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R-48-02 07/08/02RESOLUTION %Z_ L/�• �,� RESOLUTION AUTHORIZING EXECUTION OF A TECHNICAL SERVICE AGREEMENT BY AND BETWEEN THE REGIONAL TRANSPORTATION AUTHORITY AND THE VILLAGE OF LEMONT WHEREAS, the Regional Transportation Authority (the "Authority "), is authorized to study public transportation problems and developments; and to conduct, in cooperation with other public and private agencies, such studies; and WHEREAS, the Authority has the power to expend funds for use in connection with these studies; and WHEREAS, the Authority has the power to make and execute all contracts, agreements and other instruments necessary or convenient to the exercise of its powers; and WHEREAS, Approval for said funds will impose certain financial obligation upon the recipient; and WHEREAS, the Village of Lemont seeks to balance the historic character of the Village with the rapidly expanding demand for increased mobility, new housing, and commercial development; and WHEREAS, the Authority has agreed to provide eighty percent (80 %) funding of an amount not to exceed $75,000 for the Village of Lemont Station Area Planning Study; and WHEREAS, the attached Agreement is for a term of two (2) years beginning July 1, 2002. NOW THEREFORE, BE IT RESOLVED that the Village President is authorized to execute on behalf of the Village of Lemont the attached Agreement designated Contract No. RTAP- 2002 -16. PASSED AND APPROVED BY THE PRESIDENT AND BOARD OF TRUSTEES OF THE VILLAGE OF LEMONT, COUNTIES OF COOK, WILL, AND DU PAGE, ILLINOIS on this 8th day of July , 2002 John Benik Debby Blatzer Peter Coules Connie Markiewicz Steven Rosendahl Jeanette Virgilio AYES NAYS PASSED ABSENT v v V' CHARLENE SMOLLEN, Village Clerk TECHNICAL SERVICES AGREEMENT between THE REGIONAL TRANSPORTATION AUTHORITY and Village of Lemont Contract No.: RTAP- 2002 -16 TABLE OF CONTENTS ARTICLE I: DEFINITIONS I ARTICLE II: THE RECIPIENT'S AUTHORITY AND COMMITMENT 2 ARTICLE III: TERM OF AGREEMENT 2 ARTICLE IV: TECHNICAL SERVICES AGREEMENT 2 ARTICLE V: METHOD OF FUNDING 3 ARTICLE VI: ACCOMPLISHMENT OF THE PROJECT(S) 4 ARTICLE VII: PASS - THROUGH FUNDING PROVISIONS 5 ARTICLE VIII: PROJECT ADMINISTRATION AND MANAGEMENT 5 ARTICLE IX: REQUISITION, PAYMENT PROCEDURES, AND RECORD KEEPING 6 ARTICLE X: RIGHT OF THE RTA TO TERMINATE 8 ARTICLE XI: SETTLEMENT AND CLOSE -OUT 8 ARTICLE XII: PROCUREMENT 9 ARTICLE XIII: SETTLEMENT OF THIRD PARTY CONTRACT DISPUTES OR BREACHES 9 ARTICLE XIV: ASSIGNMENT OF CONTRACT - SUBCONTRACTORS 9 ARTICLE XV: INDEMNIFICATION 9 ARTICLE XVI: INDEPENDENCE OF RECIPIENT 10 ARTICLE XVII: NON - COLLUSION 10 ARTICLE XVIII: CONFLICTS OF INTEREST 10 ARTICLE XIX: RECIPIENT'S RESPONSIBILITY FOR COMPLIANCE 11 ARTICLE XX: LABOR LAW COMPLIANCE 11 ARTICLE XXI: CIVIL RIGHTS 11 ARTICLE XXII: SUBSTANCE ABUSE/DRUG FREE WORKPLACE ACT 13 ARTICLE XXIII: RESTRICTIONS ON LOBBYING 14 ARTICLE XXIV: SEVERABILITY 14 ARTICLE XXV: ASSIGNMENT AND AGREEMENT 14 ARTICLE XXVI: AMENDMENT 14 ARTICLE XXVII: TITLES 15 ARTICLE XXVIII: OWNERSHIP OF DOCUMENTS/TITLE TO WORK 15 ARTICLE XXIX: DOCUMENTS FORMING THIS AGREEMENT 15 ARTICLE XXX: SPECIAL CONDITIONS 16 This Agreement is made by and between the Regional Transportation Authority, a Municipal Corporation created under the laws of Illinois (hereinafter referred to as the "RTA ") and Village of Lemont created under the laws of Illinois (hereinafter referred to as the "Recipient," which term shall include its successors and assigns). WHEREAS, the Recipient wishes to undertake one or more public transportation planning- related projects; and WHEREAS, the Recipient has made application to the RTA for financial assistance or financial and technical assistance for the project(s) in accordance with the procedures established by the RTA; and WHEREAS, the Recipient's final application has been approved by the RTA; NOW THEREFORE, in consideration of the mutual covenants hereinafter set forth, this Agreement is made to provide financial assistance or financial and technical assistance to the Recipient in the form of a technical services agreement (hereinafter referred to as the "Agreement "), to set forth the terms and conditions upon which the Agreement will be made, and to set forth the Agreement of the parties as to the manner in which the project(s) will be undertaken, completed, and used. ARTICLE I: DEFINITIONS 1.1 "Allowable Cost" means an expense with respect to the Project(s) which meets the requirements of Article IX of this Agreement. 1.2 "Application" means the application submitted by the Recipient with respect to the Project(s). 1.3 " Agreement Budget" means those funds paid to or on behalf of the Recipient by the RTA under the provisions of this Agreement. 1.4 "Local Share" means that portion of the Net Project Cost of each Project provided by the Recipient pursuant to this Agreement. 1.5 "Net Project Cost" means the sum of the allowable costs incurred in performing the work on each Project, including work done by the Recipient. 1.6 "Project(s)" means the scope of specific activities for which the funds provided in this Agreement are to be expended, as set forth in Exhibit A, Scope of Services. 1 1.7 "Project Budget" means the anticipated net Project cost for each Project shown in Exhibit B, Project Budget, as may be amended from time to time with RTA approval and in a format approved by the RTA. 1.8 "Project Facilities" means any facilities, equipment, or real property purchased, acquired, constructed, improved, renovated, or refurbished as part of each Project through the application of the RTA's Agreement funds. ARTICLE II: THE RECIPIENT'S AUTHORITY AND COMMITMENT 2.1 The Recipient has the legal authority and the financial, technical, and managerial capacity to apply for, plan, manage, and complete the Project(s) for which funding is being provided under this Agreement. 2.2 The Recipient agrees to undertake and complete the scope of each Project as set out in Exhibit A, Scope of Services, and in accordance with the Project Budget as set out in Exhibit B, Project Budget, and to provide for the use of Project facilities and equipment as described in the Recipient's final application approved by the RTA, in accordance with this Agreement and all applicable laws. The scope of each Project is more particularly described in Exhibit A, Scope of Services, and in the plans, specifications, and schedules set forth in the Recipient's final application. ARTICLE III: TERM OF AGREEMENT 3.1 The term of this Agreement shall be from 7/1/2002 to 6/30/2004. ARTICLE IV: TECHNICAL SERVICES AGREEMENT 4.1 RTA Agreement Budget Commitment. (a) Subject to the annual appropriation of funds by the RTA, the RTA hereby commits to provide the funds pursuant to paragraph 4.1(b) and as listed in Exhibit B, Project Budget, for the Project(s) in Exhibit A, Scope of Services. (b) The RTA Agreement amount provides 80.00% of the actual cash share of the Project Budget, or $60,000, whichever is less. The RTA shall have no liability regarding any Project funded by this Agreement in excess of the funds actually appropriated for the Project. 2 4.2 Recipient Commitment to Complete Project(s) or Seek Amendment. Subject to the RTA's appropriation of the funds described in paragraph 4.1, the Recipient agrees to complete the scope of all the Projects listed in Exhibit A for the RTA Agreement amount, or to seek an amendment in accordance with this subparagraph. The Recipient shall request an amendment to the Agreement in order to (1) add or (2) delete a Project, (3) change the scope of any Project, or (4) change the Agreement amount. 4.3 Conformity with Project Budget. (a) The Recipient shall carry out each Project and shall incur obligations against and disburse Project funds only in conformance with the latest approved Project Budget attached hereto as Exhibit B. A proposed revised Project Budget shall accompany any request to amend this Agreement. (b) The Recipient must seek the prior approval of the RTA to revise the Project Budget(s) to increase or decrease the estimated net Project cost In making this request the Recipient must demonstrate the following: (1) A justifiable rationale for the revision in a particular Project; (2) The revised budget for the Project covers the full scope of the Project funded under this Agreement, i.e., the revised budget of the Project is intended to be adequate for the completion of the Project; (3) There are sufficient unspent funds in the Agreement contingency, should one be part of this Agreement, or any other Project which may be reallocated to the revised budget of the revised Project; (4) The funds remaining in the Agreement contingency, should one be part of this Agreement, or any other Project after reallocation of funds to the revised budget for the Project are sufficient to provide for the uncompleted portions of all other Projects within the Agreement; and (5) The proposed revision will not cause the Agreement amount, as reflected in Article IV, to be exceeded. ARTICLE V: METHOD OF FUNDING 5.1 The RTA may finance its obligations, or any portion thereof, under this Agreement in any way it deems, in its sole discretion, to be most advantageous and fiscally sound, provided that nothing in this Agreement shall cause the Recipient to be obligated to any creditor of the RTA with respect to such financing. 3 5.2 All or part of any share of the net Project cost to be contributed by the Recipient may, with the express written prior approval of the RTA, be provided by the Recipient in the form of contributions of professional, technical or other services. The amount or value of any share of the net Project cost contributed by the Recipient is to be shown in Exhibit B. 5.3 In the event that the Recipient receives funds from any source with respect to the completion of the Project which do not appear in Exhibit B were not included in determining the RTA Agreement amount under paragraph 4.1(b) of this Agreement, the amount of this Agreement shall be recalculated and a proportionate amount of RTA funding shall be refunded to the RTA. ARTICLE VI: ACCOMPLISHMENT OF THE PROJECT(S) 6.1 General. (a) The Recipient shall commence, carry on, and complete the Project(s) with all practicable dispatch, in a sound, economical, and efficient manner, and in accordance with the provisions of this Agreement. The Recipient shall cause all contractors involved with the Project(s) to deliver and complete the Project(s) in accordance with the Project schedules submitted at time of application or as revised pursuant to paragraph 6.2(b) of this Agreement. (b) In performance of its obligations pursuant to this Agreement, the Recipient and the contractors shall comply with all applicable provisions of federal, state, and local law. All limits and standards set forth in this Agreement to be observed in the performance of a Project are minimum requirements and shall not affect the application of more restrictive standards to the performance of the Project. (c) At or prior to the time that funds are needed to meet Project costs, the Recipient shall initiate and prosecute to completion all proceedings necessary to enable the Recipient to provide any share of the net Project cost which is to be provided by the Recipient. (d) Nothing in this Agreement is intended to subject the RTA to any obligations or liabilities to contractors of the Recipient, or its subcontractors, or any other person not a party to this Agreement in connection with the performance of any Project pursuant to the provisions of this Agreement, notwithstanding its concurrence in or approval of the award of any contract or subcontract or the solicitation thereof. 6.2 Project Completion. (a) Any failure, except a force majeure event or any other reason beyond the control of the Recipient, to make progress which significantly endangers substantial performance of a Project within a reasonable time shall be deemed to be a violation of the terms of this Agreement. (b) The Recipient shall complete each Project in accordance with the Project completion date provided at time of application or as revised. In the event the Recipient determines that, for whatever reason, a Project cannot be completed in accordance with the Project schedule, the Recipient shall immediately notify the RTA in writing within thirty days of: 1) the nature and extent of the delay; 2) the reason or reasons for the delay; 3) the adjustments to the Project schedule which can be made to ensure that the Project is completed on schedule; and 4) if the Project cannot be completed on schedule, the implications on the Project Budget due to the delay. ARTICLE VII: PASS - THROUGH FUNDING PROVISIONS 7.1 If this Agreement provides any portion of funding for which the RTA receives funds from a governmental entity subject to agreement, grant, or contract, the provisions contained therein and as detailed in the attached Exhibit C, Special Provisions, are hereby incorporated by reference and made a part of this Agreement. The Recipient shall carry out each Project in such a manner as to comply with the requirements contained herein and the requirements of any governmental agreement applicable to this Project. If it is not possible to carry out the project in such a manner, the Recipient shall, as soon as practicable, notify the RTA in writing of the specific provisions of each agreement in conflict and reasons for conflict in order that appropriate arrangements may be made between the parties and any governmental entity to permit the Project to proceed. ARTICLE VIII: PROJECT ADMINISTRATION AND MANAGEMENT 8.1 Project Management. (a) The Recipient is responsible for administration and management �f each Project. (b) RTA or its designee may conduct periodic on -site inspections of each Project to evaluate the effectiveness of the Recipient's arrangement for supervision and inspection and to evaluate the work done on the Project and adherence to this Agreement. The Recipient shall cause its contractors to provide reasonable access to their premises for the RTA and its designee to permit these inspections. Inspection of, or concurrence by, RTA in Project work does not relieve the Recipient of its responsibilities and liabilities. Any inspection must be coordinated with the Recipient's personnel for purposes of providing reasonable notice and adhering to safety regulations. (c) Any Project management plan or amendment to such plan provided pursuant to any governmental agreement, grant or contract for any Project in this Agreement shall require written approval of the RTA. (d) The Recipient shall report to the RTA regarding all Projects in this Agreement. When requesting reimbursement from the RTA, the Recipient will be required to submit detailed requisitions and progress reports supported by properly executed payrolls, time records, invoices, contracts, or vouchers, evidencing in detail the nature and proprietary of the charges. ARTICLE IX: REQUISITION, PAYMENT PROCEDURES, AND RECORD KEEPING 9.1 The Recipient shall establish and maintain as a separate set of accounts, or as an integral part of its current accounting scheme, accounts for each Project in conformity with requirements established by the RTA. 9.2 Allowable Costs. Agreement funds shall only be used to pay or reimburse the Recipient for allowable costs for a Project which meet all of the requirements set forth below: (a) They shall be made in conformance with the final, approved Exhibit A, Scope of Services, and Exhibit B, Project Budget(s), and all other provisions of this Agreement; (b) They shall be necessary in order to accomplish the Project; (c) They shall be reasonable in amount for the goods or services purchased; (d) They shall be actual net costs to the Recipient (i.e., the price paid minus any refunds, rebates, or other items of value received by the Recipient which have the effect of reducing the cost actually incurred); (e) They shall be incurred after the effective date of this Agreement, unless specific authorization from the RTA to the contrary is received; (f) They shall be satisfactorily documented; (g) They shall be treated uniformly and consistently under accounting principles and procedures approved or prescribed by generally accepted accounting principles, and those approved or prescribed by the Recipient for its contractors; and (h) They shall be supported by properly executed payrolls, time records, invoices, contracts, or vouchers evidencing in detail the nature and propriety of the charges. (In the event that it may be impractical to determine exact costs of indirect or service functions, allowable costs will include such allowances for these costs as may be approved by the RTA.) 9.3 Payment Procedures. (a) The Recipient may make requests for payment of allowable costs from the RTA Agreement, and the RTA shall honor such requests in the manner set forth in this paragraph. In order to receive payments, the Recipient shall: 6 (1) Execute and submit to the RTA a requisition for approval by the RTA; (2) Have submitted all financial, progress, and other reports required by the RTA; and (3) Have received approval by the RTA for any budget revisions required to cover all costs to be incurred by the end of the requisition period. (b) Upon receipt of the completed requisition form and the accompanying information in satisfactory form, the RTA shall process the requisition. If the Recipient is complying with its obligations pursuant to the Agreement, the RTA shall reimburse apparent allowable costs incurred by the Recipient up to the maximum amount of the RTA Agreement. Such reimbursement shall be made within sixty (60) days after receipt of each request for same from the recipient. However, reimbursement of any cost pursuant to this paragraph shall not constitute a final determination by the RTA of the allowability of such cost and shall not constitute a waiver of any violation of the terms of this Agreement committed by the Recipient. The RTA will make a final determination as to the allowability of costs only after a final audit of the Agreement has been conducted pursuant to Article XI of the Agreement. (c) In the event that the RTA determines that the payment should not be made, it shall notify the Recipient within twenty (20) days after receipt of the completed requisition form, stating the reasons for such determination. (d) The Recipient agrees that upon completion of all of the Projects in this Agreement and after payment or provision for payment or reimbursement of all allowable costs, the Recipient shall refund to the RTA any unexpended balance of funds received by the Recipient under this Agreement. 9.4 Records Retention. (a) Financial records, supporting documentation, statistical records, and all other records pertinent to this Agreement must be retained by recipients for a minimum of five (5) years after completion of this Agreement and be made readily available to authorized representatives of the RTA with the following qualifications: (1) All records must be retained until final audit is completed and all audit findings are resolved, unless otherwise agreed to by the RTA; (2) If any litigation or claim is initiated before completion of the final audit, records must be retained until all litigation or claims involving these records have been resolved; and (3) Records of property acquired with RTA funds must be retained for three years after final disposition of the property. 7 9.5 Audits. The Recipient shall permit, and shall require its contractors to permit, at any time, the RTA, or any representative authorized by the RTA, to perform such audit and inspection, to inspect all work, materials, payrolls, and other data and records, including computer or electronically generated records, documents, and data, with regard to each Project, and to audit the books, records, and accounts of the Recipient and its contractors with regard to each Project. The RTA also may require the Recipient to furnish at any time prior to closeout of the Agreement, audit reports with respect to the Agreement prepared according to generally accepted accounting principles. The Recipient agrees to promptly comply with recommendations contained in any RTA audit report. ARTICLE X: RIGHT OF THE RTA TO TERMINATE 10.1 Upon written notice to the Recipient, the RTA may suspend or terminate all or part of the financial and/or technical assistance provided herein if the Recipient is or has been in violation of the terms of the Agreement, or if funding provided to the RTA pursuant to paragraph 7.1 is terminated. Termination of any Project in this Agreement will not invalidate obligations of the RTA to reimburse the Recipient for Project costs incurred up to and including the date of termination, nor invalidate obligations of the Recipient, properly incurred by the Recipient, to the extent they are noncancellable. The acceptance of a remittance by the RTA of any or all Project funds previously received by the Recipient or the closing out of the RTA financial participation in the Project shall not constitute a waiver of any claim which the RTA may otherwise have arising out of this Agreement. ARTICLE XI: SETTLEMENT AND CLOSE -OUT 11.1 Upon receipt of notice of successful completion of the Agreement or upon termination by the RTA, the RTA at its discretion will perform or contract for the performance of a final audit to determine the final allowability of costs incurred, and shall make final settlement of the RTA's obligations described in this Agreement. If the RTA has made payments to the Recipient in excess of the total amount of such RTA obligations, the Recipient shall promptly remit such excess to the RTA. The Agreement close -out occurs when the RTA notifies the Recipient and forwards the final Agreement payment or when an appropriate refund of RTA Agreement funds has been received from the Recipient and acknowledged by the RTA. Agreement close -out shall be subject to any continuing obligations imposed on the Recipient by this Agreement or contained in the final notification or acknowledgment from the RTA. 8 ARTICLE XII: PROCUREMENT 12.1 Procurement Procedures. The Recipient shall follow applicable federal, state, and local law and procedures when awarding and administering contracts for goods and services funded by this Agreement. 12.2 Procurement Review. The Recipient must obtain preaward approval from the RTA for: (1) any proposed third party contract; (2) any change order with a third party contractor; and (3) any use of force account for activities funded by this Agreement. ARTICLE XIII: SETTLEMENT OF THIRD PARTY CONTRACT DISPUTES OR BREACHES 13.1 The RTA has a vested interest in the settlement of disputes, defaults, or breaches involving any RTA- assisted third party contracts for any Project. The RTA retains a right to a proportional share, based on the percentage of the RTA share committed to any Project, of any proceeds derived from any third party recovery, after taking into account any costs incurred by the Recipient in securing the recovery. Therefore, the Recipient shall avail itself of all legal rights available under any third party contract. The Recipient shall notify the RTA of any litigation pertaining to any third party contract. The RTA reserves the right to concur in any compromise or settlement of the Recipient's claim(s) involving any third party contract. If the third party contract contains a liquidated damages provision, such proportional share of any liquidated damages recovered shall be credited to the Project account unless the RTA permits otherwise. ARTICLE XIV: ASSIGNMENT OF CONTRACT -- SUBCONTRACTORS 14.1 The Recipient agrees that no contract for services of any kind in connection with a Project funded by this Agreement shall be assigned, transferred, conveyed, sublet, or otherwise disposed of without the prior written consent of the RTA. ARTICLE XV: INDEMNIFICATION 15.1 The Recipient agrees to save or hold harmless and indemnify the RTA from and against any and all losses, expenses, damages (including loss of use), demands, and claims, and shall defend any suit or action, whether at law or in equity, brought against it based on any alleged injury (including death) or damage relating to or arising out of any act or omission of the Recipient, its officers, employees and agents with respect to any Project funded by this Agreement and shall pay all damages, judgments, costs, and expenses, including attorney's fees, 9 in connection with any demands and claims resulting therefrom; provided, however, that the Recipient shall not be required to save harmless, indemnify, or defend the RTA due to the negligence or misconduct of the RTA or its successors, assigns, agents, or employees or their respective failure to reasonably perform under this Agreement. ARTICLE XVI: INDEPENDENCE OF RECIPIENT 16.1 In no event shall the Recipient or any of its employees, agents, contractors or subcontractors be considered agents or employees of the RTA. Furthermore, the Recipient agrees that none of its employees, agents, contractors, or subcontractors will hold themselves out as, or claim to be, agents, officers, or employees of the RTA and will not by reason of any relationship with the Agreement make any claim, demand, or application to or for any right or privilege applicable to an agent, officer, or employees of the RTA, including but not limited to, rights and privileges concerning workers compensation and occupational diseases coverage, unemployment compensation benefits, Social Security coverage, or retirement membership or credit. ARTICLE XVII: NON - COLLUSION 17.1 The Recipient warrants that it has not paid and agrees not to pay any bonus, commission, fee, or gratuity for the purpose of obtaining any approval of its Application for any Project pursuant to this Agreement. No Recipient officer or employee, or member of any unit of local government which contributes funds to any Project funded by this Agreement shall be admitted to any share or part of this Agreement or to any benefit arising therefrom other than nominal. ARTICLE XVIII: CONFLICTS OF INTEREST 18.1 The Recipient shall provide that, to its knowledge, no employee, officer, board member, or agent of the recipient may participate in the selection, award, or administration of a contract supported by federal or state funds if a conflict of interest, real or apparent, would be involved. Such a conflict would arise when any of the following parties has a financial or other interest in the firm selected for award: • The employee, officer, board member, or agent; • Any member of his or her immediate family; • His or her partner; or • An organization that employs, or is about to employ, any of the above. 10 The conflict of interest requirement for former employees, officers, board members, and agents shall apply for one year from the date the employee, officer, board member, or agent ended its employment with the Recipient. The Recipient's employees, officers, board members, or agents shall neither solicit nor accept gratuities, favors, or anything of monetary value from contractors, potential contractors, or parties to sub - agreements. The RTA may waive the prohibition contained in this subsection, provided that any such present employee, officer, board member, or agent shall not participate in any action by the Recipient relating to such contract, subcontract, or arrangement. 18.2 The Recipient will also prevent any real and apparent organizational conflict of interest. An organizational conflict of interest exists when the nature of the work to be performed under a proposed third party contract or subcontract may, without some restriction on future activities, result in an unfair competitive advantage to the third party contractor or recipient or impair the objectivity in performing the contract work. ARTICLE XIX: RECIPIENT'S RESPONSIBILITY FOR COMPLIANCE 19.1 Irrespective of the participation of other parties or third party contractors, the Recipient remains primarily responsible for compliance with all applicable federal, state, and local laws and regulations. ARTICLE XX: LABOR LAW COMPLIANCE 20.1 The Recipient agrees to comply with the labor law compliance provisions of any FTA grant contract pertaining to any Project funded by this Agreement and all applicable federal and state labor laws and regulations including, but not limited to, such laws and regulations relating to minimum wages to be paid to employees, limitations upon the employment of minors, minimum fair wage standards for minors, payment of wages due employees, and health and safety of employees. 20.2 The Recipient also agrees to require any contractor performing professional or consulting service in connection with any Project funded by this Agreement to agree to adhere to the requirements of this Article. ARTICLE XXI: CIVIL RIGHTS 21.1 Non Discrimination. The Recipient shall comply with and shall require contractors and subcontractors to comply with all federal, state, and local laws, rules, regulations and ordinances relating to non- discrimination. 11 21.2 Equal Employment Opportunity Clause. In the event of the Recipient's non - compliance with the provisions of the Equal Employment Opportunity Clause, the Illinois Human Rights Act or the rules and regulations (the "Rules and Regulations ") of the Illinois Department of Human Rights (the "Department "), the Recipient may be declared ineligible for future contracts or subcontracts with the State of Illinois or any of its political subdivisions or municipal corporations, and the contract may be canceled or voided in whole or in part, and such other sanctions or penalties may be imposed or remedies invoked as provided by statute or regulation. During the performance of this contract the Recipient agrees as follows: (a) That it will not discriminate against any employee or applicant for employment because of race, color, religion, sex, marital status, national origin or ancestry, age, physical or mental handicap unrelated to ability, or an unfavorable discharge from military service; and further that it will examine all job classifications to determine if minority persons or women are underutilized and will take appropriate affirmative action to rectify any such underutilization. (b) That, if it hires additional employees in order to perform this contract or any portion thereof, it will determine the availability (in accordance with the Department's Rules and Regulations) of minorities and women in the area(s) from which it may reasonably recruit and it will hire for each job classification for which employees are hired in such a way that minorities and women are not underutilized. (c) That, in all solicitations or advertisements for employees placed by it or on its behalf, it will state that all applicants will be afforded equal opportunity without discrimination because of race, color, religion, sex, marital status, national origin or ancestry, age, physical or mental handicap unrelated to ability, or an unfavorable discharge from military service. (d) That it will send to each labor organization or representative of workers with which it has or is bound by a collective bargaining or other agreement or understanding, a notice advising such labor organization or representative of the Recipient's obligations under the Illinois Human Rights Act and the Department's Rules and Regulations. If any such labor organization or representative fails or refuses to cooperate with the Recipient in its efforts to comply with such Act and Rules and Regulations, the Recipient will promptly so notify the Department and the contracting agency and will recruit employees for other sources when necessary to fulfill its obligations thereunder. (e) That it will submit reports as required by the Department's Rules and Regulations, furnish all relevant information as may from time to time be requested by the Department or the contracting agency, and in all respects comply with the Illinois Human Rights Act and the Department's Rules and Regulations. (f) That it will permit access to all relevant books, records, accounts and work sites by personnel for the contracting agency and the Department for purposes of investigation to 12 ascertain compliance with the Illinois Human Rights Act and the Department's Rules and Regulations. (g) That it will include verbatim or by reference the provisions of this clause in every subcontract it awards under which any portion of the contract obligations are undertaken or assumed, so that such provisions will be binding upon such subcontractor. In the same manner as with other provisions of this contract, the Contractor will be liable for compliance with applicable provisions of this clause by such subcontractors; and further it will promptly notify the contracting agency and the Department in the event any subcontractor fails to or refuses to comply therewith. In addition, the Contractor will not utilize any subcontractor declared by the Illinois Human Rights Commission to be ineligible for contracts or subcontracts with the State of Illinois or any of its political subdivisions or municipal corporations. 21.3 Disabilities. The Recipient shall comply with all applicable federal and state laws and regulations relating to procurement and access requirements in accommodating individuals with disabilities. 21.4 Disadvantaged Business Enterprises. (a) It is the policy of the RTA that Disadvantaged Business Enterprises (DBE's), pursuant to 49 CFR Part 23 and Part 26, shall have the maximum opportunity to participate in the performance of contracts financed in whole or in part with funds under this Agreement. The Recipient agrees that, where contracting possibilities exist, it will make a good faith effort to ensure that eligible DBEs have maximum feasible opportunity to participate. (b) If the Recipient has submitted and the RTA has approved a DBE program which the Recipient agrees to carry out regarding any Project funded by this Agreement, this DBE program is incorporated into this Agreement by reference. ARTICLE XXII: SUBSTANCE ABUSE/DRUG FREE WORKPLACE ACT 22.1 The Recipient agrees to comply with the Illinois (30 ILCS 590/1 et seq.) and U.S. DOT regulations, "Drug Free Workplace Requirements (Grants)," 49 CFR Part 29, Subpart F, and other Government regulations and guidance pertaining to substance abuse (drugs and alcohol) that may be promulgated, and has signed the Drug Free Workplace Certification attached to this Agreement and identified as Exhibit D. 22.2 If applicable, the Recipient also agrees to comply with all aspects of the anti- drug program outlines in the "Control of Drug Use in Mass Transportation Operations" regulation (49 CFR 653), the "Preventing of Alcohol Misuses in Transit Operators" regulation (49 CFR 654), and to require contractors and subcontractors, when applicable under 49 U.S.C. 5331 and 49 CFR 653 -4, to do the same. 13 ARTICLE XXIII: RESTRICTIONS ON LOBBYING 23.1 (a) If this Agreement provides funding in whole or in part from federal funds for a Project(s), the Recipient agrees to comply with Section 319 of the 1990 Department of Interior and Related Agencies Appropriations Act, Pub. L. 101 -121 relating to restrictions on influencing or attempting to influence federal officials in connection with grants, cooperative agreements, or contracts. By executing this Agreement, the Recipient certifies its compliance with this Act as specifically described in subparagraphs (b) and (c) below. (b) The Recipient agrees that no federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. (c) The Recipient further agrees that if any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Federal Standard Form -LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. (d) The Recipient shall require that the language of this Article XXIII be included in the award documents for all third party contracts and that all such contractors shall certify and disclose accordingly. ARTICLE XXIV: SEVERABILITY 24.1 If any provision of this Agreement is held invalid for any reason whatsoever, the remaining provisions shall not be affected thereby if such remainder would continue to conform to the purposes, terms, and requirements of applicable law. ARTICLE XXV: ASSIGNMENT AND AGREEMENT 25.1 This Agreement shall not be assigned, transferred, conveyed, sublet, or otherwise disposed of by the Recipient without the prior written consent of the RTA. ARTICLE XXVI: AMENDMENT 26.1 The Parties agree that no change of total Agreement amount or modification in scope of this Agreement shall be of any force or effect unless such amendment is dated, reduced 14 to writing, executed by both parties, and attached to and made a part of this Agreement. No work shall be commenced and no costs or obligations incurred in consequence of any amendment to this Agreement or any attachments hereto unless and until such amendment has been executed and made a part of this Agreement and Exhibit A, Scope of Services, and Exhibit B, Project Budget, for each Project as appropriate, has been amended to conform thereto. ARTICLE XXVII: TITLES 27.1 The Parties agree that the titles of the articles and paragraphs of this Agreement are inserted for convenience of identification only and shall not be considered for any other purpose. ARTICLE XXVIII: OWNERSHIP OF DOCUMENTS/TITLE TO WORK 28.1 All documents, data, and records produced by Recipient and its contractors in carrying out Recipient's obligations and services hereunder, without limitation and whether preliminary or final, shall become and remain the property of the RTA. The RTA shall have the right to use all such documents, data, and records without restriction or limitation and without additional compensation to Recipient. All documents, data, and records utilized in performing research shall be available for examination by the RTA upon request. Upon completion of the services hereunder or at the termination of this Agreement, all such documents, data, and records shall, at the option of the RTA, be appropriately arranged, indexed, and delivered to the RTA by Recipient. ARTICLE XXIX: DOCUMENTS FORMING THIS AGREEMENT 29.1 The Parties agree that this constitutes the entire Agreement between the Parties hereto, that there are no agreements or understandings, implied or expressed, except as specifically set forth or incorporated by reference in the Agreement and that all prior arrangements and understandings in the connection are merged into and contained in this Agreement. The Parties hereto further agree that this Agreement consists of this "Technical Services Agreement," and: • Exhibit A, Scope of Services • Exhibit B, Project Budget • Exhibit C, Special Provisions • Exhibit D, Drug Free Workplace Certification 15 ARTICLE XXX: SPECIAL CONDITIONS 30.1 None IN WITNESS WHE' IF, the parties hereto have caused this Agreement to be executed as of the 6 day of , 20_. Attest: SEALED Date: l - © -0 Attest: Date: SEALED RECIPIENT: REGIONAL TRANSPORTATION AUTHORITY By: Richard J. Bacigalupo Title: EXECUTIVE DIRECTOR 16 Exhibit A Scope of Services Village of Lemont Station Area Planning Study Project Description: The Village of Lemont is a historic town located on the Illinois and Michigan (I & M) canal, twenty -five miles southwest of Chicago. Founded in 1836, Lemont grew rapidly with the construction of the canal, linking Illinois to the Great Lakes, and its associated industries including quarrying (limestone) and rail commerce. Lemont is no longer the booming industrial town it once was. However, its distinctive qualities have helped it evolve into a community whose population has doubled in the last ten years. The Village government, in conjunction with area residents, is continually working to balance the traditional quaint, historic character with the rapidly expanding demand for increased mobility, and new housing and commercial development. The historic downtown and Metra station is at the center of the TOD study; it is also a prosperous TIF district. The main north -south street through downtown is Stephen Street. The Village is currently in the planning stages for its reconstruction. Main and Canal Streets underwent a similar reconstruction over the past few years, which won an American Public Works Association award. The northern boundary of the project is the Sanitary Ship Canal. This area contains a potential Brownfield redevelopment site, Tri- Central Marina. Phase II environmental studies were recently concluded on the site with positive initial results. A small park (General Fry's Landing) and the I & M canal and trail are also just north of the center of town. The length of the recreational I & M Canal trail is approximately 7 miles. The Village is continually working to expand the trail to link to the regional Centennial Trail and the I & M Canal Trail in neighboring Willow Springs, thus changing the trail from having a recreation focus to a commuting one. The entrance to a local industry, KA Steel, marks the boundary to the east. The eastern section of the study area contains several potential redevelopments sites along Talcott, a block of single - family homes, and a few parcels with manufacturing zoning. A recently developed and popular senior housing development is also east of the downtown. A portion of the I & M Canal, which in this location does not have a trail along its southern edge, is in this eastern quadrant. Illinois Street is the proposed southern boundary of the project area. The Village Hall and several blocks of shops and restaurants lie between Illinois and Main Street. The southern half of Illinois Street is lined with a mix of single - families homes and two -flats. Page 1 of 5 Scope of Services for Village of Lemont Station Area Planning Study (continued) Finally, the Lemont Fire Protection District Firehouse is the west boundary of the study area. A traditional, local owned grocery store and an ACE hardware store are west of the downtown. This is in close proximity to the Metra train station and parking lots. Project Location: Market Development Files Project Tasks: Task 1: Data Collection Data collection comprises the compilation and analysis of data pertaining to the existing uses and conditions within the study area. The information collected and inventoried should at a minimum include: Land Use - within and adjacent to study area, zoning classifications, intensity of uses, inventory of land available for development within each zoning class. Transit service - level of service, ridership demographics, location of facilities, parking, how riders access transit (drive, walk, bike, carpool, or drop off), barriers to transit use Circulation - available parking, pedestrian enhancements, bicycle facilities, trails, and truck routing Business mix - vacancies and tenant turnover, lease rates and building conditions, business clusters Housing stock - proximity to transit station, density, vacancies and turnover, condition, average cost, age of stock Consultants will obtain this data through area organizations including Metra and Pace, photo logs, traffic and parking studies, and survey (transit riders, residents of study area, and study area business & property owners). The Village of Lemont will provide a list of data previously collected and past studies, if applicable, to the consultant. Deliverable: The consultant will prepare a memorandum summarizing the findings and methods used in Task 1. Data directly related to Tasks 2 -6 should also appear with the report specific to that task. Task 2: Public Involvement The TOD Study Area is important to a wide variety of stakeholders, including but not limited to: commercial and industrial property owners, business operators, residents, the Historical Society and Historical Preservation Commission, and those individuals working to restore the I &M Canal and abutting bike paths. While no specific amount of public meetings is requested, the consultant is expected to offer a forum(s) for sufficient stakeholder input to ensure their unique perspectives are considered. Deliverable: The consultant will develop a public involvement strategy based on the above task description for Project Team approval. Once approved, the consultant will organize and conduct all facets of the Public Involvement Process. Page 2 of 5 Scope of Services for Village of Lemont Station Area Planning Study (continued) Task 3: Commercial Market Analysis Using the data collected, the consultant should provide an analysis of the best commercial uses and development. This analysis should take into consideration market potential and demand of commuter needs as well as the unique needs of Lemont's historic and recreational tourism. The study should offer recommendations for ways to continue and enhance the current retail mix. Other issues to be examined include but are not limited to: sales leakage and potential, current vacancy rates and lease rates, building inventory review for location challenges, tenant mix planning, and marketing strategies. The marketing strategies should include the potential to tie promotions to transit service. Deliverable: The consultant shall provide a detailed technical memorandum of the commercial market analysis, with recommendations for potential commercial development and redevelopment, and recruitment and retention strategies based on research findings. This technical memorandum must be made available prior to the distribution of the Draft Final Report to the Project Team. Task 4: Housing Market Analysis Similar to the commercial market analysis in Task 3, the consultant should utilize the data previously collected on the existing housing stock and perform a housing analysis. The study should include the supply and demand for the housing market (for -sale and rental) and should identify housing price points and absorption rates for various housing types (single - family, multi - family, townhouse, condos, etc.). Deliverable: The consultant shall provide a housing analysis technical memorandum detailing the above information and recommendations to improve station area housing opportunities. This technical memorandum must be made available prior to the distribution of the Draft Final Report to the Project Team. Task 5: Conceptual Land Use Plan for Station Area Lemont is unique in the sense that the major landholders in and around the station area are not all Lemont residents or even private businesses, but are government agencies. As the critical task within the TOD study, the land use analysis should include this multi- faceted ownership aspect and how it impacts redevelopment opportunity, as well as density, urban design, access, floor -area ratios, and environmental factors. The conceptual land use plan should include the relationship with the circulation and access issues in and around the Lemont Metra station. The conceptual land use plan shall be made available to overlay with the circulation plans described in Task 6. Deliverable: The land use analysis provided by the consultant shall include a land use map and conceptual renderings of the station area, suggestions for implementing intergovernmental agreements and fostering cooperation, and a prioritization of opportunities. The consultant should provide detailed conceptual land use plans for selected key areas of development or redevelopment. These detailed key areas can be inset on the overall land use plan. The Land Use plan will be Page 3 of 5 Scope of Services for Village of Lemont Station Area Planning Study (continued) submitted to the Project Team for review and approval prior to the completion of the Draft Final Report. Task 6: Circulation Plans The ability to access the station area with ease, regardless of the desired mode of transportation, is key to the area's success. The circulation plan developed through this study will be comprised of four individual plans: Transit, Bicycle & Pedestrian, Auto, and Truck. Specific issues to be examined in this task include: Transit Plan - identify locations for commuter parking, create opportunities for increased ridership (train and bus), analyze station location, and determine locations for kiss -n -ride facilities and bus stop location. Bicycle and Pedestrian Plan - develop way finding guidelines, identify location for additional bicycle facilities, examine methods to increasing walkability, define strategies for better use of trails for commuting purposes. Auto Vehicular Plan - identify best routes to access transit center, assess employee vs. customer parking, determine the feasibility of parking garages, analyze the creation of one- way streets, and develop a comprehensive parking plan that illustrates the location of different surface parking facilities and restrictions. Truck Vehicular Plan - identify the best routes for thru -truck traffic within the study area so as to minimize conflicts with the auto vehicular, bicycle and pedestrian plans. The consultant should also examine ways to integrate the transit center with the downtown via routing all vehicular traffic, to make the transit station an all -day destination, to allow easy vehicular access without dominating streetscape, and analyze the station location in relation to the station area plan. The circulation plan shall be made available to overlay with the land use plan described in Task 5. Deliverable: The consultant shall prepare a concept circulation plan and summary detailing the findings and recommendations, including illustrations of way finding signs, infrastructure locations, access routes, and maps. The circulation plan will be submitted to the Project Team for review and approval prior to the completion of the Draft Final Report. Task 7: Implementation Strategies / Final Report The consultant team should create a list of financing tools and policies options that the Village of prospective developers could use to implement different aspects of the plan in order to maximize public and private resources. The team should identify potential federal, state, and others sources of funding for the project. Consultants should include a list of available tools and policies working toward the eventual implementation of the Study findings. The Final Report requires the assemblage of findings for the previous tasks, but focuses on achieving the stated goals. The consultant shall provide the Project Team with a draft copy of Page 4 of 5 Scope of Services for Village of Lemont Station Area Planning Study (continued) the Final Report for review. Deliverable: Thirty -five (35) copies of the Final Report that includes the findings of Tasks 1 -6 with a prioritization schedule and tools for their completion. The consultant will also make available, in a format to be designated by the RTA, a diskette containing the final camera - ready report, including all maps and diagrams. Page 5 of 5 EXHIBIT B PROJECT BUDGET For Village of Lemont Station Area Planning Study Applicant !Village of Lemont RTAP Project Number RTAP2002- 225 -195 -119 Project Budgets $75,000.00 Budget Number 0 Date Approved Project Funds Task Description 1 2 3 4 5 6 Data Collection Public Involvement Commercial Market Analysis Housing Market Analysis Conceptual Land Use Plan for Station Area Circulation Plans Budgeted $10,000.00 $7,500.00 $10,000.00 $7,500.00 $15,000.00 $15,000.00 7 Implementation Strategies / Final Report $10,000.00 Total Approved Project Funds: $75,000.00 Thursday, June 27, 2002 Page 1 of 1 Project Budget Inkind Estimated Project Funds Cash Share RTA $60,000.00 $0.00 $60,000.00 80.00% Local $15,000.00 $0.00 $15,000.00 20.00% Other $0.00 $0.00 $0.00 n/a 0.00% Total: $75,000.00 50.00 $75,000.00 100.00% Approved Project Funds Task Description 1 2 3 4 5 6 Data Collection Public Involvement Commercial Market Analysis Housing Market Analysis Conceptual Land Use Plan for Station Area Circulation Plans Budgeted $10,000.00 $7,500.00 $10,000.00 $7,500.00 $15,000.00 $15,000.00 7 Implementation Strategies / Final Report $10,000.00 Total Approved Project Funds: $75,000.00 Thursday, June 27, 2002 Page 1 of 1 EXHIBIT C SPECIAL PROVISIONS JOINT CERTIFICATIONS AND ASSURANCES FOR GRANTEES FOR TECHNICAL ASSISTANCE PROGRAMS OF THE FEDERAL TRANSIT ADMINISTRATION ( "FTA ") THE STATE OF ILLINOIS ( "IDOT ") AND THE REGIONAL TRANSPORTATION AUTHORITY ( "RTA ") Each Grantee will execute the following applicable certifications and assurances to cover all applications and government agreements that include federal, state, and/or RTA technical assistance. The fifteen categories of certifications and assurances are listed by Roman numerals I through XIII. All Grantees must make all certifications and assurances in Categories I and XIII. The remaining categories will apply to some, but not all Grantees, and will be indicated with an X, as needed. The categories correspond to the following descriptions or circumstances mandating submission of specific certifications, assurances, or agreements. The Grantee agrees to comply with all the applicable requirements of the FTA, IDOT, and RTA Joint Certifications and Assurances for Grantees as selected. I. Certifications and Assurances Required of Each Grantee X II. Lobbying Certification for Grants > $100,000 III. Effects on Private Mass Transportation Companies IV. Public Hearing Certification for Projects with Substantial Impacts V. Certification for the Purchase of Rolling Stock VI. Bus Testing Certification VII. Charter Service Agreement VIII. School Transportation Agreement IX. Certification for Demand Responsive Service X. Substance Abuse Certifications XI. Certification for a Project Involving Interest or Other Financing Costs XII. Certifications and Assurances for the Urbanized Area Formula Program, and the Job Access and Reverse Commute Program XIII. Certification of Taxpayer Identification Number (page 17) X The following signature pages (Grantee and Grantee's attorney) must be appropriately completed and signed where indicated by both Grantee and Grantee's Attorney. 1 JOINT CERTIFICATION AND ASSURANCES FOR FTA, IDOT, and RTA PROGRAMS Name of Grantee: Village of Lemont Name of Authorized Representative: Relationship of Authorized Representative: BY ENDORSING THIS SIGNATURE PAGE, I, declare that I am duly authorized by the Grantee to make the certifications and assurances on behalf of the Grantee and bind the Grantee to comply with them. Thus, when its authorized representative signs this document, the Grantee agrees to comply with all local, state, and federal statutes, regulations, executive orders, and administrative guidance required for any application that it makes to the Federal Transit Administration (FTA), the Illinois Department of Transportation (IDOT), and the Regional Transportation Authority (RTA). FTA, IDOT, and RTA intend that the certifications and assurances apply, as required, to each project for which the Grantee seeks now, or may later seek FTA, IDOT or RTA assistance. The Grantee affirms the truthfulness and accuracy of the certifications and assurances it has made in the statements submitted herein with this document and any other submission made to FTA, IDOT, or RTA and acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986, 31 U.S.C. 3801 et seq., as implemented by U.S. DOT regulations. "Program Fraud Civil Remedies," 49 CFR part 31 apply to any certification, assurance, or submission made to FTA, IDOT, or RTA. The criminal fraud provisions of 18 U.S.C. 1001 apply to any certification, assurance, or submission made in connection with the FTA, IDOT, and RTA technical assistance program for urbanized areas, and may apply to any other certification, assurance, or submission made in connection with any program administered by FTA, IDOT, or RTA. In signing this document, I declare under penalties of perjury that the foregoing certifications and assu any other statements made by me on behalf of the Grantee are true and correct. Date: ki - t - 0 Z orize Representative rante 2 AFFIRMATION OF GRANTEE'S ATTORNEY For Village of Lemont (Name of Grantee) As the undersigned legal counsel for the above named Grantee, I hereby affirm that the Grantee has authority under state and local law to make and comply with the certifications and assurances as indicated on the following pages. I further affirm that, in my opinion, the certifications and assurances have been legally made and constitute legal and binding obligations on the Grantee. I further affirm that, to the best of my knowledge, there is no legislation or litigation pending or t might adversely affect the validity of these certifications and assurances, or of the performance Furthermore, if I,become aware of circumstances that change the accuracy of the foregoing statem the Grantee, F A, IDOT, and RTA. A.44 kAAPI /41/ Grantee's Attorney 3 I. CERTIFICATIONS AND ASSURANCES REQUIRED OF EACH GRANTEE A. Authority of Grantee and Its Representative The authorized representative of the Grantee and legal counsel who sign these certifications, assurances, and agreements attest that both the Grantee and its authorized representative have adequate authority under state and local law and the by -laws or internal rules of the Grantee organization to: (1) (2) (3) Execute and file the applications for federal assistance on behalf of the Grantee, Execute and file the required certifications, assurances, and agreements on behalf of the Grantee binding the Grantee, and Execute grant and cooperative agreements with FTA, IDOT, or RTA on behalf of the Grantee. B. Standard Assurances The Grantee assures that it will comply with all applicable local, state, and federal statutes, regulations, executive orders, FTA circulars, and other federal administrative requirements in carrying out any grant or cooperative agreement awarded by RTA. The Grantee acknowledges that it is under a continuing obligation to comply with the terms and conditions of the grant or cooperative agreement issued for its approved project with FTA, IDOT, or RTA. The Grantee understands that federal laws, regulations, policies, and administrative practices might be modified from time to time and affect the implementation of the project. The Grantee agrees that the most recent local, state, and federal requirements will apply to the project, unless FTA, IDOT, or RTA issues a written determination otherwise. C. Debarment Suspension and Other Responsibility Matters Primary Covered Transactions In accordance with U.S. Department of Transportation (U.S. DOT) regulations on Government -wide Debarment and Suspension (Nonprocurement) at 49 CFR 29.510, the Grantee certifies to the best of its knowledge and belief, that it and its principals: (1) Are not presently debarred, suspended, proposed for Debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency; (2) Have not within a three -year period preceding this agreement been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state, or local) transaction or contract under a public transaction; violation of federal or state antitrust statutes; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (3) Are not presently indicted for or otherwise criminally charged or by civil action by a governmental entity state, or local) with commission of any of the offenses listed in paragraph (2) of this certification; and, (4) Have not within a three year period preceding this agreement had one or more public transactions (federal, state, or local) terminated for cause or default. The Grantee certifies that if it becomes aware of any later information that contradicts the statements in paragraphs (1) through (4) above, it will promptly inform RTA. Should the Grantee be unable to certify to statements set forth in paragraphs (1) through (4) above, it shall so acknowledge with its signature and provide a written explanation to RTA. 4 D. Drug -Free Workplace Certification In accordance with Illinois and U.S. DOT regulations on Drug -Free Workplace Requirements (Grants) at 30 ILCS 580/1 et seq. and 49 CFR 29.630, the Grantee certifies that it will provide a drug -free workplace by: (1) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the Grantee's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (2) Establishing an ongoing drug -free awareness program to inform employees about: (a) the dangers of drug abuse in the workplace; (b) the Grantee's policy of maintaining a drug -free workplace; (c) any available drug counseling, rehabilitation, and employee assistance programs; and, (d) the penalties that may be imposed upon employees for drug abuse violations occurring in the workplace. (3) Making it a requirement that each employee to be engaged in the performance of the grant or cooperative agreement be given a copy of the statement required by paragraph (1); (4) Notifying the employee in the statement required by paragraph (1) that, as a condition of employment financed with federal, state, and local assistance provided by the grant or cooperative agreement, the employee will: (a) abide by the terms of the statement, and (b) notify the employer in writing of his or her conviction of a criminal drug statute occurring in the workplace no later than 5 calendar days after such conviction. (5) Notifying RTA in writing, within 10 calendar days after receiving notice under paragraph (4)(b) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, including position title, to every project officer or other designee on whose project activity the convicted employee was working. Notice shall include the identification number(s) of each affected grant or cooperative agreement. (6) Taking one of the following actions, within 30 calendar days of receiving notice under paragraph (4)(b), with respect to any employee who is so convicted: (a) taking appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or (b) requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a federal, state, or local health, law enforcement, or other appropriate agency. (7) Making a good faith effort to continue to maintain a drug -free workplace through implementation of paragraphs (1), (2), (3), (4), (5), and (6). The Grantee has or will provide to RTA a list identifying its headquarters location and each workplace it maintains in which project activities supported by RTA are conducted. E. Intergovernmental Review Assurance If required, the Grantee assures that each project application submitted to RTA for assistance has been or will be submitted, as required by each state, for intergovernmental review to the appropriate state and local agencies. Specifically, the Grantee assures that it has fulfilled or will fulfill the obligations imposed on FTA by U.S. DOT regulations, "Intergovernmental Review of Department of Transportation Programs and Activities ", 49 CFR part 17. F. Nondiscrimination Assurance In accordance with 49 U.S.C. 5332 and title VI of the Civil Rights Act of 1964, as amended, 2000d; U.S. DOT regulations, "Nondiscrimination in Federally Assisted Programs of the Department of Transportation - Effectuation of Title VI of the Civil Rights Act," at 49 CFR 21.7, the Grantee assures that it will comply with all requirements pursuant to 49 CFR 21; FTA Circular 4702.1, "Title VI Program Guidelines for Federal Transit Administration Recipients," and other applicable directives so that no person in the United States, on 5 the basis of race, color, national origin, creed, sex, or age will be excluded from participation in, be denied the benefits of, or otherwise be subjected to discrimination in any program or activity (particularly in the level and quality of mass transportation services and mass transportation related benefits) for which the Grantee receives federal financial assistance from the U.S. DOT or FTA. The Grantee assures that the project or program will be conducted, property acquisitions will be undertaken, and project equipment will be operated in compliance with all requirements of 49 CFR 21 and 49 U.S.C. 5332. The Grantee understands that this assurance extends to its entire facility and to equipment operated in connection with the Project. The Grantee assures that it will take appropriate action to ensure that any transferee receiving property financed with federal assistance derived from U.S. DOT or FTA will comply with the provisions of 49 CFR 21 and 49 U.S.C. 5332. As required by 49 CFR 21.7(a)(2), the Grantee will include in each third party contract, subgrant, or sub - agreement appropriate clauses to impose the requirements of 49 CFR 21, and 49 U.S.C. 5332; and include appropriate provisions imposing those requirements in deeds and instruments recording the transfer of real property, structures, improvements. The Grantee assures that it will promptly take the necessary actions to effectuate this assurance. In particular, the Grantee will notify the public that complaints pertaining to discrimination in the provision of mass transportation- related services or benefits may be filed with U.S. DOT or FTA. Upon request by U.S. DOT or FTA, the Grantee assures that it will submit the requisite information pertaining to its compliance with these requirements. The Grantee assures that it will make such changes in its 49 U.S.C. 5332 and Title VI implementing procedures as U.S. DOT or FTA may request. G. Disadvantaged Business Enterprise Assurance In accordance with 49 CFR 26.13(a), the grantee assures that it shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of any third party contract, or subagreement supported with federal assistance derived from the U.S. DOT or in the administration of its DBE program or the requirements of 49 CFR part 26. The recipient assures that it shall take all necessary and reasonable steps under 49 CFR part 26 to ensure nondiscrimination in the award and administration of all third party contracts and subagreements supported with federal assistance derived from the U.S. DOT. The Grantee's DBE program, as required by 49 CFR part 26 and approved by the U.S. DOT, is incorporated by reference and made part of the grant agreement or cooperative agreement. Implementation of this DBE program is a legal obligation, and failure to carry out its terms shall be treated as a violation of the grant agreement or cooperative agreement. Upon notification by the government to the Grantee of its failure to implement its approved DBE program, the U.S. DOT may impose sanctions as provided for under 49 CFR part 26 and may, in appropriate cases, refer the matter for enforcement under 18 U.S.C. 1001, and/or the Program Fraud Civil Remedies Act, 31 U.S.C. 3801 et seg. H. Assurances of Nondiscrimination on the Basis of Disability In accordance with U.S. DOT regulations, "Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving or Benefiting from Federal Financial Assistance," 49 CFR 27 (updated May 21, 1996, Federal Register p. 25416), which implement the Rehabilitation Act of 1973, as amended, and the Americans with Disabilities Act of 1990, the Grantee assures that, as a condition to the approval or extension of any federal financial assistance from FTA or U.S. DOT to construct any facility, obtain any rolling stock or other equipment, undertake studies, conduct research, or to participate in or obtain any benefit from any program administered by FTA, IDOT, or RTA, no otherwise qualified person with a disability shall be, solely by reason of that disability, excluded from participation in, denied the benefits of, or otherwise subjected to discrimination in any program or activity receiving or benefiting from federal financial assistance administered by the FTA, IDOT, or RTA or any entity within U.S. DOT. 6 Specifically, the Grantee assures it will implement any program or operate any facility so assisted in compliance with all applicable requirements imposed by U.S. DOT regulations implementing the Rehabilitation Act of 1973, as amended, and the Americans with Disabilities Act of 1990 (and any subsequent amendments thereto) at 49 CFR parts 27, 37 and 38, as well as all applicable regulations and directives issued in accordance thereto by other federal departments or agencies. 1. Procurement Compliance The Grantee certifies that its procurements and procurement system that involves FTA assistance will comply with all applicable requirements imposed by federal, state, and local laws, executive orders, or regulations and the requirements of FTA Circular 4220.1D, "Third Party Contracting Requirements," and other implementing guidance or manuals FTA may issue. The Grantee certifies that it will include in its contracts financed in whole or in part with FTA assistance all clauses required by federal, state, and local laws, executive orders, or regulations, and will ensure that each subrecipient and contractor will also include in its subagreements and contracts financed in whole or in part with FTA assistance all applicable clauses required by federal laws, executive orders, or regulations. J. Certifications Prescribed by the Office of Management and Budget (SF -424B and SF -424D) The Grantee certifies that it: (1) Has the legal authority to apply for Federal assistance and the institutional, managerial, and financial capability (including funds sufficient to pay the non-federal share of project cost) to ensure proper planning, management, and completion of the project described in its application. (2) Will give FTA, the Comptroller General of the United States and, if appropriate, the state and RTA, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the award; and will establish a proper accounting system in accordance with generally accepted accounting standards or agency directives. (3) Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest or personal gain. (4) Will initiate and complete the work within the applicable project time periods following receipt of FTA approval. (5) Will comply with all statutes relating to nondiscrimination including, but not limited to: (a) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, which prohibits discrimination on the basis of race, color, or national origin; (b) Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. 1681, 1683, and 1685 through 1687, which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, which prohibits discrimination on the basis of handicaps; (d) The Age Discrimination Act of 1975, as amended, 42 U.S.C. 6101 through 6107, which prohibit discrimination on the basis of age; (e) The Drug Abuse Office and Treatment Act of 1972, Pub. L. 92 -255, March 21, 1972, and amendments thereto, relating to nondiscrimination on the basis of drug abuse; (f) The Comprehensive Alcohol Abuse and Alcoholism Prevention Act of 1970, Pub. L. 91 -616, Dec. 31, 1970, and amendments thereto, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g) The Public Health Service Act of 1912, as amended, 42 U.S.C. 290dd -3 and 290ee -3, related to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act, 42 U.S.C. 3601 et seq., relating to nondiscrimination in the sale, rental, or financing of housing; (i) Any other nondiscrimination provisions in the specific statutes under which Federal assistance for the project may be provided including, but not limited to section 1101(b) of the Transportation Equity Act for the 21st Century, 23 U.S.C. 101 note, which provides for participation of disadvantaged business enterprises in FTA programs; and (j) The requirements of any other nondiscrimination statute(s) that may apply to the project. 7 (6) Will comply, or has complied, with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended, (Uniform Relocation Act) 42 U.S.C. 4601 et seq., which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of federal or federally- assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of federal participation in purchases. As required by U.S. DOT regulations, "Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally Assisted Programs," at 49 CFR 24.4, and sections 210 and 305 of the Uniform Relocation Act, 42 U.S.C. 4630 and 4655, the Grantee assures that it has the requisite authority under applicable state and local law and will comply or has complied with the requirements of the Uniform Relocation Act, 42 U.S.C. 4601 et seq., and U.S. DOT regulations, "Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally Assisted Programs," 49 CFR part 24 including, but not limited to the following: (a) The Grantee will adequately inform each affected person of the benefits, policies, and procedures provided for in 49 CFR part 24; (b) The Grantee will provide fair and reasonable relocation payments and assistance required by 42 U.S.C. 4622, 4623, and 4624; 49 CFR part 24; and any applicable FTA procedures, to or for families, individuals, partnerships, corporations or associations displaced as a result of any project financed with FTA assistance; (c) The Grantee will provide relocation assistance programs offering the services described in 42 U.S.C. 4625 to such displaced families, individuals, partnerships, corporations or associations in the manner provided in 49 CFR part 24 and FTA procedures; (d) Within a reasonable time before displacement, the Grantee will make available comparable replacement dwellings to displaced families and individuals as required by 42 U.S.C. 4625 ( c 3 (e) The Grantee will carry out the relocation process in such a manner as to provide displaced with uniform and consistent services, and will make available replacement housing in the same range of choices with respect to such housing to all displaced persons regardless of race, color, religion, or national origin; (f) In acquiring real property, the Grantee will be guided to the greatest extent practicable under state law, by the real property acquisition policies of 42 U.S.C. 4651 and 4652; (g) The Grantee will pay or reimburse property owners for necessary expenses as specified in 42 U.S.C. 4653 and 4654, understanding that FTA will participate in the Grantee's costs of providing those payments and that assistance for the project as required by 42 U.S.C. 4631; (h) The Grantee will execute such amendments to third party contracts and subagreements financed with FTA assistance and execute, furnish, and be bound by such additional documents as FTA may determine necessary to effectuate or implement the assurances provided herein; and (i) The Grantee agrees to make these assurances part of or incorporate them by reference into any third party contract or subagreement, or any amendments thereto, relating to any project financed by FTA involving relocation or land acquisition and provide in any affected document that these relocation and land acquisition provisions shall supersede any conflicting provisions. (7) Will comply, as applicable, with provisions of the Hatch Act, 5 U.S.C. 1501 through 1508, and 7324 through 7326, which limit the political activities of state and local agencies and their officers and employees whose principal employment activities are financed in whole or part with federal funds including a federal loan, grant, or cooperative agreement, but does not apply to a nonsupervisory employee of a transit system (or of any other agency or entity performing related functions) receiving FTA assistance to whom the Hatch Act does not otherwise apply. (8) To the extent applicable will comply with the Davis -Bacon Act, as amended, 40 U.S.C. 276a through 276a(7), the Copeland Act, as amended, 18 U.S.C. 874 and 40 U.S.C. 276c, and the Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. 327 through 333, regarding labor standards for federally - assisted subagreements. (9) To the extent applicable, will comply with flood insurance purchase requirements of section 102(a) of the Flood Disaster Protection Act of 1973, as amended, 42 U.S.C. 4012a(a), which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more. 8 (10) Will comply with environmental standards that may be prescribed to implement the following federal laws and executive orders: (a) Institution of environmental quality control measures under the National Environmental Policy Act of 1969, as amended, 42 U.S.C. 4321 et seq. and Executive Order No. 11514, as amended, 42 U.S.C. 4321 note; (b) Notification of violating facilities pursuant to Executive Order No. 11738, 42 U.S.C. 7606 note; (c) Protection of wetlands pursuant to Executive Order No. 11990, 42 U.S.C. 4321 note; (d) Evaluation of flood hazards in floodpiains in accordance with Executive Order 11988, 42 U.S.C. 4321 note; (e) Assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972, as amended, 16 U.S.C. 1451 et seq. (f) Conformity of Federal actions to State (Clean Air) Implementation Plans under section 176(c) of the Clean Air Act of 1955, as amended, 42 U.S.C. 7401 et seq.; (g) Protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended, 42 U.S.C. 300h et seq.; (h) Protection of endangered species under the Endangered Species Act of 1973, as amended, Endangered Species Act of 1973, as amended, 16 U.S.C. 1531 et seq.; and (i) Environmental protections for Federal transit programs, including, but not limited to protections for a park, recreation area, or wildlife or waterfowl refuge of national, state or local significance or any land from a historic site of national, state or local significance used in a transit project as required by 49 U.S.C. 303. (11) Will comply with the Wild and Scenic Rivers Act of 1968, as amended, 15 U.S.C. 1271 et seq. relating to protecting components of the national wild and scenic rivers systems. (12) Will assist FTA, IDOT and RTA in assuring compliance with section 106 of the National Historic Preservation Act of 1966, as amended, 16 U.S.C. 470f, Executive Order No. 11593 (identification and protection of historic properties), 16 U.S.C. 470 note, and the Archaeological and Historic Preservation Act of 1974, as amended, 16 U.S.C. 469a -1 et seq. (13) Will comply with the Lead -Based Paint Poisoning Prevention Act, 42 U.S.C. 4801, which prohibits the use of lead -based paint in construction or rehabilitation of residence structures. (14) Will not dispose of, modify the use of, or change the terms of the real property title, or other interest in the site and facilities on which a construction project supported with FTA assistance takes place without permission and instructions from the awarding agency. (15) Will record the federal interest in the title of real property in accordance with FTA directives and will include a covenant in the title of real property acquired in whole or in part with federal assistance funds - to assure nondiscrimination during the useful life of the project. - (16) Will comply with FTA requirements concerning the drafting, review, and approval of construction plans and specifications of any construction project supported with FTA assistance. As required by U.S. DOT regulations, "Seismic Safety," 49 CFR 41.117(d), before accepting delivery of any building financed with FTA assistance, it will obtain a certificate of compliance with the seismic design and construction requirements of 49 CFR part 41. (17) Will provide and maintain competent and adequate engineering supervision at the construction site of any project supported with FTA assistance to ensure that the complete work conforms with the approved plans and specifications and will furnish progress reports and such other information as may be required by FTA, IDOT or RTA. (18) Will comply with the National Research Act, Pub. L. 93 -348, July 12, 1974, as amended, regarding the protection of human subjects involved in research, development, and related activities supported by the FTA assistance. (19) Will comply with the Laboratory Animal Welfare Act of 1966, as amended, 7 U.S.C. 2131 et seq. pertaining to the care, handling, and treatment of warm blooded animals held for research, teaching, or other activities supported by FTA assistance. (20) Will have performed the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996, 31 U.S.C. 7501 et seq. and OMB Circular No. A -133, "Audits of States, Local Governments, and Non -Profit Organizations." 9 (21) Will comply with all applicable requirements of all other Federal laws, executive orders, regulations, and policies governing the project. II. LOBBYING CERTIFICATION REQUIRED FOR EACH APPLICATION EXCEEDING $100,000 The Grantee that submits, or intends to submit this fiscal year, an application for federal assistance exceeding $100,000 must provide the following certification. Consequently, FTA may not provide Federal assistance from an application exceeding $100,000 until the Grantee provides this certification by selecting category "II" on the TEAM system certifications and assurances tab page or on the signature page at the beginning of this document. A. In accordance with U.S. DOT regulations, "New Restrictions on Lobbying," at 49 CFR 20.110, for each application for federal assistance exceeding $100,000, the Grantee's authorized representative certifies to the best of his or her knowledge and belief that: (1) No federal appropriated funds have been paid or will be paid, by or on behalf of the Grantee, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal grant or cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal grant or cooperative agreement. (2) If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal grant or cooperative agreement, the Grantee shall complete and submit Standard Form -LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions as amended by "Government - wide Guidance for New Restrictions on Lobbying," including the information required by the form's instructions, which may be amended to omit such information as permitted by 31 U.S.C. 1352. B. The Grantee shall require that the language of this certification be included in the award documents for each sub -award at any tiers (including subcontracts, subgrants, sub - agreements and contract under grants and cooperative agreements financed with FTA assistance) and that each grantee shall certify and disclose accordingly. The Grantee understands that this certification is a material representation of fact upon which reliance is placed and that the submission of this certification is a prerequisite for providing federal assistance for a transaction covered by 31 U.S.C. § 1352; and the Grantee also understands that any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. III. EFFECTS ON PRIVATE MASS TRANSPORTATION COMPANIES The Grantee that is a state or local government that seeks federal assistance authorized by 49 U.S.C. chapter 53 to acquire property of a private mass transportation company or an interest in property of a private mass transportation company or operate mass transportation equipment or a facility in competition with or in addition to transportation service provided by an existing mass transportation company must provide the following certification. Consequently, FTA may not award Federal assistance for that project until the Grantee provides this certification by selecting category "III" on the TEAM system certifications and assurances tab page or on the Signature Page at the beginning of this document. As required by 49 U.S.C. 5323(a)(1), the Grantee certifies that before it acquires property or an interest in property of a private mass transportation company or operates mass transportation equipment or a facility in competition with or in addition to transportation service provided by an existing mass transportation company it has or will have: 10 A. Found that the assistance is essential to carrying out a program of projects as determined by the plans and programs of the metropolitan planning organization; B. Provided for the participation of private mass transportation companies to the maximum extent feasible; and C. Paid or will pay just compensation under state or local law to a private mass transportation company for its franchises or property acquired. D. The assistance falls within the labor standards compliance requirements of 49 U.S.C. 5333(a) and 5333(b). IV. PUBLIC HEARING CERTIFICATION FOR A CAPITAL PROJECT THAT WILL SUBSTANTIALLY AFFECT A COMMUNITY OR ITS TRANSIT SERVICE The Grantee seeking federal assistance under 49 U.S.C. chapter 53 for a capital project that will substantially affect a community or the community's transit service must provide the following certification. Consequently, FTA may not award federal assistance for that project until the Grantee provides this certification by selecting category "IV" on the TEAM system certifications and assurances tab page or on the Signature Page at the beginning of this document. As required by 49 U.S.C. 5323(b), the Grantee certifies that it has, or before submitting its application, will have: A. Provided an adequate opportunity for a public hearing with adequate prior notice of the proposed project published in a newspaper of general circulation in the geographic area to be served; B. Held that hearing and provided FTA, IDOT and RTA a transcript or detailed report summarizing the issues and responses, unless no one with a significant economic social, or environmental interest requests a hearing; C. Considered the economic, social, and environmental effects of the project; and D. Determined the project to be consistent with official plans for developing the urban area. 11 V. CERTIFICATION OF PRE -AWARD AND POST - DELIVERY AUDIT OF ROLLING STOCK REQUIRED FOR EACH GRANTEE THAT PURCHASES ROLLING STOCK. The Grantee seeking federal assistance to acquire Rolling Stock must provide the following certification. Consequently, FTA may not award federal assistance for that project until the Grantee provides this certification by selecting category "V" on the TEAM system certifications and assurances tab page or on the Signature Page at the beginning of this document. As required by 49 U.S.C. 5323(m), and implementing FTA regulations at 49 CFR 663.7, the Grantee certifies that it will that it will comply with the requirements of 49 CFR part 663, in the course of purchasing revenue service rolling stock. Among other things, the Grantee will conduct or cause to be conducted the prescribed pre -award and post - delivery audits, and will maintain on file the certifications required by subparts B, C, and D of the regulations. VI. BUS TESTING CERTIFICATION REQUIRED FOR THE ACQUISITION OF NEW BUSES The Grantee seeking FTA assistance to acquire new buses must provide the following certification. Consequently, FTA may not award Federal assistance for that project until the Grantee provides this certification by selecting category "VI" on the TEAM system certifications and assurances tab page or on the Signature Page at the beginning of this document. In accordance with FTA regulations, "Bus Testing," at 49 CFR 665.7, the Grantee certifies that before authorizing final acceptance of the first bus of any new bus model or any bus model with a major change in configuration or components (as described in 49 CFR part 665) acquired or leased with federal assistance funds obligated by FTA, the following two conditions will have been met: A. The model of the bus will have been tested at a bus testing facility approved by FTA; and B. The Grantee will have received a copy of the test report prepared on the bus model. 12 VII. CHARTER SERVICE AGREEMENT The Grantee seeking FTA assistance to acquire or operate transportation equipment or facilities acquired with Federal assistance authorized by 49 U.S.C. chapter 53 or Title 23, U.S.C. (except 49 U.S.C. 5310) must enter into the following charter service agreement. Consequently, FTA may not provide assistance for those projects until the Grantee enters into this agreement by selecting category "VIP" on the TEAM system certifications and assurances tab page or on the Signature Page at the beginning of this document. A. In accordance with 49 U.S.C. 5323(d) and FTA regulations, "Charter Service," at 49 CFR 604.7, the Grantee agrees that it and its subcontractors will: (1) Provide charter service that uses equipment or equipment acquired with federal assistance authorized for 49 U.S.C. 5307, 5309, or 5311; or Title 23 U.S.C., only to the extent that there are no private charter service operators willing and able to provide the charter service that it or its recipients desire to provide unless one or more of the exceptions in 49 CFR 604.9 applies, and (2) Comply with the provisions of 49 CFR 604 before it provides any charter service using equipment or facilities acquired with federal assistance authorized for the above statutes. B. The Grantee understands that the requirements of 49 CFR 604 will apply to any such charter service that is provided, and that the definitions in 49 CFR 604 apply to this agreement. The Grantee understands that a violation of this agreement may require corrective measures and the imposition of penalties, including Debarment from the receipt of further federal assistance for mass transportation. VIII. SCHOOL TRANSPORTATION AGREEMENT The Grantee seeking FTA assistance to acquire or operate transportation equipment or facilities acquired with federal assistance authorized by 49 U.S.C. chapter 53 or Title 23, U.S.C. must agree as follows. Consequently, FTA may not provide assistance for transportation facilities until the Grantee enters into this agreement by selecting category "VIII" on the TEAM system certifications and assurances tab page or on the Signature Page at the beginning of this document. A. As required by 49 U.S.C. 5323(0 and FTA regulations, "School Bus Operations," at 49 CFR 605.14, the Grantee agrees that it: (1) Engage in school transportation operations in competition with private school transportation operators only to the extent permitted by an exception provided by 49 U.S.C. 5323(0, and implementing regulations, and (2) Comply with the requirements of 49 CFR part 605 before providing any school transportation using equipment or facilities acquired with federal assistance awarded by FTA and authorized by 49 U.S.C. chapter 53 or Title 23 U.S.C. for transportation projects. B. The Grantee understands that the requirements of 49 CFR part 605 will apply to any school transportation it provides, the definitions of 49 CFR part 605 apply to this school transportation agreement, and a violation of this agreement may require corrective measures and the imposition of penalties, including debarment from the receipt of further federal assistance for transportation. 13 IX. CERTIFICATION REQUIRED FOR THE DIRECT AWARD OF FTA ASSISTANCE TO A GRANTEE FOR ITS DEMAND RESPONSIVE SERVICE The Grantee seeking direct Federal assistance to support demand responsive service must provide the following certification. Consequently, FTA may not award Federal assistance directly to a Grantee to support its demand responsive services until the Grantee provides this certification by selecting category "IX" on the TEAM system certifications and assurances tab page or on the Signature Page at the beginning of this document. In accordance with U.S. DOT regulations, "Transportation Services for Individuals with Disabilities (ADA)," at 49 CFR 37.77, the Grantee certifies that its demand responsive service offered to persons with disabilities, including persons who use wheelchairs, is equivalent to the level and quality of service offered to persons without disabilities. Such service, when viewed in its entirety, is provided in the most integrated setting feasible and is equivalent with respect to: (1) response time; (2) fares; (3) geographic service area; (4) hours and days of service; (5) restrictions on trip purpose; (6) availability of information and reservation capability; and (7) constraints on capacity or service availability. X. SUBSTANCE ABUSE CERTIFICATIONS REQUIRED BY JANUARY 1, 1996 If the Grantee is required by federal regulations to provide the following substance abuse certifications, FTA may not provide federal assistance to the Grantee until the Grantee provides this certification by selecting category "X" on the TEAM system certifications and assurances tab page or on the Signature Page at the beginning of this document. A. Alcohol Testing Certification As required by FTA regulations "Prevention of Alcohol Misuse in Transit Operations," at 49 CFR 654.83 the Grantee certifies that it has established and implemented an alcohol misuse prevention program complying with the requirements of 49 CFR part 654, and if the Grantee has employees regulated by the Federal Railroad Administration (FRA), the Grantee also certifies that it has for those employees an alcohol misuse prevention program complying with the requirements of FRA's regulations, "Control of Alcohol and Drug Use," 49 CFR 219. B. Anti -Drug Program Certification As required by FTA regulations, "Prevention of Prohibited Drug Use in Transit Operations," at 49 CFR 653.83, the Grantee certifies that is has established and implemented an anti -drug program and has conducted employee training complying with the requirements of 49 CFR part 653, and if the Grantee has employees regulated by FRA, the Grantee also certifies that it has for those employees an anti -drug program complying with the requirements of FRA's regulations, "Control of Alcohol and Drug Use," 49 CFR part 219. XI. CERTIFICATION FOR A PROJECT INVOLVING INTEREST OR OTHER FINANCING COSTS As required by 49 U.S.C. 5307(g), 49 U.S.C. 5309(g)(2)(B), 49 U.S.C. 5309(g)(3)(A), and 49 U.S.C. 5309(n), the Grantee certifies that it will not seek reimbursement for interest and other financing costs unless its records demonstrate it has used reasonable diligence in seeking the most favorable financing terms underlying those costs, to the extent FTA might require. 14 XII. CERTIFICATIONS FOR THE URBANIZED AREA FORMULA PROGRAM AND THE JOB ACCESS AND REVERSE COMMUTE PROGRAM Each Grantee of the FTA for Urbanized Area Formula Program Assistance authorized by 49 U.S.0 and each Grantee for Job Access and Reverse Commute Program assistance authorized for section 3037 of the Transportation Equity Act for the 21" Century, 49 U.S.C. 5309 note, must provide, the following certifications in connection with its application. Consequently, FTA may not award Urbanized Area formula Program Assistance or Job Access and Reverse Commute Program Assistance to the Grantee until the Grantee provides these certifications and assurances by selecting category `XII" on the TEAM system certifications and assurances tab page or on the Signature Page at the end of this document. In addition, each Grantee that has received Transit Enhancement funding authorized by 49 U.S.C. 5307(k)(1) must include within its quarterly report for the forth quarter of the preceding Federal fiscal year a list of the projects carried out during the preceding Federal fiscal year with those Transit Enhancement funds. That list constitutes the report of transit projects carried out during the preceding fiscal year to be submitted as part of the Grantee's annual certifications and assurances, as required by 49 U.S.C. 5307 (k)(3), and is thus incorporated by reference and made part of that Grantee's annual certifications and assurances. FTA may not award Urbanized Area Formula Program assistance to any Grantee that has received Transit Enhancement Funding by 49 U.S.C. 5307 (k)(1), unless the Grantee's quarterly report for the forth quarter of the preceding Federal fiscal year has been submitted to FTA and that report contains the requisite list. A. Certifications Required by Statute (1)As required by 49 U.S.C. 5307(d)(1) (A) through (J), the Grantee certifies that: (a) It has or will have the legal, financial, and technical capacity to carry out the proposed program of projects; (b) It has or will have satisfactory continuing control over the use of the equipment and facilities; (c) It will adequately maintain the equipment and facilities; (d) It will ensure that the elderly and handicapped persons, or any person presenting a Medicare card issued to himself or herself under Title II or Title XVIII of the Social Security Act (42 U.S.C. 401 et seq. or 42 U.S.C. 1395 et seq.), will be charged during non -peak hours for transportation using or involving a facility or equipment of a project financed with Federal assistance authorized for 49 U.S.C. 5307 or Section 3037 of the Transportation Equity Act for the 21st Century (TEA -21), 49 U.S.C. 5309 note, not more than 50 percent of the peak hour fare; (e) In carrying out a procurement financed with Federal assistance authorized for the Urbanized Area Formula Program at 49 U.S.C. 5307 or Section 3037 of TEA -21, 49 U.S.C. 5309 note, it will use competitive procurement (as defined or approved by the Secretary), it will not use a procurement using exclusionary or discriminatory specifications, and it will comply with applicable Buy America laws in carrying out a procurement; (f) It has complied or will comply with the requirements of 49 U.S.C. 5307(c); specifically, it has or before submitting its application it will: (1) make available to the public information on amounts available for the Urbanized Area Formula Program at 49 U.S.C. 5307 and, if applicable, the Job Access and Reverse Commute Grant Program, 49 U.S.C. 5309 note, and the program of projects it proposes to undertake with those funds; (2) develop, in consultation with interested parties, including private transportation providers, a proposed program of projects for activities to be financed; (3) publish a proposed program of projects in a way that affected citizens, private transportation providers, and local elected officials have the opportunity to examine the proposed program and submit comments on the proposed program and the performance of the Grantee; (4) provide an opportunity for a public hearing to obtain the views of citizens on the proposed program of projects; and (5) ensure that the proposed program of projects provides for the coordination of transportation services assisted under 49 U.S.C. 5336 with transportation services 15 assisted by another Federal Government source; (6) consider comments and views received, especially those of private transportation providers, in preparing the final program of projects; and (7) make the final program of projects available to the public; (g) It has or will have available and will provide the amount of funds required by 49 U.S.C. 5307(e) and applicable FTA policy (specifying federal and local shares of project costs); (h) It will comply with: (a) 49 U.S.C. 5301(a) (requirements to develop transportation systems that maximize mobility and minimize fuel consumption and air pollution); (b) 49 U.S.C. 5301(d) (requirements for transportation of the elderly and persons with disabilities); (c) 49 U.S.C. 5303 through 5306 (planning requirements); and (d) 49 U.S.C. 5310 (a) through (d) (programs for the elderly and persons with disabilities); (i) It has a locally developed process to solicit and consider public comment before raising fares or implementing a major reduction of transportation; and (j) As required by 49 U.S.C. 5307(d)(1)(J), unless the Grantee has determined that it is not necessary to expend one percent of the amount of federal assistance it receives for this transit security projects, it will expend at least one percent of the amount of that assistance for transit security projects, including increased lighting in or adjacent to a transit system (including bus stops, subway stations, parking lots, and garages), increased camera surveillance of an area in or adjacent to that system, emergency telephone line or lines to contact law enforcement or security personnel in an area in or adjacent to that system, and any other project intended to increase the security and safety of an existing or planned transit system. (2) As required by 49 U.S.C. 5307 (k)(3), if it has received Transit Enhancement funds authorized by 49 U.S.C. 5307 (k)(1), its quarterly report for the forth quarter of the preceding Federal fiscal year includes a list of the projects implemented in the preceding Federal fiscal year using Transit Enhancement funds, and made part of its certifications and assurances. B. Certification Required for Capital Leasing As required by FTA regulations, "Capital Leases," 49 CFR at 639.15(b)(1) and 639.21, to the extent that the Grantee uses federal assistance authorized for 49 U.S.C. 5307 or Section 3037 of TEA -21, 49 U.S.C. 5309 note, to acquire any capital asset by lease, the Grantee certifies that: (1) It will not use federal assistance authorized for 49 U.S.C. 5307 or Section 3037 of TEA -21, 49 U.S.C. 5309 note, to finance the cost of leasing any capital asset until it undertakes calculations demonstrating that it is more cost - effective to lease the capital asset than to purchase or construct similar assets; (2) It will complete these calculations before entering into the lease or before receiving a capital grant for the asset, whichever is later; and (3) It will not enter into a capital lease for which FTA can only provide incremental funding unless it has the financial capacity to meet its future obligations under the lease in the event federal assistance is not available for capital projects in subsequent years. C. Certifications Required for Sole Source Purchase of Associated Capital Maintenance Item As required by 49 U.S.C. 5325(c), to the extent that the Grantee procures an associated capital maintenance item under the authority of 49 U.S.C. 5307(b)(1), the Grantee certifies that it will use competition to procure an associated capital maintenance item unless the manufacturer or supplier of that item is the only source for the item and the price of the item is no more than the price similar customers pay for the item, and maintain sufficient records pertaining to each such procurement on file easily retrievable for FTA, IDOT or RTA inspection. 16 40' XIII. TAXPAYER IDENTIFICATION NUMBER The Grantee certifies that E °/ `7`'f 8 - % S 72 - U / is the correct Federal Taxpayer Identification Number. The entity is doing business as Vi 4,-e ,..),=" s-&trtvttrr 17 EXHIBIT D STATE OF ILLINOIS DRUG FREE WORKPLACE CERTIFICATION This certification is required by the Illinois Drug Free Workplace Act (30 ILCS 580/1 et seq.). The Illinois Drug Free Workplace Act requires that no grantee or contractor shall receive a grant or be considered for the purposes of being awarded a contract for the procurement of any property or services from the State unless that grantee or contractor has certified to the State that the grantee or contractor will provide a drug free workplace. False certification or violation of the certification may result in sanctions including, but not limited to, suspension of contract or grant payments, termination of the contract or grant and debarment of contracting or grant opportunities with the State for at least one (1) year but not more than five (5) years. For the purpose of this certification, "grantee" or "contractor' means a corporation, partnership, or other entity with twenty -five (25) or more employees at the time of issuing the grant, or a department, division, or other unit thereof, directly responsible for the specific performance under a contract or grant of $5,000 or more from the State. Grantee certifies and agrees that it will provide a drug free workplace by: (a) Publishing a statement: (1) Notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance, including cannabis, is prohibited in the Grantee's workplace. (2) Specifying the actions that will be taken against employees for violations of such prohibition. (3) Notifying the employee that, as a condition of employment on such contract or grant, the employee will: (A) abide by the terms of the statement; and (B) Notifying the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five (5) days after such conviction. (b) Establishing a drug free awareness program to inform employees about: (1) the dangers of drug abuse in the workplace; (2) the Grantee's policy of maintaining a drug free workplace; 1 (3) any available drug counseling, rehabilitation, and employee assistance programs; and (4) the penalties that may be imposed upon an employee for drug violations. (c) Providing a copy of the statement required by subparagraph (a) to each employee engaged in the performance of the grant and to post the statement in a prominent place in the workplace. (d) Notifying the Department within ten (10) days after receiving notice under part (B) of paragraph (3) of subsection (a) above from an employee or otherwise receiving actual notice of such conviction. (e) Imposing a sanction on, or requiring the satisfactory participation in a drug abuse assistance or rehabilitation program by, any employee who is so convicted, as required by Section 5 of the Drug Free Workplace Act. (f) Assisting employees in selecting a course of action in the event drug counseling, treatment, and rehabilitation is required and indicating that a trained referral team is in place. (g) Making a good faith effort to continue to maintain a drug free workplace through implementation of the Drug Free Workplace Act. THE UNDERSIGNED AFFIRMS, UNDER PENALTIES OF PERJURY, THAT HE OR SHE IS AUTHORIZED TO EXECUTE THIS CERTIFICATION ON BEHALF OF THE DESIGNATED ORGANIZATION. Si ature f Authorized R; presentative Title ?(- -es ∎12. 4-- q -0 Date