HomeMy WebLinkAboutWisDOT / 2015 Urban Mass Transit Grant Agreement2015 URBAN MASS TRANSIT OPERATING ASSISTANCE (Wis. Stats. 85.20)
GItANT AGREEMENT BETWEEN
STATE OF WISCONSIN, DEPARTMENT OF TRANSPORTATION
AND THE
CITY OF OSHKOSH
This Grant Agreement is made and entered into between the City of Oshkosh, hereinaier referred to
as "Recipient," and the State of Wisconsin, Department of Transportation, hereinafter referred to as
"WisDOT," through the Secretary of the Department of Transportation, hereinafter referred to as
"Secretary."
RECITALS
W HEREAS, sec. 85.20, Wis. Stats. creates an tiirban mass transit operating assistance program for the
purpose of promoting the general public good by preserving and improving existing urban mass transit
systems in W isconsin and encouraging their effective and efficient operation; and
WHEREAS, sec. 20.395, Wis. Stats. appropriates funds for the sec. 85.20 mass transit operating
assistance program; and
WIIEREAS, such funds are available to a local public body in an urban area that includes a city or
village of more than 2,500 population which is served by an urban mass transit system incurring an
operating deficit; and
WHEREAS, WisDOT has determined that the Recipient meets the eligibility requirements of sec.
Trans 4.02, Wis. Admin. Code, and is willing to pay up to the nonfederal share of the operating deficit
of the urban mass transit system, hereinafter referred to as "Transit System' ;
NOW THEREFORE, The parties hereto contract and agree as follows:
SECTION i: DEFINITIONS
A. "Operating expenses" as used in this Contract has the meaning given under sec. 85.20(1)(g), Wis.
Stats., and under sea Trans 4.04, Wis. Admin. Code, and the cost principles published at 48 CPR
31, Federal Acquisition Regulations, and applies specifically to the recipient, subrecipients, and
contractoi's expenses to operate the Transit System for the period January I, 2015 through
Decembcr 31, 2015. Although 48 CFR 31.205-1, Federal Acquisition Regulations, does not
generally recognize advertising as an allowable cost, the nature of transit service requires its
promotion to be successful and effective. Consequently, advertising is specifically allowed as an
operating expense for subrecipients and contractors under this contract.
B. "Operating deficit" as used in this Contract has the mcaning given under sec. 85.20(1)(�, Wis.
Stats., and applies specifically to the Transit System's operating deficit for the period January l,
2015 through December 31, 2015.
C. "Total passenger trips" as used in this Contract has the meaning given in sec. Trans 3.02, Wis.
Admin. Code, and includes revenue, free fare, and transfer passenger trips.
SECTION II: PAYMENT BY WisDOT
A. W isDOT agrees to pay the lesser of the following:
1. $1,124,588
2. the nonfederal share of the Transit System's audited operating deficit; or
3. five times the amount of the recipienPs local contribution as defined under sec.
85.20(4m)(b), Wis. Stats. This provision does not apply if the transit system is a
sl�ared-ride taxi system.
The Transit System's combined state and federal operating assistance shall not exceed
sixty percent (60.0%) of the auditcd operating expenses.
This contract will be amended to reduce state payments, if sufficient funds are not made
available under sea 20395, Wis. Stats.
B. WisDOT shall determine the Transit System's operating expenses and operating deficit.
Such determinations by WisDOT shall be made in accordance with generally accepted
acco�mting principles and practices. The allowable federal share of the operating deficit
will also be determined by WisDOT.
C. Where the project service is provided by a private transportation provider, the Department
agrees to recognize a management fee of $0.00 as a fixed fee and eligible project expense.
When the project service is provided for a period less than the contract period, the fixed
fees shall be prorated on the basis of days of operation.
SECTION III: RESPONSIBILITY OF RECIPIENT
A. The Recipient agrees to pay the total operating deficit of the Transit System as its bills
become due. If the Recipient contracts for mass transit service with a privately-owned
company, the Recipient shall pay the privately-owned company in accordance with actual
monthly operating expenses.
B. The Recipient shall require the Transit System to provide reduced-fare programs for
elderly and handicapped persons during nonpeak hours, and shall ensurc coinpliance with
that requiremenL Such reduced fares may not exceed one-half of the full adult cash fare
applicable during peak hours of operation. This requirement is not applicable if the
rccipient's mass transit system is a shared-ride taxi system.
C. The Recipient shall maintain a system of accounting controls to identify, segregate,
allocate, and safeguard allowable operating expenses and revenues for the Transit System.
The recipient shall also insure that all subrecipients and contractors comply with this
requirement.
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D. The Recipient shall require the Transit System to determine "total passenger trips" taken
during the calendar year in accordance with the procedures set forth in Ch. Trans 3, Wis.
Admin. Code, and with the provisions of the Transit Manageinent Plan contained in the
RecipienPs 2015 application for operating assistance which is made part of this Contract
by reference, and shall ensure compliance with that requirement.
E. The Recipient shall requirc the Transit System to file quarterly transit operational reports,
annual statistics and ridership reports, and other special reports as may be required by
WisDOT, and shall ensure compliance with that requirement. The Recipient shall also
require and ensure that all reports will be submitted in a manner and form prescribed by
WisDOT.
F. The Recipient shall, if other local public bodies contribute assistance to the operation of
the Transit System, allocate the state aids received under this Contract among the
contributors in proportion to their contributions as shown in Schedule lll of this Contract.
SECTION N: STATE DISBURSEMENTS
A. Payments by WisDOT to the Recipient shall be made in accordance with Schedule 11,
subject to the allowable maximum payment under Section ILA of this Contract.
B. During the audit process, an adjustment of payments will be made based upon the year-end
financial statement submitted by the Recipient. The year-end financial statement shall
reflect the operating revenues and expenses incurred by the Transit System for the year
ending December 31, 2015, after the books for that year have been closed. If, based on the
year-end financial statement, payments made by WisDOT are less than the contracted
amount of eligible operating expenses of the Transit System, and less than the nonfederal
share of the operating deficit of the Transit System, WisDOT will pay the Recipient the
amount N�ithheld per Schedule II of this Contract, or a sum sufficient to bring WisDOT's
total payments, when combined with the federal share, to 60% of eligible operating
expenses, or a sum sufficient to bring WisDOT's total payments up to the nonfederal share
of the operating deficit, whichever sum is less.
C. If WisDOT's audit establishes that the state paid more than the allowab]e maximum
payment under Section II.A of this Contract, the Recipient shall refund to WisDOT upon
demand a sum sufficicnt to reduce WisDOT's payments to comply with Section II.A and
with sec. 85.20(4m), Wis. Stats.
D. WisDOT may withhold any and all payments due and owing Recipient if Recipient or
Transit System has not filed any report required under paragraph III, E, until such time as
the report is filed in the manner and form prescribed.
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SECTION V: ACCOUNTING RECORDS AND WisDOT AUDITS
A. The Recipient shal] have a single, organization-wide financial and compliance audit
performed by a qualified independent auditor if required to do so under federal law and
regulations. See Federal Office of Management and Budget (OMB) Super Circular 2 CFR
200.
B. This audit shall be performed in accordance with federal OMB Super Circular 2 CFR 200
and state single audit guidelines issued by the Wisconsin Department of Administration
(DOA).
C. The Recipient, subrecipients, contractors, subcontractors, and their affiliates shall maintain
all documents and evidence pertaining to revenues, expenses, and cost allocations related
to the Transit System for inspection by WisDOT or its designee during normal business
hours in their respeetive offices for five years, or until the WisDOT audit is complete,
whichever is longer. The recipient shall be responsible for insuring the compliance of all
subrecipients, contractors, and affiliates with this provision.
SECTION VI: SYSTEM MANAGEMENT
A. The Recipient shall require the Transit System to be managed and operated in accordance
with the provisions of the Transit Management Plan made a part of this Contraat by
reference, and shall ensure compliance with that requirement. Modifications to the Transit
Management Plan may be proposed by either the Recipient or W isDOT.
B. A request by the Recipient to modify the Transit Management Plan must be submitted in
writing to W isDOT in a manner prescribed by WisDOT, and must be received by WisDOT
at least 14 calendar days prior to the planned implementation date of the proposed change.
WisDOT may require the Recipient to hold a public hearing prior to WisDOT's
determination on its request.
C. If WisDOT determines that a proposed modification is a"substantive change" to the
Transit Management Plan, and if the Secretary approves such a"substantive change,"
WisDOT shall prcpare an amendment to this Contract and forward it to the Recipient for
execution. The Recipient may not implement a proposed "substantive change" to the
Tiansit Management P1an until an appropriate amendment to this Contraet has been
cxecuted by both the Recipient and the Secretary.
D. If WisDOT determines that a proposed modification to the Transit Management Ylan is a
"nonsubstantive change," W isDOT shall authorize the Recipient to implement the change,
and a formal amendment to this Coniract will not be required.
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A request by WisDOT to modify the Transit Management Plan must be submitted in writing to
the Recipient at least 28 calendar days prior to the planned implementation date of the proposed
change. Within 21 calendar days of receipt of such a request, the Recipient shall respond to
WisDOT's request. ]f the Recipient agrees to WisDOT's request, then this Contract shall be
modified accordingly and the change shall be implemented.
SECTION VII: WisDOT APPROVAL OF CONTRACTS
If the Recipient contracts for mass transit service with a privately-owned system, the Recipient
shall send to WisDOT all draft contracts between the Recipient and the Transit System.
W isDOT shall review such draft contracts and detennine their confQrmance with the provisi�ns
of this Contract. Upon written authorization by WisDOT, the Recipient and the Transit System
may execute such contracts.
SECTION VIlI: EFFECTIVE PERIOD
This Contract shall be in effect from January l, 2015 through December 31, 2015, unless this
Contract is terminated by either party prior to December 3L, 2015_ !n the event of such
termination, this Contract shall be in effect from January 1, 2015 to the termination date.
SECTION IX: TERMINATION
A. WisDOT may terminate this Contraet at any time that the Secretary determines that the
purpose of the mass transit aid program as expressed in sec. 85.20, Wis. Stats., is not being
fulfilled.
S. The Recipient may terminate this Contract if the Recipient makes a formal application to
do so.
C. Both parties agree that notice �f intent to terminate shall be made thr�ugh "return-receipt
certified mail" at least 30 calendar days prior to the proposed termination date.
D. In the event that this Contract is terminated, WisDOT agrees to reimburse the Recipient
the nomfederal share of the operating expenses incurred between January l, 2015 and the
lermination date, provided the amount of reimbursement does not exceed the amount in
Sec. ll(A)(]) and the total of state and federal reimbursements do not exceed 60% of the
total operating costs. EHgible costs will be delermined in accordance with the provisions
of Section 11.A ofthis Contract and sec. 85.20(4m), Wis. Stats.
SECTION X: EXEMPTION FROM REGULATION
For the effective period of this Contract, the Transit System shall be exempt from regulation
under Ch. ] 94, Wis. Stats, as provided by sec. 85.20(5), Wis. Stats.
SECTION XI: INCORPORATION OF APPLICATION FOR AIDS
The 2015 operating assistance application for state aid (85.20) and federal aid (Section 5307) is
incorporated as part of this contract by reference.
"IN WITNESS WHEREOF the parties have executed this Contract in the manner most
appropriate to each."
STATE OF W ISCONSIN City of Oshkosh
DEPARTMENT OP eNSPORTATION
[3y:_ E3y: SFF ATTAfHFfI PAl;F
Administrator, Aileen Switzer Name:
Division of Tra aport tion Investment Management
Date: � 3B �S Title:_
Date:
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IN WITNESS THEREOF, the parties hereto have caused this Agreement to be
executed by their respective proper officers and affixed their corporate seals hereto as
of the day and year first above written.
CITY OF OSHKOSH
�������
NIARK R HLOFF
CITY MANAGER
__�
,
PAMELA R. UBRIG
CITY CLERK
APPROVED BY:
I hereby certify that the necessary
provisions have been made to pay
the liability which will accrue under
this contract.
,
� � P ��� ��
`L A. LOR ON TR NA LA SON
CITY ATTORNEY FINANCE DIRECTOR
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2015 Urban Mass Transit Operating Assistance Contract
Between the State of Wisconsin and the
Citv of Oshkosh
Schedule I — Estimated Deficit
January 1, 2015 to December 31, 2015
Item Amount Line
Operating Expenses $4,625,732 (1)
Operating Revenue $I,017,000 (2)
Net Operatine Deficit $3,608,732 (3)
Federal Share $1,424,530 (4)
State Share $1,124,588 (5)
*Local Share $1,059,614 (6)
*Estimated amount based on budget and statewide funding distribution. Final local share
determined by actual costs of the transit system.
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2015 Urban Mass Transit Operating Assistance Contract
Between the State of Wisconsin and the
Citv of Oshkosh
Period
First Quarter
Second Quaiter
Third Quarter
Fourth Quarter
Schedule II — State Disbursements
Januarv 1, 2015 to December 31, 2015
Paymenf
$ 281,147
$ 281,147
$ 281,147
$ 168,688
*Withheld Pending Audit $ 112,459
Estimated Payment Date
June 30, 2015
July ]5, 2015
September 30, 2015
December 31, 2015
*Audits are often completed in three or four-year cycles, depending on WisDOT Audit Section
staffing ]evels.
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