Common use of ACCESS TO RECORDS AND REPORTS Clause in Contracts

ACCESS TO RECORDS AND REPORTS. A. The following access to records requirements apply to this Contract: 1. Where the Purchaser is not a State but a local government and is the FTA Recipient or a subgrantee of the FTA Recipient in accordance with 49 C.F.R. 18.36(i), the Contractor agrees to provide the Purchaser, the FTA Administrator, the Comptroller General of the United States or any of their authorized representatives access to any books, documents, papers and records of the Contractor which are directly pertinent to this Contract for the purposes of making audits, examinations, excerpts and transcriptions. Contractor also agrees, pursuant to 49 C.F.R. 633.17 to provide the FTA Administrator or his authorized representatives including any PMO Contractor access to Contractor's records and construction sites pertaining to a major capital project, defined at 49 U.S.C. 5302(a)1, which is receiving federal financial assistance through the programs described at 49 U.S.C. 5307, 5309 or 5311. 2. Where any Purchaser which is the FTA Recipient or a subgrantee of the FTA Recipient in accordance with 49 U.S.C. 5325(a) enters into a contract for a capital project or improvement (defined at 49 U.S.C. 5302(a)1) through other than competitive bidding, the Contractor shall make available records related to the Contract to the Purchaser, the Secretary of Transportation and the Comptroller General or any authorized officer or employee of any of them for the purposes of conducting an audit and inspection. 3. The Contractor agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed. 4. The Contractor agrees to maintain all books, records, accounts and reports required under this Contract for a period of not less than three years after the date of termination or expiration of this Contract, except in the event of litigation or settlement of claims arising from the performance of this Contract, in which case Contractor agrees to maintain same until the Purchaser, the FTA Administrator, the Comptroller General, or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or exceptions related thereto. Reference 49 CFR 18.39(i)(11). 5. FTA does not require the inclusion of these requirements in subcontracts.

ACCESS TO RECORDS AND REPORTS. A. The following access to records requirements apply to this Contract: 1. Where the Purchaser is not a State but a local government and is the FTA Recipient or a subgrantee of the FTA Recipient in accordance with 49 C.F.R. 18.36(i), the Contractor agrees to provide the PurchaserGRTC, the FTA Administrator, the Comptroller General of the United States or any of their authorized representatives access to any books, documents, papers and records of the Contractor which are directly pertinent to this Contract contract for the purposes of making audits, examinations, excerpts and transcriptions. Contractor also agrees, pursuant to 49 C.F.R. 633.17 to provide the FTA Administrator or his authorized representatives including any PMO Contractor access to Contractor's records and construction sites pertaining to a major capital project, defined at 49 U.S.C. 5302(a)1, which is receiving federal financial assistance through the programs described at 49 U.S.C. 5307, 5309 or 5311. 2. B. Where any Purchaser which is the FTA Recipient or a subgrantee of the FTA Recipient in accordance with 49 U.S.C. 5325(a) enters into a contract for a capital project or improvement (defined at 49 U.S.C. 5302(a)1) through other than competitive bidding, the Contractor shall make available records related to the Contract contract to the Purchaser, the Secretary of Transportation and the Comptroller General or any authorized officer or employee of any of them for the purposes of conducting an audit and inspection. 3. The C. Contractor agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed. 4. The D. Contractor agrees to maintain all books, records, accounts and reports required under this Contract contract for a period of not less than three years after the date of termination or expiration of this Contractcontract, except in the event of litigation or settlement of claims arising from the performance of this Contractcontract, in which case Contractor agrees to maintain same until the Purchaser, the FTA Administrator, the Comptroller General, or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or exceptions related thereto. Reference 49 CFR 18.39(i)(11). 5. E. FTA does not require the inclusion of these requirements in subcontracts.

ACCESS TO RECORDS AND REPORTS. A. The following access to records requirements apply to this Contract:(49 CFR 5325, 49 CFR 18.36(i), 49 CFR 633.17) 1. Where the Purchaser is not a State but a local government and is the FTA Recipient or a subgrantee of the FTA Recipient in In accordance with 49 C.F.R. CFR 18.36(i), the Contractor agrees to provide the PurchaserNYCDOT, the FTA Administrator, the Comptroller General of the United States or any of their authorized representatives access to any books, documents, papers and records of the Contractor which are directly pertinent to this Contract contract for the purposes of making audits, examinations, excerpts and transcriptions. Contractor also agrees, pursuant to 49 C.F.R. C. F. R. 633.17 to provide the FTA Administrator or his his/her authorized representatives including any PMO Contractor access to Contractor's records and construction sites pertaining to a major capital project, defined at 49 U.S.C. 5302(a)15302(a) 1, which is receiving federal financial assistance through the programs described at 49 U.S.C. 5307, 5309 or 5311. 2. Where any Purchaser which is the FTA Recipient or a subgrantee of the FTA Recipient NYCDOT, in accordance with 49 U.S.C. 5325(a) enters into a contract for a capital project or improvement (defined at in 49 U.S.C. 5302(a)15302(a) (1) through other than competitive bidding, the Contractor shall make available records related to the Contract contract to the PurchaserNYCDOT, the Secretary of Transportation and the Comptroller General or any authorized officer or employee of any of them for the purposes of conducting an audit and inspection. 3. The Contractor agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed. 4. The Contractor agrees to maintain all books, records, accounts accounts, reports and reports other related documents required under this Contract contract for a period of not less than three years after the date of termination or expiration of this Contractcontract, except in the event of litigation or settlement of claims arising from the performance of this Contractcontract, in which case Contractor agrees to maintain same until the PurchaserNYCDOT, the FTA Administrator, the Comptroller General, or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or exceptions related thereto. (Reference 49 CFR 18.39(i)(1118.39 (i)(11). 5. FTA does not require the inclusion of these requirements in subcontracts.. Contract Characteristics Operational Service Contract Turnkey Construction Architectural Engineering Acquisition of Rolling Stock Professional Services I. State Grantees a. Contracts below SAT ($100,000) None Those imposed on state pass thru to Contractor None None None None b. Contracts above $100,000/ Capital Projects None unless1 non- competitive award Yes, if non- competitive award or if funded thru2 5307/5309/ 5311 None unless non- competitive award None unless non- competitive award None unless non- competitive award

ACCESS TO RECORDS AND REPORTS. A. Access to Records - The following access to records requirements apply to this Contract: 1. A. Where the Purchaser is not a State but a local government and is the FTA Recipient or a subgrantee of the FTA Recipient in accordance with 49 C.F.R. 18.36(i), the Contractor agrees to provide the Purchaser, the FTA Administrator, the Comptroller General of the United States or any of their authorized representatives access to any books, documents, papers and records of the Contractor which are directly pertinent to this Contract contract for the purposes of making audits, examinations, excerpts and transcriptions. Contractor also agrees, pursuant to 49 C.F.R. 633.17 to provide the FTA Administrator or his authorized representatives including any PMO Contractor access to Contractor's records and construction sites pertaining to a major capital project, defined at 49 U.S.C. 5302(a)1, which is receiving federal financial assistance through the programs described at 49 U.S.C. 5307, 5309 or 5311. 2. Where any Purchaser which is the FTA Recipient or a subgrantee of the FTA Recipient in accordance with 49 U.S.C. 5325(a) enters into a contract for a capital project or improvement (defined at 49 U.S.C. 5302(a)1) through other than competitive bidding, the Contractor shall make available records related to the Contract to the Purchaser, the Secretary of Transportation and the Comptroller General or any authorized officer or employee of any of them for the purposes of conducting an audit and inspection. 3. B. The Contractor agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed. 4. C. The Contractor agrees to maintain all books, records, accounts and reports required under this Contract contract for a period of not less than three years after the date of termination or expiration of this Contractcontract, except in the event of litigation or settlement of claims arising from the performance of this Contractcontract, in which case Contractor agrees to maintain same until the Purchaser, the FTA Administrator, the Comptroller General, or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or exceptions related thereto. Reference 49 CFR 18.39(i)(11). 5. D. FTA does not require the inclusion of these requirements in subcontracts.. Requirements for Access to Records and Reports by Types of Contract Contract Characteristics Operationa l Service Contract Turnkey Constructio n Architectural Engineering Acquisitio n of Rolling Stock Professional Services I State Grantees a. Contracts below SAT ($100,000) b. Contracts above $100,000/Capital Projects None None unless1 non- competitive award Those imposed on state pass thru to Contractor None Yes, if non- competitive award or if funded thru2 5307/5309/5 311 None None unless non- competitive award None None unless non- competitiv e award None None unless non- competitive award

ACCESS TO RECORDS AND REPORTS. A. (FTA CLAUSE) The following access to records requirements apply applies to this Contract: 1. ) Where the Purchaser purchaser is not a State but a local government and is the an FTA Recipient recipient or a subgrantee of the FTA Recipient recipient in accordance with 49 C.F.R. CFR 18.36(i), the Contractor agrees to contractor shall provide the Purchaserpurchaser, the FTA AdministratorFTA, the US Comptroller General of the United States or any of their authorized representatives access to any books, documents, papers and contractor records of the Contractor which are directly pertinent to this Contract contract for the purposes of making audits, examinations, excerpts and transcriptions. Contractor also agreesshall also, pursuant to 49 C.F.R. 633.17 to CFR 633.17, provide the authorized FTA Administrator or his authorized representatives representatives, including any PMO Contractor contractor, access to Contractorcontractor's records and construction sites pertaining to a major capital project, defined at 49 U.S.C. USC 5302(a)1, which is receiving federal financial FTA assistance through the programs described at 49 U.S.C. USC 5307, 5309 or 5311 . 2) Where the purchaser is a State and is an FTA recipient or a subgrantee of FTA recipient in accordance with 49 CFR 633.17, contractor shall provide the purchaser, authorized FTA representatives, including any PMO Contractor, access to contractor's records and construction sites pertaining to a capital project, defined at 49 USC 5302(a)1, which receives FTA assistance through the programs described at 49 USC 5307, 5309 or 5311. By definition, a capital project excludes contracts of less than the simplified acquisition threshold currently set at $100,000. 2. 3) Where any Purchaser which the purchaser enters into a negotiated contract for other than a small purchase or under the simplified acquisition threshold and is the an institution of higher education, a hospital or other non-profit organization and is an FTA Recipient recipient or a subgrantee of the FTA Recipient recipient in accordance with 49 U.S.C. CFR 19.48, contractor shall provide the purchaser, the FTA, the US Comptroller General or their authorized representatives, access to any books, documents, papers and record of the contractor which are directly pertinent to this contract for the purposes of making audits, examinations, excerpts and transcriptions. 4) Where a purchaser which is an FTA recipient or a subgrantee of FTA recipient in accordance with 49 USC 5325(a) enters into a contract for a capital project or improvement (defined at 49 U.S.C. USC 5302(a)1) through other than competitive bidding, the Contractor contractor shall make available records related to the Contract contract to the Purchaserpurchaser, the Secretary of Transportation USDOT and the US Comptroller General or any authorized officer or employee of any of them for the purposes of conducting an audit and inspection. 3. The 5) Contractor agrees to shall permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed. 4. The 6) Contractor agrees to shall maintain all books, records, accounts and reports required under this Contract contract for a period of not less than three (3) years after the date of termination or expiration of this Contractcontract, except in the event of litigation or settlement of claims arising from the performance of this Contractcontract, in which case Contractor contractor agrees to maintain same until the Purchaserrecipient, the FTA Administrator, the US Comptroller General, or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or exceptions related thereto. Reference Re: 49 CFR 18.39(i)(1118.39(i) (11). 5. FTA does not require the inclusion of these requirements in subcontracts.

ACCESS TO RECORDS AND REPORTS. A. The following access to records requirements apply to this Contract: 1. Where the Purchaser is not a State but a local government and is the FTA Recipient or a subgrantee of the FTA Recipient in accordance with 49 C.F.R. 18.36(i), the Contractor Consultant agrees to provide the PurchaserVCTC, the FTA Administrator, the Comptroller General of the United States or of any of their authorized representatives access to any books, documents, papers and records of the Contractor Consultant which are directly pertinent to this Contract Agreement for the purposes of making and conducting audits, inspections, examinations, excerpts excerpts, and transcriptions. Contractor Consultant also agrees, pursuant to 49 C.F.R. 633.17 CFR 633.1.7, to provide the FTA Administrator or his or her authorized representatives representatives, including any PMO Contractor Project Management Oversight (PMO) contractor, access to Contractor's Consultant‟s records and construction sites pertaining to a major capital project, defined at 49 U.S.C. 5302(a)1, which is receiving federal financial assistance through the programs described at in 49 U.S.C. 5307, 5309 or 5311. 2. Where any Purchaser which is the FTA Recipient or a subgrantee of the FTA Recipient in accordance with 49 U.S.C. 5325(a) enters into a contract for a capital project or improvement (defined at 49 U.S.C. 5302(a)1) through other than competitive bidding, the Contractor shall make available records related to the Contract to the Purchaser, the Secretary of Transportation and the Comptroller General or any authorized officer or employee of any of them for the purposes of conducting an audit and inspection. 3. The Contractor Consultant agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed. 4. The Contractor Consultant agrees to maintain all books, records, accounts and reports required under this Contract Agreement for a period of not less than three years after the date of termination or expiration of this ContractAgreement, except in the event of litigation or settlement of claims arising from the performance of this ContractAgreement, in which case Contractor Consultant agrees to maintain same such books, records, account and reports until the PurchaserVCTC, the FTA Administrator, the Comptroller Generalgeneral, or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or exceptions related thereto. Reference FTA 7.1 SUBCONTRACTORS‟ CERTIFICATE REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY OR VOLUNTARY EXCLUSION Consultant shall include in each subcontract exceeding $100,000, regardless of tier, a clause requiring each lower tiered subcontractor to provide the certification set forth in paragraph B of this section. Each subcontract, regardless of tier, shall contain a provision that the subcontractor shall knowingly enter into any lower tier subcontract exceeding $100,000 with a person who is disbarred, suspended or declared ineligible from obtaining federal assistance funds. If a proposed subcontractor is unable to certify to the statements in the following certification, Consultant shall promptly notify VCTC and provide all applicable documentation. Each subcontractor with a subcontract exceeding $100,000 shall certify as follows: Subcontractor‟s Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion (“Contractor”), that neither it nor its “principals” (as defined in 49 CFR 18.39(i)(11)29.105(p)1 is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in contracts by any Federal department or agency. If subcontractor is unable to certify to the statements in the certification, subcontractor has attached a written explanation to its proposal to Consultant. 5. FTA does not require the inclusion of these requirements in subcontracts.

ACCESS TO RECORDS AND REPORTS. A. Access to Records - The following access to records requirements apply to this Contract: 1. A. Where the Purchaser is not a State but a local government and is the FTA Recipient or a subgrantee of the FTA Recipient in accordance with 49 C.F.R. 18.36(i), the Contractor agrees to provide the Purchaser, the FTA Administrator, the Comptroller General of the United States or any of their authorized representatives access to any books, documents, papers and records of the Contractor which are directly pertinent to this Contract contract for the purposes of making audits, examinations, excerpts and transcriptions. Contractor also agrees, pursuant to 49 C.F.R. 633.17 to provide the FTA Administrator or his authorized representatives including any PMO Contractor access to Contractor's records and construction sites pertaining to a major capital project, defined at 49 U.S.C. 5302(a)1, which is receiving federal financial assistance through the programs described at 49 U.S.C. 5307, 5309 or 5311. 2. Where any Purchaser which is the FTA Recipient or a subgrantee of the FTA Recipient in accordance with 49 U.S.C. 5325(a) enters into a contract for a capital project or improvement (defined at 49 U.S.C. 5302(a)1) through other than competitive bidding, the Contractor shall make available records related to the Contract to the Purchaser, the Secretary of Transportation and the Comptroller General or any authorized officer or employee of any of them for the purposes of conducting an audit and inspection. 3. B. The Contractor agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed. 4. C. The Contractor agrees to maintain all books, records, accounts and reports required under this Contract contract for a period of not less than three years after the date of termination or expiration of this Contractcontract, except in the event of litigation or settlement of claims arising from the performance of this Contractcontract, in which case Contractor agrees to maintain same until the Purchaser, the FTA Administrator, the Comptroller General, or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or exceptions related thereto. Reference 49 CFR 18.39(i)(11). 5. D. FTA does not require the inclusion of these requirements in subcontracts.. Contract Characteristics Operation al Service Contract Turnkey Construction Architectural Engineering Acquisition of Rolling Stock Professional Services I State Grantees a. Contracts below SAT ($100,000) b. Contracts above $100,000/Capital Projects None None unless1 non- competitiv e award Those imposed on state pass thru to Contractor None Yes, if non- competitive award or if funded thru2 5307/5309/53 11 None None unless non- competitive award None None unless non- competitive award None None unless non-competitive award II Non State Grantees a. Contracts below SAT ($100,000) b. Contracts above $100,000/Capital Projects Yes3 Yes3 Those imposed on non-state Grantee pass thru to Contractor Yes Yes Yes Yes Yes Yes Yes Yes Sources of Authority: 1 49 USC 5325 (a) 2 49 CFR 633.17 3 18 CFR 18.36 (i)

ACCESS TO RECORDS AND REPORTS. A. (FTA CLAUSE) The following access to records requirements apply applies to this Contract: 1. ) Where the Purchaser purchaser is not a State but a local government and is the an FTA Recipient recipient or a subgrantee of the FTA Recipient recipient in accordance with 49 C.F.R. CFR 18.36(i), the Contractor agrees to contractor shall provide the Purchaserpurchaser, the FTA AdministratorFTA, the US Comptroller General of the United States or any of their authorized representatives access to any books, documents, papers and contractor records of the Contractor which are directly pertinent to this Contract contract for the purposes of making audits, examinations, excerpts and transcriptions. Contractor also agreesshall also, pursuant to 49 C.F.R. 633.17 to CFR 633.17, provide the authorized FTA Administrator or his authorized representatives representatives, including any PMO Contractor contractor, access to Contractorcontractor's records and construction sites pertaining to a major capital project, defined at 49 U.S.C. USC 5302(a)1, which is receiving federal financial FTA assistance through the programs described at 49 U.S.C. USC 5307, 5309 or 5311. 2. ) Where any Purchaser which the purchaser is the a State and is an FTA Recipient recipient or a subgrantee of the FTA Recipient recipient in accordance with 49 U.S.C. CFR 633.17, contractor shall provide the purchaser, authorized FTA representatives, including any PMO Contractor, access to contractor's records and construction sites pertaining to a capital project, defined at 49 USC 5302(a)1, which receives FTA assistance through the programs described at 49 USC 5307, 5309 or 5311. By definition, a capital project excludes contracts of less than the simplified acquisition threshold currently set at $100,000. 3) Where the purchaser enters into a negotiated contract for other than a small purchase or under the simplified acquisition threshold and is an institution of higher education, a hospital or other non-profit organization and is an FTA recipient or a subgrantee of FTA recipient in accordance with 49 CFR 19.48, contractor shall provide the purchaser, the FTA, the US Comptroller General or their authorized representatives, access to any books, documents, papers and record of the contractor which are directly pertinent to this contract for the purposes of making audits, examinations, excerpts and transcriptions. 4) Where a purchaser which is an FTA recipient or a subgrantee of FTA recipient in accordance with 49 USC 5325(a) enters into a contract for a capital project or improvement (defined at 49 U.S.C. USC 5302(a)1) through other than competitive bidding, the Contractor contractor shall make available records related to the Contract contract to the Purchaserpurchaser, the Secretary of Transportation USDOT and the US Comptroller General or any authorized officer or employee of any of them for the purposes of conducting an audit and inspection. 3. The 5) Contractor agrees to shall permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed. 4. The 6) Contractor agrees to shall maintain all books, records, accounts and reports required under this Contract contract for a period of not less than three (3) years after the date of termination or expiration of this Contractcontract, except in the event of litigation or settlement of claims arising from the performance of this Contractcontract, in which case Contractor contractor agrees to maintain same until the Purchaserrecipient, the FTA Administrator, the US Comptroller General, or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or exceptions related thereto. Reference Re: 49 CFR 18.39(i)(1118.39(i) (11). 5. FTA does not require the inclusion of these requirements in subcontracts.

ACCESS TO RECORDS AND REPORTS. A. This section applies to all contracts except Micro-Purchases. The following access to records requirements apply to this Contract: 1. Where the Purchaser is not a State but a local government and is the FTA Recipient or a subgrantee of the FTA Recipient in accordance with 49 C.F.R. 18.36(i), the Contractor agrees to provide the PurchaserAuthority, the FTA Administrator, the Comptroller General of the United States or any of their authorized representatives access to and the right to examine and inspect any books, documents, papers and records of the Contractor which are directly pertinent to this Contract for the purposes of making audits, examinations, excerpts and transcriptions. The Contractor also agrees, pursuant to 49 C.F.R. 633.17 CFR 633.15, to provide the FTA Administrator or his authorized representatives thereto, including any PMO Contractor Project Management Oversight (PMO) Contractor, access to the Contractor's records and construction Construction sites pertaining to a major capital project, major capital project, defined at 49 U.S.C. 5302(a)1, which is receiving federal financial assistance through the programs described at 49 U.S.C. 5307, 5309 or 5311. 2. Where any Purchaser which is the FTA Recipient or a subgrantee of the FTA Recipient in accordance with 49 U.S.C. 5325(a) enters into a contract for a capital project or improvement (defined at 49 U.S.C. 5302(a)1) through other than competitive bidding, the Contractor shall make available records related to the Contract to the Purchaser, the Secretary of Transportation and the Comptroller General or any authorized officer or employee of any of them for the purposes of conducting an audit and inspection. 3. The Contractor agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed. 4. The Contractor agrees to maintain all books, records, accounts and reports required under this Contract for a period from the beginning of the Project, and through the course of the Project, until three years after the Recipient has submitted its final expenditure report and other pending matters are closed. Project closeout does not alter the record retention requirements of the FTA Master Agreement, §9. This requirement is independent of the Authority’s requirements for record retention contained elsewhere in the specifications. I, the undersigned (name of authorized officer) certify, to the best of my knowledge and belief, that:  No federally 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 an 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, or the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.  If any funds other than federally 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 Standard Form LLL, “Disclosure of Lobbying, Activities” in accordance with its instructions.  The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed whenthis transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by, 31, U.S. C. § 1352 (as amended by the Lobbying Disclosure Act of 1995). Any person who fails to file the required certification shall be subjectto a civil penalty of not less than three years after $10,000 and not more than $100,000 for each suchfailure. Note: Pursuant to 31 U.S.C § 1352(c)(I)-(2)(A), any person who makes a prohibited expenditure or fails to file or amend a required certification or disclosure form shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such expenditure or failure. The Contractor certifies or affirms the date truthfulness and accuracy of termination or expiration of this Contracteach statement ofits certification and disclosure, except in the event of litigation or settlement of claims arising from the performance of this Contract, in which case Contractor agrees to maintain same until the Purchaserif any. In addition, the FTA AdministratorContractor understands and agrees that the provisions of 31 U.S.C. § 3801, the Comptroller Generalet seq., or any apply to this certification and disclosure, if any. Executed this day of their duly authorized representatives, have disposed 201 By: Signature of all such litigationAuthorized Official Official Name and Title of AuthorizedOfficial 1. Type of Federal Action: a. contract x. xxxxx c. cooperative agreement x. xxxx e. loan guarantee f. loan insurance 2. Status of Federal Action: a. bid/offer/application b. initial award c. post award 3. Report Type: a. initial filing b. material change For material change only: Year quarter Date of last report 4. Name and Address of Reporting Entity: Prime Subawardee Tier , appealsif known: Congressional District, claims or exceptions related thereto. Reference 49 CFR 18.39(i)(11). if known: 5. FTA does not require the inclusion If Reporting Entity in No. 4 is Subawardee, Enter Name and Address of these requirements in subcontracts.Prime: Congressional District, if known:

ACCESS TO RECORDS AND REPORTS. A. The following access Pursuant to records requirements apply to this Contract: 1. Where the Purchaser is not a State but a local government 44 CFR 13.42 and is the FTA Recipient or a subgrantee of the FTA Recipient in accordance with 49 C.F.R. 18.36(i)2 CFR 215.53, the Contractor agrees to provide the PurchaserAuthority, the FTA U.S. Department of Homeland Security, the FEMA Administrator, any applicable New York or New Jersey FEMA State Administrative Agency, and the Comptroller General of the United States States, or any of their authorized representatives access to any books, documents, papers and records of the Contractor which are directly pertinent to this Contract for the purposes of making audits, examinations, excerpts and transcriptionstranscripts. The Contractor also agrees, pursuant to 49 C.F.R. 633.17 agrees to provide the FTA FEMA Administrator or his authorized representatives including any PMO Contractor access to the Contractor's records and construction sites pertaining to a major capital the project, defined at 49 U.S.C. 5302(a)1, which is receiving federal financial assistance through the programs described at 49 U.S.C. 5307, 5309 or 5311. 2. Where any Purchaser which is the FTA Recipient or a subgrantee of the FTA Recipient in accordance with 49 U.S.C. 5325(a) enters into a contract for a capital project or improvement (defined at 49 U.S.C. 5302(a)1) through other than competitive bidding, the The Contractor shall make available records related to the Contract contract to the PurchaserAuthority, the Secretary U.S. Department of Transportation Homeland Security, the FEMA Administrator, any applicable New York or New Jersey FEMA State Administrative Agency, and the Comptroller General of the United States, or any authorized officer or employee of any of them for the purposes of conducting an audit and inspection. 3. The Contractor agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed. 4. The Contractor agrees to maintain all books, records, accounts and reports required under this Contract for a period of not less than three (3) years after final payment is made by the date of termination or expiration of this ContractAuthority and all other pending matters are closed, except in the event of litigation or settlement of claims arising from the performance of this Contract, in which case the Contractor agrees to maintain same until the PurchaserAuthority, the FTA FEMA Administrator, the Comptroller General, or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or exceptions related thereto. Reference 49 CFR 18.39(i)(11)This requirement is independent of the Authority’s requirements for record retention contained elsewhere in the contract documents. 5. FTA does not require the inclusion of these requirements in subcontracts.