recipient may iake over the work and compete it by contract or otherwise, and may take possession of and nse any
materials, appliances, and plant on the work site necessary for completing the work. The Contractor and iu sureties shal] be liable for
any damage to the Recipient resulting from the Contractor's refusal or failure [o complete the work within specified time, whether or
not the Contractor's right to proceed with the work is temvnated_ This liability includes any increased wsts incurred by the Recipient
in compteting the work. -
The Contractor's right to prceeed shall not be ternilnated nor the Contractor chazged with damages under this ciause if-
I. the delay in completing the work arises from unforeseeable causes beyond the control and without fhe fault or negligence of the
Contractor. Examples of such causes include: aczs of God, acts of the Recipient, acts of another Convactor in the performance of a
convact w3[h the Recipient, epidemics, quazantine restrictions, strikes, freight embargoes; and
2. the conVactor, within [10] days from the beginning of any delay, notifies the (Recipient} in writing of the causes of delay. If in the
}udgment of the (Recipient), the delay is excusable, ihe time for completing the work shall be extended. The judgment of the
(Recipient) shall be final and conclusive on the parties, but subject to appeal under the Disgutes clauses.
If, afrer terrztination of the Contractor's right to proceed, it is determined that the Contractor was not in default, or that the delay was
excusable, the rights and obligations of ihe parties will be the same as if the termination had been issued for the convenience of the
Recipient.
i. Ternvnation for Convenience or Default (A['chitect and Engineering) The (Recipient) may terminate this contract in whole or
in part, for the RecipienPs convenience or because of the failure of the Contractot to fulfill the contrac[ obligations. The (Recipient)
shall terminate by delivering to the Contractor a Notice of Termination specifying [he nature, extent, and effective date of the
termination. Upon receipt of the notice, the Convactor shall (1) immediately discontinue all services affected (unless the no[ice
directs o[�erwise}, and (2) deliver [o the Contracting Officer all data, drawings, specifica[ions, reports, esrimates, summaries, and
other information and materials accumula[ed in performing this contract, whether completed or in process.
If the termination is for the convenience of the Recipient, the Contracting Officer shall make an equitable adjustment in the contract
price buE shall allow no anticipated profit on unperformed services.
If the termina[ion is for failure of the Conhactor to fulfill the contract obligafions, [he Recipient may complete the work by contact or
o[herwise and the Contractor sha11 be 3iable for any additional wst incurred by the Recipient.
If, after termination for failure to fulfill contract obligations, it is determined that the ConVactor was not in defaul[, [he righES and
obligations of the parties shall be the same as if [he termination had been issued for the convenience of the Recipient.
j. Temunation for Convenience of Default (Cost-Type Contracts) The (Recipient) may terminate [his contract, or any portion of
it, by serving a notice or termination on the Contractor. The notice shall state whether [he termination is for convenience of the
(Recipient) or for the defauft of the Contractor. If the temunation is for default, the notice shaIl state the manner in which the
conVactor has failed to perform the requirements of the contract. The Contractor shall account for any property in its possession paid
for from funds received from the (Recipient}, or property supplied to the Contractor by the (Recipient). Ff the termination is for
default, the (Recipient) may fix the fee, if the con7act provides for a fee, to be paid the contractor in proportion to the value, if any, of
work performed up [o the time of termination. The Contractor shall prompUy submit its termination claim to the (Recipient) and the
parties shal] negotiate the termination seffiement to be paid the Contractor.
If the terzn3nation is for the convenience of the (Recipient), the Contractor shall be paid its contract close-ou[ wsts, and a fee, if the
contract provided for payment of a fee, in proportion to the work performed up to the time of termination.
If, afrer serving a notice of termination for defanit, the (Recipieni) detennines that the Contractor has an exwsable reason for no[
performing, such as strike, fire, flood, events wnich are not the fault of and are beyond the control of the Contractor, the (Recipient},
after setting up a new work scfiedule, may allow the Contractor to continue work, or treat the termination as a termination for
convenience.
J- GOVERNMENT-WIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT)
Backeround and Anplicabilitv
9
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MnDOT Contract No. 91103
In conjunction with the Office of Management and Bud�et and other affected Federa] agencies, DOT published an update to 49 CFR
Part 24 on November 26, 2003. This eovernment-wide regulation implements Executive Order 12549, Debarment and Suspension,
Execudve Order 12689. Debannent and Suspension, and 31 U.S.C. 6101 note (Secrion 2455, Public Law 103-355, 108 Stat. 3327).
The provisions of Part 29 appiy to all gsantee contracu and subcontracts at any ]evel expected to equal or exceed $25,000 as well as
any contract or subconvact (at any level) for Federally required auditin� services. 44 CFR 29.220(b). This represents a chan�e from
prior practice in that the dotlar ttueshold for application of these niles has been lowered from $1Q0,000 to $25,000. These are
contracts and subconvacu referred to in the ren lavon as `covered transactions"
Grantees, contractors, and subconttacEOrs (at any Ievel) that enter into covered transactions are required to verify that the entity (as
well as iis principals and affi]iates) they propose to contract or subcontract with is not excluded or disqualified. They do this by (a)
Checking the Excluded Parties List System, (b) Collecting a certificaUOn from that person, or (c) Adding a clause or condition to the
contract or subcontract. This represents a change from prior practice in that certificalion is sti11 acceptahle b¢t is no longer required.
49 CFR 29.300.
Cnantees, convactors, and subcontractors who enter in[o covered transactions also must reqtire the entities they contract with to
comply with 49 CFR 29, subpart C and include this requirameni in their own subsequent covered transactions (i.e., the requirement
flows down to subcontracu at all leve]s).
Clause Lanaua¢e
The following clause language is sugges[ed, not mandatory. It incorporates the optional method of verifying that contracrors are not
excluded or disqualified by certification.
Suspension and Debarment
This convact is a covered transaction for purposes of 49 CFR Part 24. As such, the contractor is required to verify
that none of the conVactor, its principals, as defined at 49 CFS2 29.995, or affiliates, as defined at 49 CFR 29.905,
aze exc]uded or disqualified as defined at 49 CFR 29.940 and 29.945.
The contractor ls required to comply with 49 CFR 29, Subpart C and must include the requirement to comply with
49 CFR 29, Subpart C in any lower tier covered hansaction it en[ers into.
By signing and submitting its bid or proposal, the bidder or proposer certi$es as follows:
The certification in this clause is a material representation of fact relied upon by {insert agency name}. If it is later
deiermined 6hat the bidder or proposer knowingly rendered an erroneous certification, in addition [o remedies
available to {insert agency name}, the Federal Government may pursue avaiIable remedies, including but not
limited to suspension andlor debazment. The bidder or proposer agees to comply with the requirements of 49 CFR
29, Subpart C while this offer is valid and throughout the period of any contract that may arise from this offer. The
bidder or proposer fiFrtlier agrees to include a provision requ'v such compliance in its ]ower tier covered
ffansactions.
K. CIVIL RIGHTS REOUIREMENTS
29 U.S.C. § 623, 42 U.S.C. § 2000; 42 U.S.C. § 6102, 42 U.S.C. § 12112
42 U.S.C. § 12132, 49 U.S.C. § 5332; 29 CFR Part 2630, 41 CFR Parts 60 et seq.
Applicabilitv to Contracts
The Civil Rights Requirements apply to all contracts.
Flow Down
The Civil Rights requirements flow down to all third party convactors and their contracts at every tier.
Modei Clause/LaneuaQe
The following clause was predicated on ]anguage contained at 49 CFR Part 19, Appendix A, but FTA has shortened the lengthy text.
Civi1 Rights - The folIowing requirements apply to the underlying contract: .
(I) Nond'tscrimination - In accordance w3th Tide VI of the CiviI Rights Aet, as amended, 42 U.S.C. § 2000d, section 303 of the Age
Discrimination Act of 1975, as amended, 42 U.S.G § fi102, sution 202 of the Americans with Disabilities Act of 1990, 42 U.S.C. §
12132, and Federal transit law at 49 U.S.C. § 5332, the Contractor agrees that it wiIl no[ discriminate against any employee or
applicant for employment because of raee, color, creed, naEional orlgin, sex, age, or disability. In addition, the Contractor agees to
comply with applicable Federa] implementing reguIations and other implementing reqairements FI'A may issue.
(2) Equal Emolovment Onoartuniiv - The following equal employment opportnniry reqnirements apply to the underlying contract:
(a) Race. Color. Creed, Nationa3 Oriein Sex - In accordance wi[h Tifle VII of the Civil Rights Act, as amended, 42 U.S.G § 2000e,
and Federal transit laws at 49 U.S.C. §�332, the Contractor agrees to compty witlt alt appIicable equal emptoyment opportunity
requuements of U.S. Depaztment of Labor (U.S. DOL) regulations, "Office of Federal Contract Compliance Proa ams, Equal
Employment Opportunity, Departrnent of Labor," 41 C.F.R. Parts 60 et seg., (which implement Execulive Order No. 11246, "Equal
Employment Opportunity," as amended by Executive Order No. 11375, "Amending Executive Order 11246 Relating to Equal
Employment Opportuniry," 42 U.S.G § 2000e note), and with any applicable Federal s[atutes, executive orders, regulations, and
Federal policies that may in the future affect construcrion activities undertaken in the couzse of the Projec[. The Contractor agees to
take affirmative action to ensure fhat applicants aze empfoyed, and that employees are treated during employmenf, withou[ regard to
their race, color, creed, national origin, sex, or age. Such action shall include, b¢t not be limited to, [he following: employmen[,
10
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MnDOT Contract No. 9I103
up�rading, demotion or transfer, recruitment or recruitment advertising layoff or terminadon; rates of pay or other forms of
compensation; and se}ection for. Vainin� includin� apprenticeship. In addition, the Connactor agees to compTy with any
implementin� requirements FTA may issue. � "
(b) A¢e - In accordance with section 4 of the Age Discrimination in Employment Act of 1967, as amended, 29 U.S.C. §§ 623 and
Federal Vansit law at 49 U_S:C. § 5332, the Convactor a�ees to refrain from discrimination against present and prospective
employees for reason of a2e. In addition, the Contractor a�ees to comply with any unpiementing requuements F£A may issue.
(c) Disabilities - In accordance with section 102 of the Americans with Disabilities Act, as amended, 42 U_S.C. § 12112, the
Conuactor a�ees [hat it wiI] comply with the requirements of U.S. Equai Employment Opportunity Commission, "Regularions to
Implemeni the Equa1 Employment Provisions of Yhe Americans with Disabilities Act," 29 CF.R. Part 163Q pertaining to empIoyment
of persons with disabilities. In addition, the Contractor a�ees to comply with any implemeniing reguirements FTA may issue.
(3) The Contractor atso agees Eo include these requ'uements in each subcontract financed in whole or in part with Federal assistance
provided by FI'A, modified oniy if necessary to identify the afFected parties.
L. DISADVANTAGED BUSINESS ENTERPRISE (DBE)
49 CFR Part 26
BackQround and Anplicabilitv
The newest version on the Department of Transportation's Disadvantaged Business Enterprise (DBE) program became effective 3uly
16, 2003. The r¢le provides guidance to �antees on the use of overall and contract goals, requuement to include DBE provisions in
subcontracts, evaluating DBE participation where specific contract goals have been set, reporting requirements, and replacement of
DBE subcontractors. Additionafly, the DBE program dictates payment terms and conditions (including limitations on retainage)
applicable io all subcontractors regardless of whether they are DBE firms or not.
The DBE program applies to all DOT-assisted contracting activities. A formal clause such as that below must be included in atl
contracts above the micro-purchase level. The requirements of clause subseMion b flow down to subcontracts.
A substanUal change to the payment provisions in this newest version of Part 26 concerns retainage (see section 26_29}. Grantee
choices conceming retainage sho�ld be reflected in the language choices in clause subsecrion 8.
Clause Lan¢uaae
The following clause ]angnage is suggested, not manda[ory. It incorporates the payment terms and conditions appticable to all
subcontractors based in Part 26 as well as those related only to DBE subcontractors. The suggested language aIlows for the opUOns
available to grantees concerning retainage, specific contract goals, and evaluation of DBE subcontracting participation when specific
contract goals have been established. ,
Disadvantaged Business Enterprises
a. This conhact is subject to the requirements of Tifle 49, Code of Federal Regulations, Part 26, Participation by Disadvaniaged
Business Enterprises in Department of Transponation Financial Assistance Progra»u. The national goal for participatlon of
Disadvantaged Business Enterprises (DBE) is 10%. The agency's averaII goal for DBE participation is _%. A separate contract
goal [of _% DBE particepation has] @as not] been established for this procurement.
b. The conVactor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contraa. The
contractor shatl cazry out applicable rec}uirements of 49 CFR Part 26 in the awazd and administration of tivs DOT-assis[ed contract.
Failure by the wnVactor to carsy out these requirements is a material breach of this contract, which may result in the termination of
this confract or such other remedy as {insert agency name} deems appropriate. Each subcontract the conhactor signs with a
subcontractor must inctude the assurance in this paragaph (see 49 CFR 26.13(b)).
c. {If a separate conbact goal has been establirhed, use the fodtowing} Bidders/offerors aze required ro document sufficient DBE
participation to meet t[iese goals or, altematively, documen[ adequate good faith efforts to do so, as provided for in 49 CNR 26.53.
Award of Ehis contract is conditioned on submission of the following [concurrent with and accompanying sealed bid] [concurrent
with and accompanying an imtial proposal} [prior to awardj: "
1. The naznes and addresses of DBE fums that will participafe in this contract;
2. A descrip[ion of the work each DBE will perform;
3. The doHaz amount of the participation of each DBE firxn participating;
4. Written documentation of the bidder/offeror's commitment to use a DBE snbconRactor whose parEicipation it submits to meet
the contract goal;
5. WritYen confirmation from [he DBE [hat it is par[icipating in the contract as provided in the prime contractor's commitment; and
6. If the contract goat is not met, evidence of good faith efforts to do so.
[Bidders][Offerorsj mnst present the information required above [as a matter of responsaveness} [with initial proposals] [prior to
wntract award] (see 49 CFR 26.53(3)). ,
11
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MnDOT Contract No. 91103
{If no separaie contracf goal has been established, use ihe followingj The successful bidder/offeror will be required to report its
DBE participation obsained through race-neuval means throughout the period of performance.
d_ The connactor is required to pay its subcontractors performin� work re]ated to this contract for satisfaciory performance of that
work no later than 30 days afier the contractor's receipt of payment for that work from the {inserf agency name}. In addition, [the
contractor may not hold retainage from its subcontracYOrs.) (is required to retum any retainage payments to those
subcontractors within 30 days after the subcontractor's work related to this contract is satisfactorily completed.j [is required
to return any retainage payments to those subcontraMOrs within 30 days after incremental acceptance of tLe subcontractor's
work by the {insert agency name} and contractor's receipt of the parEial retainage payment related to the subcontractor's
worlc_j
e. The contrac[or must promptly notify {insert agency name}, whenever a DBE subcontractor perforzning work related to this
contract is terminated or fails to complete its work, and must make good faith efforts to engage another DBE subconuactor to
perform at least the same amount of work. The contractor may not terminate any DBE subcontractor and perform that work
through its own forces or those of an affiliate without prior written consent of {insert agency name}.
M. INCORPORATION OF FIDERAL TRANSIT ADMINISTRATION (FTA) TERMS
FTA Circular 4220.1E
Anplicabilitv to Contracts
The incorporation of FI'A terms appFies to a11 convacts.
Flow Down
The incoiporation of FI'A terms has unlimited flow down.
Model ClauseiLaneuaee
FTA has developed the following incorporation of [erms language:
Incorporation of Federal Transit Administration (FTA} Terms - The preceding provisions include, in part, certain S[andazd Terms
and Conditions required by DOT, whether or not expressly set forth in the preceding contract provisions. All contractual provisions
required by DOT, as set forih in F1'A Circulaz 4220.1E, are hereby incorporated by reference. Anything to the conVary herein
notwithstanding, all FPA mandated terms shall be deemed to control in tUe event of a conflict with other provisions contained in this
Agreement The Contractor shall no[ perform any act, fail to perform any act, or refuse to comply with any (name of grantee) requests
which would cause (name of grantee} to be in viola[ion of the FTA terms and conditions.
N. BUY AMERICA REOUIREMENTS
49 U.S.G 5323(j); CFT2 Part 661
Applicabilitv to Contracts
The Buy America requirements apply to the fotlowing types of contracts: ConsWction ConVacts and Acquisition of Goods or Rolling
S[ock (vatued at more than $]00,000). -
Flow Down
The Buy America requirements flow down from FTA recipients and subrecipients to frrst tier contractors, who aze responsible for
ensuring that lower tier contractors and subcon2ractors aze in compliance. The $1OQ000 [hreshold applies only to the gantee contrac[,
subcontracts under that amount are subjec[ to Buy America.
Mandatorv Clause/Laneua2e
The Buy America regularion, at 49 CFR 661.13, requires noUfication of [he Buy America requirements in FTA-funded contracts, but
does nat specify the language to be used. The following language has been developed by FTA.
Buy America - The contractor agrees to comply with 49 U.S.C. 5323(j) and 49 C.F.R. Part 661, which provide tha[ Federal funds may
not be obligated unless sieel, iron, and manufactured products used in FTA-funded projects aze produced in the United States, unless a
waiver has been granted by FFA or the product is subject to a genera] waiver. General waivers ue listed in 49 C.F.R. 661.7, and
include finaf assembIy in the United States for 15 passenger vans and 15 passenger wagons produced by Chrysler Corporation, and
microcomputex equipment and softwaze. Separate requirements for rolling stock aze set out at 49 U.S.C. 5323(}}(2)(C) and 49 C.F.R.
661.11. Rol$ng stock must be assembled in the United States and have a 60 percent domestic content.
A bidder or offeror must submit Eo che FI'A recipient the appropriate Buy America certifrcation (below) with alI bids or offers on
FI'A-fundzd contracts, except those subject to a general waiver. Bids or offers that are not accompanied by a completed Buy America
certification must be rejected as nonresponsive. This requirement does not apply to lower tier subcontractors.
Certificafion requirement [or procurement of steel, iron, or manufactured products. .
Certificate of Compliance with 49 U.SC. 5323(j)(I )
IZ
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MnDOT Convact No. 91103
The bidder or offeror hereby certifies thai it will meet the requirements of 49 U.S.C. 5323(j)Q) and the appiicable regulations in 49
C.F.R. Part 66 L5.
Date
Signature
Company Name
TiUe
Certificate of Non-Compliance with 49 U.S. C. 5323(j)(1) �
The bidder or offeror hereby certifies that it cannot comply with the requirements of 49 U.S.C. 5323(j)(1) and 49 C.F.R. 661.5, but it
may qualify for an exception pursuant to 49 U.S.C. 5323(j)(2)(A), 5323(j}(2)(B), or 5323(j)(2)(D), and 49 C.F.R. 661.7.
Date
Signature
Company Name
Title
Certification reqnirement for procurement of buses, other rolling stock and associated equipment
Certificate of Comptiance with 49 U.S.C. 5323(j)(2)(C).
The bidder or offeror hereby certifies Ihat it will comply with the requirements of 49 U_S.C. 5323(j)(2)(C) and the regulaUOns at 49
C.F.R. Part 661.I 1.
Date
Sigpature
Company Name
Title
Cenificate ofNon-Comptiance with 49 U.S.C. 5323(j)(2)rC)
The bSdder or offeror hereby certifies that it cannoi comply with the requirements of 49 U.S.C. 5323(j)(2)(C) and 49 C.F.R. 661.11,
but may qua3ify for an excepuon pursuant Yo 49 U.S.C. 5323(})(2)(A}, 5323(j)(2)(B), or 5323(j)(2)(D), and 49 CFTt 661.7.
Date
i
Signafure
Company Name
Tide
O. SIISMIC SAFETY REOUIREMENTS
42 U.S.C. 7701 et seq.; 49 FR Part 41
Applicabiiitv to Contracts
"f"he Seismic Safety requirements apply only to contracts for the construc[ion of new buildings or additions to existing buildings.
Flow Down
The Seismic Safety requirements flow down from FI'A recipients and subrecipients to first tier conVactors to assure compliance, with
the applicable building standards for Seismic Safery, including the work performed by all subcontractors.
13
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MnDOT Convact No. 91103
Modei Clai�se_s/I.aneua2e
The regulations do not provide suggested langua�e for third-party contract clauses. The followine langua�e has been developed by
FTA.
Seismic Safety - The conffactor a�ees that any new b¢ilding or addition to an existing buildin� will be desi�ned and constructed in
accordance with the standazds for Seismic Safety required in Depariment of Transportation Seismic Safety Regu]ations 49 CFR Part
41 and wiI] certify io comp]iance to the extent reqused by the re�ulatSon. The convactor also a�ees to ensure that all work performed
nader this contract including work performed by a snbcomractor is in compliance with the standards required by the Seismic Safety
Regulations and the certification of compliance issned on the project.
P. DAVIS-BACON AND COPELAND ANTI-KICKBACK ACTS
Back2round and Anp3ication
The Davis-Bacon and Copeland Acts aze codified at 40 USC 3141, et seg. and 18 llSC 814. The Acts apply to grantee construction
contracts and subeontracts that "a[ least partly are financed by a loan or gant from the Federa} GovemmenC" 40 USC 3145(a), 29
CFR 52(h), 49 CFR 1836(i)(5). The Acts apply to any construction contract over $2,000. 40 USC 3I42(a), 29 CFR 5.5(a).
`Construction,' for purposes of the Acts, includes "actual consVUCtion, alteration and/or repair, including painting and decorating." 29
CFR SS(a). The requirements of bot6 Acts aze incorporated into a single clause (see 29 CFR 3.11) enumerated at 24 CFR 5.5(a) and
reproduced below.
The clause ]anguage is drawn direcUy from 29 CFR 55(a) and any deviation from the model clause below should be coordinated with
counsel to ensure the Acts' requirements are satisfied.
Clause Lan¢ua¢e
Davis-Bacon and Copeland Anti-Kickback Acts
(1} Minimum wages -(i) All laborers and mechanics employed or working upon the site of [he work (or under the United States
Housing Act of 1937 or under the Housing Act of T949 in the construction or development of the project), will be paid
unconditionally and not less ofren than once a week, and without subsequent deduction or rebate on any account (except such payroll
deductions as aze perznitted hy regulations issued by the Secretary of Labor under the Copeland Act (29 CFR part 3)), the full amount
of wages and bona fide fringe benefits (or cash equivalents thereofl due at time of payment computed at rates not ]ess than those
contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any
contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics.
Contributions made or costs reasonably anticipated for bona fide fringe benefits under section I(b)(2) of the Davis-Bacon Act on
behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of pazagaph (1)(iv)
of this section; also, regular contributions made or costs incurred for more than a weekly period (bnt not less often than quarterly)
under plans, funds, or prograzns which cover the particular weekly period, are deemed to be consWC[ively made or incurred during
such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on [he wage
determinaIIOn for the classification of work actnally performed, without regard to skill, except as provided in 29 CFR Part 5.5(a}(4).
Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each
classificarion for the time actuaIly worked therein: Provided, That the employer's payroll records accuratefy set forth the time spen[ in
each classification in which work is performed. The wage determination (including any additional classifications and wage rates
conformed under paragraph (1)(il) of this section) and ihe Davis-Bacon poster (WH-1321) shall be posted at all times by the ,
contractor and i[s subconVactors at the site of the work in a prominent and accessible place where it can be easi3y seen by the workers.
(ii)(A) The contracting officer shall require [hat any class of laborers or muhanics, inclading helpers, which is not listed in the wage
deterntination and which is to be employed ruider the contract sha}1 be cfassified in conformance with the wage detemunation. The
contrac[ing officer shalI approve an additional classification and wage rate and fringe benefits fherefore only when the following
criteria have been met
(1) Except with respec[ to helpers as defined as 29 CFR 52(n}(4), the work to be performed by the classification requested is not
performed by a classification in the wage determinarion; and
(2) The classification is utilized in [he area by the construction industry; and
(3) ?he proposed wage rate, including any bona fide fringe benefits, bears a reasonabie relationship to the wage rates contained in the
wage determination; and
(4) With respect to helpers as defined in 29 CFR 5.2(n)(4), svch a classification prevails in Ehe area in which the work is performed.
14
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MnDOT Convact No. 91103
fB) If the contractor and the laborers and mechanics to be employed in the classification fif known), or their representatives, and the
contracimg officer agree on the ciassification and wa�e rate (including the amount designated for fringe benef u where appropriate), a
report of the action taken shall be sent by the contracting officer to the Administrator of the W age and Hour Division, Employment
Standazds Administration, U.S. Department of Labor Washingtoa, DC 20210. The Adminisvator, or an authorized representative,
wil] approve, modify, or disapprove every additional c]assificaIIOrz action within 30 days of receipt and so advise ihe contracting
o�cer or will notify the coatracting officer within the 30.day period that additional time is necessary.
(C) In the event the contractor, the Iaborers or mechanics to be employed in the classification or their representatives, and the
conVacUng officer do not agree on The proposed c]ass3fication and wage rate (including the amount designatect for frzn�e benefits,
where appropriate), the contracting officer shall refer the questions, including the v9ews of ail interested parties and the
recommendation of the contracring officer, to the Administrator for determination. The Administrator, or an authorized
representative, will issue a determination within 30 days of receipt and so advise the contracting officer or will notify the contracting
ofFicer within the 30-day period that additional time is necessary.
(D) The wage rate (including fringe benefits where appropriate} detemvned pursuant to puagaphs (a)(I)(ii) (B) or (C) of this section,
shall be paid to a11 workers perfomung work in the classification under this contract from the £irst day on which woTk is performed in
the classification.
(iiij Whenever the minimum wage rate prescribed in the conVact for a class of laborers or mechanics includes a frin�e benefit which is
not expressed as an hourly rate, the contractor shall either pay the benefi[ as stated in the wage determination or shall pay anoiher�bona
5de fringe benefit or an hourly cash equivalent thereof.
(iv) If the contractor does not make payments [o a trustee or other third person, the contractor may consider as part of the wages of any
laborer or muhanic the amount of any costs reasonably anticipated in providing bona fide fiinge benefits under a plan or program,
Provided, That the Secretary of Labor has found, upon the written request of the contrac[or, thaT the applicable standazds of the Davis-
Bacon Act have been met. The Secretary of Labor may reguire [he contractor to set aside in a sepazate account assets for the meeting
of obliga[ions under the plan or program.
(v)(A) The contraeting officer shall require that any class of laborers or mechanics which is no[ listed in the wage determination and
which is to be employed under the contrac[ shall be classified in conformance with the wage determination. The conVacting officer
shall approve an additional classification and wage rate and fringe benefits therefor only when the following criteria have been me[:
(1) The work Eo be performed by the classification requested is not performed by a classification in the wage determination; and
(2) The classification is utilized in the azea by the construction indusVy; and �
(3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the
wage determination. �
(B) If the conVactor and the laborers and mechanics to be employed in the classifica[ion (if known), or their representatives, and the
contracting of&cer agee on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a
report of the action taken shalF be sent by the contracting officer to the AdminisVator of the Wage and Aour Division, Employment
Standards Administration, Washington, DC 20216. The Administrator, or an authorized representative, wi11 approve, modify, or
disapprove every additional classification action within 30 days of receipt and so advise [he convacting officer or will notify the
contracting officer within fhe 30-day period'that additional [ime is necessazy.
(C} In the event the co�tractor, the laborers or mechanics to be employed in the classification or their representatives, and ttte
contraccing officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits,
where appropriate), the contracting officer shalf refer the guestions, inc}nding the views of aIl interested parties and the
recommendation of the contracting ofFicer, t0 ihe Administrator for determination. The Administrator, or an anthorized
representative, will issue a determinaUOn with 30 days of receipt and so advise the contracting officer or will notify the contracting
officer within the 30-day period that additional time is necessary.
(D) The wage rate (incfuding fringe benefits where appropriate) determined pursuant to paragraphs (a}(1)(v) (B) or {C) of this sution,
shalI be paid to a1F workers performin� work in the '
classification under this contraet from the first day on which work is performed in the classification.
(2) Withholding - The [ insert name ofgrantee ] shall npon its own acfion or upon written request of an authorized representative of
the Department of Labor withhold or cause to be withheld from the contractor under this contract or any other Federal contract with
15
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MnDOT Contract No. 91103
[he same prime contractor, or any other federally-assisted contract subject to Davis-Bacon prevailing wa2e requiremenu, which is
held by the same prime contractor, so mnch of the accrued payments or advances as may be considered necessary to pay laborers and
muhanics, including apprentices, trainees, and helpers, employed by ihe coniractor or any subcon[tactor the ful] amount of wages
reqnued by the contract_ In the event of failure to pay any ]aborer or mechanic, including any appreniice, tramee, or helper, emp]oyed
or working on the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the
construction or development of ihe project), atl or part of the wages required by the concraci, the [ inser! name of grantee ] may, after
written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspensfon oi any
further payment, advance, or a arantee of funds until such violations have ceased.
(3) PayrolIs and basic records -(i) Payrolls and basic records relating theretn shall be maintained hy the conuactor during the course
of the work and preserved for a period of three years thereafrer for ali laborers and mechanics working at the site of the work (or under
the United States Housing Act of 193'7, or nnder ihe Housing Act of I949, in the conshvction or development of the project). Such
records shall contain the name, address, and social secwiry number of eac6 such worker, his or her correct classification, hourly rates
of wages paid (including rates of contributions or cosu anticipated for bona 5de fringe benefiu or cash equivalents thereof of the
types described in section 1(h)(2)(B) of the Davis-Bacon Act), daily and weekIy number of hours worked, deductions made and actua]
wages paid. Whenever the Secretary of Iabor has found under 29 CF'R 5.5(a)(1)(iv) that the wages of any laborer or mechanic
include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B)
of the Davis-Bacon Act, the contractor shall maintain records which show thai the commitrnent to provide such benefits is
enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in wriling to the
laborers or mechanics affected, and iecords which show the costs anticipated or the actual cost incurred in providing such benefits.
Contractors employing apprentices or trainees under approved programs shall maintain written evidence of ihe regisVadon of
appren[iceship programs and certification of trainee programs, the registration of the apprentices and vainees, and the ratios and wage
rates prescribed in the appiicable programs. �
(ii)(A) The contractor sha]I submit week]y for each week in which any contract work is performed a copy of all payrolls ro the [ insert
name ofgrantee ] for transmission to the Federal Transi[ Administration. The payrolls submitted shaR se[ out accurately and
completely all of Ehe information required to be maintained under section 5.5(a)(3)(i} of Regufations, 29 C:FR part 5. This information
may be submitted in any form desired. Optional Form WH347 is available for this purpose and may be purchased from the
Superintendent of Documents (Federal Stock Number 029-005-00014-1), U.S. Government Printing Office, Washing[on, DC 20402.
The prime conVaaor is responsible for the submission of copies of payrolls by all subcontractors.
(B) Each payroll submitted shall be accompanied by a"Statement of Compliance;' signed by the conVactor or subcontractor or hss or
her agent who pays or supervises the payment of the persons employed under the contract and shal] certify the following:
(1) That the payroll for the payroll period contains the information required [o be maintained under section 5.5(aJ(3)(i) of Reg¢la[ions,
29 CFR part 5 and that such information is correct and complete;
(2) That each laborer or mechanic (including each helper, apprentice, and [rainee) employed on the convact during [he payroll period
has been paid the full weekly wages eazned, without rebate, either directly or ind'uectty, and that no deductions have been made either
direcUy or induectly from the fu11 wages eamed, other than peanissible deductlons as set forth in Regulations, 29 CFR part 3;
(3) That each laborer or mechanic has been paid not less than the applicabie wage rates and fringe benefits or cash equivalents for the
classification of work performed; as specified in the applicabie wage deterntination incorporated inro the contract.
(C) The weekly submissian of�a properly executed certification set forth on the reverse side of Optiona] Form WH-347 sha}I satisfy
the requirement for submission of the "Statement of Compliance" required by pazagraph (a)(3)(ii)(B) of this section.
(D)'I'he falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution
under section 1002 of tide 18 and section 23 f of tifle 31 of the United States Code.
(iii) The contractor or subcontractor sha11 make the records required under paragaph (a}(3)(i) of this section available for inspection,
copying, or transcription by authorized representatives of the Federa] Transit Administrarion or [he Department of Labor, and shall
permit such representatives to interview emptoyees during working hours on the job. If ihe contractor or subcontractor fails [o submit
the requited records o7 Yo make them available, the Federa3 agency may, afrer written notice to the convactor, sponsor, applicant, or
owner, take such action as may be necessazy to cause the suspension of any fiu payment, advance, or guazantee of funds.
Furthermore, fai]ure to submit the reqnired records upon request or to make such records available may be grounds for debarment
aetion pursuant to 29 CFR 512. �
(4) Apprentices and trainees -(i) Apprentices - Apprent�ces will be permitted to �work at ]ess than ihe predetermined rate for the
work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered
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MnDOT Contract No. 91103
with the U.S_ Department of Labor, Employment and Training Administration, Bureau of Apprenticeship and Trainine, or with a State
Apprenticeship Agency recognized by the Bureau, or if a person is employed in his or her fi�t 90 days of probationary empioyment as
an apprentice in such an apprenaceship pro�am, who is not individvally regstered in the program, but who has been certified by the
Bureau of Apprenticeship and Trainin� or a State Apprenticeship Agency (where appropriate) to be eligib}e for probavonary
employment as an apprenuce_ The allowable ratio of apprentices to joumeymen on the job site in any craft classification shal] not be
�eater than the ratio permitted to the contractor as to the entire work force under the registered progam. Any worker tisted on a
payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, sha11 be paid not less than the
applicable wage rate on the waae detenninaUOn for the classification of work actually performed. In addition, any apprentice
performing work on the job s3te in excess of the ratio perrziitted under the regs[ered program shall be paid no[ ]ess than the applicable
wage rate on the wa�e determination for the work acmally performed. Where a contractor is performing construction on a project in a
locality other than that in which its pro�am is registered, the ratios and wage rates (expressed in percenta�es of the joumeyman's
hourFy rate) specified in the contractor s or subcontractor's registered program shall be observed. Every apprentice must be paid at not
less than the rate specified in the registered program for the apprentice's leve] of pro�ess, expressed as a percentage of the
journeymen hourly rate specified in the applicable wage determination. Apprentices shail be paid fringe benefiis in accordance with
the provisions of ihe apprenticeship program. If the apprenliceship pro�am dces not specify fringe benefits, apprentices must be paid
the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator of the Wage
and Hour Division of the U.S. Department of Labor determenes that a different practice prevails for the applicable apprentice
classification, fringes shall be paid in accordance with that detertnination. In the event the Bureau of Appren[iceship and Training, or
a State Apprenticeship Agency recognized by the Bureau, withdraws approval of an apprenticeship program, the contractor wi11 no
longer be permitted to utilize apprentices a[ less than the applicable predetemnned rate for the work performed until an acceptable
progam is approved.
(ii) Trainees - Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less [han the predetermined rate for the
work performed unless they aze employed pwsuant to and individually registered in a progam which has recefved prior approval,
evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administra[ion. The ratio of trainees to
journeymen on thejob site sha11 not be gea[er than permitted under [he plan approved by [he Employment and Training
Administrarion Every trainee must be paid at not ]ess [han the rate specified in the approved progam for the trainee's level of
progress, expressed as a percentage of the joumeyman hourly rate specified in the app}icable wage determination. Trainees shaIl be
paid fringe benefits in accordance with the provis3ons of the trainee pro�am. lf the trainee progam does not mention frin2e benefits,
Vainees shall be paid the full amoun[ of fringe benefits listed on the wage deternunation unless the Administrator of the Wage and
Aour Division detemrines that there is an apprenticeship progam associated with the conesponding joumeyman wage rate on Ihe
wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee
rate who is not registered and participating in a training plan approved by the Employment and Training Adminisvation shall be paid
not less than the applicable wage rate on the wage determination for the classification of work aMUalIy performed. In addition, any
trainee performing work on the job si[e in excess of the ratio pertni[ted under [he registered program shall be paid not less Than the
applicable wage rate on fhe wage de[emvnation for che work actually performed. In ihe eveirt the Employment and Training
Administration withdraws approval of a training program, the contractor will no longer be pernutted to utilize trainees at less than the
applicable predetermined rate for the work performed until an acceptable progam is approved.
(iii) Equal emolovment opportunitv - The utilization of apprenrices, trainees and joumeymen under this part shall be in conformity
with the equaI employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR part 30.
(5) Compliance with Copeland Act requirements - The contractor shalI comply with the requirements of 29 CFR part 3, which are
incorporated by reference in this contract.
(6) Subcontracts - Tk�e contraaor or subcontractor shall insert in any subcontracts the clauses wntained in 29 CFR SS(a)(} } through
(10) and such other clauses as the Federa] Transit Administrarion may by appropriate insfructions require, and also a clause requiring
the subcontractors to incIude these clauses in any lower tier subcon[racts. The prime conVactor sha1I be responsible for the
compliance by any snbcontractor or lower tier subcontractor with all the contract clauses in 29 CFR 5.5.
(7) Contract termination: debarment - A breach of the contrac[ clauses in 29 CFR 5.5 may be gounds for termination of the
contract, and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12. �
(8) Comptiance with Davis-Bacon and Related Act requiremeats - All nilings and interpretarions of the Davis-Bacon and Related
Acis contained in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this contract. �
(9) Disputes concerning labor standards - Disputes arising out of the labor standards provisions of this contract shall not be subject
to the general disgutes clause of this contract. Such disputes shall be resolved in accordance wi[h the procedures of the Departmen[ of
Labor set forth in 29 CFR parts 5, 6, and Z Disputes within the meaning of this clause include disputes between the contractor (or any
of its subcontractors) and the contracting agency, the U.S. Department of Labor, or the employees or their representatives.
17
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14nDOT Connact No. 91103
(IQ) Certification of eligibility -(i) By entering into this contract, the contractor certifies that neither it (nor he or she) nor any person
or firm who has an interest in the contractoi s firm is a person or firm ineli�ible to be awarded Govemment contracts by virtue of
section 3(a) of the Davis-Bacon Aa or 29 CFR 5.12(a)Q).
(ii) No part of this contract shall be subcontracted to any persqn or firm ineligible for award of a Govemment contract by virtue of
sution 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).
(iii)'Fhe penalty for making false statemenis is prescrihed in the U.S. Criminal Code, 18 U.S.C. 1001.
O. CONTRACT WORK HOURS AND SAFETY STANDARDS ACT
Back�round and Application
The Contract Work Ho�s and Safety Standards Act is codified at 40 USC 3701, et seq. The Act applies to grantee contracts and
subcontracts "financed at least in part by ]oans or grants from ... the [Federal] Government" 40 USC 3701(b)(1)(B)(iii) and (b)(2),
29 CFR 5.2(h), 49 CFR 1836(i)(6). Although the original Act required its application in any construction contract over $2,000 or
non-construction contract to which the Act applied over $2,500 (and language to that effec[ is sUll found in 49 CFR 18.36(i)(6)), the
Act no longer applies to any "conttact in an amouni that is not geater than $100,000." 40 USC 3702(b)(3) (A)(iii).
The Act applies to construction contracts and, in very limited circumstances, non-conshuetion projects that employ "laborers or
mechanics on a public work." These non-construction applications do not generally apply to transit procurements because transit
procurements (to include rail cars and buses) are deemed "commercia] items." 40 USC 3707, 41 USC 403 (12). A grantee that
contemplates entering into a confract to procure a developmental or unique item should consult counsel to determine if the Act applies
to that procurement and that additional language required by 29 CFR 5.5(c) must be added to t6e basic clause below.
The clause ]anguage is drawn directly from 29 CTR 5.5(b) and any deviation from the mode] clause below should be coordinated with
counsel to ensure the AcPs requirements aze satisfied. �
Clause Laneua¢e
Contract Work Hours and Safety Standards
(1) Overtime requirements - No contractor or subconri'actor contracting for any part of the contract work which may require or
involve the employment of taborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he
or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives
compensation at a rate not less than one and one-half times Yhe basic rate of pay for ail hours worked in excess of forty hours in such
workweek.
(2) Violation; liability for unpaid wages; Iiquidated damages - In che event of any violation of the clause set forth in pazagzaph Q)
of this secrion the contractor and any subcontractor responsible therefor shall be ]iab]e for the unpaid wages. In addition, such
contractor and subconVactor sha1F be liable to Ehe United States for liquidated damages. Such ]iquidated damages shall be computed
with respect to each individual laborer or mechanic, incl�tding watchmen and guazds, employed in violation of the clause set forth'in
paragaph (1) of this secrion, in the sum of $10 for each calendu day on which such individual was required or pemutted to work in
excess of the standard workweek of forty hours without payment of the overtime wages required by the c3ause set forth in pazagraph
(f) of this section.
(3) Withholding for uapaid wages and liquidated damages - The (write in the name of the grantee) shall upon its own acdon or
upon written request of an authorized representative of the Departmen[ of Labor withhold or cause to be withheld, from any moneys
payable on account of work performed by the contrac[or or subcontractor under any such contract or any other Federa2 contract with
the same prime contractor, or any other federally-asslsted contract subject to the Contract Work Hours and 5afety Standards Act,
which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such
contractor or subcontractor for unpaid wages and liquida[ed damages as provided in the clause set forth in pazagraph (2) of this
section.
f Subcontracts - The contractor or subcontractor shall insert in any subcon�acts Ihe clauses set for[h in paragraphs (1) ihrough (4)
of this section and also a clause reguinng the subconiraciors to include these clauses in any lower tier subcontracts. The prime
contractor shall be responsible for compFiance by any subcontractor or lower tier subcontractor wi[h the clauses set forth in pazagraphs
(1} through (4) of this section.
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MnDOT Convact No. 91103
IN WI'PNESS WF3EREOF, the parties have caused this Grant Contract to be duly executed intending to be
bound thereby.
STATE ENCU,4ffiR �NCE VERIF'ICATION
Individual cenifies that junds have been encumbered as
reguired by Minn. Smt §§,d6A15 I6C.05
� �!
Sigaed: _ / f
Daze: / / l� � � o��l///
CFMS �on�t No. A-
GRANTEE
By:
Tille: Chief of Police
and
Title: City Attorney
By:
Title: Director, Financial Services
By:
Title:Director, Human Riahts
By:
Title: Mayor
DEPARTMEN'F OF TRANSPORTATION
By:
(with delegated authoriry)
Tide: D'uector, Office of Transit
Date:
Mn/DOT O�ce of Contract Management
By:
Tide: Contracts Administrator
Date:
19
D7=1 g �-
June 21, 2007
Donna Allen
Director
Minnesota Department of Transportation
Office of Transit
395 John Ireland Boulevazd
Saint Paul, MN 55155-1899
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Saint Paul SAFE CITY: Central Corridor
Security Camera Partnership (CCSCP)
Proposal and Request for Funding
Proiect Introduction:
The development of a Cenual Corridor to connect the downtown areas of Saint
Paul and Minneapolis is regazded as an important transportation development
project. The Cenual Corcidor will meet the growing transportaGOn needs of a
vibrant and economically thriving metropolitan azea. While the Cenual Corridor
is foremost a transportation project, there is generaI agreement it will serve as a
great benefit for economic and community development. -
Over the past several years, the City of Saint Paul has encouraged and supported
the redevelopment of the University Avenue business azea located in the Midway,
Summit-University and Frogtown neighborhoods. Over that time, much
development has occuned and still more is planned. The deVelopment of a light
rail or bus rapid transit route through thas area has further prompted heightened
interest in ]iving, working and visiung this area. NeigHborhood and business
leaders seem to welcome the Centraf Corridor as an investment in their
community.
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We have heard repeatedly from the local business community that the general
perception of the Midway area has had a negative impact historically on the
business climate. Tn particulaz; it is noted that residents of Saini Paul and its
southern suburbs frequently drive through the Midway area to suburban malls
north of Saint Paul to do their shopping. It appears this is a result of their
perception that midway is not as safe or desirable a destination. The feaz of crime
is known to be a key determining factor driving shopping and entertainment
choices.
As the concepts and possibilities for the Central Corridor have emerged, there is a
strong desire to minimize crime and quality of life problems along University
Avenne. The Saint Paul Police Department and tiletro Transit Policc have had
discussions with business and community leaders to strategize on efforts for
further reducing crime and quality of life issues along University Avenue,
especially in the expanding Midway shopping area. As part of these discussions,
we have considered the role of police presence both from Saint Paui and Metro
Transit, the new visibility of a police district office and the use of technology to
enhance and expand the scope of police presence. As this corridor develops and
grows so will the need for transportation, such as light rail. busses and commuter
roiites. With this inereasc in transportation modes, seeurity needs will also
increase.
In researching the ideas for crime prevention and reduction in a shopping district,
Saint Paul PoIice looked at other examples for models that work. We have ]ooked
at the London model that has been extremely successful showing a 22% reduction
in Theft, 32% reduction in Burglazy and 30% reduction in Auto Theft, 11%
general crime reduction overall including 4% reduction in Assault. We also
looked at U.S. cities including Washington DC, Chicago and Minneapolis. The
Safe City Initiative that was co-sponsored by the Target Corporation has been
studied and appears to be a great model.
In 2005, the Metropolitan Council's Transit Division, in partnership with
the City of Saint Paul and its police department, began the discussion of
the development of a Safe City Initiative that wiTl create a police/private
sector partnership coordinating the efforts of crime prevention and
reduction for the area through regular meetings, enhanced radio
commnnication, sharing of information and coordinated training and
staffing. The project will develop a closed circuit camera system with an
active monitoring capability that will serve the purpose of target hardening
the portion of the Central Corridor from the St. Paul city limits to the
Minnesota State Capitol. The Minnesota Department of Transportation
wiI] sub-award a grant to the Saint Pau] Police Department, who will serve
as the pro�ect's fiscal agent.
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The outcome of this effort, we believe, will be a reduction in cnme because of the
network of relationships ��•ith the Saint Paul Police. Metro Transit Police and the
State Capitol Security Office developed throu�h the partnership_ The addition of a
ciosed circuit camera system along the University Avenue comdor, that wiIl have
the capacity to be monitored by police and security personnel through the creation
of public/private partnerships, will help create an en�ironment where people will
feel safe, and criminais will feel the chances of them preying on our citizens is too
risky to take.
Proiect Background:
In late 20�5, the Saint Paul Police Department began to investigate the successful
security camera initiative that was built in the core downtown area of the City of
Minneapolis. Meetings were he}d with the Minneapolis Police, First Precinct
Inspector, Rob Allen, to leam how they created their partnership. Key to the
Minneapolis project was the active participation of the Downtown Business
Council, Building Owner's and Manager's Association and a funding
commitment from Minneapolis-based Target Corporation. The Minneapolis
experience with the camera system has been extremely positive. The ability to
have the cameras actively monitored by security personnel (access is gran[ed to
public and private or�anizations after a need is shown) from various downtown
building security offices sends the cleaz message that illegal behavior is being
watched, recorded and communicated to police responders. The effort appears to
be having an effect on criminal activity, and case prosecution has been geatly
aided by the video evidence.
The idea of using CCTV Closed Circuit Television as a security tool is not new.
This effort has been used for decades in major cities. This type of monitoring is a
basic part of private security and security at most govemment offices. In
addition, traffic monitonng cameras have also for many years been a part and
parcei of how we manage the traffic flow. The use of the cameras has been
expanded since 911 as a basic component of preventing terrorist attacks. Its use
in the London bombing case, while it did not prevent the initial attack, allowed
the police to identify the suspects within hours and thereby prevent any further
incidents_
During 2001, 2002 and 2003, the Western District organized a series of efforts
that brought about significant reductions in crime and quality of life problems in
the Midway, Frogtown and Sumsnit-University neighborhoods. These efforts
funded, in part, with Federal "Weed and Seed" money allowed the department
and the community to work together to address open-air drug dealing, prostitution
and a range of other illegal behaviors. These projects were implemented using
surveillance cameras as part of the investigation and prosecution. In addition,
following the arrests we made it known to the criminal element the cameras that
had captured so many of their colleagues were still up and that comsnitting crime
in these azeas was fraught with hazards. We believe the drug dealers and
prostitutes felt they were being constantly watched, and this was a significant part
of the sustained reductions in crime that lasted until 2005.
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The Meuo Transit Police Department has also been working to support the efforts
of the Saint Paul Police Department in the Midway and University Avenue areas
by increasing presence and police activity in the busy bus shelters and stops.
While Metro Transit is working with the ]ocal business community to build three
new bus shelters at University and Snelling Avenues, Saint PauPs busiest
intersection, the desire to focus attention on crime and quality of life problems in
these high density, high use shelters is also a priority. Transit Po]ice personnel
met with local business owners to discuss possible public/private secunty camera
monitoring ventures at the yet-to-be developed shelters.
Metro Transit Police and local businesses left these discussions with the
❑nderstanding that a security camera initiative would provide mumal benefit and
security for the local community, transit riders, local businesses and their patrons.
In addition, the Saint Paul Police Department wouid benefit by having the ability
to have the area actively monitored by local security personne] with a real-time
reporting capability. The cameras that would be used for the project will be
prima� PTZ {pan/tildzoom) conCrollable cameras with some faxed position
cameras. The cameras «�ill be mounted at the intersectians along the University
Corridor and into the down town area. The cameras will be positioned so they
have the best view of the bus stop locations — adjacent to the current bus
stops/shelters to deter criminal activity or assist in apprehension of suspects
foilowing the event. Meuo Transit Asset Protection staff began the pmcess of
looking for available technology that cou}d be used for purposes of this effort.
During a meeting with Minnesota Department of Transportation, State Program
Adminisvator Micky Gutzmann, it was leamed there was Federal grant money
available that could be used to benefit the Central Corridor, including the
placement of security cameras for the area.
With the support of the Metro Transit Police, a meeting was held between
MNDOT Grant Specialist Micky Gutzmann and then-Lieutenant Paul Schnell of
the Transit Police. During this preliminary meeting, we talked about efforts to
create a private/public partnership for security cameras in the Midway business
area, including specific conversations the Saint Paul Police Department had with
Target Corporation management and local community leaders. Michelle
Gutzmann discussed the focus of the grant and indicated that slightly more than
1.2 million dollazs is currently available. In addition, it was learned that a non-
Federal, hard match of twenty percent is required, esumated to be about
$314,500.00.
The result of that eonversation was a desire to work towazd the development of
the Saint Paul Safe City Initiative (Cent�al Corridor Security Camera Partnership}.
The idea of a Safe City znitiative fits into the philosophy of problem oriented
community policing that Saint Paul Police and 144etro Trans�t have committed to.
This project will accentuate the police department's ability to be more responsive
to the needs of the public and to both [ake a proactive approach to preventin�
crime and also reducing it. The cameras are really just one technoIogical
component of the inte�ration of police with the community; ]inking the private
business sector wi[h residents and the police.
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We believe, like Minneapolis, we will see a reduction in crime committed in the
area when criminals know there is �eat likelihood they wii] be caught in the act.
In addition, the successful prosecution of criminals who were not dissuaded will
further erode the number of predators on the streets thereby making them safer.
This appraach will enhance the personalization of our policing by creating
partnerships between the police and the community both at the executive level
and street level. Sharing data is a key component of this work, and whether that is
the sharing of information between store security and the beat cop, or the sharing
of strategic information between the CEO of the corporation, the Midway
Chamber and the Chief of Police, we will all be working together more closely.
1. Coordinated police-community-business relationships to enhance overall
Central Corridor security efforts.
Z. Enhanced radio communications with private security, Metro Transit
Police, U of M Police and the St. Paul Police Department.
3. E groups to share safety and crime informauon instantly.
4. Information sharing meetings.
5. Enhanced training for private�security, police and transit providers.
6. Development of paid and volunteer security ambassadors.
7. Expansion of CEPTED in redesign of the facilities
There have been, of course, some who question the idea of police having access to
this information. It should noted that in speaking with individuals who aze
advocates for very strict data privacy rules, there is no expectation of privacy on a
public street. What the cameras would capture is information that a police officer
sitting in a caz could readily see. They could readily see it if the City were to
employ several thousand officers hecause that is what it would take to replicate
the scope of having an integrated system.
To ensure the project will have both broad-based community support and not
infringe on the rights to privacy that the law does provide, we will need to create a
new set of policies governing the project. These policies wiil also help to ensure
the effective use of the CCTV system and to guard against possible abuse. The
Saint Paul Police Department wii] work with the community in partnership to
develop a comprehensive set of general orders that establishes the policies and
procedures on the use of the CCTV system. Policy consideration & development
in the following areas will be a priority: TrainingJusage/authorization for police-
business radio communications, E-group training(usage, monitonng access,
security clearance with override and volunteer security ambassador
responsibilities.
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We believe the followin� elements are essential auidelines that we wili be
following as we proceed with this project. The department's Safe City Initiative
will be a regulated system and it will meet the criminal justice video surveiilance
guidelines adopted by the ,�meiican Bar �ssociation.
• CCTV cameras will not be equipped with audio overhear capabilities, and the
SPPD will not use any type of audio system in conjunction with the CCTV
network unless appropriate court orders are obtained.
• Operators of the CCTV will not target or track individuals arbitrarily or based on
race, gender, ethnicity, sexua] orientation, disability or other classifications
protected by law.
• The CCTV system will be used to observe locations that aze in public view where
there is no reasonable expectation of privacy. CCTV cameras will not focus on
hand bills, flyers or other materials distnbuted or carried pursuant to the First
Amendment.
• Unauthorized use or rrnsuse of the CCTV system will result in disciplinary action.
• The SPPD and Metro Transit will notify the public about the capabilities and uses
of the CCTV system. The Departments wiil provide a kiosk at a SPPD facility
where citizens can view what the officers are seeing at any time.
• SPPD and Metro Transit ���ill provide regular reports on CCTV usage and will
seek public comment on any proposed expansion of the network on Transit
related roadwavs.
Tools of CCCSP:
The Centra] Corridor Security Camera Partnership (CCSCP) incorporates existing
safety efforts in the Central Corridor with new state-of-the-art technology to reduce
crime and improve safety. The fotlowing table highlights these tools and their status
as part of the (CCSCP) program.
Central Corridor Security Camera
networks
police, giving notification of suspicious behavior, crime
trends and prevention tips.
Photo Sharing – Disiribution of photos showing
f individuals who have committed illegal or unsafe acts. This
helps identify criminals and can prevent them from strikin�
aoain.
n(1 Info Sharing – Oneoin� written documentation, shared e-
b•-��•1 mail information and regular meetin�s between the
network's participants.
,, Securiry Cameras – A network of sVa[egically glaced
`�tJ security cameras allow police to moni[or high-traffic areas
and prioriti2e [heir response.
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Security Ambassadors - Security Ambassadors provide
patrons with a human face who is receptive to concems or
problems.
Radio Link – Keeping community and police leaders in
contact even while moving between locations.
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Proiect Plan:
The Saint Paul Safe City Project will create a police/private sector partnership that
will coordinate the efforts of crlme prevention and reduction for the area through
regulu meetings, enhance radia communication, sharing of information and
coordinated training and staffing. The project will provide a combination of security
enhancing pan-tilt-zoom (PTZ) cameras and fixed cameras along Saini PauPs
University Avenue between the City limits to the west and ultimately to the Depot in
downtown. The cameras will be connected and ¢ble to be monitored via a wireless
mesh network. This overt camera network is able to be secured and yet provide a
range of user access to allow regulaz camera monitoring from a variety of sites,
including police squad computers.
It is generally believed the Safe City project, coupled with the camera system, will
provide not just a deterrent to crime, but will serve as an active tool for immediately
intervening in crime and qua]ity of life related issues. As would-be criminals become
aware of the active use of this technology, illegal activity will drop making the entire
area a "hardened target"
The c�crent partnership includes the following entities:
City of Saint Paul
Saint Paul Police Department
Minnesota Department of Transportation
Metropolitan Council
Target Coiporation
Midway Chamber of Commerce
Metro Transit
Metro Transit Police
Future partners are limited only by their willingness to participate, but we anticipate
that Target Corporation, University United and the Midway Chamber of Commerce,
Lexington Hamline District Council, and all affected district councils, should be at
the table. Additionally, we will bring the Saint Paul Public Schools, along with ail
the city's district councils, together as weil to discuss overall strategy and future
expansion. '
We have provided a preliminary briefing for Saint Paul Mayor Chris Coleman, and
we are actively engaged in bringing community, corporate and small business
partners to the Initiative. State Capitol Security is yet another example of a viable
partner to this project given their strategic location along the corridor and available
security staff.
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The nature of these partnerships calls for a range of participation. Partners might
participate only at the Ievel of support and interest, while others may take on a
planning, monitoring or financial role. We are requesting $314,500.00 in local match
money from the Target Corporation, who has been instrumental in the overall
development of the Safe City initiative and a partner in crime reduction along the
Central Cozridor.
The utilization of security camera technology, which has been proven to reduce crime
through police-community-business cooperation, is of interest to further target-harden
the University Avenue area, especially as it is enjoying a resurgence in popularity
with new business and residential development, notwithstanding the future
construction of the Central Comdor. Philosophically, this project is truly community
oriented. Benefits exist for all project partners, the community in general and the
future of the Central Corridor. Expansion to this project wil] include the joining of
cameras related to the Port Authority Camera Project, in addition to the opportunity
for specific businesses and neighborhoods to be included in the system to address
specific quality of life issues.
One additional feature of this effort is the plan to quantify and assess the impact of
this project on crime and quality of life in the area. A crime and quality of life
baseline data wi31 be compared against data after the project is operational. Safety
and security is the responsibility of everyone. Our ability to deterniine the livability
and security benefits of this technology can be important to guiding future target
hardening efforts while large transportation projects are being planned and developed.
Securitv Camera operations Plan: oQ�
Installation:
Approximately 60 cameras with full pan, tilt and zoom controls, (and posszbly fixed
cameras) will be installed on streetlight poles and on buildings to provide 100%
coverage of the streets and sidewalk within the camera zones. Locations for camera
placement will be made through crime data analysis along with community and
business input. To reduce installation costs and to facilitate future expansion, the
signal from each camera is transmitted over a new �uireless digital (mesh) network to
a computer-based monitoring station in the SPPD Headquarter's building and other
locations to inctude the new Western District office at 389 N. Hamline, the SPPD
Emergency Communications Center and at the Metro Transit Police Headquarters.
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Onaoina Monitoring and Maintenance:
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The Central Corzidor Security Camera Partnership (CCSCP) wi13 be monitored 24
hours a day, seven days a week by police department staff when the system launches
in late fail_ Initial maintenance agreements wili cover the (CCSCP) project in a
manner to include but not limited to:
• Hardware failure
• Softwaze failure
• Network failures
• Training
• Software upgrades
Network storage equipment at Headquarters will be able to store approximately one
month's wor[h of recordings from each camera.
Kiosks will also be installed at Headquarters, the Westem, Central and Eastem
District offices to allow the public to view the images recorded with the cameras,
with expansion if necessary.
Expandabilitv:
The (CCSCP) security camera network is designed to facilitate future expansion of
the system. The network infrastructure will have the capacity to monitor an unlimited
number of cameras. The use of wireless technology and computer monitoring will
allow new camera locations to be added to the system relatively easily and
inexpensively.
No specific source of funding has been identified for future expansion of the system;
however, sources could come from City of St. Paul, individual business and property
owners, or from a combination of all these sources.
The (CCSCP) will have the expandability to be linked with other current camera-
related projects, such as the Port Security Grant, which focuses on camera technology
along the Mississippi River area and downtown.
Also for consideration is the expandability with the proposed Light Rail Transit
(LRT) for the Central Corridor, and we must establish a solid relationship with the
Metropolitan Transit Commission relating to construction and how this could
potentially affect Central Corridor Security Camera Partnership camera placement.
Financial consideration needs to be given to the expandability for viewing/monitoring
stations, which could include the purchase of softwaze and licensing for desktop PC
viewing at authorized locations.
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Bud�et & Financial Information:
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Instaliation
The grant request for this project is 100% of the available grant funding allotment,
which is: $I million dollars. Since this grant has been classified as a
80/20 grant, the Saint Paul Police Departrnent is responsible to acquire matching
money (20%) the total, which is $314,500.00, and wiil bring the total funding for this
project to $1,572,000.00.
Estimated System Cost for 60 Camera Digital Video Surveil]ance Network.
Service/Product
Camera Hazdware
Video Management Software
Video Network Infrastructure
(servers, storage, workstations, video wall displays)
Networking Equipment, Mesh Backhaul Nodes,
Misc Cabling Supp3ies, Etc.
Project Management, Installation, InCegration
and Training Services
Electricai Wiring to PoIes
Network Warranty Agreement
Miscellaneous Construction Costs
Total Estimated Cost
Estimated Cost
$500,000
$50,000
$300,000
$125,000
$250,000
$100,000
$125,000
$97,000
$1,572,000
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Onqoing Monitorinq and Maintenance
Upon launch of the sys£em, costs for monitoriug of the CCSCP security camera network
will be bome by the Saint Paul Police Department's Headquarter's (Centrai) District.
Initial staffing requirements are esumated at 3 FTEs to monitor the system 24 hours a
day, 7 days a week.
Network maintenance agreements and service contracts must be obtained to cover all
network equipment hardware repairs, network issues and software costs. Future network
maintenance agreements are expected to cost between $35,000 and $45,000 annually. A
service contract must cover all camera and other hazdwaze physically located on the
camera poles. Future service contracts are expected to cost between $30,000 and $45,000
annually.
Possible Future Ex�ansion
Any future expansion the CCSCP security camera network is expected to cost
substantially less than the installation costs. There are current plans to expand the
system, and individual business and property owners will be offered access to the
network to cover their neighborhoods and businesses. In these cases, the individual
business (or neighborhoods) would be required to cover the costs for camera equapment
and instaliation.
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Strate�v, Timeline & Milestones:
7anuary 2007:
January 2007
January 2007:
February 2007:
March 2007:
Mazch 2007
May/7une 2007:
June 2007:
3uly 2007:
July 2007:
July 2007:
August 2007:
August 2007:
September 2007:
Preliminary partnership meeting between City of Saint
Paul, MN DOT.
Grant proposal submitted to MNDOT
BaseIine crime and quality of life data measures collected
(two years of historica] data).
Financial support sources for gant match identified.
MNDOT and City of Saint Paul begin to develop grant
agreement for CCSCP.
Saint Paul Police host meeting with University Avenue
business owners and civic leaders to discuss CCSCP.
Review and consideration of technology for CCSCP.
Saint Paul Police host meeting with downtown business
owners and civic leaders to discuss CCSCP.
Development of Project Scope of Work and Request for
Proposalssentfor vendorresponse.
MNDOT and City of SaSnt Pau] finalize gant agreement
for CCSCP.
Camera monitoring agreements (Memorandums of
Understanding developed and distributed).
Selection of camera technology vendor.
Contract award negotiation.
Camera System Construction.
October 2007: Public relations campaign to 3nclude electronic and print
media, SPPD cable television show, neighborhood
newspapers, Safe City publications, Midway Chamber of
Commerce, and Cornorate partnerships.
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December 2007: Operation ceremony and kick-off to include Mayor, city
officials, police, businesses and community.
December 2007 System fully operational and actively monitored.
January 2008: Analyze system impact on regular on-going basis.
S11IriIT1aI'y•
What is important to remember is this Initiative is not about watching your
neighbor, iYs about watching out for your neighbor. Once operational, the
camera network systems wilI provide many sets of extra eyes to monitor, respond
to — and possibly prevent crime in the Central Corridor. This mesh network will
give the police, business community and citizens the opportunity to help keep this
very important coiridor safe.
Sincerely,
John M. Harrington
CHIE�' OF POLICE
Further Information
For furthex information regazding the Cenrxal Corridor Security Camera
Partnershi� (CCSCP), please contact:
Douglas Holtz
Commander, Office of the Assistant Chief
Homeland Security Division
367 Grove Street
Saint Paul, MN 55101
Tel: 651-325-1519
Email: doue.holtz@cistpaul.mn.us
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Security Camera Technology Appendix
The technolob es selected for the Central Corridor Security Camera Partnership (CCSCP)
aze provided by industry ]eaders that have a history of providing leading edge products
and services at a lower total cost of ownership. Carefu] consideration has been given to
supportability, sustainability and scalability of the solution provided. Although the
system has been designed to include best in class products from several indusuy leaders,
one integrator will be able to support the entire enterprise from end to end.
American Dynamics Ultra VII Pan / Tilt / Zoom Camera:
.,,�,�,t: _�� Located at key intersections throughout the Central Conidor on
buildings and vafficAighGng poles. This camera is capable of capturing
�:,� ���� analog video from a 360 field of view. It is possible to zoom in on a
�i, +° specific are of interest and can be set to tour an area when not being
' .. aclively used.
SmartSight 5-1500 e Digital Video Encoder:
When connected to a camera, [his device takes an analog signal and
converts i[ into a much more efficien[ digita] signal that can then be
� - transported/disVibuted over a network.
Cisco 3550 Switch:
r; _ The switch infrasWCture is used in the CenVal Conidor projec[ [o allow
_ many Ethernet signais to be aggregated and Vansported over the city's
� � local and wide area networks.
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Cisco Aironet 1400 Bridge AIR-1410-A:
This 802.I la wireless hridge funciions ro enabie the video and con[rol
information from the CCTV techno]ogies [o vavel from point to poin[
over ihe unlicensed wireless spectrum. I[ may be indirectly connected
to either an Encoder or network swi[ch.
;... ,r�-n� Antennas:
='� A variety of aniennas connected to the wireless bridge allow signals to
be effectively transmitted and received, minimizing exposure to as well
as the introduction of excess interference.
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Dei► PowerEdge 26�0 Enterprise Server:
This server acts as the center of the Digtal Video 5ystem, housing all
����,�, � of the necessary soRware to coordinate and configure the video
1 network. As part of the CCTV head end, this device wi11 be located at
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Dell PowerVault 220 Storage Array:
The Dell PowerVault can store up to 1,700 gigabytes of video data in a
very reliable manner. There aze 14 removable disk drives on boazd that can
;� T" �� q be easily swapped ont in the event that one fails. Two drives would have ro
_ fail at the same pme before any video was lost As part of the CCT'V head
end, tivs device will be located a[ SPPD Headquazters.
Dell Optiptex GX-270 Desktop PC:
The Dell Optip]ex is where the end user will interact with the Central
Corridor system. From this P.C. end users at Headquarters or a district
o�ce can simu]taneously view both live and recorded video from any
camera tha( is connected to the entesprise. As part of the CCTV head end,
this device will be located a[ SPPD Headquarters.
For more informaUOn please reference the following:
www.securitycollaborati ve.org
www.americandynamics.net
www.verint.com
www.cisco.com
www.dell.com
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Minnewu Departmem of Transpmtaiion
O�fice o( Crvi7 RieM1ts
DISADVA.NTAGED BvSINESS ENTERPR7SE (DBE)
SPECIAL PROVIS30NS
POLICY STATEMENT
68E Speciaf P*ovzvans
2!'00(>
It is the polic}' of the Miruiesota Department of 7ransportation (MnNOT) that DBEs, as defined m
49 C.F.R. Pan 26, and other smatl bustnesses shall have ihe maximum feasib}e opportunity to
participate in contracts financed in whoie or in part with public funds. Consistent with this po}icy,
Mn/DOT «��]! not allow any person or business to be excluded from �articipation in, denied the
benefits of, or otherwise be discriminated against in connection with the award and performanee of
any U.S. Department of Transportation (DOT)-assisted contract because of sex race, religlon, or
nationa} ongin. The Minnesota Department of Transportation (Mn/DOT} has established a
Disadvantaged Business Enterprise (DBE) program in accordance with regulations of the DOT, 49
C.F.R. Part 26.
Mn/DOT has received federal financial assistance Irom DOT, and as a condition of receiving [his
assistance has signed an assurance that it wi}I comp}y wiih 49 C.FR. Part 26. The DBE
requirements of 49 C_F.R. Part 26 apply to this contract. In this regard, the contractor will take all
necessary and reasonable steps in accordance wiih 49 C.F.R_ Pari 26 to ensure that Disadvan[aged
Business Ente7pTises have the maximum opportunity to compete fof and perform this contract_
CONTRACT ASSURANCE
The contractor, sub-recipient or subcontractor shall not discriminaie on the basis of race, color,
nationa) origin, or sex in the performance of this contracL The contractor sha)1 carry out applicabie
requirements of 49 CF_R. Part 26 Sn the award and administration oS DOT-assisted contracts.
Failure by the contraetor to carry out these requirements is a material breach of this eontract, which
may resuit in the termination of this convact or such o[her remedy, as Mn/DOT deems appropriate.
CONTENTS
Policy Statement ._.._..__...
Con[raci Assorance_..__..
]
Prompt Payment ._...
DBE Repiacement ._.
Award of Contract ...
.-- �---� - 9
-- -- - - 9
_ --- ..... IO
.............._ 1 t
-- - - ----- I3
Submittal ofDocnmentatSon ....................2
Fai}ure [o Submit Documentation._._.._.___3
DBE Goal Information-_-.-_--------...___-.--3
Evaluation of Good Faith Efforts..__.___...3
Administrative Reconsideration ................�
Exhibit A ._.
Trueking Gnide}ines
Certificate of Good Faith Efforts .............. 15
Bidc3ers List .------..---------.._._------------------- 26
Counting BBE Participation. 6 ContractorPayment...__.._..._.___...._._..._... ]7
Commercia}ly Useful Function...._.........._7 Good Faith ECforts Affidavit.___..__..__._... i8
Faiture to Fu[61E BBE Cosnmitment _.......9 �n-the-Iob Training Acknowiedgement.. I9
DBE Paee �
4�t,�b,=t 7� t� e ��03
�'�
p1m�eso�a Uepanmrn� of Tran.sponation DBE Speciai Prm�isions
Offire of Cie} Ri¢hu ��2�
SLTBMI7TAL OF DOCI)M E?�TAT] ON
For al] convacts where goals are set_ regardless of contract size, the eontractor wiI1 be required to:
(a) propose ihe participation of specific DBEs to meet the eoa}; or (b) demanstrate good faith efforts
to meet ihe eoal, and (c) ackno���ledoe and accegt the reqvirement for On-the-Job Training (0)T).
A contractor must pro�ide jus�ification if it rejects bids. quotes, or proposals from properly certified,
qualified DBE firms_
ln order to fulfi)1 a DBE goa1, the firms utilized as DBE subcontracrors must be certified as DBEs
by Mn/DOT's Office of Civit Righ4s grior to the bid Ietting. The Minnesota Unified Certiftcation
Program's {Mnft3CP} Disadvantaged Business Enferprise (DBE} directory, which is found on
Mn/DOT's OCR website, includes the names and addresses of aii firms that are certified ta perGorm
the type oFwork the contractor is proposing to subcontract.
The App�rent low bidder must submit the following documents to the Good Faith EfSorts
Review Committee, in Mn/DOT's Office of Civil Rights.
I. Certificate of Good Faith Efforts - attached herein as page 15
2. Btdders List - attached herein as page I6
3. Good Faith Efforts Affidavit — attached herein as page 18
4. E�chibit A Forn�s — attached herein as page I 3
5. Supporting Documentation to Verify Good Faith Efforis
6. OJT Acknowledgement Form - attached herein as page 7 9
The Apparent }ow bidder must submit information on the attached Certificate of Good Faith
Efforts listing all of the DBE and non-DBE firms (including subcontractors, service providers and
suppliers) from whom it solicited quotes to provide work and/or supplies for the pzoject.
The Apparent low bidder must also svbmit a completed Bidders List, which must inc}ude
infonnafion on: (l) all DBE and non-DBE firms that submitted a bid/quote for the projecr, and (2)
the proposed firms to be vsed on the project as subcontractors, service providers and supp]iers. The
Apparent tow bidder mvst submit a completed Bidders List form even if the company's list of
proposed subcontractors, service providers and supp}iers and supporting documentation (Exhfbit A
forms) includes enough participation to meet the contract-specific goal.
Additionally, a completed Good Faith Efforts Afftdavit must be submitted regardless of whether
or not the Apparent low bidder has indicated on its list of proposed subcontractors, service
providers and suppliers sufficient participation to meet the contract-specific goat.
The Apparent Iow bidder must submit completed Exhibit A forans for each DBE firm it proposes to
utilize on the project, along with copies of the signed agreeinents and(or affidavits andfor letters of
inient committing themse}ves to the use of the proposed DBE firms for at least the percentage
submitted on the E�aibit A forms. See page 1 d of the DBE Specia] Provisions herein for additiona}
information on completing the Exhibit A form.
The Apparent ]ow bidder mnst also complete and submit the OJT Acknowledgement form, and
provide additional information, which sugports its good faith efforts such as those rypical Good
Faith Efforts }isied on paees (3-5) of these DBE Special Provisions as well as summaries of the
DBE Page 2
07-7�a-
�tinne<o�a Departmem of Trznspona��on DBE Spec�ai Pio.�isions
Otfice of Gvd R�¢hn Z��qpb
bidder's discussions ancUor solicitation efforts of DBL- firms (along with the firm names, addresses
and contact persons). This information can indude but is noi limited to copies of solicitation ]etters
and/or faxes to DBE firms.
FAILURE TO SUEMIT DOCUMENTATION
Failure of the agparent lo��� bidder to submit the Cenificate oS Good Faith Efforts, the Bidders List,
Exhibit A forms, Affidavit of Good Faith Efforts and supporting documentation within three (3)
working days from the time of notification by Mn/DOT's Office of Construction and Innovative
Contracting may Tesult in the rejection oi the bid and forfeiture of ffieu proposal guaranty.
DBE C�NTRACTUAL GOAL
The DBE goal on this contract is � percent.
The goal may be attained by means of:
l. A subcontzact agreement or affidavit with a Mn/iJCP-certified DBE;
2_ An equipment tease agreement with a Mn/UCP-certified DBE:
A joint venture with a Mn/UCP-certiSed DBE_ This }oint venture must be approved by
the MnlDOT Office of Civil Rights prior to bid opening;
4. A purchase agreement with a Mn/DOT certified DBE supplier (sixty percent of the
supptiei s contracted amount wi31 be credited toward the DBE goai); or
5. Other services pre-approved by the Mn/DOT Offace of Civi1 Rights.
'Fhe bidder shalt make every reasonable effon to subcontract work to DBEs through good faith
negotiations and/or solicitations in advance of the date specified for the opening of bids.
The bidder shall indicate at the time of bid their DBE commitment (which may be different from the
goat mdicated in this proposal) that they intend to subconVact to DBEs. A bidder who fails to
indicate a DBE commitment must fulfilt the "total oal" indicated an this proposal.
EVALUATION OF GOOD FAI"FH EFFORTS
If the apparent low bidder (hereaf4er ALB) has a DBE commitment that indicates they wi}1
accomplish none or only a portion of the Disadvantaged Business EnteFprise (DBE) goal, they must
demonstrate good faith efforts in attempting to meet that goal. MnlDOT's Good Faitl� Efforts
Review Committee shatl review all "good faith efforts" docnments submitted, and any amendments,
and make a recommendation to the ➢irector of OCR. If the ALB faits to meet the Good Faith
Effort, as noted in this docvment, the Good Faith Efforts Review Committee wilT recommend to the
Dizector of OCR that the Good Faith Effort be rejected. The Director will make the fmal decision if
the Good Faith Efforts are to be rejected.
DSE Page 3
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M�mcso�a Depanmenr ofTransportanon DBE Special Provisions
Ofitt otC»�il R�ehu �,Z006
The ALB must show thai it took all necessary and reasonable steps [o achieve a DBE goal or other
requSrement of 49 C.F.R. Part 26 u•hich. by their scope intensiry, and appropriateness to the
objective, could reasonably be expected to obiain sufficient DBE participation_ The DSE Liaison
O�cer will make the final determination on whether a bidder made sufficient good faith efforts to
meet the goal in accordance .��ith the guidelines set forth in 49 C.F.R. y�26.53, and Appendix A
Ihereto. Compliance will be determined on a case-b_y-case basis, based on a review of
documentation of the followino general types of activities=
I. Soticit�ng through atl reasonable and availabte means (e.g, attendance at pre-
proposaUpre-bid meetings, advertising and !or written notices) the interest of all certifed
DBEs who have ihe capabilsty to perform the work of the coniracL The ALB mvst
solicit this interest within sufficieni hme to a11ow the DBEs to respond to the so[icitation.
The ALB must determine with ceRainry if the DBEs are interesfed by taking appropriate
steps to follow up on the initia} solicitations;
2. Selecting portzons of the work to be performed by DBEs in order to inerease the
likelihood tbat the DBE goals wi[i be achieved. This indudes, where appropriate,
breaking out contract work items into economically feasible units to facilitate DBE
participation, even when ehe ALB might otherwise prefer to perform these work items
with its own forces;
3. Providing interested DBEs wiih adequa[e information about the plans, specifications,
and requirements of ihe contract in a timely manner to assisi them in responding to a
solicitation;
4_ Negotiating in good faith with interested DBEs_ The ALB has the responsibility to make
a portion of the work availabie to DBE Subcontractors (including Consnitants),
Suppliers and Service Providers, and to select those portions of the work or mazeria}
needs consistent with the available DBE Subcontractors, Service Providers and Supp}iers
so as to facilitate DBE participation_ Evidence of such negotiations include the names,
addresses, and telephone numbers of DBEs that were considered; a descript4on of
information provided regarding the plans and specifications for the work selected for
subcontracting; and evidence as to why additional agreements could not be reached for
�?BEs to perform the work;
5_ An ALB using good business judgment would consider a number of factors in
negotiating with subcontractors, inclvding DBE Subcontractors, and would take a fum's
price and capabilities as wetl as contract goals into eonsideration. However, the fact [hat
ihere may be some additional costs involved in finding and using DBEs is not in itself
sufficient reason for an ALB's fai}ure to meet the contract DBE goal, as tong as such
cosfs are reasonable_ Atso, the ALB's ability or desire to perform the work of a contract
with its own organization does not relieve the ALB of the responsibitiry to rnake good
faith efforts. The ALB ts not, however, required to accept higher quotes from DBEs if
the pnce difference is excessive or nnreasonable;
6. Re}ecting DBEs as being unqualified mast be based on a thorough investigation of fheir
capabilities and sound reasons for rejecting B$Es must be articu}ated. The DBE's
standing within its industry, membership in specific groups, organizations, or
associations and political or social affitiations (for example vnion vs_ non-vnion
empfoyee status) are not tegitimate causes for re}eciion or non-soticitation of
proposals/bids in the ALB's efforts to meet the groject goal;
DSE Page 4
A
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MrnneSOU Departmem of Tra�sponafion DBE $pecfai Pro�9sion5
Off¢e of Cn il R�ch�s �ioppy
J. Making efforis to assist interested IIBEs in obtaining bondin,. Imes of credit, or
insurance as required by Iv1n/DOT or the ,qLB:
8. Making efforts to assist Snterested ➢BEs in obtaining necessary equ�pment, supplies,
materials or related assistance or services;
9. Effectivety using the services of available minoriry%women community organSzations;
minoritylwomen cantractors' groups; local, State and Federal offices of minority/��omen
business asststance; and other organizations, as allo�ved on a case-by-case basis, to
provide assistance in the recruitment and placement of BBEs; and
10. The pedormance of o�her bidders in meeting the contract requirements. For example,
when the ALB fails to meei the convact goal, but other bidders meet it, the question may
be reasonably raised as to whether, with additional reasonable efforts; the ALS could
have mei the goal. If the ALS fails to meet the goal, but meets or exceeds the average
DBE participation obtained by other bidders, this may be viewed, in conjunction with
other factors, as evidence of the ALB having made good faith efforts.
The ALB shall submit signed agreement(s} andtor affidavit(s} committin� themselves to the use of
Disadvantaged Business Enierprises (DBEs) for at Ieast the percentage submitted with the bid
proposal witYiin 3 working days from the time they are notified, by the Office of ConsWCtion and
Innovative Contracting thaF they are the ALB. The ALB shali also submit the 03T
Acknowledgement form committing themselves to imptementing the OJT Program on this project,
as outlined in Section 5-53 (2047) ON-THE-JOB-TRAINING PROGRAM of the EEO Special
Provisions.
All DBE subconiract agreement(s) including Purchase OrderslPurchase Agreements or affidavit(s)
must be accompanied by a completed Descriprion of Work form, which is identified as "Exhibit A,"
a copy of which is attached hereto. This information is to be submitted to the Mn/DOT Office of
Civil Rights within the allowed three (3) working days from the ALB's receipt of the letter notifying
the company that they are the ALB, with the DBE subcontract agreement(s) ancUor affidavit(s).
Failure to submit a com�leted E�ibit A form with each DBE si�ned agreement(s1 and/or
affidav�t(s} w�thm the 3-dav worlane dav Denod or anv allowed extension wil] result in the reiection
af ihe b�d and the forfe�ture of the proposai auarantv
If the Director of Mnll?07"s Office of Civil Rights determines that adequate good faith efforts have
not been demo�strated, the ALB will be notified in writing of the decision and advised of their right
to request administra[ive reconsideration. The rejected bidder will noi be approved as a
subcontractor or material supptier with the bidder who is ultimately awarded fhe contract.
ADMINISTRATIVE RECONSIDERATION
Within five days of being informed by Mn/DOT that it is not responsive because it has not
docvmented good faifh efforts, an ALB may request administrative reconsideration. The bidder
should make this request in writing to the reconsideration o�cial, Douglas I?iffert, Depury
Commissioner, Chief Engineer or his designee, at the following address: 395 John Iretand Blvd_
St. Paut, Minnesota SSI55; Email Address: doaglas_differt@dot_state.mn_us, Phone_ (6Si) 296-
8532. The reconsideration official wiil not have played any role in the original determination ihat
the ALB did not make good faith efforts.
DBE Page 5
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MinnesWa Depanmem o(Transponanon DBE Spedal Prov�c.ons
Offsce otG���1 R:¢Mc �.�
MnlDOT will provide the ALB with a written decision on reconsideration, esplainin� the basis for
Fhe determination. The ALB wili have the opportuniry to=
I. Provide written documentation or argument on record concernino the issue of �vhether
the ALB met Fhe goal or made adequate eood faith efforts to do so: and
2. IVleet in person with Mn/DOT or its reconsideration officSal to discuss the issue of
whether the AL$ met the goal or made adequate aood faich efforts co do so.
In accordance wiih 49 C_F.R. §26.53, the resuh of the Mn'DOT's reconsideration process is not
subject to administrative appeal to the U.S_ Department of Transportation.
CQUNTII�SG DBE PARTICIPATION
In accordance wiih 49 C_F.R. §26.55, Mn/DOT wilt utilize the following gaidel'rnes in determining
the percentage of DBE participation ihat will be counted toward the overall DBE goal:
1. When a DBE participates in the Contract, the vaSne of the work actual)y performed will be
counted
2. If a firm is not currendy certified as a DBE in accordance with the standards of subpart D of
the regulaiions (49 C.F.R. §26_35(�) at the time of the dve date for Bids or offers of the
contract, the firm's participation toward any DBE goals wi}} not be counted, except as
provided for in 49 C.F.R. §26.87(i};
3. The dotlar value of the work performed under a contract with a firm afrer it has ceased to be
certified witi not be eounted toward fl�e overall goal;
4. The participation of a DBE Subcontractor toward the Contractor's DBE achievements or the
overall goal witl not be counted untii the amovnt being counted toward the goat has been
paid to the DBE;
A. The entire amount of the portion of a construction contract (or other contract not covered
by paragraph 49 C.F.R. §26.SS that is performed by ihe DBE's own forces). Include the
cost of supplies and materials obtained by ihe DBE for the work of the Contract,
including supplies purchased or equipment leased by the DBE (except supplies, and
equipment the D$E subconiractor purchases or ]eases from the prime contractor or its
a�]ia[e);
B. The entire amount of fees or commissions charged by a DBE firm for providing a bona
fide service, such as professional, technical, consultant, or managerial services, or for
providing bonds or insurance specifical}y required for the performance of a DOT-
assisted contract, count toward DBE gaais, provided that ti�e MnJDOT detecmines the
fee to be reasonable and noz excessive as compared with fees customari3y allowed for
similar services
C_ When a DBE sirbcontracis part of the work of its contrac2 to another firm, t6e value of
the subcontract work may be counted toward DBE goals only if ihe DBE's subcontractor
is 3tsetf a DBE_ Work tbat a DBE svbcontracu to a non-DBE firm wiit noc count toward
DBE goals;
B. When a DBE performs as a partieipant in a joini venture, Mn/DOT witl count a portion
of the toial doltar value of che contract equal to the distinct, ciear}y defined portion of the
work of the contract that the DBE performs with its own forces toward DSE goals; and
DBE Pa¢z 6
07-�ga-
A1�nneswa DepartmrntofTransponation DBE Spec�al Prov�s�ons
Offxe of Cmt Rights °_i2006
5. Mn/DOT will count expenditures of a DBE contractor toward DBE eoals only if the DBE is
performing a commsrcially usefui funMion on Lhat contract.
COMMERCIALLY USEFUL FUNCTION
I_ A DBE performs a commercially usefut function when it is responsible for execution of the
work of the contraet and is carrying out its responsihitities by actually performing,
managing, and supervising ihe work invo]ved. To perform a commercially useful function,
the DBE must also be responsible, with respect to materials and supplies used on the
Contract, for negotiating prSce, determining quality and quantity, ordering the materials, and
installing (where applicable) and paying for the materiat itself. To determine whether a
DBE is performing a commercially useful function, Mn/DOT wi1l evaluate the amount of
work subcontracted, indusFry practices, whether the amount the firm is to be paid under the
Contruct is commensurate with the work it is acmally performing and DBE credit claimed
for its performance of the work, and other relevant factors;
2_ A DBE does not perform a commercially usefu] funciion if its role is limited to that of an
extra participant in a transaction, contract, or project through which the funds are passed in
order to obtain the appearance of DBE participation. In determining whether a DBE is such
an extra partScipant, similar transactions must be examined, particuiariy those in which
DBEs do not participate;
3. If a DBE does not perform or exercise responsibility for at least 30 percent of the totai cost
of its contract with its own work force, or the DBE subcontracts a greater ponion of the
work of a conuact than wouid be expected on the basis oI normal industry practice for the
type of work involved, MnfDOT wilt presume that it is not pesforming a commercially
useful function;
4. When a DBE is presumed not to be performing a commerciatly useful function as provided
in this program, the DBE may present evidence to rebut this presumption_ It may be
determined that the firm is performing a commerciatly vseful function given the type of
work involved and normal industry practices;
5. MnIDOT's decisions on matters of whether a DBE performs a commercia#ly useful
funciions are subject to review by tf3e concemed operating administration, but is not subject
to an administrative appeal to US DOT; and
6. Mn/DOT wiII use the following factors in detennining whether a DBE tnscking company is
performing a commercially useful funetion:
a. The DBE must be responsib}e for the management and supervision of the entire trucking
operation for which it is responsible on a particnlar contract, and Fhere can not be a
contrived arrangement for the purpose of the meeting DBE goals;
b_ The DBE musi itself ovm and opera[e ai least one fully iicensed, insured, and operational
truck, which must be used on [he project at all times
c_ The DBE receives credit for the total value of the transpartation services it provides on
the contraci using trucks it owns, insures and operates using dnvers it empioys;
d_ The DBE may lease trucks from another DBE finm, inclnding an owner-operator who is
eertified as a DSE_ The DBE who leases trucks from another ABE receives credit for
ihe total value of the transportation services the ]essee BBE provides on the conLract;
DBE Page 7
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\linnewta Departmrnt of Transponaz�on DBE Special Pro.u�ons
Office oCCn�il Rights �i�ppb
e. The DBE may also 3ease trucks €rom a non-DBE firm, including an owner-operator.
The DBE who Ieases trucks from a non-DBE is entitled to credit onlv for the fee or
commission it receives as a resutt of the lease arrangement, provided the DBE utilizes at
ait rimes during the contract at Ieast one company-owned fulty operational unit wilh an
employee driver. The DBE does not receive credit for the tota] valve of the
transportation services provided by the ]essee, since these services axe not provided by
the DBE; and
f. For purposes of this section, a lease must indicate that the DBE has exclusive use of and
control over the fruck_ This does not prectude the leased truck from working for others
during Fhe term of ihe lease with the consent af the DBE, so long as the lease gives the
DBE absolute priority for the use of the leased truck. Leased trucks must disptay the
name and identification number of the DBE.
7. Mn1DOT wil} count expenditures wi[h DBEs for maierials or svppIies toward DBE goats as
provided in The following:
a. MnlDOT wil( count 300% of the cost of the materials or suppties toward DBE goals if
the materials or supplies are obtained from a BEE manufacturer. For purposes of this
paragraph, a manufacturer is a firm that operates or maintains a factory or establishment
that produces, on the premises, the materiais, supplies, ar[icfes, or equipment required
under the contract and of the general characier described in the specificatioas_
b_ Mn/DOT will count 60% of the cost of the materials or supplies toward DBE goals if the
materials or supplies are purchased from a DBE regutar deater. For purposes of this
section, a regular dealer is a firm that owns, operates, or mai�tains a store, warehouse, or
other establishment in which the materiais, snpplies, atticles or eqvipment of the general
character described by ihe specifications and required vnder the contract are bought, kept
in stock, and regulariy sold to or leased to the puhlic in the usual course of business; and
c. To be a regular dealer, the fum must be an estabISshed, regular busaness that engages, as
its principal business and under its own name, in the purchase and sale or lease of the
produets in question;
d. A person may be a regular dealer in such buik items as petroleum products, steel,
cement, gravel, stone or asphalt withou£ owning, opezating, or maintaining a piace of
business as provided in 49 C_F.R. §26.SS(e)(2)(ii) if the person both owns and operates
disuibution eqvipment for the products. Any supp}ementing of regular dealers' own
distrihution eqvipment shall be by a long -term Iease and not on an ad hoc or contract-
by-contract basis;
e. Packagers, brokers, manufacturers' representatives, or other persons who anange or
expedite transactions are noi regular dealers within the meaning of 49 C.F.R.
§26.55(e}(2};and
f. MnIDOT does not allow drop shipments. Materiats and supplies obtained from a DBE
regvlar deater that are drop-shipped to a project site wilI not be cauntecf toward DBE
goals.
$. With respect to materials or suppIies purchased from a DBE which is neither a manufacturer
nor a regular dealer, Mn/DOT wi11 count the eniire amount of fees or commissions charged
for assistance in the procurement of the matenais and supplies, or fees or Fransportation
charges for the delivery of materials or supplies required on a job site, toward DBE goats,
DBE Paee 8
/ '
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Minnesota Depanment ofTrnmpottatiov DSE Special ProvisSons
O(fice of C�v�l Rightt 22006
provided that Mn/DOT has determined the fees to he reasonable and not excessive as
compared with fees customarily allowed for simitar services rendered, and that the DBE has
been cenified by the Mn/UCP as a broker for such serviees However, MniDOT will not
count any portion of the cost of the matenats and supplies themselves toward BBE goals.
FAILiJRE TO FULFILL DBE COMMITMENT
Where it a�pears [hat the prime contractor is failing to fulfill the Disadvantaged Business EnieTpnse
subcontracting commitments made, sanctions for nocecompliance may be invoked which include,
but are not limited to, Mn/DOT withholding progress payments and dedvcTing from the contract
proceeds as liquSdated damages and not as a penalty, a sum equal to the portion of the DBE
commi[ment noi fulfii}ed.
Where the contractor fails to fulfil} the full amount of contracts executed with D$E firms, as
required by this contract through no fault of the DBE firms, MnNOT wi13 deduct from the contract
proceeds, as iiquidated damages and not as a penalry, a sum equal to the portivn of the DBE goal
which has not been met. However, if Mn/DOT reduces the quantity of work subcontracted to the
DBE, this provision does not apply.
The provisions of Mn/DOT 1302 are modified to the extent that any bidder failing to perform any or
all of the responsibilities coniained herein may constitute grounds for the Commissioner of
Transportation to declare the hidder (non-responsive} with respect to future contracis.
PROMPTPAYMENT
The prime contractor agrees to pay each subcontractor under this psime contraet within ten days of
the prime contracior's receipt of payment from the state for undisputed secvices provided by the
subconiractor. The pnme contractor must pay interest of 1-U2 percent per month or any part of a
month to the subcontractor on any undisputed amount not paid on time to the subcontractor. The
prime contractor agrees fisrther to zeturn retainage payments to each snbcontractor withSn ten days
after ihe svbconVactor's work is satisfactorily com¢leted. This ctause applies Eo both DBE and
non-DBE subcontractors. Any contractor making payments to subcontractors must complete and
submit £he attached Contracfor Payment form.
DBE REPLACEMENT
The contractor shall make good faith efforts, to the satisfaction of the MnIDOT Office of Civil
Rights, to replace Bisadvantaged Business Enterprise subcontractors who are unable to perform
successfully with another Disadvaniaged Business Enterpcise, as appiicable. MnIDOTs Office of
Civil Rights sha}I approve all substitufions of subcontractors during the contract performance in
order to ensvre Fhe substifute �rms are eligible DBEs.
Once a contractor submits an affidavit, subcontract or other signed agreemenis, and an E�ibit "A"
(which shall inclvde the DBE business s name and contract amonnt, and the rype of wozk), the ➢BE
bnsiness cannot be substituted by another DBE business for any reason untit the following occnrs:
B6E Paee 9
�-�8a-
Mmrnsora pepartmtnt of Trunsportauon DBE Specut Rovisionc
OI{�ce of G�il Rf�cs ��
MnIDOTs Office of Civil Riahts receives a letter requesting approval of ihe
substitution, including the reasons for the suhstitution; and,
2_ Mn1DOT's Office of Civi1 Rights approves Ihe substitution_
Mn/DOT staff wi13 use al1 avaSlable means to assisi the contractor, when requested, in rep3acing
DBEs. This assistance may inctude bui is not )imited to:
1. Providing the eontractor with information regarding the availability of other DBEs.
2. Providtng the contractor �uith assistance in locating available DBEs_
AWARD OF CdNTRACT
IT ail other contract requirements are met as to the awarding of the contract, the contract will be
awarc�ed to the lowest responsive bidder who submits atl good faith efforts documentaiion and
either meets the DBE goat or demonstrates Good Faith Efforts, as defined above_
The apparent successful bidder shall be notified by MnlDOT Office of Construction and Innovative
Contractis�g thai it is the Apparent Low Bidder (ALB) on the project. The ALB shall submit signed
agreement(s) and/or affidavit{s) committing themselves to the use of Disadvantaged Business
Enterprises {DBEs) for at least the percentage submitted with the bid proposai within three (3)
working days of notification. The ALB sha31 also submit the OJT Acknowledgement form
committing themselves to implementing the OJT Program on this project, as outlined in Seciion S-
53 (2041) ON PROGRAM of the Contract Special Provisions.
All I?BE subcontract agreement(s) including Purchase Order/Purchase A�eement or a�davit(s)
must be accompanied by a comp}eted description of work form wh]ch is identified as "E�chibit A," a
copy of which is attached hereto_ This information is to be submitted to the Mn/DOT Office of
Civil Rights within the allowed three (3) working days from receip£ of notification of being che
apparent low bidder, with ihe DBE subcontract agreement(s) andlor affidavit(s)_ Faiiure to submii a
compfeted E7chibit A foTm with each DBE siened a rrPment(s) purchase order and/or affidavitls)
w�thm the 3-da work�n da nod or an allowed extension wili resuli in the re�ection of the bid
and the forfeiture of the pro�osal guarantv.
DBE Page 10
a�-�g�
d3�)
��� �
�F �
�'linnaora Depanment of Transponaiion
Office of Civi} 7tjghtc
DBE Description of Work (Exhibit A)
and Field Monitoring Report
.4 comract wSth ihe Pnme Contractor cannot be awarded unles5 this form fs submfned with a signed subcon[ra<t, purchase order or
af}idavfC for e�ery DBE. 7he DBE subcontracior is to fiil out al1 oCthe appropriate mCoimation and sign chis form.
PLEASE PRINT CLEARLY OR TYPE-
Section (Aj: Ail DBE S�bcontractors, including Frncking firms musi complete Secuon.)
Letting Date: _
Prime Contractor
DBE Subconvactor
DBE Principai Name_
IYIUST BE COMPLETED BY THE DBE PRiNCIPAL
S�ate Pro�ecc Number:
Phone X:
Phone t1:
Totai Subcontract $:
DBE Paaicipation Claimed: Percem °1< Amount $
i. Aid you bid a� sigi a subcoNract agreemen[ with the above-named prime contrector?
2. Are the items_ quantities, and prices listed on the subcontract agreemendaffidavit corzect?
3. List the iine Stems to be performed:
4. Are there any other agreemen[s not addressed in the subcontrnct? 1(yes, p{ease explain:
5. itequipment to be LLsed fs other than what is Fisted in your DBE cenification file pfease answer [he foAowmg:
a, Will the renting or teasmg include any of the fotbwing: (Attach a copy of tbe Iease/rrntal agreement(s)).
Equipment fnsumnce
Operator__ orMaintenance
b. Lessor's name:
Amount to be paid:
Number ot days to be
6. Will there by any other firm(s) providing work listed in your (DBE) subcontract2 ��
If yes, answer the following: Firm's Narne: $ amount of the work:
1. What is the name of the person supervising your work on this projectl
Is this your emptoyee?
8. How many people will you be employing on this projecF?
9. Toul dollar amount o( matena7s [o be suppiied�
10. Who are you purchasing [be matedals from?
Minorities: Femafes:
11- Ptease submit PurcS�ase Ageement andtor Purchase Order &om manufacNrer(s) or primaty materiai supplier(s).
NO�['E: This Exhibit •A' wiil not be approved without the Purchase AgreementlPurchase Order.
I2. Ylease tist atl subcontracts ihat your firm will be per(orming during the current constrvction seazon indnding non-DBE work.
(Attach additionai sheer if necessary.)
MnlDOT OCR
212006
DBE Page S I
a7-� g�-
'�"�'n"esoia Depamnea[ of Tansportation
Offi<e ofCrv�l Rights
Section (8)_
TO BE COMPt,ETED OVLY HY THE DBE TRUCKER
1. The number oCha�n cantrac?ed or quyntities to be haWed on this projecc?
Z. How many {uity operat[onal anics wiii be used on ihi5 Prqect?
3. How many fullv operationat unit5 wit! be yours?
4 How many other unets wiil be your�7
_ (Fractoviraiters_
_ (Dump trucks:
(Tractors_
_ Dump ttucks: _)
7 ractor5/treiiers: 1
Traftes
1 hereby cemfy that ihe inFormation presrnted above is cortect. I aeree to inform the O(fice o(Civd Rights in writ�ng ot any changes
withm 10 days of the change(s).
DBE Company
DBE Princ9pal:
SignaNre Titte
Date
Section @): TO BE COMPL'ETED BY Mn1DpT OFFiCE OF CFVIL RIGHTS STAFF PERSON
Project Number�
Dlstrict #
M�JDOT OCR Stafi Person:
ProjeM Engineer.
Phone No.
On-site Phone #.-
O�ce Phone #�
Section (E): TO BE COMPLETED BY pRO.IECT ENGINEER WHE��' 7HE DSE'S
PORT30N OF WORK tS'/ TO %: COMPLETED
t_ Does i� appearthat the DBE finn is pedortning the work specfGed in (Exfiibic "q") descrnpnon of work?
Yes �
Z_ Does u appear that [he DBE wntcsctor is managing iheir yonion oF the pro}ec[ and usrng �heir own wmpany emp�oyees?
Y� No
s. Does it appeaz that the DBE conhactor is rovidin the "
YQS P g eqwpment for their Ftems ot work oc other work spenBed?
No
4� Does d appear that the qna(iry of the DBE contracsor's perforsnance, scheduting and project management are meeting industry
standards2 Yes �r
S- Comrnents:
N07E; 1( yoq as the project Engineer, have checked "NO° to any oC the above questions or have any oiher comments, h is
tmportant that you coniact the Mn/ppT Q$ce of Civi! Rights Staff penon assigned to this pro}ecr.
Project Engineer.
MNDOT OCR
Date:
znoob
DBE Page !Z
Section (C): AII DBE Subwntmctors, induding Trucking firms, musc complete Section C.)
0 7 - ���-
Ntinnaota Depanmen� oCTranspona+ion
OCfice otCivil Re¢h¢
MI1�iNESOTA DEPATIt�YIENT OF TRANSPORTATION
DBE TRUCKING GUIDELI�iES
Tn accordance with 49 C.F,R. Part 26, the Vtinnesota Depanmeni of Transportation (Iv1n/DOT)
wilt use these guideJines to determine whether a fzrm is eli�ible to be counted as a DBE trucking
firm, a DBE truck broker, or a regular dealer. It is the responsibility of the prime contractor and
the DBE trucking firm (or the DBE truck broker) to ensnre the foliowing guSdeiines are met on
all MrilDOT pro}ects_ Mn/Dp'I' must approve the DBE trucking panicipation prior to the award
of contract.
DBE TRUCKING FIRM REOUIREMENTS
A. BBE trucking firms must comp}y with all Minnesota Trucking Regylations, Mn/DOT
Standard Specifications, and Contract provisions.
B. DBE trucking firms must own at least one fully operational truck that is used on a day-to-day
basis. For poxposes of defining "truck," a single axle dump truck is considered a"truck;" a
tandem axte dump truck is considered a"truck;" and, a combinarion of a tractor and trailer is
considered a"WCk. A DBE company-owned truck atilizing an empioyee driver must be
nsed on ihe project at all times during the contract_
C. D$E trucking firms may ]ease addi2ional trucks, except from (prime) contractors for whom
they are doing work to fulfill a DBE goal. However, as noted above, a DBE company-owned
Fruck with an employee driver must be used on the project at all times during the contract.
Va1id lease agreements must be submitted to Mn/DOT as part of the certification process. A
vatid tease agreement must inciude aSl of the following:
1. Be a minimum 6 months in 3ength;
2. Inclode an agreement to fixed monthty paymeni amounts;
3_ Designate the DBE as the person controtiing the workflow of the equipmeni;
4. Driver must be on ihe DBE's payrotl; and,
5. The DBE trucking firm musi be responsible for fuel, maintenance, insurance, payment of
satary, and benefits to the drivers, if appticable.
D. The DBE irucking firm must controt the management aspeets such as scheduling.
E. Trucks owned or leased by DBE tzucking firms must be pfacarded with the DBE Trucking
f rm's Logo.
F. The financial risk that is assumed by the DBE trucking firm must be reat and snbstantial.
The haul sIips must be issued in the name of the DBE trucking firm_ All DBE trucking firms
must keep fu;i and accnrate records, including operating expenses, operating revenue, mi}es
operated, and payrotl information as may be reqaired by the Mn/DOT Office of Civil Rights.
G. REGi)LAR DEALER
For a DBE trucking firm to be recognized by MnIDOT as a regular deater for DBE credit, a
firm must be an estahlished regalar business ihat engages, as iis principal business, and aader
DBE Page 13
��-�7 g�-
Mrzmesota Depattmrnt o(Transportation
Office otG�•il Righu
�ts o�vn name, in the pprchase and sale of the products and goods in its normal course of
basiness. VIn�DOT wSlt evaluate the foilowing criteria to determine whether a D$E trucking
firm qualSfies as a regular dealer in bulk items such as sand and gravel:
1. Does the finn own or lease the matenal site?
2. Does ihe firm arrange for testing and certification of matenals?
3. Is the firm solely responsible for securing necessary permits7
4. Is the firm responsible for excavating the material?
5. _ Is this activity the princinal business of the fesm?
A person may be a regular dealer in such bnik items as petroleum products, steel, cement,
gravel, stone, or asphalt without owning, operating or maintaining a place of business if the
person both owns and operates the distribution equipment of the producu. Any
snpplementing of a regular dealer's own distribution equipment shall be by a longterm lease
agreement and not on an ad hoc or contract-by-contract basis, and shall meet the
requirements B and C of these trucking guidelines.
Distrsbution equipment is defined as including the machinery used to extract, foad, and
transport the bulk items. The distribvtion equipment required for the above-referenced bulk
items varies from industry to industry.
H. COUNTING DBE PARTICIPATION
A certified DBE trvcking firm wi11 be given DBE participation credit only for the work
performed using the firm's own resources, as approved in their ceRification. When a
certified DBE trucking firm pec{orms as a regular dealer of bolk items listed in (G) above,
Mn(DOT ��ill count 60% of the cost of the bufk items toward the DSE goal, and I QO% oF the
value of the transportation services toward the DBE goal. If the DBE trucking firm's
performance on the contract is limited fo transporting ihe butk items, Mn/DOT will count
only the trucking portion of the contract at 100%. Mn/DOT does not atlow drop shipments
to a project site and no DBE credit witl be given toward a goal for drop shipments of
materials or supplies.
I_ DBE TRUCK BROKER REpUIREMENTS
Cert7fied DBE businesses tbat own no trucks for use to fulfill a DBE goal will be counted as
trocking brokers, provided that they have been cenified by the PvInfUCP as trucking brokers.
DBE participaUOn credit wi}I be given for the actual amount af the brokerage fee and not for
the amount of the subcontract.
J. RENTAL EOUIPMENT OPERATORS
CerE�fied DBE businesses that own no trucks but own irailers for rent or lease for use to
fvlfilt a DBE goal wili be coanted as rental equipment operatorslfirms, provided they have
been certified by the MnIt1CP as equipment rental busfnesses. DBE pasticipation credSt wi}}
be given for the actual amoant of the trailer sental fee and not for the amount of Fhe
subeonYract.
DBE Page 74
d���g�-
Minnesora Depanment ofTa�ponyHon
CRice ofCivil Aighrs .
K. CERTIFIED TRUCK SCHEDliLE
All DBE trucking firms must submit a certified truck schedule to Mn/DOT. The £ruck
schedule �.�ill list ap the trucks owned as defined in B and C above by the DBE trucking £irm_
Only the trucks listed on the schedale and approved by Mn/DOT may be used to perform
work for credit toward DBE goals. The DBE truckin� firm will submit a revised schedule
within two (2) weeks of a change in certified vehicles.
L. MONITORING
Annual monitoring is based on the tota] dol]ar amovnt paid to the DBE truckfng firm by the
prime contraetor(s) on all projecu for the year in review.
M. VIOLATIONS
Any certified trucking firm or broker must comply with the above stated guidelines. If any
viotations occur, Mn/DOT has the right to initiate removai of DBE eligibility proceedings.
DBE Page i5
��-���-
�T° �'O
��CP�
a
S.P.
Pnme Cort[ractor _
7ora{ DBE Comm�tmcnt
MINNESOTA DEPARTMENT OF TRAIVSPORTATION
OFFICE OF CNiL RIGHTS
CERTIFICATE OF GOOD FAITH EFFORTS
Low B4d
Goal
LIST YOUR SOLtCITATtON OF ALL SUBCONTRACTQRS, SUPPLIERS, AND SERVICE PROVIpERS
Subconeru�or/SuDplieNServiceprmlder DBE.' Phooe Dates,Metbodo(Comact Dexrip[aoofWalc Do1larAmoon[o(
Qnot<
Yes No {,enxr Plwne
1
2.
3.
4.
$
6
7
8.
9
10.
(Make additional copies o(ihis form as necessary)
M`vDOF OCA
vzoa
Page ^ of
DBE Poge t6
��-���-
���,
���a�
S.P.:
Prime Contractor
MINNESO'I�A DEPARTDIEN7 OF7RINSPORTATION
OSF{CE OF CSV{L RIGHTS
BIDDERS LIST
�.OW $4d
f103]
Totai DBE Commitment
Lat all compara�ive quo�es
onthe
�hat bid, mctuding DBEs and non-DBEs.
tlame,ConbccNnmenvdPAOnennm0erofConvactor' � CTeak(�Fmm
TTat N'i11 Be f
i
2.
3
4
5_
b.
]
8_
9
10
11
i Z.
DeuriprionofWnrk � DoilarAmouvtof
Suub�ovhaNQuotc
' Please 3�dicate with an azterisk (`) or chsk mark ( J) which aubrontrzctors, suppffers, sub-conmt�ana & servfcc providers you w�ll be using on +he projm_
(Make adAUaW covKS ot�h�s form az necessazy)
MdDOTOCR
�� Page_of_
D8E Pzgc 1)
��-��a--
Minnesoia DepaRment oF Transportation
OCfice of Civil Rights
Contractor Payment Form
Sta[e Project Number:
Pnme Subcontrac[or
Payment Reporting Penod: (From' To�
Instrucoons All Contracsors makmg paymen¢ to mbcontrvnors, regardless of their na or ABE sutvs, are re u�red to mm Iere and submn this fortn to
q P MNDOT's Office oC
Civ{i R�ghu (OCR) un[it finai payment is made. }ndude paymen6 to submnRactoq servtce yrov�ders. sub-mnsultants � mdependent cmhactors. Failure to
comply with �his form and M�Mesota'S prompt payment law �y cause progreA paymrnu to che pnme mnttac[or to be w�thheld_ Subrzilt one copy of Nis form
to the OCR Office and ene m[he pro�ett rngmen, no tater tFan trn QO) Says afin re¢rvmg paymevt fiom MNDOZ
DBE Page B
Qfiis fonn may be s�bmmed m en ahcmare fomui)
MNDO70CR
�/�ppb Page _ ot _
o�-�g�
Minnewu Department o(Trans�naiiun Mn1pOT Focm EE0.28
OfHce of Ch•il R�eh� yZppg
14tinnesota Department of "I ransportation
Office of Civi! Rights
GOOD FAITH EFFORTS AFFIDAVIT
STATE OF MINNESOTA
CO[TN'fY OF
I,
ol
hereby acknow[edge that 1 am the
successful bidder of the State Project.
S.P.
that has bcen ideanfied as the apparent
The undersigned, having been first duly sworn, says that the infotmation given in the above certificate is
We and correct to the best of his or her knowledge and belief.
Signed
Bidder or authorized representative
Subscribed and sworn to before me
This day of , 2003
Notary Public
My commission expires , Zp
t�wmr oc�z
Zrzoob
DBE Page 19
� 7 7g�-
Minnesota Deparunem ofTanspottanon
OfTice of Cn'ii R�gb¢
On-the-Job Training
Acknowledgment
S.P:
�1ivD07 Form EEO-28
_'/200fi
On behalf of the company identified above, I acknowledge that
1 This project (check one)
O does not contain an On-the-Job Training requirement
(proceed to 5, below)
O dces contain an On-the-Job Training requirement for:
hours ntilizing atleast Trainees; and
(Enter hours listed (Enter No. oj Trarnees
in Proposal) hsted in R oposalj
2 If awarded this project, the above-named company is responsible for implementing the 03T
program on this project; and
3 The above-nanned company sha0 provide an OJT Training Plan to the Project Engineer
within ten days a$er the date of award of this project, or at the Pre-construction meeting,
whichever ocenrs later; and
4 The above-named
company (check one)
5
Signalure
Appaxent Low Bidder:
❑ is a participant in the OJT Pilol Program
(proceed to 5, below)
❑ is not
Title
Please submit this form to the pf6ce of Civit Righu
Submission of this form is required before contract may be awarded.
Otfsce of Civi! Rights
395 }ohn Ireland Blvd
Mai1 Stop 170
St. Paul, MN SSt55
Phone: (651 j 297-1376
Fax (65J)297-2158
Date
D6E Page 20
65328 Federal Register/VoI. 71, No. 215/Tuesday, November 7, 2006/Notices
DEPARTMENT OF TRANSPORTATION
Federel Transit Administration
Fiscal Year 2007 Annual List of
Certifiwtions and Assurances for
Federai Transit Administration Grants
and Cooperetive Agreements
AGENCY: Federal Transit Administratlon,
DOT.
ACTION: Notice.
SUMMaRY; Appendix A of this Notice
contains the Federal Transit
Administralion's (F'TA) comprehensive
compilation of the certifications and
assutances for Federal fiscal yeaz 2007
to he used in connection with all
Federal assistance programs that FTA
administers during Fedenl fiscal year
2007. FTA is required by 49 I7.S.C.
5323(nJ to compile an annual list of
certifrcations and assurances and
publish them as requized hy 49 U.S.C.
5536(d)(2j. FI'A's aunual certifications
and assurances have 6een revised to
accommodate statutory, regulatory, and
programmatic changes not in effect.
�aTES: Effective Date: These
certifications and assurances were
effective on October 1, 2006, the First
day of Federat fiscal yeaz 2007.
FOR FUfiTHEIi 1NFORMATION CONTACT: FTA
staff in the appropriate Regional Office
]isted below. For copies of other relaYed
documents see the FfA Web site at
http://www.fta.dotgovor contact FTA's
Office of Administration at (202) 36Cr
4022.
Region 1: Baston
States served: Co�ecticut, Maine,
Massachusetts, New Hampshire, Rhode
Island, and Vezrnoni, Telephone # 617-
494-2055.
Region 2: New York
Sfates served: New York, New Jersey,
and the Virgin Islands, Telephone #
212-668-2170.
Region 3: PLiladelpLia
States served: De]aware, District of
Columbia, Maryland, Pennsylvania,
Virginia,and West Virginia,Telephone
n ais—sss—�ioo.
Region 4: Atlanta
States served: Alabama, Florida,
Georgia, Kentucky, Mississippi, North
Carolina, Puerto ffico, South Carolina,
and Tennessee, Telephone # 4�4-562-
3500.
Region 5: Chicago
States seroed: Illinois, Fndiana,
Michigan, Minnesota, Ohio, and
Wisconsin, Telephone # 312-353-2789.
Region s: Dallas/Ft, Worth
States seroed: Arkansas, Louisiana,
Oklahoma, Texas, and New Mexico,
Telephone # 817-978-Q550
Region 7: Kansas City
Stafes seroed: Iowa, Kansas, Missouri,
and Nebraska, Telephoae # 816-329-
3920.
Region 8: Denver
States served: Co]orado, Montana,
North Dakota, South Dakota, Utah, and
Wyoming Telephane # 720-963-3300.
Region 9: San Francisco
States served: Arizona, CaIifornia,
Hawaii, Nevada, Guam, American
Samoa, and the Northern Mariana
Islands, Telephone # 415-744-3133.
Region 10: Seattle
States served: Alaska, Idaho, Oregon,
and Washing[on, Telephone # 206-220-
7954.
SUPPLEMEMARY INFOfiNWTtON: Before
FTA may awazd Federal financiaf
assistance through a Federal grsnt or
cooperative agreement, the Applicani
mvst submit all certifications and
assurances pertaining to itself and its
project as required by Federal Iaws and
regulations. These certificarions and
assurances must be submitted to FCA
irrespective of whether the project is
&nanced under the authoriTy of 49
U.S.C, chapter 53, or Title 23, United
States Code, or another Federal statute.
The Applicant's ann�al certification
and assurances for Federal fiscal year
2007 cover ail projects for which the
Applicant seeks funding during Federal
fiscal yeaz 2007 through the next fiscal
yeaz until F"I'A issues its annnal
certifications and assurances for Federal
fiscal year 2008. An ApplicanYs annual
certifications and assurances appticable
to a speci@c grant or cooperative
a�eement ganerally remain in effect for
either the duration of the grant or
cooperative a�eement to project
closeout or the duration of the project oT
project pmperty when a useful life or
industry standard is in effect, whichever
occttrs ]ater; except, if the Applicant
provides certifications and assurances
in a later year that differ from
certifications and assurances previously
provided, the later certifications and
assurances will apply to the grant,
cooperative agreemenY, project, or
project pr�perty, vnless FTA permits
otherwise.
Background: Since Federal fiscal year
1995, FTA has been consolidating the
various certifications and assurances
that may be required oF its Applicants
and their projects into a single
document for publication in the Federal
Register. F"I'A intends to continue
pu6lishing this document annually,
oRen in conjunction with its pu6lication
of the FTA annual apportionment
notice, wluch sets forth the allocations
of funds made availabte by the }atest
U.S. Department of Transportation (U.S.
DO'17 annuai appropriations act.
Effect of the Certifications and
Assumnces: In view of the many
projects that will be implemented
substanfialty hy a suhrecipient of the
Applicant, FTA cautions the
Application 4hat, absent a wriiten
determinatioa by FI'A to the contrary,
the AppIicant will be responsible for
compliance both by itseif and by each
o# its subrecipients with all
certifications and assurances the
Applicant has selected that would
involve the subrecipient or the
subrecipienYs activities with respect to
tiie project. Thus, the Applicant itself is
ultimately responsible for compliance
with its certifications even though a
project may be cazcied out in whole or
ia part by one or more subrecipients.
Conseqnently,in providing
certifications and assurances that
invoive the compliance of any
prospective subrecipient, the Applicant
is sh�ongly encouraged to take the
appropriate measures, includiag but not
limited to, obtaining suf&cient
documentation from each subrecipient
to assure the validity of the
certifications and assurances the
Applicant has made.
Fedem] Fisca] Year 2007 Changes:
Apart from minor editorial revisions,
significant changes to FI'A's
certifications and assurances for Federal
Hscal year 2007 aze set forth below:
(2) In the Introductory paragraphs
preceding the te�ct of the certiHcations
and assnrances, the F"t'A Web Site for
the FTA Master Agreement for Federal
fiscal year 2007 is http://
www. fta. d ot.gov/d ocuments/13-
Master.doc.
(2) Subcategories 01.F(5J(e}, (fl, and
(g} have been amended to substitute
updated citatioas for the Drug Abuse
Office and Treatment Act of 1972, as
amended, 2I U.S.C. ll01 et seq., the
Comprehensive Alcoho] Abuse and
AlcohoIism Prevention Act of 1970, as
amended, 42 U.S.C. 4541 ef seq., and
the Public Health Service Act of 1912,
as amended, 42 U.S.C. 201 et seq.
(3j In Category 06, a provision is '
added to alert the ApplicanY of changes
to the Pre-Awazd and Post-Delivery
requirements for tolling stock set forth
in section 3023(k) of SAF'ETEA-LU that
have not as of October 1, 2006 been
incorporated in FTA's implementing
regulations aY 49 U.S.C. part 663.
a7-�S�-
F ederal AegisteriVol. 71, No. 215lTuesday, November 7, 2006/Notices 65329
(4) In category 15, the following
changes have been made:
(aj A Siatement has been added
reminding each Applicant for Urbanized
Area Formula tlssistance that in
addifion to making its certification
required by 49 U.S.C. 5307(d)(1)(n that
it will eacpead at least one (1) percent of
its Lirbanized Area Formula Program
assistance for public transportation
security pro}ects unless it has certified
to FTA thai such expenditures aze noc
necessary, the Applicant also will need
to disclose its decision in the "Security"
tab page of the 1'EAM—Web "Project
Information" window.
(b) Subcategory K has been amended
to permii a single Designated Recipient
of Urbanized Ai'ea Forniula assistance Fo
indicate that an agreement has been
reached aznong some or all of the
Designated Recipients in a single
urbanized area of more than 200,000
population to certify that no less than 1
percent of section 5307 funds
apportioned by FTA to that urbanized
area among those Besignated Recipients
will be used for transit enhancements as
provided by 49 U.S.C. 5307(d)(2)(K)(i)
and to submit the report with the list of
transit enhancement projects
implemented by ihose ➢esignated
Recipients as required by 49 U.S.C.
5307(dJ(1)(K)(ii). Should it wish to do
so, a single Designated Recipient,
however may expend one (7) per cent
of its section 5307 funds for �ansit
enhancements and submit its own
report listing the transit enhancement
projects it has 4mplemented in the last
fiscal year as required by 49 U.S.C.
5307(d)(1)(K)(iiJ. The Designated
Recipient generally sets forth this
information in its quarterly report for
the fourth quarter of the preceding
Federal fiscal year; thus that quarterly
report will be incorporated 6y reference
and made par[ of the Designated
RecipienYs certifications and
assurances. A Designated Recipient that
prepares a report on behalf of some or
all other Designated Recipients in its
urbanized azea will need to provide a
copy of its report to the other
Designated Recipients on whose behalf
the report is prepazed.
(5) Category 16 has been amended to
add a certification at Suhcategory J that
vehicles finaneed under the Clean Fuels
Grants Program will be operated using
only clean fuels, and "clean diesel"
buses financed under that program will
be operaced using only ultra-low sulfur
diesel fuel.
(6) In Category 17, the following
changes have been made:
(a) In Subcategory A, the United
States Code note reference for the
Elderly Individuafs and Individuals
with Disabilities Pilot Rogram has been
added.
(b) In Subcategory F, the subject
selection and planning certification
requirements that were effective for the
Elderly Individuals and Individuals
with DisabiliUes Pilot Prog�am required
by section 3012(b)(2) of SAFEPEA—LU
beginning in Federal fisca] yeaz 2006 aze
not appiicabfe to the Elderly Individuals
and Individuals with DisabiIities
Program, as required by 49 U.S.C.
531o(d)(2}(B).
(7} Category 18 has been amended to
clarify that certifications and assurances
for the Nonurbanized Area Formula
Piogram do not apply to an Indian tribe
that is an Applicant for Tribal Transit
Program assistance under 49 U.S.C.
5311(c)(1), and that FTA has prepared
sepazate certifications and assurances
for that pxogram.
(8) Category 19 has been amended to
add a new certification requiring the
chief executive o�cer of the state, or his
or her designee to certify to the Federal
Transit Administrator, apari from these
annua] certifications, that all of the
objectives of 49 U.S.C. 5316 aze being
met in the area from which such
funding would be derived before using
JARC funds to support projects in areas
other than those designated in 49 U.S.C.
5316.
(9) In Subcategory 20.E, the project
selection and planning certifxcation
requirements of 49 U.S.C. 5317(fj(3)
have been added.
Text of Federal Fiscal Year 2007
Certifications and Assurances: The text
of the certifications and assurances in
Appendix A of this Notice appeazs at
hKp:/Iwww. fta.dot.gov/documents/
2007-Certs-Appendix A-doc. It also
appeazs in TEAM-Web in the
`Recipients" option of the Cert's &
Assurances tab of "View/Modify
Recipients." It is important that each
Applicant be familiaz witl� all twenty-
three (23) certification and assurance
categories and their provisions, as they
may be a prerequisite for receiving FTA
financial assistance. Provisions of this
Notice supersede conflicting statements
in any FTA circulaz containing a
previous version of FTA's annual
certifications and assurances. The
certifications and assurances contained
in those FTA circulars are mere]y
examples, and are not acceptable or
valid for Federal &scaI yeaz 2007; do not
rely on the provisions of certifications
and assurances appeazing in FTA
circulazs.
Significance of Certification and
Assvmnces: Selecting and submitting
certifications and assurances to FTA,
eitherthrough TEAM-Weh or
submission of the Signature Page(s) of
Appendix A, signifies the ApplicanYs
intent to comply with and secure
compliance by its subrecipients, if any,
with the provisions of the certi�cations
and assurances it has selected to the
ea�tent they apply to a project for which
the Applicant snbmiis an application for
assistance in Federal Register fiscal year
2007. F"I'A cautions, however, that
certifications and assurances required
by law and regulation do not address all
Federal laws, reoulations, or directives
with which an Applicant must comply
be£ore F"1'A may awazd Federal financia]
assistance. We therefore strongly
encourage the Applicant to review the
Federal authorizing legislation,
regulations, and directives pertaining to
the program or programs for which the
Applicant seeks Federal assistance to
determine the extent of all pre-award
faws, regulations, or directives
applicable to those programs.
Attorney's Affirmafion: FI'A requiies
a current (Federal fiscal year 2007j
affirmation, signed by the ApplicanYs
attorney, of the ApplicanYs ]egal
authoriTy to certify compliance with the
provisions of the certifications and
assurances the Applicant has selected.
Irrespective of whether the Applicant
makes a single seleclion tor all twenty-
three (23) categozies or selects
individual options from the twenty-
three (23J categories, the Affizmation of
ApplicanYs Attorney from a previous
yeaz is not acceptahle, unless FTA
expressly determines otherwise in
writing.
Deadline for SU6mission: All
Applicants for FTA formula program or
capital investment program assistance,
and current FTA grantees with an active
project financed with F'TA formula
program or capital investment program
assistance, are expected to provide
certifications and assurances fot Fedetal
fisca] yeaz 2007 within 90 days from the
date of this publication or as soon as
feasihle afrer their fiist grant applicatinn
for funds authorized or made available
during Federal fiscal year 2007,
whichever is eazlier. In addition, FTA
encourages Applications seeking
Federal financial assistance for other
projects Fo submit their certifications
and assurances as soon as possible.
Preference forElectronic Submission:
Applicants registered in TEAM-Weh
must submit their certifications and
assurances, as well as their applications
for Federal assistance in TEAM-Web.
Only if an Applicant is una6le to submit
its certification and assurances in
T'EAM-Web should the Applicant vse
the Signature Page(s) in Appendix A of
this Notice. While not mandatory, FTA
encourages an Applicant that does not
submit its certifications and assurances
6 53 3 0 Federal Register/Vol. 71, No. 215/Tuesday, November 7, 2006/Notices
elech�onically to scan a copy of its
certifications and assurances docvment
and attach it in TFAM-Web. Likewise, if
the ApplicanYs attorney has not
submitted its affirmation in 1'EAM, FTA
encourages the Application to scan that
af&rmation and attach it ia TEAM-Web.
Procedures for Electronic Submission:
The T'EAM-Web "Recipients" optlon at
the "Cert's & Assurances" tab of "View(
Modify Recipients" contaitts fields for
selecting among the hvenry-three (23)
Categories of certi6cations and
assi3rances to be submitYed. Within that
tab is a field foz the ApplicanYs
authorized representative to enter its
personal identification number (PIt�,
which constitutes the ApplicanYs
electronic signature for the certifications
and assurances it has selected. In
addition, there is a&eId for the
ApplicanYs attomey to enter his or her
PIN, affirming the ApplicauYs legal
authority to make and comply with the
certifications and assurances the
Applicani has selected. rn certain
circumstances, the Applican4 may enter
its PIN in lieu of its Attorney's PIlV,
pzovided ihat the Applicant has on file
the Affirmation of AgplicanYs Attorney
in Appendix A of this Notice, written
and signed by the attorney and dated
this Federa] fiscal year. For more
information, Applicants may contaci the
appropriate Regional Of6ce listed in
this Notice or ihe TEAM-W eb Helpdesk.
Procedures forPaperSvbmission:lf
an Applicant is unable to submit its
certifications aad assurances
electronicalty, it must mark the
certifications and assurances it is
making on the Signature Page(s} in
Appendix A of this Notice and submit
it to F'1'A. The Applicant may signify
compiiance with all Categories by
placing a single mark ia the appropriate
space or select the Categories appIicable
to itself and its projects. In ceMain
circumstances, the Applicant may enter
its signature in lieu of its Attorney's
sienature in the Affirmation of
ApplicanYs Attorney sec6on of the
Signatnce Page(s}, provided that the
Applicant has on file the tlffirmation of
ApplicanYs Attorney in Appendix A of
this Notice, written and signed by the
attorney and dated in this FederaI fiscal
yeaz 2007 and has submitted a copy of
this affiimation Yo FTA. For more
information, Applicants may contact the
appropriate Regional Office listed in
this Notice.
References. 49 U.S.C. chapter 53; the
Safe, Accountable, Flexible, Fdficient
Transportation Equity Act: A Legacy for
Users (SAFh'TEA—LU); Tide 23, United
States Code (Highways}; oiher Federal
laws administered by F7'A; U.S. DOT
and FTA regulations at Tifle 49, Code of
Federal Regulations; and F'i'A Circulats.
Dated: November 2, 2006.
James S. Simpson,
Administrntor.
BILLWG CODE 49tD-S/-1A
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Federal Register / V oi. 71, No. 215 / Tuesday, November 7, 2006 ! Notices 85331
APPENDLY A
FEDERAL FISCAL YEAR 2007 CERTIFICATIONS AND ASSLTRANCES FOR
FEDERAL TRAIVSIT ADMIlVISTRATION ASSISTANCE PROGRAMS
In accordance with 49 U.S.C. 5323(n), the following certifications and assurances have been
compiled for Federal Transit Administration (FI'A) assistance programs. FTA requests each
Applicanr to prwide as many cenifications and assurances as needed for all programs for which
the Applicant intends to seek FTA assistance during Federal Fiscal Year 2007. FTA strongly
encourages each Applicant to submit its certifications and assurances through TEAM-Web,
FTA's electronic award and management system, at http://ftaleamweb,fta.dot.gov_
Twenry-three (23) Categories of cenifications and assurances are listed by numbers 01 through
23 in the TF_AM-Web "Recipients" option at the "Cen's & Assurances" tab of "View/Modify
Recipients," and on the opposite side of the Signature Page(s) at the end of this document.
Categary 01 applies to all Applicants. Category 02 applies to all appdications exceeding
$700,000. Cafegories 03 ihrough 23 wilt appIy to and be reguired for some, but not alt,
Applicants and projects.
FTA and the Applicant understand and agree that not every provision of these cenifications and
assurances wili apply to every ApplicanT or every project for which F!'A provides Federal
fanancial assistance ihrough a Grant Agreement or Cooperative Agreement. The type of project
and the section of the statute authoriZing Federal financial assistance for The projecf wid(
determfne which provisions apply_ The ternzr of these ceni fications and assurances reflect
applicable requirements of FlA's enabling legislation currently in effeM_
The Applicant also understands and agrees that these cenifzcations and assurances are special
pre-award requirements specifically prescribed by Federallaw or regulation and do not
encompass all Federat laws, regulaiions, and directives that may apply to the Applicanf or its
project. A comprehensive list of those Federal laws, regulations, and directives is cont¢ined in
the current FTA Master Agreement MA(13) for Federal Fiscal Year 2007 at the FTA website
http://www.fra.do�ov/documents/13-Master doc. The cenifications and assurances in this
document have been streamlined to remove most prnvisions not covered by statutory or
regulatary certi,fication or assurance requirements.
Because many requirements of these cenifications and assurances wi21 require the compliance of
the subrecipient of an Applicant, we sirongly recommend that each Applicant, including a State,
thnx widl be imp[emeniing projects through one or more subrecipients, secure su},�cient
documentation from each subrecipient ta assure compliance, not only with these certifzcations
and assurances, but also with the terrns of the Granf Agreement ar Cooperaiive Agreement for
the project, and the Master Agreement incorporated therein by reference. Each Applicant is
ultimately resporzsible for compliance with the provisions of These cenifications and assurances
irrespective ofpanicipation in the project by any subrecipient.
Ol. FOR EACH APPLICANT
Each Applicant for FTA assistance must provide all assurances in this Category "01. " Unless
65332 Federat Register/VaT. 71, No. 225/Tuesday, November 7, 2006/Notices
APPENDIX A
FTA ezpressly determines orherwese in writing, FTA may not ¢ward any Federal assistance unril
the Applicani provides the foZlowing assurances by seFecting Category "07. "
A. Assurance of Auihority of the Applicant and Its Representative
The authorized representative of the AppIicant and the attomey who sign these certifications,
assurances, and agreements affirm that both the Applicant and its autharized representative have
adequate authority under applicable State and local law and the ApplicanYs by-faws ar intemal
rules to:
(1) Facecute and fiie the application for Federal assistance on behaIf of the Applicant;
(2) Execute and file the required certifications, assurances, and agreements on behalf of the
Applicant binding the Applicant; and
(3} Execate ganc ageements and cooperative ageements with FTA on behaif of the Applicant
B. Standard Assurances
The Applicant assures that it wi11 comply with all apglicable Federa} statutes and regatations in
cazrying out any project supported by an FPA grant or cooperative ageement. The Applicant
agrees that it is under a continuing obfigabon to comply with ihe terms and candi4ons of the
grant agreement or cooperarive ageement issued for its project with FI'A. The Applicant
recognizes that Federai laws and regulations may be modified from time to time and those
modifications may affect project implementation. The AppIicant understands that Presidential
executive orders and Federal directives, including Federal policies and program guidance may be
issued concerning matters affecting the Applicant or its project_ The Applicant agrees that the
most recent Federal laws, regularions, and direc[ives will apply to the project, unless FTA issues
a written deternunation otherwise.
C. Intergovemmentai Review Assurance
The AppIicant asswes that each appIicarion for Federaf assistance it submits to FTA has been or
will be submitted for intergovemmentat review to the appropriate State and local agencies as
determined by the State. Specifrcally, the Applicant assures that it has fulfiIled or wiil fulfill the
obligations unposed on FI'A by U.S. Depaziment of Transportation (U.S. DOT) regulations,
"Intergovernmental Review of Departrnent of Transportation Programs and Activities," 49 CFR
part 17.
D. Nondiscrimination Assurance
As required by 49 U.S.C. 5332 (which prohibits discriminaUOn on the basis of race, color, creed,
national origin, sex, or age, aztd prohibits discrimination in employment or business opportunity),
by Title YT of the Civil Rights Act of 1964, as amended, 42 U.S.G 2000d, and by U.S. DOT
regulations, "Nondiscrimination in Federally-Assisted Programs of the Deparhnent of
Transportation—Effectuation of TiEle VI of the Civit Rights Act," 49 CFR part 21 at 21.7, the
Applicant assures that it will comply with all requirements imposed by or issued pursuant to
49 U_S.C. 5332, 42 U.S.C. 2000d, and 49 CFR part 21, so that no person in the United States, on
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Federal Register/Vol. 71, No. 215/Tuesday, November 7, 2006/Notices 65333
APPENDIX A ,
the basis of race, color, national origin, creed, sex, or age will be excluded from participation in,
be denied the benefits of, or otherwise be suhjected io discrimination in any program or activity
(particularly in the level and quality of transportation services and transportation-related
benefits) for which the Applicant receives Federal assistance awarded by the U.S. DOT or FTA.
Spec3fica1ly, during the period in which Federal assistance is extended to the project, or project
property is used for a purpose for which the Federal assistance is extended or for another puTpose
involving the provision of similar services or benefits, or as }ong as the Applicant retains
ownership or possession of the project property, whichever is longer, the Applicant assures that:
(1) Each project will be conducted, property acquisirions will be undertaken, and project
facilities will be operated in accordance with ail applicable requirements imposed by or
issued puzsuant to 49 U.S.C. 5332, 42 i3.S.C. 2000d, and 49 CFR part 21, and understands
that this assurance extends to its entire facility and to faci(ities operated in connection with
the project.
(2} It will promptly take the necessary actions to effectuate this assurance, including notifying
the pub)ic that complaints of discrimination in the provision of uansportation-related
services or benefits may be fi]ed with [3.S. DOT or FTA. I3pon request by U_S. DOT or
FTA, the Applicant assures that it will sabmit the required information pertaining to its
compliance with these provisions.
(3) It will inc]ude in each suhagreement, property transfer agreement, third party conuact, third
party subconuact, or participation agreement adequate provisions to extend the requirements
imposed by or issued pursuant to 49 U.S.C. 5332, 42 U.S.C. 2000d and 49 CFT2 part 21 to
other parties involved therein including any subrecipient, transferee, third party contractor,
third party subconuactor at any level, successor in interest, or any oiher participant in the
project.
(A) Should it transfer real property, suuctures, or improvements financed with FederaI
assistance provided by FI'A to another party, any deeds and instruments recording the
transfer of that property shall contain a covenant running with the ]and assuring
nondiscrimination for the period during which the property is used for a puipose for which
the Federal assistance is extended or for another purpose involving the provision of similar
services or benefits.
(5) The i3nited States has a right to seek judicial enforcement with regard to any matter arising
under the Act, regulations, and this assurance.
(6) It will make any changes in its Title VI implementing procedures as U.S. DOT or FTA may
request to achieve compiiance with the requirements imposed by or issued pvrsuant to
49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR part 21.
E. Assurance af Nondiscrimination on the Basis of Disability
As required by U_S_ DOT regulauons, "Nondiscrimination on the Basis of Handicap in Programs
and Acuvities Receiving or Benefiting from Federal Financial Assistance," at 49 CFR 27.9, the
App3icant assures that, as a condition to the approval or extension of any Federal assistance
awazded by FTA to construct any facility, obtain any rolling stock or other equipment, undertake
studies, conduct research, or to participate in or obtain any beneFt from any program
administered by FPA, no otherwise qualified person with a disability shall be, solely by reason
65334 Federal Register/VoI. 71, No. 215/Tuesday, November 7, 2006(Notices
APPENDIX A '
of Lhat disability, excIuded from participation in, denied the benefits of, or otherwise subjected to
discrimination in any progam or ac6vity receiving or benefiting from Federal assSstance
administered by the FTA or any entity within U_S. DOT. The Applicant assures thaz projecF
implementation and operations so ass3sted wil] comply with atl applicable requirements of
U.S. DOT regulations implementing the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794,
et seq., and the Americans with Disabiliries Act of 1940, as amended, 42 II.S.C. I2101 et seq_,
and implementing U.S. DOT reguiations at 49 CFR parts 27, 37, and 38, and any other
applicabte Federal laws that may be enacted or Federal regulations that may be promulgated.
F. U.S. Office of Management and Budget (OMB) Assurances
Consistent with OMB assurances set forth in SF-424B and SF-424D, the Applicant assures that,
with respect to itself or its project, the AppIicant:
(1} Has the legai authority to apply for Federal assistance and the institutional, managerial, and
financiat capahility (inctuding funds snffcient ro pay the non-Federal shaze of project cost}
to ens�re proper planning, management, and completion of the project described in its
application;
(2) Will give FI'A, the Comptroller General of the United States, and, if appropriate, the State,
through any auihorized representative, access Yo and ihe right to ezamine al] records, books,
papers, or documents related to the awazd; and will estabtish a proper accounling system in
accordance with generally accepted accounting standards or agency directives;
(3) Will establish safeguards to prohibit employees from using their positions for a purpose that
constitutes or presents the appearance of personal or organizationat conflict of interest or
personal gain;
(4) Will initiate and complete the work within the applicable project time periods foilowing
receipt of FI'A approval;
(5) Will comply with alI applicab{e Federal statutes relating to nondiscriminauon including, but
not limited to:
(a) Title VI of the Civil Rights Act, 42 U.S.C_ 2000d, which prohibits discrimination on the
basis of nce, color, or nationa[ origin;
(b) Tifle IX of the Educarion Amendments of 1972, as amended, 20 U.S.C. 1681 thmugh
f683, and 1685 throagh 1687, and U.S. DOT regulations, "NondiscriminaUOn on the
Basis of Sex in Education Programs or Activities Receiving Federal Financial
Assistance," 49 CFR part 25, which prohibiE discrimination on the basis of sex;
(c) Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C, 794, which
prohibits discrimination ori the basis of disabiliiy;
(d} The Age Discriminauon Act of 1975, as amended, 42 U.S_C. 6101 through 6107, which
prohibits discrimination on the basis of age;
(e) The Drug Abuse Office and TreaUnent Act of 1972, as amended, 21 LS_S.C. 1101 et seg_,
rela6ng to nondiscriminauon on the basis of drug abuse;
(fl The Comprehensive Alcohol Abuse and AIcohotism Prevention Act of 1970, as
amended, 42 U_S.C. 4541 et seq, relaung to nondiscrimination on the basis af alcohol
abuse or alcoholism;
(g) The Public Health Service Act of 1912, as amended, 42 U.S.C. 201 et seq., reladng to
confdeneality of alcohol and drug abuse pafient records;
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Federal Register / Vol. 71, No. 215 / Tues November 7, 2006 / Notices 65335
APPENDIX A
(h) Tide VIII of £he Civil Rights Act, 42 U_S.C. 360I et seq., relaung to nondiscriminauon
in the sale, rentai, or financing of hovsing; and
(i) Any other nondiscrimination statute(s) that may apply to the project;
(6) To the extent applicable, will comply wiih, or has comptied with, the requlrements of
Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition
Policies Act of 197Q as amended, (Uniform Relocation Act} 42 U.S.C. 4601 e1 seq., which,
among other things, provide for fair and equitable treatment of persons dispiaced or persons
whose pmperty is acquired as a result of Federal or federally assisted programs. These
requirements apply to al1 interests in real property acquired for project purposes and
displacement caused by the project regardless of Federal participation in any purchase. As
required by sections 210 and 305 of the Uniform Relceation Act, 42 U.S.C. 4630 and 4655,
and by U.S. DOT regulations, "Uniform Relocation Assistance and Real Property
Acquisition for Federal and Federally Assisted Programs;' 49 CFR 24_4, the Applicant
assures that it has the requisite authority under applicable state and local law to comply with
the requirements of the Uniform Relocation Act, 42 U.S.C. 4601 et seq., and U.S. DOT
reguiations, "Uniform Relocation Assistance and Reai Property Acguisition for Federai and
Federally Assisted Programs;' 49 CFR part 24, and will comply with that Act or has
complied with that Act and those implementing regulations, including but not limited to the
following:
(a) The Applicant wi11 adequately inform each affected person of the benefits, policies, and
procedures provided for in 49 CFR part 24;
(b) The Applicant will provide fair and reasonable relocation payments and assistance as
required by 42 U.S.C. 4622, 4623, and 4624; 49 CFR part 24; and any applicab3e FPA
procedures, to or for families, individuals, partnerships, corporations, or associations
displaced as a result of any project financed with FTA assistance;
(c) The Applicani will provide relocation assistance programs offering the services
described an 42 U.S.C. 4625 to such displaced families, individuals, pazmerships,
coiporations, or associations in the manner provided in 49 CFTt part 24;
(d) Within a reasonable qme before displacement, the Applicant wili make available
comparable replacement dwellings fo displaced families and individuais as required by
42 U.S.C. 4625(c)(3);
(e) The Applicant will carry out the relocation process in such manner as to provide
displaced persons with uniform and consistent services, and will make available
replacement housing in the same range of choices with respect to such housing to all
displaced persons regardless of race, color, religion, or national origin;
(� In acquiring real property, the Applicant will be guided to the 9reatest extent pracqcable
under sta[e law, by the real property acquisition policies of 42 U.S.C. 4651 and 4652;
(g) The Applicani wil] pay or reimburse property owners for necessary expenses as
specified in 42 U.S.C. 4653 and 4654, with the understanding that FI'A will provide
Federat financial assistance for the Applicant's eligibte costs of providing payments for
those expenses, as required by 42 U.S.C. 4631;
(h) The Applieant will execute such amendments to third party contracts and subagreements
financed with FTA assistance and execute, furnish, and be bound by such additionaY
documents as FI'A may determine necessary to effectuate or implement the assurances
provided herein;and
65336 Federal Register/Vol. 7I, No. 215/Tuesday, November 7, 2066/Notices
APP$NDIX A �
(i) The Apglicant agrees to make these assnrances pan of or incorporate ihem by reference
into any third party coniract or subagreement, or any ainendments thereto, relating ta
any project f nanced by FTA involving relocaUOn or land acqetisiuon and provide in any
affected document that these relocation and land acqaisition provisions shali supersede
any conflicting provisions;
(7) To the extent applicable, will comply with the Davis-Bacon Act, as amended, 40 U.S.C.
3I41 et seq., the Copeland "Anti-Kickback" Act, as amended, I8 U.S.C. 874, and the
Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. 3701 e1 seq.,
regazding labor standards for federaily assisted projects;
(S) To the eztent appticable, will comply with the flood insurance purchase requirements of
section 102(a) of the F}ood Disaster Protection Act of 1973, as amended, 42 US_C.
4012a(a), requiring the Applicant and its subrecipients in a special flood hazard area to
participate in the progam and purehase flood insurance if the total cost of insurable
construction and acquisition is $1�,000 or more;
(9) To the extent appiicable, will comply with the Lead-Based Paint Poisoning Prevention Act,
42 U.S.C. 4831(b), which prohibits the use of lead-based paint in the construcuon or
rehabilitation of residence stcuctures;
(10) To the extent appiicable, will not dispose of, modify the use of, or change the terms of the
real property ritle or other interest in the site and facilities on which a construction project
supported with FI'A assistance takes place without permission and inshvctions from FI'A;
(11) To the extent required by FI'A, will record the Federal interest in the title of real property,
and wilI inclnde a covenant in the title of real property acquired in whole or in part with
Federai assistance funds to assure nondiscrimination during the useful life of ffie pzoject;
(12) To the extent applicable, will comply with FTA provisions conceming the drafting, review,
and approvai of construction pIans and specifications of any construcROn project supported
with FTA assistance. As required hy U.S. DOT regutarions, "Seismic Safety;' 49 CFR
41.I17(d), before accepung delivery of any buiiding financed with FTA assistance, it wiII
obtain a certificate of compliance with the seismic design and construction requirements of
49 CFR part 41;
(13) To the extent applicable, witl provide and maintain competent and adequate engineering
supervision at the constr�ction site of any project supported with FTA assistance to ensure
that the complete work conforms with the approved plans and specifications, and will
famish progress reports and such other Znforraation as may be required by FTA or ihe state;
(14} To the extent applicable, wil] comply with any applicable environmental standazds that may
be prescribed to implement the fol]owing Federal ]aws and executive orders:
(a) Institution of environmental qua}ity control measeres under the National Environmental
Policy Act af 1969, as amended, 42 U.S.C. 4321 through 4335 and Executive Order
No. 11514, as amended, 42 U.S.C. 4321 note;
(b) Notificavon of violating facilities putsuant to Executive Order I3o. 11738, 42 U.S.C.
7606 note;
(c) Protecfion of weflands pursvant to F�cecutive Order No. 1299Q 42 U.S.C. 4321 note;
(d) Evaluation of flood hazazds in floodpiains in accordance with Executive Order
No. 11988, 42 U.S.C. 4321 note;
(e) Assurance of pmject consistency with the approved state management program
developed pursuant to the reguirements of ihe Coastal Zone Management Act of 1972,
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Fed Register/Vol. 71, No. 215/Tuesday, November 7, 2006/Notices 65337
APPENDIX A
as amended, 16 U_S.C. 1451 through 1465;
(� Conformity of Federal actions to State (Clean Air) Implementation Plans under
section 276(c) of the Clean Air Act of 1955, as amended, 42 U.S.C. 7401 through
7671q;
(g) Protection of undergound sources of drinking water under the Safe Drinking Water Act
of 1974, as amended, 42 U.S.C. 300f through 30Qj-6;
(h} Protection of endangered species under the Endangered Species Act of 1973, as
amended, 16 U.S.C. 1531 through 1544; and
(i) Environmental pratections for Federal transportation programs, including, bui not
limited to, protections for pazks, recreation areas, or wildlife or waterfowl refuges of
national, state, or local significance or any land from a historic site of national, State, or
Ioca1 sigaificance to be used in a transportation project as required by 49 U.S.C. 303(b)
and 303(c);
(j) Protection of the components of the national wild and scenic rivers systems, as required
under the Wild and Scenic Rivers Act of 1968, as amended, 16 U.S.C. 1271 through
1287; and
(k) Provision of assistance to FI'A in complying with seclion 106 of the National Historic
Preservation Act of I966, as amended, 16 U.S.C. 470f; with the Archaeological and
Historic Preservation Act of 1974, as amended, I6 U.S.C. 469 through 469c ; and with
Executive Order l�io. 11593 (identifacation and protection of historic propert7es),
16 U.S.C.470 note;
(15) To the extent applicable, will comply with the requirements of the Hatch Act, 5 U.S.C. I501
through 1508 and 7324 through 7326, which limit the politicai activities of State and local
agencies and their officers and empIoyees whose primary employment activiUes are
financed in whole or part with Federal funds including a Federal loan, grant agreement, or
cooperative agreement except, in accordance with 49 U.S.C. 5307(k)(2) and 23 CT.S.C.
142(g), the Hatch Act does not apply to a nonsupervisory employee of a puhlic
transporcation system (or of any other agency or entity perfornung related functions)
receiving FTA assistance to whom that Act dces not otherwise apply;
(16) To the extent applicable, will comply with the National Research Act, Pub. L. 93-348,
July 12, �974, as amended, 42 U.S.C. 289 et seq., and U.S. DOT regulations, "Protection of
Human Subjects," 49 CFR part l I, regarding the pmtection of human subjects involved in
research, development, and related activities supported by Federal assistance;
(17) To the extent applicable, will compIy with the L.aboratory Animal Welfaze Act of 1966, as
amended, 7 U_S.G 2131 et seq., and U.S. Department of Agiculture regulations, "Animat
Welfare," 9 CFR subchapter A, parts 1, 2, 3, and 4, regazding the caze, handling, and
treaunent of warm blooded animals held or used for research, teaching, or other activities
supported by Federal assistance;
(18) Will have performed the financial and compliance audits as required by the Single Aadit
Act Amendments of 1996, 31 U.S.C. 7501 et seq., OMB Circular A-133, "Audits of States,
Local Govemments, and Non-Profit Organizations," Revised, and the most recent
apglicable OMB A-133 Compliance Supplement provisions for the U.S. DOT; and
(19) To the extent applicable, will comply with all app}icable provisions of all other Federai
laws, regulaaons, and directives goveming the project, except to the extent that FTA has
expressly approved othezwise in wriring.
65338 Federal Register / Vol. 71, No, 215 / Tuesday, November 7, 2006 / Notices
APPENBIX A
02. LOBBYING CERTTFICATION
An Applicanx zhat submiu or intends to submir an application to FlA for Federal assistance
exceeding $100,000 is required to provide the following certifcation. FTA may not award
Federal assistance ezceeding $100,000 until the Applicant provides this cenification by seleciing
CQZegOry "OZ."
A. As required by 31 U.S.C. 1352 and U_S. DOT regulations, "New Restrictions on Lobbying;'
at 49 CFR 20.110, the ApplicanYs authorized representative certifies to the best of his or her
lrnowledge and belief that for each application to FPA for Federal assistance exceeding
$100,000:
(1) No Federai appmpriated funds have been or will be paid by or on behalf of the
Applicant to any person to influence or attempt to influence an officer or employee of
any Federat agency, a Member of Congress, an officer or empioyee of Congress, or an
employee of a Member of Congess regarding the awazd of Federal assistance, or the
extension, continuation, renewa}, amendment, or modification of any Federal assistance
agreement; and
(2) If any funds other than Federal appropriated funds have been or wil[ be paid to any
person to influence or attempt to influence an officer or employee of any Federal
agency, a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection u+ith any appIication for Federai assistance, the
Applicant assures that it witl complete and submit Standard Form-I_L.L, "Disclosure
Form to ReporE I.obbying," including information required by the instructions
accompanying the form, which form may be amended to omit such information as
authorized by 31 U.S.C. 1352.
(3) The language of this certification shall be included in the awud documents for alt
subawazds at all tiers (including subcontracts, subgrants, subageements, contracts under
grants, toans, and cooperative agreements}.
B. The Applicant understands that this certificaUOn is a materia} representaiion of fact upon
which reliance is placed by the Federal Government and that submission of this certification
is a prerequisite for providing Federal assistance for a transaction covered by 31 U_S_C.
1352. The Applicant also understands that any person who fails to file a required
certification shail be subject to a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.
03. PROCUREMEN'I' COMPLIANCE
In accordance with 49 CFR I836(g)(3)(ii), e¢ch Applicant that is a State, local, or Indian tribat
government that is seeking Federal assistance ro acquire property or services in suppon of its
project is requested ro provide the foUowing cenificatiort by selecting Category "03. " FlA also
requesYS other Applicants to provide the fotlowing cenification. An App1¢cant for FTA assistance
to acquire property or services in support of its project that fails to provide this certification may
be determined ineligible for award of Federal assistance for the projeM, if F!"A determines that
its procurement practices and procurement system are incapable of compZiance with Federal
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APPENDIX A
laws, regulations and directives governing procurements fznanced with FTA assistmtce.
The Applicant certifies that its procurements and procurement system wiIl comply with all
applicable third party procurement provisions of Federal laws, regulations, and directives, except
to the extent FI'A has expressly approved otherwise in writing.
04. PRIVATE PROVIDERS OF PUBLIC TRANSPORTATION
Each Applicant thai is a Stnte, locai, or Indian tribal government rhai is seeking Federai
assistance authorized under 49 U.S.C. chapter 53 to acquire any property or an interest in the
property of a private provider of public transponation or to opera[e public transponation
equipment or facilities in competirion with, or in addition to, transponatiorz service provided by
an existing private provider of public transponation is required to provide ihe following
certifzcation. FTA may nor award Feder¢I assistance for such a project until the Appticant
provides this certifzcation by selecting Category "04."
As required by 49 U.S.C. 5323(a)(1), the Applicant certifies that before it acquires the property
or an interest in the property of a private provider of public transportation or operates public
transportation equipment or facilities in competition with, or in addition to, transportation service
provided by an existing public transportation company, it has or will have:
A. Determined that the assistance is essential to cazrying out a program of projects as required
by 49 it.S.C. 5303, 5304, and 5306;
B. Provided for the participation of private companies engaged in public transportation to the
maximum extent feasible, and
C. Paid just compensation under state or local ]aw to the company for any franchise or property
acquired.
O5. PUBLIC HEARfNG
An Applicant seeking Federal assistance authorized under 49 U.S.C. chapter 53 for a capital
project that witl substantially afject a community or a community's public transponation service
is required to provide the following ceniftcation. FTA may not award Federal assistance for
ihat type of project until the Applicant provides this ceni, fication by selecting Category ••OS „
As required by 49 iI.S.C. 5323(b), ihe Applicant certifies that it has, or before submitung its
appiicauon, it will have:
A. Provided an adequate opportunity for public review and commeni on the project preceded by
adequate prior public notice of the proposed project, including a concise description of the
proposed project, pub]ished in a newspaper of general circulauon in the geographic area to be
served;
B. He}d a pub]ic hearing on the project if the project affects significant economic, social, or
environmental interests after providing adequate notice as described above;
C. Considered the economic, social, and environmental effects of the proposed project; and
D. Determined that the proposed project is consistent with official plans for developing the
urban azea.
65340 Fede Register/Vol. 71, No. 215/Tuesday, November 7, 2006lNotices
APPENDIX A
06. ACQUISIT'ION OF ROLLING STOCK
An Applicant seeking Federal assislance auihorized under49 U.SC. chapter 53 to ¢cquire any
rolling stock is required to provzde the following certification. FFA may not award any FederaI
assistance to acquire such rolling stock until the Applicant provides this cenification by
selecting Category "06."
As required by 49 U.S.C_ 5323(m) and implementing FI'A regulations at 49 CFT2 663.7, the
Applicant certifies that it wi31 comply with the reqniremenu of 49 CFR part 663 as modified by
aznendments authorized by section 3023(k) of SAFETEA-LU when procuring revenue service
roiling stock. Among other things, the Applicant agrees to conduct or cause to be condncted ihe
requisite pre-awazd and post-delivery reviews, and Tnaintain on file the certifications required by
49 CFR part 663, subparts B, C, and D.
07. ACQUISITION OF CAPITAL ASSETS BY LEASE
An Applicant thcu intendc to request the use of Federal assistance to acquire capital assets by
lease is required to provide the following certifuations. F7'A may not provide assistance ro
support those costs until the Applicant provides this certification by selectirzg Category "07."
As required by FPA regulations, "Capital I.eases," az 49 CFR 639.15(b)(1) and 639_21, if the
Applicant acquires any capital asset by lease financed with Federal assistance authorized for
49 U.S.C. chapter 53, the AppIicant certifes as follows:
(1) It wilt not use Federal assistance authorized to finance the cost of Ieasing any capital asset
until it performs calculations demonstrating that leasing the capital asset would be more
cost-effec6ve than purchasing or construcring a simi}ar asset; and It will complete these
calculations before entering into the lease or before receiving a capital grant for the asset,
whichever is later; and
(2) It will not enter into a capital Iease for which FTA can provide only incremental Federal
assistance unless it has adequate financial resourees to mee[ its future obligations under the
lease if Federal assistance is not availahle for capital projects in the subsequent years.
08. BUS TESTING
An Appdicant for Federal assistance appropriated or made available for 49 U_S_C. chapter 53 to
acquire any new bus model or any bus model with a new major change in configuration or
components u required to provide the fotlowing certificaiion. FCA may not provide assistance
for the acquisition of any new bus modet or bus model with a major charzge until the AppIicani
provides this cenification by setecting Caregory "08."
As required by 49 U.S.C. 5318 and FTA regulations, 'Bvs Tesring," at 49 CFR 665.7, the
Applicant certifies that, before expending any Federal assistance to acquire the first bus of any
new bus model or any bus model with a new major change in configuration or componenu, or
before authorizing final acceptance of that bus (as described in 49 CFR part 665), the bas model:
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APPENDIX A
A. Will have been tested at FTA's bus testing faciliry; and
B. Wil] have received a copy of the test report prepared on the bus model.
09. CHARTER SERVICE AGREEMENT
An Applicant seeking FederaT assistance authoriZed under 49 U.S.C. chapter 53 (except
49 U.S.C. 53I0 or 5317), or unrler 23 U_S.C. 133 or I42 ta acquire or operate any public
transponation equipment or facilities is required to enter into the following Chaner Service
Agreement. FTA may not provide assistance authorized under 49 U.SC. chapter 53 (except
49 U S.C. 5310 or 5317), or under 23 U.S. C.133 or 142 for such projects until the Applicant
enters into this Chaner Service Agreement by selecting Category "09."
A. As required by 49 U.S.C. 5323(d} and (g) and FFA regulations at 49 CFR 604.7, the
Applicant agrees that it and each subrecipient, tessee, and third party contractor at any tier
may grovide charter service for transpoIIation projects that uses equipmenE or faci]ities
acquired with Federal assistance authorized under the Federal transit laws (except 49 U.S.C.
5310 or 5317), or under 23 U.S.C. 133 or 142 only in compliance with those laws and FI'A
regulauons, "Charter Service,"49 CFR part 604, the terms and conditions of which aze
incoiporated herein by reference.
B. The Applicant understands that:
(1} The requirements of 49 CFR�part 604 will apply to any charter service it or its
subrecipients or third party contractors provide,
(2) The definitions of 49 CFR part 604 will apply to this Charter Service Ageement, and
(3) A violation of this Charter Service Agreement may require corrective measures and
imposition of penalqes, including debarment from the receipt of further Federal
assistance for transportation.
10. SCHOOL TRANSPORTATION AGREEMENT
An Applicant that is seeking Federal arsistance authoriZed under 49 U.S.C. chapter 53 or under
23 U.S.C.133 or 142 to acquire or operate public transportation facilities and equipment is
required to enter into the following School Transponation Agreement. FTA may not provide
assistance for such projecrs until the Applicant enters into this agreement by selecting
Category "I0. "
A. As required by 49 U.S.C. 5323(� and (g) and FTA regulations at 49 CFR 605.14, the
Applicant agrees thaf it and each subrecipient, lessee, or third party contractor at any tier
may engage in school transportation operations in competition with private school
transportation operators that uses equipment or facilities acquired with Federal assistance
authorized under the Federal transit laws or under 23 U.S.C. 133 or 142, only in compliance
with those laws and FTA regulations, "School Bus Operations,"49 CFR part 605, the terms
and conditions of which are incorporated herein by reference.
B. The Applicant understands that:
(1) The requirements of 49 CFR part 605 wi]I apply to any school transportation service it
or its subrecipients or third party contractors provide,
65342 FederaI Register/VoI. 71, No. 215/Tuesday, November 7, 2006/Notices
APPEIVDIX A
(Z) The definitions of 49 CFR pazt 605 wiIl appty to this School Transportation Agreement,
and
(3} A violarion of this School Transportation Agreement may require corrective measures
and imposition of penatties, including debazment from the receigt of further Federal
assistance for transportation.
11. DEMAND RESPONSIVE SERVICE
An Applicant that operates demand responsive service and applies for direct Federal assistance
authorized for 49 U.S.C. chapter 53 ro acquire non-rail pubZic rransponation vehicles is
reguired io provide the following certification. FTA may nof award direM Federal assistance
authorized for49 U.SC. chapter 53 to an ApplicanF ihat operates demand responsive service to
acquire non-rail publie Zransponation vehicles until the Applicant provides this certification by
selecting Category "11 "
As required by U.S. DOT reguIations, "Transportation Services for Individuals with Disabilities
(ADA)," at 49 CFIt 37.77(d), the Applicant certifies that its demand responsive service offered
to individaals with disabilities, including individuals who use wheelchairs, is equivalent to the
level and quality of service offered to individuals wiihout disabiIities_ When the ApplicanYs
service is viewed in its entirety, the ApplicanYs service for individuals with disabilities is
provided in the most integrated setting feasible and is equivalent with respect to: (1) response
time, (2) fares, (3) geographic service uea, (4) hours and days of service, (5) restrictions on hip
purjwse, (6) availabitity of infotmation and reservation capabitity, and (7) constraiats on capaciry
or service avai]ability_
12. ALCOHOL MISUSE AND PROHIBITED DRUG USE
If the Applicant is required to provide the following certiftcation concerning its activities to
preveni alcohol misuse and prohibited drug use in its pubZic transponation operations, FT'R may
not provide Federal assistance to that Elpplicant unril it provides this certification by selecting
Category "12"
As required by FI'A regulations, "Prevention of Alcohol Misuse and Prohibited Drug Use in
Transit Operatians," at 49 CFR part 655, subpart I, the Applicant certifies that it has established
and impiemented an alcohoI misuse and anti-drug program, and has complied with or will
comply with all applicable requirements of FI'A regulations, "Prevention of-Alcohol Misuse and
Prohibited Drug Use in Transit Operations," 49 CFft part 655.
13. INTEREST AND O'1`HER FINANCING COSTS
An Appticant that intends to requesi the use of Federal assistance for reimbursement of interest
or other financing costs incurred for its capita! projects financed with Federal assistance unde�
ihe UrbaniZed Area Formula Program, the Capital Investment Progr¢m, or the Altemative
Transponation in Parkr and Public Lands Program is required to provide the fotlowing
cenifzcatiorz. FTA may not provide assistance to suppon ihose costs untid the Appticant provides
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Federal Register/Vol. 71, No. 215/Tuesday, November 7, 2006/Notices 65343
. APPENDIX A
this cenifzcarion by selecring Categary "13."
As required by 49 U.�.C. 5307(g)(3), 5309(�(2)(B)(iii), 5309(g)(3)(B)(iii), 5309(i)(2)(C), and
5320(h)(2)(C), the Applicant certffies that it will not seek reimbursement for interest and other
financing costs unless it is eligible to receive Fedeial assistance for those expenses and iu
records demonstrate that it has used reasonable diligence in seeking the most favorable financing
terms undetlying those costs, to the extent FI'A may require.
14. INTELLIGENT TRANSPORTATION SXSTEMS
An Applicant for FI'A assistance for an Intelligent Transponation Systems (ITS) project, defined
as any project th¢t in whole or in pan finances the acquisition of technologies or systems of
technologies that provide or significantly contribute to ihe provision of one or more ITS user
services as defined in the "National ITS Architecture" is requested to provide the following
assurance. FTA strongty encourages any Applicant for FTA financiat assistance to suppon an
ITS project to provides this assurance by selecting Category "14." An Applicant for FTA
assistance for an ITS project that fails to provide this assurance, without providing other
documentation assuring the Applicarzt's commitment to comply with applicable TlS standards
and protoco2s, may be deiermined ineligible for award of Federal assistance for the ITS project.
As used in this assurance, the term Intelligent Transportation Systems (ITS) projecE is defined to
incIude any project that in whole or in part finances thc acquisition of technologies or systems of
technologies that provide or significantIy contribute to the provision of one or more ITS user
services as defined in the "National ITS Architecture "
A. As provided in SAFETEA-LU section 5307(c), 23 U.S.C. 512 note, "the Secretuy shatl
ensure that intelligent transportation system projects carried out using funds made availabie
from the Highway Trust Fund, including funds made available under this subtitle to deploy
inteliigent transportation system technologies, conform to the nationai azchitecture,
applicable standards or provisional standards, and protocols developed under
subsection (a)." To facilitate compliance with SAFET'EA-LU section 5307(c), 23 U.S.C.
512 note, the Applicant assures it will comply with all applicable provisions of Section V
(Regional 1TS Architecture} and Section VI (Project Implementation) of FTA Notice,
"FTA National ITS Architecture Policy on Transit Projects," at 66 FR 1455 et seq.,
January 8, 2001, and other FTA policies that may be issued in connection with any ITS
project it undertakes financed with funds authorized under TiUe 49 or Title 23, United States
Code, except to the extent that FTA expressly determines otherwise in writing.
B. With respect to any I"FS project £nanced with Federal assistance derived from a source
other than Title 49 or Title 23, United States Code, the Applicant assures that it will use its
best efforts to ensure that any ITS project it undertakes will not preclude interface with offier
intelligent transportation systems in the Region.
15. i3RBANIZED AREA FORMLTI.A PROGRAM
Each Applicant for Urbanized Area Formula Program asszstance authorized under 49 U.S. C.
5307 is reguired to provide the following certifications on behalf of itself and any subrecipients
65344 Federal Ree ster/VoI. 71, No. 215lTuesday, November 7, 2006/Notices
APPENIIIX A
participating in its projects. Unless FTA derermines othenvise in wreting, the Applicant is
u(zimately responsible far compliance with its certiftcaiions and ctssurances even shough a
subrecipienl may panicipate irz that project. Consequently, in providing certifzcariorrs and
assurances that invotve the compliance of its prospective subrecipients, the Appticant is strongly
encouraged to iake the appropriate meosures, including but not Zimited to obt�ining s�ffzcient
documentarion from each subrecipieni, to assure the validity of aIi ce�tifications and assurances
the Appticant has matle to FTA_ If, however a"Designated Recipient" as defined at 49 U.SC.
5307(a)(ZXA) enters into a SuppLemenfal Agreemeni with FTA and a Prospecitve GranYee, that
Granree is recogniZed as the.Applicant for Urbanized Area Formula Frogram assistance and
musz provide the following certifications.
Each Appdicant is required by 49 U.S.C. 5307(d}(1)(J) zo ezpend at least one (I ) percent of its
Urbanized Area Formula Program assistance for public traruportation security projects, unless
the Applicant has certified to FlA that such expendiiures are not necessary. Information about
the Applicmet's intentions will be recorded in the "Securiiy" tab page of the TEAM-Web
"Project Infnrnzation" window when the Applicant enters its Urbarzued Area Formula Program
applicatinn in Z'EAM-Web.
FTA may not award Urbanized Area Formula assistance to any Applicant that has received
Transit Enhancement funds authorized by former 49 U.S.C. 5307(kxl ), unless a quarterly repon
for the fourth quarter of the preceding Federal fzscal year has been submitted to FTA and
includes the requisite list for ihe urbanized area. Beginning this Federal,�sca1 year 2007, FTA
may noi award Urbanized Area Formula Program assistarzce to any Applicant that is required
by 49 U.S.C. 53Q7(dX1 }(KJ to ezpend one (I } percent of its Urbanized Area Fomeula Progrmn
assistance for etigible transit enhaneements unless that Applieani's quanerly repon for the
fourth quarter of the preceding Federal fzscal year has been submined to FTA and includes the
requisite list or rhe 9pplicant anaches in TEAM or incIudes in ixs quanerly repon information
sufficient to demonstrate thar the Designated Recipients in its area tagether have expended one
(I ) percent of the ¢mount af Urbanized Area Program assistance nrade availa8le to them for
transit enhancement projects.
FlA may not award assistance for the Urbanized Area Formula Program to the Applicmu until
the Appticant provides these certifxcarions and assurances by selecting Category "1 S_ °
As required by 49 U.S.C. 5307(d)(I), the Applicant certi£es as foIlows;
A. In compliance with 49 U.S.C_ 5307(d)(1)(A), the Applicant has or will have the legal,
financial, aad technical capacity to cazry out its proposed pragram of projects, incIuding
safety and security aspects of that progrdm;
B. In compliance with 49 U.S.C. 5307(d)(1)(B}, the Applicant has or wili have satisfactory
continuing control over the use of Project equipment and facilities;
C_ In compliance with 49 iJ.S.C_ 5307(d)(1)(C}, the Applicant will adequately maintain fhe
Project equipment and facilities;
D. In compliance with 49 U.S.C. 5307(d}(1)(D), the Applicant wiIl ensure that elderly
individuals, individuals with disabilities, or any person presenung a Medicare card issued to
himself or herself parsuant to title II or tiUe XVIII of the Social Security Act (42 U.S.C. 401
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Federal R 7 N o. 215/Tnesday, November 7, 2006lNotices 65345
APPENDIX A
er seq. or 42 U.S.C_ 1395 et seq_), will be chazged for zransportation during non-peak hours
using or involving a facility or equipment of a project financed with Federal assistance
authorized for 49 U.S.C. 5307, not more than fifty (50) percent of the peak hour faze;
E. In compliance with 49 U.S.C. 5307(d)(I)(E), the Applicant, in carrying out a procurement
financed with Federal assistance authorized under 49 U.S.C. 5307: (1) wil} ase competitive
procurement (as defined or approved by the Secretary), (2) will not use exclusionary or
discriminatory specifications in its procvrements, (3) will comply with applicable Buy
America laws, and (4) will comply with the genera] provisions for FTA assistance of
49 U.S.C. 5323 and the third party procurement requirements of 49 U.S.C. 5325;
F. In comptiance with 49 U.S.C. 5307(d)(I)(F), the Applicant has complied with or will
comply with the requirements of 49 U.S.C. 5307(c). Specifically, the Applicant: (1) has
made available, or will make available, to the public information on the amounts available
for the Urbanized Area Formuia Program, 49 U.S.C. 5307, and the program of projects it
proposes to undertake; (2) has developed or will develop, in consnitation with interested
parties including private transportation providers, a proposed program of projects for
activities to be financed; (3) has published or will publish a proposed program of proj�cts in
a way tfiat affected citizens, private transportation providers, and Iocal elected officials have
the opportunity to examine the proposed program and submit comments on the proposed
program and the performance of the Applicant; (4) has provided or will provide an
opportunity for a public hearing to obtain the views of cirizens on the proposed program of
projects; (5} has ensured or wiI] ensure that the proposed progratn of projects provides for
the coordination of ffansportation services assisted under 49 U.S.C. 5336 with transportauon
services assisted by another Federei Govemment source; (6) has considered or will consider
the comments and views received, especially those of private transportation providers, in
preparing its final program of projects; and (7) has made or will make the final program of
projects available to the public,
G. In compliance with 49 i3.S.C. 5307(d)(1)(G), the Applicant has or will have available and
will provide the amount of funds required by 49 U.S.C. 5307(e) for the Iocal shaze, and that
those funds will be provided from approved non-Federai sources except as pemvtted by
Federal law;
H. In compIiance with 49 U.S.C, 5307(d)(1)(I�, the Applicant will comply with: 49 U.S.C.
5301(a) (requirements for public transportation systems that maacimize the safe, secure, and
efficient mobiIity of individuals, minimize envimnmental impacts, and minimize
transportation-related fvel consumption and reliance on foreign oi]); 49 U.S.C. 5301(d)
(speciat efforts to design and provide pubiic transportation for elderly individuals and
individuals with disabiliries}; and 49 U.S.C. 5303 through 5306 (planning and private
enterprise requirements); '
L In compliance with 49 U.S.C. 5307(d)(1)(I), the Applicant has a locally developed process
to solicit and consider public comment before raising a faze or implementing a major
reduction of public transportaUOn;
J. In compliance with 44 U.S.C. 5307(d)(1)(J), each fiscal year, the Applicant will spend aT
least one (1) percent of its funds authorized by 49 U.S.C. 5307 for pubtic transporta£ion
security projects, unless the Applicant has certified to FTA that such expenditures are not
necessary. Public transportation secutity projects include increasecl lighting in or adjacent
to a public transportation system (including bus stops, subway stations, parking lots, and
653 Fe Begisfe 71, No. 215/Tuesday, November 7, 2006/Norices
APPENDIX A
gazages), increased camera surveillance of an uea in or adjacent to that system, emergency
telephone tine or lines to contact law enforcement or security personnel in an area in or
adjacent to that system, and any other project intended to increase the securiry and safety of
an existing or planned public transportation; and �
K. In compliance with 49 U.S.C. 5307(d)(1)(R), if the Applicant is a Designated Recipient
serving an urbanize@ area with a popularion of at least 200,000, (1) the ApplicanE certifies
either that it has expended or wiIl expend for transit enhancements as defined at 49 U.S.C.
5302(a)(15) not Iess than one (1) percent of the amount of the Urbanized Area Formula
Assistance it receives this fiscal year, or that at least one Designated Recipient in its
urbanized area has certified or will certify that the Designated Recipients within that
urbanized area Together have expended or wil] expend for transit enhancements as de5ned at
49 U.S.C. 5302(a)(IS} not Iess than one (1) percent of the amount of the totat amounts the
Designated Recipients receive each fiscal yeaz under 49 U.S.C_ 5307, and (2) either the
Applicant has listed or wiil list the transit enhancement projects it has carried out with those
funds, or at least one Designazed Recipient in the ApplicanYs iubanized azea has tisted or
will Iist the transit enhancement projects cazried out with funds authorized under 49 U.S.C.
5307_ If the Designated RecipienYs quarterly report for the fourth quarter of the preceding
Federal fiscal yeu includes a list of transit enhancement projects the Designated Recipients
in its arbanized area have implemented during that preceding frscal year using those funds,
the information in that quarterl� report will fulfill the requirements of 49 U.S.C.
5307(d)(1)(K)(ii), and thas that quarterly report will be incorporated by reference and made
part of the Designated RecipienYs and ApplicanYs certifications and assurances.
16. CLEAN FUELS GRANT PROGRAM
Each Applicant for Clean Fuels Grant Program assistance authorized under49 U.S.C. 5308 is
required to provide the fotlowing certifzcations on behalf of itself and its subrecipients. Unless
F7'A deterneines othenvise in writing, ihe Appiicant is ultimately responsible for compliance with
its cenificarions and assurances even though a subrecipiertt may pasticipate in that project.
Consequently, in providittg certificarions and assurances that invotve the compliance of its
prospeciive subrecipients, ihe Applicant is strangly encouraged to take the appropriate
measures, including but not limited to obtaining sufficient documentarinn from each
subrecipient, to assure the validity of a11 certifications and assurances the Applicant has made to
FTA. FTA may not award Federal assistance for the Clean Fuels Grant Program until the
Applicant provides these cenificalions by selecring Category "16."
As required by 49 IJ.S.C. 5308(d}(1), which makes the requirements of 49 U.S.C. 5307
applicable to Clean Fuels Grant Program assistance, and 49 U.S.C. 5307(d)(1), the designated
recipient or the recipient serving as the ApgIicant on behalf of the designated recipient, or the
state or state organization serving as the Applicant on behaif of the state, certifies as foIlows:
A. In compliance witF� 49 U_S.C. 5307(d)(1)(A), the Applicant has or will have the legal,
fnancial, and technical capacity to carry out its proposed program of projects, including
safety and security aspects of Ehat program;
B_ In compliance with 49 U.S.C. 5307(d)(i)(B), the Applicant has or wiI] have satisfactory
continuing control over the use of project equipment and facilities;
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Federal Register/Vol. 71, No. 225/Tuesday, November 7, 2006/Notices 65347
APPENDfX A
C. In compiiance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
project equipment and facilities;
D. In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant wilt ensure that elderly
individuals, inclividuals with disabilities, or any person presenting a Medicaze card issued to
himself or herself pursvant to tide II or title XVIII of the Social Security Act (42 U.S.C. 401
et seq. or 42 U.S.C. 1395 et seq.), wi11 be chazged for transportation during non-peak hours
using or involving a facility or equipment of a project Financed with Federal assistance
authorized under 49 U.S.C. 5308, not more than fifty (50) percent of the peak hour fare;
E. In compiiance with 49 U.S.C. 5307(d)(1)(E}, the Applicant, in carrying out a procurement
financed with Federal assistance authorized under 49 U.S.C. 5308: (1) will use competitive
procurement (as defined or approved by the Secretary), (2} will not use exclusionary or
disctiminatory specifications in its procurements, (3) will compiy with applicable Buy
America laws, and (4) will comply with the general provisions for FTA assistance of
49 U.S.C. 5323 and £he third party procurement requirements of 49 U.S.C. 5325;
F. In compliance with 49 U.S.C. 5307(d)(1)(F), ihe Applicant has complied with or will
comp}y with the requirements of 49 U.S.C. 5307(c). Specificaily, the Applicant (1) has
made available, or will make available, to the public information on the amounts available
for the Clean Fuels Grant Program, 49 U.S.C. 5308, and the projects it proposes to
undertake; (2} has developed or will develop, in consultation with interested parties
including private transportarion providers, the proposed projects to be financed; (3) has
published or wili publish a list of the proposed projects in a way that affected citizens,
private transportaUOn providers, and local elected officia]s have the opportunity to examine
the proposed projects and submit comments on the proposed projects and the performance
of the Applicant; (4) has provided or will provide an opportunity for a public hearing to
obtain the views of citizens on the proposed projects; (5) has ensured or will ensure that the
proposed projects provide forthe coordination of transportation services assisted under
49 U.S.C. 5336 with transportation services assisted by another Federal Government source;
(6) has considered or will consider the comments and views received, especially those of
private transportation providers, in preparing its final list of projects; and (7) has made or
will make the final list of projects available to the public;
G. In compliance with 49 U.S.C. 5307(d)(1)(G), the Applicant has or will have available and
wifl provide the amount of funds required by 49 U.S.C_ 5308(d)(2) for the local shaze, and
that ihose funds will be provided from approved non-Federal sources excepi as pemvtted by
Federa] law;
H. In compliance with 49 U.S.C. 5307(d)(1)(F�, the Applicant will comply with: 49 U_S.C.
5301(a) (req¢irements for public transportauon systems that m�imize the safe, secure, and
efficient mobility of individuals, minimize environmentai impacts, and minimize
tiansportation-related fue3 consumption and reliance on foreign oil); 49 U.S.C. 5301(d)
(special efforts to design and provide public transportation for elderly individuals and
individuals with disabilities); and 49 U.S.C_ 5303 through 5306 (planning and private
enterprise requirements);
L In compliance with 49 U.S.C. 5307(d)(1)(n, the Applicant has a locally deve}oped process
to so3icit and consider public comment before raising a fare or implementing a major
reduction of public transportation; and
J. The Applicant certifes that it will use only clean fuels to operate any vehicles financed with
65348 Fe deral Register/Vol. 7 No. 215/Tuesday, November 7, 2006/Notices
. APPENDIX A
Federal assistance provided for the Clean Fuels Grant Progam, 49 US_C_ 5308, and in
particular that it wiII use only ultra-low sulfur diesel fuei to operate "clean diesel" buses
financed with Federa( assistance provided for the Clean Fuels Grant Program, 49 U.S.C.
530&.
17. ELDERLY INDIVIDUALS AND INDIVIDIJALS WITH DISABILITIES
FORMLTLA PROGRAM AND PILOT PROGRAM
The Staie or State organization (State) that administers the Elderly Individuals and Individuals
with Disabiliries Formula Program mrd, if applicable, the Elderly Individuals and Individuals
with Disabilities Pilot Program on behalf of itself and its subrecipients is required to provide the
follawing certifications on beha[f of itseif and each subrecipient. Unless FlA determines
otherwise in writing, the State itself is ultimatety responsible for compliance with its
certifications and assurnnces even though a subrecipient »ray participare in that project.
Consequently, in providing certifzcarions and assurances that involve the compTiance of its
prospective subrecipients, the State is strongly encouraged to take the appropriate measures,
including but not limited to obtaining sufficient documentation from each subrecipient, tn qssure
the validity of all cenifications and assurances the State has mqde to FTA FTA may not award
assistance for the Elderly Individuals and Individuals with Disabilities Formula Pragram or the
Elderly Individuals and Individuals with Disabilities Pi1ot Program until the State provides these
cenifzcasions by selecting Category '?7_"
A. As required by 49 U.S_C. 5310(d), which makes the requirements of 49 U_S_C. 5307
appiicable to the Elderly Individuals and Individnals with Disabilities Fonnu}a Program to
the extent fihat the Federal Transit Adminishator or his or her designee determines
appropriate, and 49 U.S.C. 5307(d)(1), the State or State organization serving as the
Applicant (State) and that administers, on behalf of the State, the Eldedy Individuals and
Individuals with D'zsabilities Program authorized by 49 U.S.C. 5310, and, if applicable, the
Eiderly Individuats and Individuals with Disabilities Pilot Program authorized by
subsection 3012(b) of SAFETEA-LU, 49 U_S.C. 5320 note, certifies and assures on behalf
of itself and its subrecipients as follows:
(1) In compliance with 49 i3.S,C_ 5307(d)(i)(A), the Applicant has or will have the Iegal,
financial, and technical capacity to cazry out its proposed progratn of pro}ects, including
safety and security aspects of that program;
(2) In compliance with 49 U.S.C_ 53Q7(d)(I)(B), the Applicant has or wilf have satisfactory
continuing control over the use of project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), Ehe Applicant will adequately maintain the
project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1�E), the Applicant, in catrying out a
procurement financed with Federat assistance authorized under 49 U.S.C. 5310 or
subsection 3012(b) of SAFB'IBA-LU: (1) will use competitive procurement (as defined
or approved by the Secretary), (2} will not use exclusionary or discriminatory
speciftcations in its procurements, (3) will comply with applicable Bny America laws,
and (4) wi11 comply witfi the general provisions for FTA assistance of 49 LJ.S.C. 5323
and the third party procurement requirements of 49 U.S.C. 5325;
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Federal R aister/Vol. 71, No. 215/Tuesday, November 7, 2006/Notices 65349
APPENDIX A
(5) In comptiance with 49 U_S.C. 5307(d)(1xG), the Applicant has or wi11 have available
and will provide the amouat of funds required by 49 U.S.C. 53I0(cj, and if applicable
by section 3012b(3) and (4), for the locai shue, and that those fnnds wili be provided
from approved non-Federat sources except as permitted by Federal law; and
(6) In compliance with 49 U.S.C. 530'7(d)(1)(I�, the Applicant will comply with: 49 U_S.C.
5301(a) (requirements for public transportarion systems that ma�cimize the safe, secure,
and efficient mobility of individuals, minimize environmental impacu, and minimize
transportation-related fuel consumption and reliance on foreign oil); 49 U.S_C. 5301(d)
(special efforts to desigi and provide public transportation for elderly individuals and
individuals with disabilities); and 49 U.S.C. 5303 through 5306 (planning and private
entecprise requirements);
B. The State assures that each subrecipient either is recognized under State law as a private
nonprofit organization with the legal capability to contract with the State to carry out the
proposed project, or is a public body that has met the statutory requirements to receive
Federal assistance authorized for49 U.S.C. 5310.
C. The private nonprofit subrecipienYs applicadon for 49 U.S.C. 5310 assistance contaSns
information from which the State concludes that the transit service provided or offered to be
provided by existing pubiic or private transit operators is unavaiIable, insufficient, or
inappropriate to meet the special needs of the elderly and persons with disabilities.
D. In compliance with 49 U.S.C. 5310(d)(2)(A) and section 3012(b)(2), the State certifies that,
before it transfers funds to a project funded vnder 49 U.S.C. 533b, that project will has been
or will have been coordinated with pnvate nonprofit providers of services under 49 U.S.C.
5310;
E. In compliance with 49 U.S.C. 5310(d)(2)(C), the State certifies that allocations to
subrecipients of financial assistance authorized under 49 U.S.C. 5310 or subsecdon 3012(b)
of SAFET'EA-LU will be dishibuted on a fair and equitable basis; and
F. In compliance with 49 U.S.C. 5310(d)(2)(B) and Subsection 3012(b)(2) of SAFETEA-LU,
the State certifies that (1) projects it has selected or will select for assistance under that
program were derived from a]ocally developed, coordinated public transit-human services
transportation plan; and (2) the plan was developed through a process that included
representatives of public, private, and nonprofit transportation and human services providers
and participation by the pubIic.
18. NONLJRBAIQIZED AREA FORMUI.A PROGRAM
The provisions of 49 U_S.C. 5311 establishing the Nonurbanized Area Formula Program do not
impose, as a pre-condition of award, any explicit cenification ar assurance requirements
established specifically for that program. Only a State or a State organization acting as the
Recipiera on behalf of a State (Siate j may be a direct recipient of NonurbaniZed Area Formula
Program assistance. Separate cernfications anrl assurances have been established for an Indian
tribe that is an Applicant for Tribal Transit Program assistance authorized by 49 U.S.C.
S31I(cJ(1).
Before FlA may award Nonurbanized Area Formula Program assistance to a State, the
U.S. Secretary of Transponation or his or her designee is required to make the pre-award
65350 Fe Register/Vol. 71, No. 215/Tuesday, November 7, 2006/I3otices
APPENDIX A
determinations required by 49 U.S.C_ 5311. Because cenain information is needed before the
Secreiary or his or her designee can make those determinarions, each State is requested to
provide the fallowing assurances on behalf of itself and its subrecipients. UnZess FTA
determines otherwise in writing, the State itself is ultimately �esponsible for compliance with its
cenif:cations and assurances even ihough a subrecipienr may panicipate m that project.
Consequently, in providing certifications and assurances rhat involve the compliance of ifs
prospective subrecipeents, the State is strongly encouraged io take the appropriate measures,
incZuding but not Iimited to obtaining sufficient documentation from each subrecipient, to assure
the validiry of al1 certifications and assurances the State has made to FIA. A State that fails to
provide ihese assurances on behalf of itself and its subrecipients may be derermined ineligible
for a grant of Federal assistance under 49 U S.C. 53I1 if FI'A lacks sufjicient informnlian from
which to make those determinations required by Federal laws and regulations governing fhe
Nonurbanized Area Formula Program authorized by 49 U.SC. 53II. The State is thus
reguested to select Category "(18)_"
The State or State organization serving as the Applicant and that adminisiers, on behalf of the
State (Staze) the Nonurbanized Aiea Formula Program authorized by 49 U.S.C. 5311, assures on
behalf of itself and its subrecipients as fotlows:
A. The State has or will have the necessary legal, financial, and managerial capability to apply
for, receive, and disburse Federal assistance authoriaed for 49 U.S.C. 531 I; and to carry out
each project, including the safety and secunty aspects of that project;
B. The State has or will have satisfactory conlinuing control over the use of project equipment
and facilities;
C. The State assures that the project equipment and faciliUes will be adequately maintained;
D. In compliance with 49 U_S.C. 5311(b)(2)(C)(i}, the State's program has provided for a fair
aistribution of Federal assistance authorized for 49 U.S.C. 5311 within ihe State, including
Indian reservations wi[hin the State;
E. In compliance with 49 U.S.C_ 5311(b)(2)(C)(ii), the State's program provides or will
provide the maximum feasible coordination of public transportation service to receive
assistance under 49 U_S.C. 5311 with transportation service assisted by other Federal
sources;
F. The pro}ects in the State's Nonnrbanized Area Formula Pro�am ue included in the
Statewide Transportation Improvement Program and, to the extent applicable, the projects
aze incYuded in a metropolitan Transportation Improvement Program;
G. The State has or will have available and will provide the amount of funds required by
49 U.S.C. 5311(g) for the tocal share, and thaz those funds wiIl be provided from approved
non-Federal sources except as permitted by Federal law; and
H. Tn compliance with 49 i3_S.C. 53ll(�, the State will expend not less than fifteen (15)
percent of the amoants of Federal assistance authorized under 49 U.S_C. 5311 that have
been provided to the State to develop and support intentity bus transportation within the
State, unless the chief executive officer of the State, or his or her designee, after
consultaaon with afFected intercity bus service providers, certi£es to the Federal Transit
Administrator, apart from these certificarions and assurances herein, that the intercity bus
service needs of the State are being adeguately met.
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Federal R eister/ Vol. 71, No. 225 / Tuesday, November 7, 2006 / Notices fi5351
APPENDIX A
19. JOS ACCESS AND REVERSE COMMUTE FORMULA GRANT PROGRAM
Each Applicant for Job Access and Reverse Commute (JARC) Formula Grant Program
assistance authorized under 49 U.S. C. 5316 is required ta provide fhe following certifxcations on
behalf of itself and any subrecipient that may be implementing its project. Unless FI'A
determines ozherwise in writing, the Applicant itself is uZtimately responsible for compliance
with its cenifzcations and assurances even though a subrecipieni may panicipate in thar project.
Consequentty, in providing certifications and assurances that irrvolve the compliance of its
prospective subrecipients, the Applicant u strongly encouraged to take the appropriate
measures, including bur not lemited to obraining suffzcient documentatian from each
subrecipient, to assure the vatidiry of atl cenifications and assurances the Applicant has made to
FTA. FTA may not award Federal assistance for ihe JARC Forniula Grant Program until the
Applicant provides these cenifzcations by selecting Category "19."
A. As required by 49 U.S.C. 5316(�(1), which makes the requirements of 49 U.S.C. 5307
applicable to Job Access and Reve�e Commute (7ARC) formula grants, and 49 U.S.C.
5307(d)(1), the Applicanf for JARC Formula Program assistance authorized under
49 U.S.C. 5316, certifies on behalf of itself and its subrecipients, if any, as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or will have the legal,
financial, and technical capacity to carry out its proposed program of projects, including
safety and security aspects of that program;
(2) In compliance with 49II.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory
continuing control over the use of project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
project equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant will ensure that elderly
individuals and individuals with disabiliues, or any person presenting a Medicare cazd
issued to himself or herself pursuant to uUe II or title XVIII of the Social Security Act
(42 U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.), will be chazged for transportation
during non-peak hours using or involving a facility or equipment of a project financed
with Federai assistance authorized under 49 U.S.C. 5316 not more than fifty (50)
percent of the peak hour fare;
(5) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in carrying out a
prceurement financed with Federa] assistance a�thorized under 49 U.S.C. 5316: (1} wiIi
use competitive procurement (as defined or approved by the Secretary), (2) will not use
exclusionary or discriminatory specificauons in its procurements, (3) will comply wiEh
applicable Buy America }aws, and (4) wili comply with the general provisions for
FTA assistance of 49 U.S.C. 5323 and the third party procurement requirements of
49 U.S.C. 5325;
(6) In compliance with 49 U.S.C. 5307(d)(1)(F), the Applicant has complied with or will
comply with t}te requirements of 49 U.S.C. 5307(c). Specificalty, it: (I) has made
avaiiable, or will make available, to the public information on the amounts avaitable for
the JARC Formula Grant Program, 49 U.S.C. 53Y6, and the projects it proposes to
undertake; (2) has developed or will develop, in consultation with interested parties
including private transportation providers, the proposed projects to be financed; (3) has
6 5352 Federal Register/Vol. 71, No. 215/Tuesday, November 7, 2006JNotices
APPENIIIX A
pablished or will pubIish a lis[ of projects in a way that affected citizens, private
transportation providers, and local elected officials have the opportvnity to examine the
proposed projects and svbmit comments on the proposed projects and the performance
of the Applicant; (4) has provided or will provide an opportunity for a public hearing to
obtain the views of citizens on the proposed projects; (5} has ensured or wiIl ensure that
the proposed projects provide for the coordination of transportation services assisted
under 49 U.S.C. 5336 with transportation services assisted by another Federal
Govemment source; (6) has considered or will consider the comments and views
received, especially those of private transportat3on providers, in preparing its final list of
projects; and (7) has made or will make the final list of pro}ects available to the public;
(7) In compliance with 49 U.S.C. 5307{d}{1)(G), the Applicant has or will have avaiiable
and witl provide the amount of funds required by 49 U.S.C. 5316(g) for the locat shue,
and that those funds will be provided from approved non-Federal sources except as
permitted by Federal Iaw;
(8) In compliance with 49 U.S.C. 530'7(d)(I)(H}, the AppIicant wi11 comply with: 49 U_S.C.
5301(a) (requirements for pubIic transportation systems that ma�cimize the safe, secure,
and efficient mobility of individuals, minimize environmental impacts, and minimize
transportation-related fuel consumption and reIiance on foreign oii); 49 U.S_C_ 5301(d}
(special efforts to design and provide pubiic transportation for elderly individuals and
individuals with ffisabilities); and 49 U.S.C. 5303 through 5306 (planning and private
enterprise req¢irementsj; and
(9) In compIiance with 49 U.S.C. 5307(d)(1)(n, the Applicant has a locally developed
process to solicit and consider pubiic comment before raising a faze or implementing a
major reduction of public uanspoitation;
B. In compliance with 49 U.S.C_ 5316(d), the Applicant certifies that (1} with respect to
financiat assistance authorized under 49 U.S.C. 5316(c)(1)(A), it wiIl conduct in
cooperation with the appropriate MPO an areawide so]icitation for applications, and make
awards on a com�titive basis and (2) with respect to financial assistance authorized under
49 i3.S_C_ 5316(c)(I)(B) or 49 U_S.C. 5316(c)(1)(C), it will conduct a statewide solicitation
for applications, and make awazds on a competitive basis;
C. In compiiance with 49 U.S.C. 5316(�(2), the Applicant certif es that any allocations to
subrecipients of financial assistance authorized under 49 U.S_C_ 5316 will be distributed on
a fair and equitable basis;
D. In compliance with 49 U.S.C. 5316(gx2), the Applicant certifies that, before it transfers
funds to a project fnnded under 49 i3_S.C. 5336, that project wiIl has been or will have been
coordinated with private nonprofit providers of services;
E In compIiance with 44 U.S.C. 5316(g)(3), the Applicant certifies that: (1) ihe projecu it has
selected or will select for assistance under ihat program were derived from a locatly
developed, coordinated public transit-human services transportaUOn plan; and (2) the plan
was developed through a process that included representatives of public, private, and
nonprofit transportation and human services pmviders and participation by the public; and
F. In compliance with 49 U_S.C_ 5316(c}(3), befofe the Applicant uses funding apportioned
nnder 49 U.S.C. 5316(cj(1)(B) or (C) for projects serving an azea other than that specified in
49 U.S.C. 5316(2)(B} or (C), the Applicant certifies that the chief execuUve officer of the
State, or his or her designee will have certified to the Federat Transit Adminishator, apart
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Federal Register/ Vol. 71, No. 215 / Tuesday, November 7, 2006 / Notices 65353
APPENDIX A
from these certifications herein, that ail of the ob}ectives of 49 U.S.C. 53I6 are being met in
the area from which such funding would be derived.
20. NEW FREEDOM PROG1tAM
Each Applicant for New Freedom Program assistance authorized under 49 U.S.C. 53I7 must
provide the following cenifications on behatf of itsetf and any subrecipient that may be
implementing its project. Unless FTA deternzines otherwise in writing, the Applicant;tself is
ultimately responsible for compliance with its cenifications and assurances even though a
subrecipient may participate in that project. Consequentiy, in providing certifua[ions and ,
assurances that involve the compliance of its prospecrive subrecipients, the Applicant is strongty
encouraged to take the appropriate measures, including but Rot limited to obtaining sufficient
documentation from each subrecipient, to assure the validity of all cenifications and arsurances
the Applicant has made to FTA.. FTA m¢y not award Federal assistance for the New Freedom
Program unti! the Applicant provides these cenifications by selecting Category "20."
A. As required by 49 U.S.C. 5317(e)(1), which makes the requirements of 49 U.S.C. 5310
applicable to New Freedom gants to the extent the Federal Transit Adrninisnator or his or
her designee determines appropriate, by 49 U.S.C. 5310(d)(1), which makes the
requirements of 49 U.S.C. 5307 applicable to Elderly Individuals and Individuals with
Disabilities Formula grants to the extent the Federal Transit Administrator or his or her
designee deterntines appropriate, and by 49 U.S.C. 5307(d)(I), the Applicant for New
Freedom Program assistance authorized under 49 U.S.C. 5317 certifies and assures on
behalf of itself and its subrecipients, if any, as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), ihe Applicant has or will have the legal,
Fnancial, and technical capacity to carry out its proposed program of projects, including
safety and security aspects of that program;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory
continuing control over the use of project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
project equipment and facilides;
(4) In compliance with 49 U.S.C. 530"7(d)(1)(E), the Applicant, in eazrying out a
procurement financed with Federal assistance authorized under 49 U.S.C. 5317: (1) will
use competipve procurement (as defined or approved by the Secretary), (2) wi11 not use
exclusionary or discriminatory specifications in its procurements, (3) will comply with
applicable Buy America laws, and (4) will comply with the general provisions for FTA
assistance of 49 U.S.C. 5323 and the third party procurement requirements of 49 U.S.C.
5325;
(5) In compliance with 49 U.S.C. 5307(d)(1)(G), the Applicant has or will have available
and will provide the amount of funds required by 49 U.S.C. 5317(g), and if applicable
by section 3Q126(3) and (4), for the locat share, and that those fvnds wiil be provided
from approved non-Federal sources except as permitted by Fecferal law; and
(6) In compliance with 49 U.S.C. 5307(d)(I)(I�, the Applicant will comply with: 49 U.S.C.
5301(a) (requirements for public transportauon systems that maximize the safe, secure,
and efficient mobility of individuals, minimize envimnmental impacts, and minimize
6 Fe de r al Reg is t erlVol. 71, No. 215/Tuesday, November 7, 2006lNotices
APPENBIX A
hansportation-related fuel consumption and reliance on foreign oil); 49 II.S_C. 5301(d)
(special efforES to design and provide public transportation for elderly individuals and
individuats with disabilities); and 49 U.S.C. 5303 ihrough 5306 (planning and private
enterprise requirements);
B. In compliance with 49 U.S_C. 5317(d), the Applicant certifies that (1) with respect to
financial assistance anthorized under 49 U.S.C. 531�(c)(1)(A}, it wil} conduct in
cooperation with the appmpriate MPO an areawide solicitation for appiications, and make
awards on a wmpefitive basis and {2) with respect to financiai assistance authorized under
49 U.S.C. 5317(c)(1)(B) or 49 U.S.C. 5317(c)(1)(C), it will conduct a statewide solicitation
for appltcations, and make awards on a competitive basis;
C. In compliance with 49 U.S_C. 5317(�(2), the Applicant certifies that, before it transfers
funds to a project funded under 49 U.S.C_ 5336, ihat project will has been or will have been
coordinated with private nonprofit providers of services;
D. In comp2iance with 49 U.S.C. 5327(e)(2}, the AppIicant certifies that any allocaEions to
subrecipients of financial assistance authorized under 49 U.S.C. 5317 will be distributed on
a fair and equitable tsasis; and
E. In compliance with 49 U.S.C. 5317(fl(3), the Applicant certifies that (1} projects it has
selected or will select for assistance under that program were derived from a locally
developed, coordinated public transit-human services transportation plan; and {2) the plan
was developed through a process that included representatives of public, private, and
nonprofit transportation and human services providers and participation by the public
21. ALTERNATI� TRANSPORTATION IN
PARKS AND PUBLIC LANDS PROGRAM
Each Siate, tribal area, or local governmenY authority that is an Applicant forAZternative
Transportation en Parks and Public Landr Program assistance (Appticant) authorized by
49 U.S.C. 5320, is required to provide the following ceRifzccnions_ FTA »ury nat award
assistance for the Alternative Transportarion in Pa�ks and Public Iands Program assistance to
the Applicant until the Applicani provides these cen�cations by selecting Category "21. "
A. As required by 49 U.S.C. 5320(i), which makes the requirements of 49 U.S.C. 5307
applicable to the Altemative Transportation in Parks and Public Lands Program assistance
to the extent the Federal Transit Administrator or his or her desigiee determines
appropriate, and 49 U.S.C. 5307(d)(1), the Applicant certifies as follows:
(2) In compliance with 49 U.S_C_ 5307(d)(I}(A), the AppIicant has or wilI have the tegal,
financial, and technical capacity to cany out its pmposed projec[, including safety and
security aspects of that project;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory
continuing control over the use of project equipment and faciliues;
(3) In compTiance with 49 U.S.C. 530'I(d){1)(C), the Applicant wiil adequately tnaintain the
project equipment and facilities;
(4) In compliance with 49 U.S.C_ 5307(d)(1)(E) in carrying out a prceurement financed
with Federal assistance authorized under 49 U.S.C. 532Q the Applicant: (1) will use
competitive procurement (as defined or approved by the Secretary), (2) wiil not use
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APPENDIX A
exclusionary or discriminatory specifications in its procurements, (3) will comply with
applicabie Buy America laws, and (4) wiIl comply with the general provisions for FTA
assistance of 49 U.S.C. 5323 and the third party procuremeni requirements of 49 U.S.C.
5325;
(5) In compliance with 49 U.S.C. 5307(d)(1}(F) and with 49 U.S.C.5320(e)(2)(C), the
AppIicani has complied with or will comply with the requirements of 49 U.S.C. 5307(c).
Specifically, it (1) has made avai]able, or will make available, to the public information
on the aznounu available for the Alternative Transportation in Pazks and Public Lands
Program, 49 U.S.C. 5320, and the projects it proposes to undertake; (2) has developed or
wilI develop, in consultation with interested parties including private transportation
providers, projects to be financed; (3) has published or will publish a]ist of projects in a
way thai affected citizens, private transportation providers, and local elected officials
have the opportunity to examine the proposed projects and submit comments on the
proposed projects and theperformance of the Applicant; (4) has provided or will provide
an opportunity for a pubiic hearing to obtain the views of citizens on the proposed
projects; (5) has ensured or will ensure that the proposed projects provide for the
coordination of transportation services assisted under 49 U_S.C. 5336 with transportation
services assisted by another Federal Government source; (6) has considered or will
consider the comments and views received, especially those of private transportation
providers, in preparing its final Iist of projects; and (7) has made or will make the final
list of projects available to the public;
(6) In compliance with 49 U.S.C. 5307(d)(I)(I�, the Applicant will comply with: 49 U.S.C.
5301(a) (requirements for public transportation systems that maximize the safe, secure,
and efficient mobility of individuals, minimize environmental impacts, and minimize
transportation-related fue] consumption and reliance on foreign oil); 49 U.S.C. 5301(d)
(special efforts to design and provide public tcansportation for elderly individuals and
individuaIs with disabilities); and 49 U.S.C. 5303 through 5306 (planning and private
enterprise requirements).
(7) In compliance with 49 LT.S.C. 5307(d}(1)(I), the Applicant has a Iocally developed
process to solicit and consider pvblic comment before raising a faze or implementing a
major reduction of public transportation.
B. In compliance with 49 U.S.C.5320(e)(2)(A), (B), and (D), the Applicant assures that it will:
(1) Comply with the metropolitan planning provisions of 49 U.S.C. 5303;
(2) Comply with the statew3de planning provisions of 49 U.S.C. 5304; and
(3) Consult with the appropriate Federal land management agency during the planning
process.
22. INFRASTRUCTURE FINANCE PROJECTS
Each Applicant far Infrastructure Finance assistance authoriZed under 23 U.S.C. chapter 6, is
required to provide the following cenifications. FTA may not award Infrastructure Finance
assistance to the Applicant until the Applic¢nt provides these certifzcations by selecting
Category "22. "
65356 Federal Register/Vol. 71, No. 215/Tuesday, November 7, 2006/Notices
APPF..NDIX A
A_ As required by 49 U.S.C. 5323(0), which makes the requirements of 49 U_S.C. 5307
applicable to Applicants seeking Infrastructure Finance assistance authorized under
23 U.S.C. chapter 6, and by 49 U.S.C. 5307(d}(1), the Appiicant certifies as foIlows:
(1) In compliance with 49 U_S.C. 5307(d)(1}(A), the Applicant has or will have the legal,
financial, and technicat capacity to carry out its proposed program of projects, inciuding
�safety and security aspects of that program;
(2) In compliance with 49 U.S_C. 5307(d)(lj(B), the Applicant has or will have satisfactory
conrinuing conh�ol over the use of project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the
project equipment and facitities;
(4} In compliance with 44 U.S.C_ 5307(d)(1)(D), the App2icant wi11 ensure that eldedy
individuals and individuals with disabilities, or any person presenting a Medicaze card
issued to himself or herself pursuant to tiUe II or title XVIII of the Social Security Act
(42 U.S.C. 401 et seq_ or 42 U.S.C. 1395 et seq.), will be charged for transportaiion
during non-peak hours using or involving a facility or eguipment of a project financed
with Federal assistance authorized under 23 U.S.C. chapter 6 not more than fifty (50}
percent of the peak hour fare;
(5) Tn compliance with 49 U_S.C. 5307(d)(1)(E), the Applicant, in carrying out a
procurement financed with Federal assistance authorized under 23 U.S.C. chapter 6:
(1) will use competitive procurement (as defined or approved by the Secretary), (2) wi11
not use exclusionary or discriminatory specifications in its prceurements, (3) wili
comply with applicable Buy America taws, and (4) will comply with the general
provisions for FI'A assistance of 49 U.S.C_ 5323 and the third party procurement
reqnirements of 49 U.S.C_ 5325;
(6) In compliance with 49 U.S.C. 5307(�(1)(F�, the Applicant has complied with or will
comply with the requirements of 49 U_S.C. 5307(c)_ Specifically, it: (1) has made
available, or will make available, to the public information on the amounts available for
Infrastructure Finance assistance, 23 U.S.C_ chapter 6, and the projects it proposes to
undertake; (2) has developed or wilI develop, in consuitation with interested parties
including private transportation providers, the proposed projecfs to be financed; (3} has
pubIished or will publish a Iist of projects in a way thaz affected citizens, private
h�ansportation providers, and Iceal elected officials have the opportunity to examine the
proposed projects and submit comments on the proposed projects and the performance
of the App]icant; (4} has provided or will provide an opportunity for a public hearing to
obtain the views of citizens on ihe proposed pmjects; (5) has ensured or will ensure that
the proposed projects pmvide for the coordination of transportation services assistecl
ander 49 LI.S.C. 5336 with transportation services assisted by another Federal
Govemment source; (6) has considered or wi}I consider the comments and views
received; especially those of private transportation providers, in preparing its final list of
projects; and (7} has made or will make the final2ist of projects available to the public;
(7) In compliance with 49 U_S.C. 5307(d)(1)(G}, the Applicant has or wi31 have availabTe
and will provide the amount of funds required for the locai shaze, and ihat those funds
wiI} be provided from approved non-Federal sowces except as permitted by Federal law;
(8} Tn compliance with 49 U_S_C. 5307(d)(1)(H), the Applicant wifl comply with: 49 U.S_C.
5301(a) (requirements for public transportation systems that maximize the safe, secure,
D �-78�
Federal Register/Vol. 71, No. 215/Tuesday, November 7, 2006/Notices 65357
APPENDLY A
and efficient mobility of individuals, minimize env�ronmental impacts, and minimize
transportation-related fuel consumpfion and reliance on foreign oil); 49 U.S.C. 5301(d)
(special efforts to design and provide public transportation for elderly individuais and
individuals with disabiliries}; and 49 U.S.C. 5303 through 5306 (planning and private
entetprise requirements);
(9) In compliance with 49 U.S.C. 5307(d}(1)(I), the Applicant has a IocaDy developed
process to solicit and consider public comment before raising a fare or implementing a
major redaction of public transportation;
(10) To the extent that the Applicant wi11 be using funds authorized under 49 U.S.C. 5307
for the project, in compliance with 49 U.S.C. 5307(d)(F)(J), each fiscal year, the
Applicant will spend at least one (1) percent of those funds authorized under 49 U.S.C.
5307 for public transportation security projects (this includes only capital projects in the
case of a Applicant serving an urbanized area with a population of 200,000 or more),
unless the Applicant has certified to FI'A that such expenditures are not necessary.
Public transportation security projects include increased lighting in or adjacent to a
public transportation system (including bus stops, subway stations, parking lots, and
garages), increased camera surveillance of an area in or adjacent to that system,
emergency telephone line or lines to contact law enforcement or security personnel in an
azea in or adjacent to that system, and any other project intended to increase the security
and safety of an existing or planned public transportation; and
(11) To the extent that the Applicant will be using funds authorized under 49 U.S.C_ 5307
for the project, in compliance with 49 U.S.C. 5309(d)(1)(K): (1) an Applicant that serves
an urbanized azea with a population of at least 200,000 will expend not less than one
(1) percent of the amount it receives each fiscal year under 49 U.S.C. 5307 for transit
enhancements, as defined at 49 U.S.C. 5302(a), and (2) if it has received transit
enhancement funds authorized by 49 U.S.C. 5307(k)(1), its quarterly report for the
fourth quarter of the preceding Federal fiscal yeaz includes a list of the projects it has
implemented during that fiscal yeaz using those funds, and that report is incorporated by
reference and made part of its certifications and assurances.
B. As required by 49 U.S.C. 5323(0}, which makes the requirements of 49 U.S.C. 5309
app]icable to Applicants seeking Infrastructure Finance assistance authorized under
23 U.S.C. chapter 6, and by 49 U.S.C. 5309(g)(2)(B)(iii), 5309(g)(3)(B)(iii}, and
5309(i)(2}(C}, the AppIicant certifies that it will nat seek reimbursement for interest and
other financing costs incurred in connection with the Projeet unless it is eligible to receive
Federal assistance for those expenses and its records demonstrate that it has used reasonable
diligence in seeking the most favorable financing terms underlying those costs, to the extent
FTA may require.
23. DEPOSITS OF F'EDERAL FINANCIAL ASSISTANCE
TO STATE INFRASTRUCTURE BANKS
The State organiZation that administers the S1ate Infrastructure Bank (SIB) Program on behalf of
a State (State) and thar is also an Applicant for Federal assistance authorized under 49 U_S.C.
chapter 53 that it intends to deposit in its SIB is requested to provide the following assurances on
behalf of itself, its SIB, and each subrecipient. Unless FlA determines otherwise in writing, the
6 5358 Federal Register/Vol. 72, No. 215/Tuesday, November 7, 2006/Notices
APPENDIX A
State itself is ulrimatety responsible for compliance with its cenifications and assurances even
though the SIB and a subrecipient may pa� in that project Consequently, in providing
cenifications and assurances that involve the comptiance of its SIB and prospective
subrecipients, the State is strongly encouraged Fo take the appropriate measures, including but
not limited to obtaining sufJ�icieai documentation from the SIB and each subrecipient, to assure
the validiry of al! ceRifxcations and assurances fhe Srate has m¢de to FCA.. FI'A may not award
assistance for ihe SIB Program to the State unzil the State provides these assurances by selecting
Category "23."
The State organization, serving as the Applicant (State) for Federal assistance for its State
Infrastructure Bank (SIB) Program authorized by section 1602 of SAFEI'EA-LU, now codified
at 23 U.S_C_ 610, or by section I511 of TEA-21, 23 U.S.C. 181 note, or by section 350 of the
NaUOnal Highway System Designadon Act of 1995, as amended, 23 U.S.C. 181 note, agrees and
assures the agreement of its SIB and the ageement of each recipient of Federal assistance
derived from the SIB within the State (subrecipient) that each pubIic ttansportation pmject
financed with Federa[ assistance derived from SIB will be administered in accordance with:
A. Applicable provisions of section 1602 of SAFETEA-LU, now codified az 23 U.S.C_ 610, or
by secuon 1511 of TEA-21, 23 U.S.C. 181 note, or by section 350 of the National Highway
System Designation Act of 1995, as amended, 23 U.S.C_ 181;
B. The provisions of the FFIWA, FRA, and FTA or the FHWA and FTA cooperative
agreement with the State to establish the State's SIB Program; and
C. The provisions of the FTA gant agreement with the State that pmvides Federal assistance
for the SIB, except that any provision of the Federal Transit Administration Master
�
E.
Ageement incorporated by reference into that gant agreement will not apply if it conflicts
with any provision of secdon 1602 of SAFETEA-LU, now codified at 23 U.S.C. 610, or
section 1511 of TEA-21, 23 U.S.C. 181 note, or secuon 350 of the Nauonal Highway
System Designation Act of 2995, as amended, 23 U.S.C. 181 note, or Federal guidance
pertaining to the SIB Program, the provisions of the cooperauve agreement establishing [he
SIB Program within the State, or the provisions of the FTA grant agreement.
The requirements applicable to projects of 49 U.S.C. 5307 and 5309, as required by
49 U.S_C. 5323(0); and
The provisions of any applicable Federal guidance that may be issued as it may be amended
from time-to-time, unless FTA has provided written approval of an alternative procedure or
course of action.
#k�
Selection and Signature Page(s) follow.
. `�
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Federal Aegister/Vol. 71, No. 215/Tuesday, November 7, 2006/Notices 65359
APPENDIX A
FEDERAL FISCAL YEAR 2(167 CERTIFICATIONS AND ASSURANCES FOR
FEDERAL TRANSIT ADNIINISTRATION ASSISTANCE PROGRAMS
(Signniure p¢ge altemative to providing Ce�tifecations and A.ssuranccr in TEAM-Web)
Name of Applicant: ��� a� St. Y av (
The Applicant agrees to comply with applicable provisions of Categories Ol — 23.
OR
The App6cant agrees to comply with the applicabie provisions of the following Categories
it has selected:
CatePOrv Descrintion
Ol. For Each Applicani. k
02. Lobbying. `}
03. Prcewement Compliance. k
04. Private Providers of Public Transportation. _
O5. Public Hearing. _
06. Acquisition of Rolling Stock. _
07. Acquisition of Capital Assets by Lease. _
O8. Bus Testing. _
09. Charter Service AgeemenL _
10. School Transportation Ageement. _
I 1. Demand Responsive Service. _
12. Alcohol Misuse and Prohibited Drug Use. _
13. Interest and Other Financing Costs. _
14. Intelligent Transportation Systems. . _
I5. Urbanized Area Formula Program. _
16. Clean Fuels Gsant Progam. _
17. Elderly Individuals and Individuals with Disabilities Formula Program and Pilot Program. _
18. Nonurbaniud Area Formula Program. _
19. Job Access and Reverse Commu[e Progam. _
20. New Freedom Program. _
21. Aiternative Transportafion in Pazks and Public lands Program. _
22. Infrastructure Finance Projects. _
23. Deposits of Federal Financial Assistance to a State Fnfrastructure Banks. _
65360 Federal Register/VoI. 71, No. 225/Tuesday, November 7, 2006/Notices
APPENDIX A
FEDERAL FISCAL YEAR 2007 FPA CERTfFICATIONS AND ASSURANCES SIGNATURE PAGE
(Required of all Applicanis for FIA assistance and all FTA Grantees with an active capitat or formula project)
AFFIIiMATION OF APPLICANC
Name of Applicant: � - '
Name and Relationship of Authorized Representaave:
BY S2GNIIVG BELOW, on behalf of the Applicant, I declaze that the Applicant has duly aut6orized me to make
these certifications and assurances and bind [he Applicant's compliance_ Thus, the Applicant agees to comply with
all Federal statutes, regutations, executive orders, and directives app]icable to each applicaUOn it makes to the
Federat Transii Administration (FI'A) in Federat Fiscal Year 2007.
FI'A intends that the certifications and assurances the Applicant selects on the other side of this da:ument, as
representative of the certifications and assurances in this document, should apply, as provided, to each project for
which the Apptican[ seeks now, or may later, seek FI'A assistance during Fedeial Fscal Year 2007.
The Applicant affu the truthfulness and accuracy of the certifications and assurances it has made in the
statements submitted herein with this document and any other submission made to FTA, and acknowledges that the
Progam Fraud Civil Remedies Act of I986, 31 U.S.C_ 3801 et seq., and implementing U.S. DOT regulations,
"Progam Fraud Civil Remedies," 49 Cf�R part 31 appiy to any certificaUOn, assurance or submission made to FTA.
The criminal fraud provisions of 18 U.S.C. 1061 apply to any certification, assurance, or submission made in
conneciion with a Federal pub{ic transporiation program authorized in 49 U.S.C. chapter 53 or any other stamte
In signing this document, I dulaze under penalties of perjury that [he foregoing certifications and asswances, and
any other statements made by me on behalf of the Applicant aze true and correct. �
Date:
Authorized Representative of Applicant
AFFII2MATION OF APPLICANT'S ATTORNEY
For (Name of Applicant):
As tt�e undersigned Attomey for the above named Applicant, I hereby affirm to the Applicant that it has authority
under State and locat law ro make and compty with the certifications and assurances as indicated on the forego'sng
pages. 1 fiuiher affirm thai, in my opinion, the certificaROns and assurances have been legally made amt constimte
legal and binding obligations on [he Appticant. ,
I further affirm to the Applicant that, to the best of my knowledge, there is no legislation or &tigation pending or
imminenE that might advecse3y affect the validity of these certifications and assurances, or of the performance of the
project
Date:
Attomey for Appticant
Fach App6mnt for FTA financial assistan¢ and each FCA Grmtte with an active capital ce focmula prqect m�uc provide au Affirmation of
APptican['s Attomey pertaining to t6e Applicant's Iegal capariry. The Applicant may rnter i¢ sigoahve in lieu of the Attomey's signaWm.
provided Ne Applic�t has on fite this �mntion, sigped by t6e attomey and datat Wis Fedenl fiscal year.
[FR Doc. 06-9103 Filed 31�06; 8:45 am]
BIItlNG CODE 69f6S/�