HomeMy WebLinkAboutCOM 0396.000 2012-2014 William P.Kenoi cR b6i; Nancy E. Crawford
Director
Mayor 4j V .r.
Deanna S. Sako
•fad
00.• ` Deputy Director
County of Hawaii
Finance Department
25 Aupuni Street, Suite 2103 • Hilo,Hawai`i 96720
(808)961-8234 • Fax(808)961-8569
w O C7
Gl
August 15, 2013
J Yoshimoto, Council Chair and
Members of the Hawai`i County Council
Hawai`i County Council
25 Aupuni Street --
Hilo, Hawai`i 96720
Re: Operating Budget
The State Department of Transportation Public Affairs - Safe Community Program is providing
an additional funding of$56,500 to the Hawai`i County Police Department's (HCPD's) Data
Grant program. The grant funds will be used to allow the HCPD to purchase in-vehicle laptop
mounting systems. In the current fiscal year's budget, $78,000 was appropriated in anticipation
of this grant.
Enclosed is a bill for an ordinance amending the Operating Budget by appropriating the
additional funds into the Data Grant program account and bringing the total grant appropriation
to $134,500.
If there are any questions, please do not hesitate to call Sergeant Robert Pauole of the Police
Department at 961-2305.
Nancy C awford
Director of Finance
Enc.
cc: Police
1?;iilt 115
Comm. No. 39
Hawaii County is an Equal Opportunity Provider and Employer Ref. To:
Ref. Date_AUMI55 7013
Form #: B-52
7/18/91
DEPARTMENT OF FINANCE
REQUEST FOR COUNCIL ACTION
DEPARTMENT: Police DATE: 8/9/2013
STAFF CONTACT: Sergeant Robert Pauole PHONE: 961-2305
A. REQUEST:
To appropriate an additional $56,500.00 for the Traffic Records Data Grant under account number
010.201.5216.18 and revenue account 3303.63
B. BACKGROUND AND JUSTIFICATION (USE ADDITIONAL SHEETS AS NEEDED):
The State Department of Transportation Public Affairs-Safe Community Program is providing additional
funds for the cost of laptop mounting systems for in-vehicle computer systems, which will enable officers to
complete MVAR's expeditiously.
Au112 2013
SIGNED: (l %,l DATE: _
• Departme t Head
GRANT SUMMARY
(Supplement to B-52, Request for Council Action)
Type of Grant Appropriation being requested: (New or an additional appropriation)
I I New (for this fiscal year period). OR [X Additional appropriation (to an existing grant);
Is a draft agreement attached? Has the original grant notification been transmitted to
I I Yes No Council? X Yes I I No
Name of Grant Program: HCPD Data Grant
Grantor: State Department of Transportation Safe Community Program
County Grantee Department or Agency: Police Department
County Grantee Contact Person: Sergeant Robert Pauole Phone Number: 961-2305
Amount of Grant: $56,500.00
Grant Period (Commencement & Completion): October 1, 2013 - September 30, 2014
Purpose of Grant: To establish a statewide traffic data system and to ensure compliance with national
standards.
County Match required?: I I Yes X No
If yes, Matching Amount? Budgeted in account# :
In-kind? Explain:
Explanation:
County's personnel requirements: Amount of new position(s)?
Qty: Permanent: I I Temporary: I I, Duration:
Full-time: I I Part-time: fl, Time Element:
Qty: Contractual: Explain:
Explanation:
Additional Comments about Grant: The State Department of Transportation Public Affairs-Safe Community
Program is providing additional funds for the cost of laptop mounting systems for in-vehicle computer systems,
which will enable officers to complete MVAR's expeditiously.
B-52 Grant Summary Form
EXHIBIT I
STATE OF HAWAII
HIGHWAY SAFETY PROJECT GRANT AGREEMENT
STATE OF HAWAII HIGHWAY SAFETY OFFICE
GRANT AGREEMENT
Grant No:
Page 1 (To be completed by applicant agency)
1. Grant Title
Hawai'i Police Department Traffic Records Grant
2. Name and Address of Applicant Agency 4. Duration
Hawai'i Police Department Month—Day—Year
349 Kapi`olani St.
Hilo, Hawai'i 96720 A. Grant Period
From: 10-01-13
To: 09-30-14
3. Agency Unit to Handle Grant(Name and Address)
Hawai'i Police Department B. Project Period
349 Kapi`olani St. From: 10-01-13
Hilo, Hawai'i 96720 To: 09-30-2014
5. Location of Project 6a. Type of Application
Hawai'i Police Department (Check Appropriate Item)
349 Kapi`olani St. ®Initial ['Revision OContinuation
Hilo, Hawai'i'96720
6b. Reimbursement Schedule Desired
❑Monthly Quarterly
7. Grant Description (Summarize the grant plan covering activities that address the major goals and objectives in
approximately 100 words. Limit to 6 lines.)
Hawai'i Police Department(HPD)will decrease the amount of time it takes to transfer Motor Vehicle Accident Report's(MVAR)
to the Hawai'i Department of Transportation(HDOT)via the Hawai'i Information Consortium(HIC)from three(3)months to
one(1)month. HPD had previously taken six(6)months to complete the transfer of all MVAR's.
8. Federal funds allocated under this agreement shall not exceed $ 134,500.00
9. Approval Signatures
Acceptance of Conditions: It is understood and agreed by the undersigned that a reimbursement grant received as a result of this grant agreement is subject to
Public Law 89-564(Highway Safety Act of 1966)and all administrative regulations governing grants established by the U.S.Department of Transportation
and the State of Hawaii. It is expressly agreed that this project constitutes an official part of the Hawaii Highway Safety Program and that said applicant
agency will meet the requirements as set forth herein,including accompanying schedules A,B,B-1,C&D,which are incorporated herein and made a part of
this grant agreement. Authorization to proceed with this Highway Safety Project is requested.
9a. Grant Director 9b. Authorizing Official of Agency Unit
Name: Harry S. Kubojiri Phone: Name: William P. Kenoi Phone:
Title: Police Chief Fax: Title: Mayor Fax:
Address: Address:
E-Mail: E-Mail:
(Signature) (Date) (Signature) (Date)
To be prepared by ap i licant,use separate sheets as re.uired. Form HS 3-71_Rev. 8/6/09
STATE OF HAWAI'I )
SS.
COUNTY OF HAWAI'I )
On , before me personally appeared WILLIAM P. KENOI, to me
personally known, who,being by me duly sworn, did say that he is the Mayor of the County of
Hawai'i, a municipal corporation of the State of Hawai'i that the seal affixed to the foregoing
instrument is the corporate seal of said County of Hawai'i, the foregoing instrument was signed
and sealed on behalf of the County of Hawai'i by authority given to said Mayor of the County of
Hawai'i by Sections 5-1.3 and 13-13 of the County Charter, County of Hawai'i (2010), as
amended, and said WILLIAM P. KENOI acknowledged said instrument to be the free act and
deed of said County of Hawai'i.
Notary Public, State of Hawai'i
Printed Name:
My commission expires:
NOTARY CERTIFICATION STATEMENT
Document Identification or Description:
Doc. Date: n Undated at time of notarization
No. of Pages: Jurisdiction:
Signature of Notary Date of Notarization and
Certification Statement
Print Name of Notary
Signature Attachment:
Grant Title: Hawaii Police Department Traffic Records (Data) Grant
Grantor: State Department of Transportation Motor Vehicle Safety Office
Grant Period: 10/1/2013-9/30/2014
Amount of Grant: $134,500.00
Fiscal Year: 2013-2014
APPROVED AS TO FORM AND LEGALITY:
Deputy Corporation Counsel
County of Hawaii
Date:
STATE OF HAWAII HIGHWAY SAFETY OFFICE
GRANT AGREEMENT—PART II
Grant No:
Page 2 (To be completed by Highway Safety Office)
10. Grantee:
11. Standard Area: 13a. Federal Fiscal Year
12. Effective Date of Agreement: - 13b. Addendum: ❑Yes ❑No
14. Benefit of: ❑State County
15. Action Taken I 16.Funding Disposition& Status
Fiscal Year Amount
Total $
Present Obligation $
Previously Obligated $
TOTAL FUNDS OBLIGATED $
17. Budget Summary(From Schedule B—Detailed Budget Estimate)—Fiscal Year Grant Period Ending:
Cost Category I Cost Estimates
A. Personnel Costs
B. Travel Expenses
C. Contractual/Consultant Services
D. Equipment
E. Other Direct Costs
TOTAL FEDERAL FUNDS $
18. Grant Approval& Authorization to Expend Obligated Funds
A. Approval Recommended By B. Agreement&Funding Authorized By
(Program Area Specialist) (Highway Safety Manager)
Name: Name:
Title: Title:
Phone/E-Mail: Phone/E-Mail:
(Signature) (Date) (Signature) (Date)
STATE OF HAWAII HIGHWAY SAFETY OFFICE
GRANT AGREEMENT—PART III
Grant No:
Page 3 (To be completed by Highway Safety Office)
19. Addendum (For Highway Safety Office Use Only)
EXHIBIT II
SCHEDULE A
Schedule A
HPD TRAFFIC RECORDS
PROBLEM STATEMENT
Identify the traffic safety related problem or deficiency that the proposed grant is intended to correct.
Identify and gather appropriate data relevant to the problem. Collision/fatalities data appropriate to the
identified problem and a brief analysis of the data is required. When available, three years of data
should be presented and analyzed. When identifying the problem, take into consideration changes in
population, traffic patterns and other demographic dynamics that may affect traffic safety.
Hawai'i continues to have a traffic safety problem and the need to identify where the problems
are within the State. See Table I Hawai'i's Summary of Traffic Demographics.
Table I
Hawaii Summary of Traffic Demographics
2005-2010
Year Population Licensed Registered VMT Traffic Fatality Alcohol Alcohol
Drivers Vehicles (millions) Fatalities Rate Involved Involved
Fatalities
2005 1,275,194 856,163 1,149,403 10,129.1 140 1.4 67 47.9%
2006 1,285,498 867,003 1,159,256 10,226.3 161 1.5 84 52.1%
2007 1,283388 882,455 1,167,240 10,345.0 138 1.3 69 48.0%
2008 1,288,198 895,941 1,160,643 10,215.1 107 1.0 47 43.9%
2009 1,295,178 882,979 1,162,480 10,237.2 109 1.08 52 47.7%
2010 1,360,310 911,417 1,120,080 10,111.0 113 1.04 50 45.1%
Over the past 40 years, states and local governments have built a wide range of information
systems to support their information needs relating to traffic safety. These systems include:
Traffic Crash Systems, Roadway Inventory Systems, Traffic Citation and Adjudication Systems,
Emergency Medical/Injury Prevention Systems, Driver Licensing and Driver History Systems,
and Vehicle Registration Systems.
The information systems within each state and local agency have traditionally been designed
and operated to support the specific needs of the one or more business processes within the
owner agency. Since these systems began to appear in the 1960s they have become "mission
critical"to their owner agencies. Many have gone through one or more major overhauls during
their life as technology and needs changed. Today, as we look toward the traffic safety
information needs of the 21st century, and the demands for all public agencies to have data
driven, performance based safety programs; the traffic safety data community is faced with the
challenge of re-visiting the design and operation of these systems.
All indications are that federal and state traffic safety programs will need timely, accurate and
accessible data covering all aspects of the traffic safety arena in order to properly identify
problems, select countermeasures, monitor countermeasure programs and to evaluate the
effectiveness of those programs. Future safety program funding will be tied to the ability of the
traffic safety community to:
• Prove what, and where the problems are.
• Identify, using data on likely costs and impact, those countermeasures that are most
likely to have the greatest return on investments of funding scale and staff resources.
• Prioritize problems and countermeasures based on hard data.
• Monitor the implementation of countermeasures.
• Document the effectiveness of the safety improvement programs.
GRANT GOALS
Goals serve as the foundation upon which the grant is built. Goals are what you hope to accomplish by
implementing a traffic safety grant and represent an end result. Grant goals should be stated in
measurable terms (i.e., a percent reduction), be concise and deal with a specific item, be realistic with a
reasonable probability of achievement, and be related to a specific time frame (a "by"date). Please
notate baseline from which the reduction/increase will result.
Hawai'i Police Department (HPD) will decrease the amount of time it takes to transfer Motor
Vehicle Accident Report's (MVAR) to the Hawai'i Department of Transportation (HDOT) via the
Hawai'i Information Consortium (HIC) from three (3) months to one (1) month. HPD had
previously taken six (6) months to complete the transfer of all MVAR's.
GRANT OBJECTIVES
Objectives are tasks or activities conducted in order to accomplish the grant goal(s) (e.g., develop
permanent fitting stations for child restraints, enforcement activities, educational activities, etc.). Grant
objectives should be stated in measurable terms (i.e., a percent reduction, number of training to be held,
number of roadblocks, etc.), be concise and deal with a specific item, be realistic with a reasonable
probability of achievement, and be related to a specific time frame (a "by"date). Please notate baseline
from which the reduction/increase will result.
HPD will:
1. Participate in Traffic Records Core Committee (TRCC) and Subcommittees, attend monthly
and special meetings.
2. Send one (1) HPD employees to attend the 2013 Annual National Traffic Records Forum.
3. Complete the MVAR Data Transfer to HIC. Work with HIC to electronically transfer MVAR
data from HPD to HDOT.
4. Research and work with TRCC members on implementing an electronic citation system.
5. Purchase Data Export Function and Server.
6. Purchase laptop mounting systems for in-vehicle computer systems, which will enable
officers to complete MVAR's expeditiously.
METHOD OF EVALUATION
Using data gathered throughout the grant period, the grant manager will evaluate (1) how well the stated
grant goals and objectives were accomplished, and(2) was the grant cost effective? How are you going
to show effectiveness of your project? What will be the impact of the project on your identified problem
and goal(s)? Provide details on the method of evaluation.
The success of the grant goal will be determined through progress reports from HDOT on their
receipt of MVAR's from our department's Records Division. Progress reports will be in the form
of electronic communications and/or verbal communications at monthly TRCC meetings.
SCHEDULE B Exhibit III
Page 1
Detailed Budget Estimate
Grant No:
COST CATEGORY COST ESTIMATES
A. Personnel Costs
Employee Salaries and Benefits
Position Title(s) and Full-Time/Part-Time Yearly Salary:
Fringe Benefit Rate:
Time to be spent on project: hours
Position Title(s) and Overtime Hourly Rate(s):
Sergeant at$55.00 per hour x 2.0 hrs per TRCC Mtg 1,210
Officer at $48.00 per hour x 2.0 hrs per TRCC Mtg 1,056
Fringe Benefit Rate: 22 % 500
Time to be spent on project: 90 hours
Category Sub-Total $2,766
B. Travel Expenses
In-State
Event/Conference: Traffic Records Committee Mtgs
Air Travel:
To: Honolulu HI.
From: Hilo, HI. $7,000
Surface Travel: No Rental/Shuttle provided
Car Rental (daily rate, # of days, fuel, taxes, etc.)
Private Car: ( miles @ per mile)
Airport Parking $15.00 @ 2 vehicles x 12 days $360
SCHEDULE B Exhibit III
Page 2
Detailed Budget Estimate
Grant No:
COST CATEGORY COST ESTIMATES
Per Diem:
12 days @ $ 20 X 2 off. per day $480
Baggage Fee:
Tuition, Course, Registration and Miscellaneous Fees:
Individual cost: x No. of attendees:
Out-of-State
Event/Conference: Traffic Records Forum
Air Travel:
To: St. Paul, Minnesota
From: Hilo, Hawaii
$3,000.00
Surface Travel: Taxi or Shuttle to From airport $200.00
Car Rental (daily rate, # of days, fuel, taxes, etc.)
Private Car: ( miles @ per mile)
Per Diem:
6 days @ $ 145 per day 870
Baggage Fee: lchecked bag @$30/bag X 2 (Roundtrip) 60
Tuition, Course, Registration and Miscellaneous Fees:
Individual cost: $500 x No. of attendees: 1 500
Excessive Lodging: 6 nights x 150 900
Category Sub-Total $13,370.00
C. Contractual/Consultant Services
HIC Data Integration Development 7500
Category Sub-Total 7,500
SCHEDULE B Exhibit III
Page 3
Detailed Budget Estimate
Grant No:
COST CATEGORY COST ESTIMATES
D. Equipment
MVAR Data Export Function and Server $55,000
Laptop Mounting Systems $55,864
Category Sub-Total $110,864
E. Other Direct Costs
Category Sub-Total
GRANT TOTAL $134,500
SCHEDULE B-1 Exhibit III
Grant No:
BUDGET NARRATIVE PAGE #1 of 1
Personnel Costs
HPD will have staff attend the monthly meetings of the Traffic Records Core Committee Meetings on Oahu.
Overtime cost have been factored into the travel time that is required to travel from Hilo to Oahu.
Travel Expenses
Travel funds will be used for staff travel expenses to attend the Traffic Records Forum in St. Paul, Minnesota
(October 28-31, 2013). HPD will also send staff to attend the monthly Traffic Records Core
Committee Meetings on Oahu. The hotel provides a shuttle to and from the airport for the TRCC
Meetings. A taxi or shuttle will be used to and from the airport for the Traffic Records Forum.
Contractual/Consultant Services
HPD will pay necessary cost to complete traffic records data transfer from HPD to HIC
Equipment
HPD will purchase a Data Export Function and Server to enable HPD's computer system to tranfer
Motor Vehicle Accident Reports to HIC
HPD will purchase laptop mounting systems for patrol and traffic officers for in-vehicle computer systems,
which will enable officers to complete MVAR's expeditiously
Other Direct Costs
EXHIBIT IV
SCHEDULE C
SCHEDULE C Exhibit IV
Grant No:
MILESTONES PAGE#1
Month Activity
October 2013-December 2013 Attend Traffic Data Records Committee monthly
meetings. Attend the National Traffic Records
Forum. Purchase Data Export Function and Server.
January 2014-March 2014 Attend Traffic Data Records Committee monthly
meetings. Begin research on electronic citation
system. Purchase laptop mounting systems
April 2014- June 2014 Attend Traffic Data Records Committee monthly
meetings.
July 2014-September 2014 Attend Traffic Data Records Committee monthly
meetings. Complete traffic records data transfer from
HPD to HIC.
EXHIBIT V
SCHEDULE D
SCHEDULE D Exhibit V
AGREEMENT OF UNDERSTANDING & COMPLIANCE
Grant No:
THIS AGREEMENT made and entered into by and between the STATE OF HAWAII by and through its
Director of Transportation, hereinafter referred to as "State," and the Governmental Unit named in this
application, hereinafter referred to as "Applicant."
WHEREAS, the National Highway Safety Act of 1966 (Public Law 89-564)provides Federal funds to the
STATE for approved highway safety projects, and
WHEREAS, STATE may make said funds available to various state, county or municipal agencies or
governments or political subdivisions upon application and approval by STATE and the UNITED STATES
DEPARTMENT OF TRANSPORTATION, and
WHEREAS, STATE is obligated to reimburse the UNITED STATES DEPARTMENT OF
TRANSPORTATION out of its funds for any ineligible or unauthorized expenditures for which Federal funds
have been claimed and payment received, and
WHEREAS,the above name APPLICANT has submitted an application for Federal funds for highway safety
projects.
NOW, THEREFORE, IN CONSIDERATION OF MUTUAL PROMISES AND OTHER GOOD AND
VALUABLE CONSIDERATION, THE PARTIES AGREE AS FOLLOWS:
I. Reimbursement of Eligible Expenditures
A. It is mutually agreed and promised that upon written application by APPLICANT and approval by
STATE and the UNITED STATES DEPARTMENT OF TRANSPORTATION, STATE shall obligate
said Federal funds to APPLICANT'S account for reimbursement of eligible expenditures as set forth in
the application.
B. It is mutually agreed and promised that APPLICANT shall reimburse STATE for any
ineligible or unauthorized expenditures for which Federal funds have been claimed and payment
received as determined by a State or Federal audit. Costs are not allowable for construction,
rehabilitation, remodeling, or for office furnishings and fixtures - for State, local or private buildings or
structures. The following are examples of items considered as furnishings or fixtures, for which
reimbursement is not eligible:
Desks Credenzas Storage Cabinets
Chairs Bookcases Portable Partitions
Tables Filing Cabinets Pictures, Wall Clocks
Shelving Floor Coverings Draperies
Coat Racks Office Planters Fixed Lighting/Lamps
C. It is further agreed and promised that where reimbursement is made to APPLICANT in installments, STATE
shall have the right to withhold any installments to make up reimbursement received for any ineligible or
unauthorized expenditures until such time as the ineligible claim is made up or corrected by APPLICANT.
II. Property Agreement
A. It is mutually agreed and promised that the APPLICANT shall immediately notify the STATE if any
equipment purchased under this project ceases to be used in the manner as set forth by the project
agreement. In such event, APPLICANT further agrees to either give credit to the project cost or to
another active Highway Safety project for the residual value of such equipment in an amount to be
determined by the STATE, or to transfer or otherwise dispose of such equipment as directed by STATE.
B. It is mutually agreed and promised by the APPLICANT that no purchased equipment under this project
will be conveyed, sold, salvaged, transferred, etc. without the express written approval of the STATE.
C. It is mutually agreed and promised that the APPLICANT shall maintain or cause to be maintained for its
useful life, any equipment purchased under this project.
III. Application of Hatch Act
A. It is mutually agreed and promised that the APPLICANT shall notify all employees of the APPLICANT,
whose principal employment is in connection with any Highway Safety project, financed in whole or in
part by loans or grants under the Highway Safety Act of 1966, of the provisions of Section 12 (a) of the
Hatch Act [5 U.S.C. 118K (a)].
IV. Equal Opportunity
A. It is mutually agreed and promised that pursuant to the requirements of Section 22 (a) of the Federal-Aid
Highway Act of 1968, Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), and the Age
Discrimination Act of 1975, the APPLICANT, as a condition to receiving approval of this application
submitted under the Highway Safety Act of 1966, hereby gives its assurance that employment in
connection with the subject Highway Safety Program project will be provided without regard to race,
color, creed, sex, handicap, age, or national origin. The APPLICANT further agrees that, as a condition
to receiving approval of this application, it will be subject to, and will comply with, Title VI of the Civil
Rights Act of 1964, 78 Stat. 252, 42 U.S.C. 2000d to 2000d-4 (hereinafter referred to as the Act), and all
applicable requirements pursuant to the Regulations of the Department of Commerce (Title 15, Code of
Federal Regulations, Part 8, which have been adopted by the Department of Transportation, and
hereinafter referred to as the Regulations), to the end that, in accordance with the Act and the
Regulations, no person in the United States shall on the ground of race, color, creed, sex, handicap, age,
or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected
to discrimination under the subject Highway Safety Program or project.
B. It is mutually agreed and promised that if the APPLICANT fails or refuses to comply with its
undertaking as set forth in these provisions, the STATE of the UNITED STATES DEPARTMENT OF
TRANSPORTATION may take any or all of these following actions.
(1) Cancel, terminate, or suspend in whole or in part the agreement, contract, or other arrangement with
respect to which the failure or refusal occurred; and
(2) Refrain from extending any further Federal financial assistance to the applicant agency under the
program with respect to which the failure or refusal occurred until satisfactory assurance of future
compliance has been received from the applicant agency.
V. Non-duplication of Grant Fund Expenditures
A. It is mutually agreed and promised that the APPLICANT has no ongoing or completed projects under
agreement with any other Federal fund source which duplicate or overlap any work contemplated or
described in this project.
B. It is mutually agreed and promised that the APPLICANT will either revise this project or revise any
pending or proposed request for other Federal grant funds which would duplicate or overlap work under
this project to exclude any such duplication of grant fund expenditures.
C. It is further mutually agreed and understood that the APPLICANT shall reimburse the STATE OF
HAWAII for any such duplicate expenditures for which Federal grant funds have been claimed and
payment received as determined by State or Federal audit.
VI. Project Income and Applicable Credits
A. It is mutually agreed and understood that the APPLICANT shall apply all proceeds or credits generated
under the project, such as but not restricted to: The sale of real or personal property royalties received
from copyrights and patents, sale of publications or from personal or incidental services,to the project in
accordance with OMB Circular A-87 (FMC 74-7) or A-21, as applicable and NHTSA/FHWA Order
460-4/7510.1.
VII. Copyrights and Patents
A. It is mutually agreed that any copyrightable materials produced in the course of a project may be the
property of the State or applicant agency; however,provisions should be made to obtain for the United
States Government,the State Governments and their political subdivisions a royalty-free nonexclusive,
and irrevocable license to use in any manner such copyrightable material.
B. It is mutually agreed that the ownership of all rights accruing from any patentable discoveries or
inventions resulting from a project should be covered in the agreement. An irrevocable, nonexclusive,
nontransferable, and royalty-free license to practice each discovery or invention in the manufacture, use
and disposition, according to law, of any article or material, and in the use of any method developed as
part of the work under the agreement should be obtained for the United States Government, the State
Governments and their political subdivisions.
VIII. Certification Regarding Debarment and Suspension
A. Instructions for Certification
1. By signing and submitting this proposal,the prospective lower tier participant is providing the
certification set out below.
2. The certification in this clause is a material representation of fact upon which reliance was placed
when this transaction was entered into. If it is later determined that the prospective lower tier
participant knowingly rendered an erroneous certification, in addition to other remedies available to
the Federal government, the department or agency with which this transaction originated may pursue
available remedies, including suspension and/or debarment.
3. The prospective lower tier participant shall provide immediate written notice to the person to which
this proposal is submitted if at any time the prospective lower tier participant learns that its
certification was erroneous when submitted or has become erroneous by reason of changed
circumstances.
4. The terms covered transaction, "debarred," "suspended," "ineligible," "lower tier covered
transaction," "participant," "person," "primary covered transaction," "principal," "proposal," and
"voluntarily excluded," as used in this clause, have the meanings set out in the Definition and
Coverage sections of 49 CFR Part 29. You may contact the person to whom this proposal is
submitted for assistance in obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting this proposal that, should the proposed
covered transaction be entered into, it shall not knowingly enter into any lower tier covered
transaction with a person who is proposed for debarment under 48 CFR Part9, subpart 9.4, debarred,
suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency with which this transaction originated.
6. The prospective lower tier participant further agrees by submitting this proposal that is it will include
this clause titled"Certification Regarding Debarment, Suspension, Ineligibility and Voluntary
Exclusion -- Lower Tier Covered Transaction,"without modification, in all lower tier covered
transactions and in all solicitations for lower tier covered transactions. (See below.)
7. A participant in a covered transaction may rely upon a certification of a prospective participant in a
lower tier covered transaction that it is not proposed for debarment under 48 CFR Part 9, subpart 9.4,
debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it
knows that the certification is erroneous. A participant may decide the method and frequency by
which it determines the eligibility of its principals. Each participant may, but is not required to,
check the List of Parties Excluded from Federal Procurement and Non-procurement List.
8. Nothing contained in the foregoing shall be construed to require establishment of a system of records
in order to render in good faith the certification required by this clause. The knowledge and
information of a participant is not required to exceed that which is normally possessed by a prudent
person in the ordinary course of business dealings.
9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a
covered transaction knowingly enters into a lower tier covered transaction with a person who is
proposed for debarment under 48 CFR Part 9, subpart 9.4, suspended, debarred, ineligible, or
voluntarily excluded from participation in this transaction, in addition to other remedies available to
the Federal government, the department or agency with which this transaction originated may pursue
available remedies, including suspension and/or debarment.
IX. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion—
Lower Tier Covered Transactions
1. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its
principals is presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from participation in this transaction by any Federal department or agency.
2. Where the prospective lower tier participant is unable to certify to any of the statements in this
certification, such prospective participants shall attach an explanation to this proposal.
•
X. Minority Business Enterprise Requirements
It is the policy of the Department of Transportation that minority business enterprises, as defined in 49
CFR Part 23, shall have the maximum opportunity to participate in the performance of contracts
financed in whole or in part with Federal funds under this agreement. Consequently, the MBE
requirements of 49 CFR Part 23 apply to this agreement.
The recipient or its contractor agrees to ensure that minority business enterprises as defined in 49 CFR
Part 23 have the maximum opportunity to participate in the performance of contracts and subcontracts
financed in whole or in part with Federal funds provided under this agreement. In this regard, all
recipients or contractors shall take all necessary and reasonable steps in accordance with 49 CFR Part 23
to ensure that minority business enterprises have the maximum opportunity to compete for and perform
contracts. Recipients and their contractors shall not discriminate on the basis of race, color, national
origin, or sex in the award and performance of DOT-assisted contracts.
XI. Requirements
A. It is mutually agreed and promised that the applicant shall follow the State and Federal requirements
and guidelines set forth in the State of Hawaii Project Procedures Manual as amended. All project
expenditure records are to be retained for at least three years after the date of the final expenditure
report.
XII. Authorization to Proceed
A. It is mutually agreed between the STATE and the APPLICANT that this AGREEMENT OF
UNDERSTANDING AND COMPLIANCE shall become effective upon the STATE'S agreement
and authorization to proceed as set forth in PART II (2) of this application.