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grant_checklist_v_june_7_2011

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									                                                                                                  Counties Transit Improvement Board Grant

Draft revised May 5, 2011


                                               Counties Transit Improvement Board Capital Grant Compliance Checklist
                       This Checklist has been provided as a summary aid to Grantees. Grantee must comply with the CTIB Grant Agreement with in its entirety.
                           Nothing in this Checklist shall be interpreted as waiving any of CTIB's rights or Grantee's obligations under the Grant Agreement.
Project Name

Term Grant
Agreement
Project Manager:
Note: All documents to be submitted should be done so electronically and in hard copy. Please submit hard copies to Grants Manager, Counties Transit Improvement Board, 477 Selby Ave, St. Paul, MN 55102 and electronically to
CTIB@rranow.com.
When                Grant Requirement Checklist                                                              Reference      Action or Item needed                           Documentation          Documentation          Comments
                                                                                                                                                                            Needs to be            Submitted to CTIB
                                                                                                                                                                            Submitted

Prior to Project    Conditions precedent to initial disbursement of funds
Starting

                    Grantee must have the legal authority to and have taken all actions necessary to        Section 6.04    Submit Resolution Authorizing Execution of      Yes                    o Yes o No
                    enter into the Grant Agreement - Grantee resolution (certified copy) authorizing                        Grant Agreement to CTIB                                                Date:
                    execution of the Agreement
                    The Grantee must have sufficient funds or access to third party funds to fully and      Section 6.04   Submit letter or certification stating that the Yes                     o Yes o No
                    completely pay for the Grant Project and must be in compliance with the matching                       grantee has received third party funds (cash                            Date:
                    funds requirements in Section 2.10 of the Grant Agreement                                              monies, legally binding commitments or
                                                                                                                           equivalent funds or contributions) and that it
                                                                                                                           is in compliance with the requirements of
                                                                                                                           Section 2.10
                    Grantee must have the legal authority to perform the Grant Project                     Section 2.05.A. Delegation Agreement (if necessary)             Yes, if applicable      o Yes o No
                                                                                                                                                                                                   Date:
                    Execute Agreement                                                                                                                                        No
Prior to and During Litigation or other legal proceedings                                                  Section 2.05.E   Disclose any litigation or other potential legal Yes, if applicable    o Yes o No
Project                                                                                                                     impediment that would impair the Grantee's                             Date:
                                                                                                                            ability to perform its obligations under the
                                                                                                                            Grant Agreement
Start of Project    Grantee must commence work on the Grant Project prior to the date set forth in
                    Section 2.03, Paragraph 2.
                    Notify CTIB of date on which work commences on the Grant Project                        Section 2.03    Notify CTIB of the date that on which work      Yes                    o Yes    o No
                                                                                                                            begins                                                                 Date:
Ongoing             All work must take place within the Grant Activity Period of the Grant Agreement        Section 2.03                                                                           o Yes    o No
                                                                                                                                                                                                   Date:
Ongoing             Obtain CTIB approval to extend date on which work commences or to extend the            Section 2.03    Submit written request for extension            Yes, if applicable     o Yes    o No
                    Grant Activity Period, if necessary                                                                                                                                            Date:
During Project      Grantee must perform and complete the Grant Project described in Exhibit B in a         Section 2.02;   Grantee must demonstrate compliance in          Yes                    o Yes    o No
                    satisfactory manner                                                                     Section 2.04    Progress Reports and the Final Report                                  Dates:
During Project      Grantee shall use proceeds of the Grant only to finance capital costs of the Grant      Section 2.02    Representations in Draw Requisition Form        Yes                    o Yes    o No
                    Project                                                                                                                                                                        Dates:
During Project      The Grantee must comply with all applicable law, statutes, rules, ordinances, and       Section 7.19                                                    No
                    regulations
During Project      Funds for Completion of Grant Project
                    The Grantee must have sufficient funds or access to third party funds to fully and      Section 6.04    Certify sufficiency of funds in each Draw       Yes                    o Yes o No
                    completely pay for the Grant Project in order to receive grant funds.                                   Requisition Form
                    Grantee must immediately notify CTIB of any change in circumstances indicating that    Sections 2.07    Submit written notice and satisfactory          Yes, if applicable     o Yes o No
                    Grantee will not receive the anticipated funding set forth Section 2.10                  and 6.04       evidence that Grantor will obtain substitute                           Date:
                                                                                                                            funding for completion of the Grant Project




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                                                                                                         Counties Transit Improvement Board Grant

When                  Grant Requirement Checklist                                                                   Reference       Action or Item needed                        Documentation         Documentation          Comments
                                                                                                                                                                                 Needs to be           Submitted to CTIB
                                                                                                                                                                                 Submitted
                      Grantee must use best efforts to obtain the matching funds set forth in the Grant            Sections 2.04,   Certify sufficiency of funds in each Draw    Yes                   o Yes o No
                      Agreement                                                                                    2.05 and 2.10    Requisition Form
During Project        Draw Requisitions
                      Draw Requisitions will be submitted between the 1st and the 15th day of the month            Section 6.02     Submit Draw Requisition Form, including all Yes
                      and at least 7 calendar days before the Disbursement is requested                                             certifications, to CTIB
                      Draw Requisitions must be in accordance with the amounts and schedule listed in              Section 6.02     Submit Draw Requisition Form, including all Yes
                      Worksheet 6, referenced in Exhibit D                                                                          certifications, to CTIB
                      Exhibit D Conditions (if any)                                                                  Exhibit D      Submit information documenting              Yes, if applicable     o Yes o No
                                                                                                                                    compliance, if necessary                                           Date:
During Project        Use of Contractors
                      Contracts for the performance of Grant Project activities must incorporate the               Section 7.20     Grantee must incorporate CTIB                No
                      requirements of Section 7.20                                                                                  requirements into contracts
                      Contractor remains obligated to comply with all of the terms of the Grant Agreement          Section 7.20     Grantee must incorporate CTIB                No
                      and must pass through any other relevant obligations to the contractor                                        requirements into contracts

                      Contractor must maintain all records and provide all reporting as required by this           Section 7.20     Grantee must incorporate CTIB                No
                      Agreement.                                                                                                    requirements into contracts
                      Contractor must defend, indemnify, and save harmless Grantor from all claims, suits,         Section 7.20     Grantee must incorporate CTIB                No
                      demands, damages, judgments, costs, interest, and expenses arising out of or by                               requirements into contracts
                      reason of the performance of the contracted work, caused in whole or in part by any
                      negligent act or omission of the contractor, including negligent acts or omissions of
                      its employees, subcontractors, or anyone for whose acts any of them may be liable.

                      Contractor must provide and maintain insurance in amounts and types of coverage              Section 7.20     Grantee must incorporate CTIB                No
                      appropriate to the contracted work and naming Grantor as an additional insured, and                           requirements into contracts
                      provide to the Grantee prior to commencement of the contracted work a certificate of
                      insurance evidencing such insurance coverage.

                      Contractor must be an independent contractor for the purposes of completing the              Section 7.20     Grantee must incorporate CTIB                No
                      contracted work.                                                                                              requirements into contracts
                      Contractor must acknowledge that the contract between the Grantee and the                    Section 7.20     Grantee must incorporate CTIB                No
                      contractor does not create any contractual relationship between Grantor and the                               requirements into contracts
                      contractor.
                      Contractor shall perform and complete the Grant Project in full compliance with this         Section 7.20     Grantee must incorporate CTIB                No
                      Agreement and all applicable laws, statutes, rules, ordinances, and regulations                               requirements into contracts
                      issued by any federal, state, or local political subdivisions having jurisdiction over the
                      Grant Project
During    and After   Tax Exempt Bond Requirements                                                                   Article IV
Project
During    and After   Grantee must not take any action that would adversely affect the tax-exempt status           Section 4.01
Project               of the bonds
During    and After   Grantee must not use the bond proceeds in any way that would cause the bonds to              Section 4.01
Project               be classified as arbitrage bonds
During    and After   Grantee must notify the CTIB Administrator in the event of possible compliance               Section 4.01     Contact CTIB Administrator and provide     Yes, if applicable      o Yes o No
Project               issues and must cooperate to ensure compliance                                                                such written information and documentation                         Date:
                                                                                                                                    as may be requested
During Project        Grant Specific Requirements. NOTE: Each Grantee should review its agreement as
                      it may have grant specific requirements.
During Project        Grantee must comply with any additional requirements specific to the Grant Project           Section 7.14                                                  Yes, if applicable    o Yes o No
                      as set forth in Section 7.14                                                                                                                                                     Date:
During Project        Acknowledgement of CTIB Funding
Ongoing               Acknowledgement of CTIB Funding for Transitway Project                                       Section 7.17     CTIB Communications Team Quarterly           Yes                   o Yes o No
                                                                                                                                    Check. Please submit examples of press                             Date:
                                                                                                                                    releases, website text, etc. which           Yes                   o Yes o No
                                                                                                                                    demonstrate compliance.                                            Date:




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                                                                                                       Counties Transit Improvement Board Grant
Ongoing               Acknowledgement of CTIB Funding for Transitway Project                                      Section 7.17   CTIB Communications Team Quarterly
When                  Grant Requirement Checklist                                                                  Reference     Action or Item neededexamples of press
                                                                                                                                 Check. Please submit                          Documentation         Documentation          Comments
                                                                                                                                 releases, website text, etc. which            Needs to be           Submitted to CTIB
                                                                                                                                 demonstrate compliance.                       Submitted
                                                                                                                                                                               Yes          o Yes o No
                                                                                                                                                                                            Date:
                                                                                                                                                                    Yes                     o Yes o No
                                                                                                                                                                                            Date:
                                                                                                                                                                    Yes                     o Yes o No
                                                                                                                                                                                            Date:
                                                                                                                                                                    Yes                     o Yes o No
                                                                                                                                                                                            Date:
                                                                                                                                                                    Yes                     o Yes o No
                                                                                                                                                                                            Date:
                                                                                                                                                                    Yes                     o Yes o No
                                                                                                                                                                                            Date:
At any time           Real Property includes leases, fee simple acquisition and improvements. NOTE: The definition includes Real Property acquired for the Grant Project and after-acquired Real Property for any part of the entire
                      Transitway Project, as well as Real Property acquired prior to the Grant Activity Period if included as a match to the CTIB Grant.
Promptly upon         Grantee must record a declaration with title to all Real Property acquired for the       Sections 3.03 & Deliver a declaration, together with a copy of Yes, if applicable     o Yes o No
acquisition of Real   Transitway Project                                                                          Exhibit C    the Memorandum of Lease or Deed.                                      Date:
Property or                                                                                                                    Declarations should be filed at the time of
promptly upon                                                                                                                  acquisition.
effective date of
grant agreement if
already owned
                      The acquisition and use of the Real Property will be in full compliance with law   Section 3.04                                                          No
                      Grantee is in full compliance with Representations and Warranties with respect to  Section 3.04                                                          No
                      acquisition of Real Property
                      Real Property may not be sold or transferred except in compliance with Sections   Sections 3.05 &                                                        Yes, if applicable    o Yes o No
                      3.05 and 3.06                                                                           3.06                                                                                   Date:
                      Grantee must maintain insurance on Real Property and improvements constructed      Section 3.07                                                          No
                      using Grant proceeds
                      Real Property must be used only for the Transitway Project, must be kept in good   Section 3.09                                                          No
                      repair and may not be abandoned
                      Grantee may not remove or demolish improvements without CTIB approval. Fixtures    Section 3.09                                                          Yes, if applicable    o Yes o No
                      or personal property may be removed only in compliance with Section 3.09                                                                                                       Date:

                      Receipt of money under a use contract must be accounted for in accordance with            Section 3.12                                                   Yes, if applicable    o Yes o No
                      Section 3.12                                                                                                                                                                   Date:
During Project        Events of Default
At any time           Furnish the Board with notice within seven calendar days after the Grantee has           Section 2.05 K   Notice of Event of Default and action to       Yes, if applicable    o Yes o No
                      obtained knowledge of the occurrence of each Event of Default and action to remedy        and Article V   remedy within 7 days and in next Progress                            Date:
                                                                                                                                Report
At any time           Project Contingency Funds
                      Use of contingency funds is governed by Section 2.09                                      Section 2.09                                                   Yes, if applicable    o Yes o No
                                                                                                                                                                                                     Date:
During Project        Progress Reports
                      Progress Report (must include Real Property acquired, if any)                             Section 7.15    Submitted quarterly reports should include      Yes                  o Yes   o No
                                                                                                                                all Real Property declarations filed during the                      Date:
                                                                                                                                reporting period.                               Yes                  o Yes   o No
                                                                                                                                                                                                     Date:
                                                                                                                                                                               Yes                   o Yes   o No
                                                                                                                                                                                                     Date:
                                                                                                                                                                               Yes                   o Yes   o No
                                                                                                                                                                                                     Date:
                                                                                                                                                                               Yes                   o Yes   o No
                                                                                                                                                                                                     Date:




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                                                                                                                                 reporting period.


                                                                                                      Counties Transit Improvement Board Grant

When                 Grant Requirement Checklist                                                                  Reference      Action or Item needed                         Documentation         Documentation          Comments
                                                                                                                                                                               Needs to be           Submitted to CTIB
                                                                                                                                                                               Submitted
                                                                                                                                                                               Yes                   o Yes   o No
                                                                                                                                                                                                     Date:
                                                                                                                                                                               Yes                   o Yes   o No
                                                                                                                                                                                                     Date:
                                                                                                                                                                               Yes                   o Yes   o No
                                                                                                                                                                                                     Date:
                     Progress Report Financial Review                                                            Section 7.15    Worksheets 4 and 5 of the original grant      Yes                   o Yes   o No
                                                                                                                                 application need to be updated twice                                Date:
                                                                                                                                 annually.                                     Yes                   o Yes   o No
                                                                                                                                                                                                     Date:
                                                                                                                                                                               Yes                   o Yes   o No
                                                                                                                                                                                                     Date:
                                                                                                                                                                               Yes                   o Yes   o No
                                                                                                                                                                                                     Date:
                     Grantee shall report any reallocation of funds among the cost categories described          Section 2.02    Submit revised worksheets in monthly          If necessary          o Yes   o No
                     Grantee's CTIB Grant Application, incorporated into Exhibit B                                               reports                                                             Date:
                     Reconciliation and Final Report
End of Grant         Close out of Grant Project: Written report of all expenditures made for the Grant          Section 2.11.A. Due three months after the expiration of the   Yes                   o Yes o No
Project or           Project, all funds received from any sources for the Grant Project, and the amount of                      Grant Activity Period                                                Date:
termination of       unexpended funds remaining for the Grant Project
Agreement
Within 6 months of Close out of Transitway Project: Written report of all expenditures made for the             Section 2.11.B. Due six months after the completion of the     Yes                   o Yes o No
completion of      Transitway Project, all funds received from any sources for the Transitway Project,                          Transitway Project                                                   Date:
Transitway Project and the amount of unexpended funds remaining for the Transitway Project

End of Transitway    Grantee shall, upon completion of the Transitway Project, provide certification of the      Section 2.06                                                  Yes                   o Yes o No
Project              proportion of funds paid for the Transitway Project                                                                                                                             Date:
End of Grant         Grantee has refunded all unexpended grant funds and all other amounts that must            Sections 2.09                                                  Yes, if applicable    o Yes o No
Project and End of   be paid under Section 2.11.D.                                                                and 2.11                                                                           Date:
Transitway Project

At any time          Grantee must submit supplemental reports as requested by CTIB                               Section 7.15                                                  Yes, if applicable    o Yes o No
                                                                                                                                                                                                     Date:
During and After     Records
Project
                     Grantee must maintain records in compliance with Section 7.01 for a period of 6             Section 7.01                                                  No
                     years from the date that the Transitway Project has been completed
                     If applicable, Grantee must maintain records for a period of 5 years regarding Real         Section 7.01                                                  No
                     Property acquisition and, if applicable, the improvement, renovation, rehabilitation, or
                     new construction of any facilities for the Transitway Project

                                               Definitions
Grant Project – Scope of work for annual grant awarded by CTIB. Term is typically 12 to 18 months.

Transitway Project – Whole transitway project from conception to construction. Typically 6 to 15 years.




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