HomeMy WebLinkAboutRES-2010-022 Resolution for Community Transportation Program Funding Section 5311~~s -media - oz ~
COMMUNITY TRANSPORTATION PROGRAM RESOLUTION
Section 5311
•
FY 2011 RESOLUTION
~~
Applicant seeking permission to apply for Community Transportation Program funding, enter into agreement with the
North Carolina Department of Transportation, provide the necessary assurances and the required local match.
A motion was made by (Board Members Name) Pam Hemminger and seconded by (Board Members Name orN/A, if not required)
Mike Nelson for the adoption of the following resolution, and upon being put to a vote was duly adopted.
•
WHEREAS, Article 26 of Chapter 136 of the North Carolina General Statutes and the Governor of North Carolina
have designated the North Carolina Department of Transportation (NCDOT) as the agency responsible for
administering federal and state public transportation funds; and
WHEREAS, the North Carolina Department of Transportation will apply for a grant from the US Department of
Transportation, Federal Transit Administration and receives funds from the North Carolina General Assembly to
provide assistance for rural public transportation projects; and
WHEREAS, the purpose of these transportation funds is to provide grant monies to local agencies for the
provision of rural public transportation services consistent with the policy requirements for planning, community
and agency involvement, service design, service alternatives, training and conference participation, reporting and
other requirements (drug and alcohol testing policy and program, disadvantaged business enterprise program,
and fully allocated costs analysis); and
WHEREAS, (Legal Name of applicant) Oranoe County hereby assures and certifies that it will comply with the federal
and state statutes, regulations, executive orders, Section 5333 (b) Warranty, and all administrative requirements
related to the applications made to and grants received from the Federal Transit Administration, as well as the
provisions of Section 1001 of Title 18, U. S. C.
NOW, THEREFORE, be it resolved that the (Autnorzed officials rtle)• Valerie P. Foushee of (Name ofapplicant's
Governing Body) Orange County is hereby authorized to submit a grant application for federal and state funding,
provide the required local match ,make the necessary assurances and certifications and be empowered to enter
into an agreement, with the NCDOT to provide rural public transportation services.
I (Certifying Official's Name)* Donna Baker (Certifying otfcial's title) Clerk to the Board do hereby certify that the above is a true
and correct coy of an excerpt from the minutes of a meeting of the (Name ofApplicanYs Governing Board) Orange County duly
held on the 16 day of March, 2010.
Signature of Certifying 0lhcial
"Note that the authorized official, certifying official, and notary public should be three separefe individuals.
Seal Subscribed and sworn to me (date) Ap r; ~ 1'>f o~,O /D
Notary Public
f vej .v c' ~
3.Z~-3 FmY r~s ~ ve -~I ~, ,~c~ C ~?~~3
Printed Name and Address
My commission expires (dare) ~c7~tl ~j~Y j 3 ~UjY"
•
Affix Seal Here
State Fiscal Year 2011 Community Transportation Programs
Federal and State Assistance Certifications and Assurance
• FEDERAL (FTA) AND STATE (NCDOT) CERTIFICATIONS AND ASSURANCES FOR
COMMUNITY TRANSPORTATION PROGRAMS
STATE FISCAL YEAR 2011
In accordance with 49 U.S.C. 5323(n), the following certifications and assurances have been compiled for North
Carolina Community Transportation programs. North Carolina Department of Transportation (NCDOT) requires
each Subrecipient of State Assistance and Federal Transit Administration (FTA) Federal assistance awarded to
NCDOT to provide as marry certifications and assurances as needed for all programs for which the Subrecipient
intends to seek FTA and NCDOT assistance during Federal Fiscal Year 2010.
Eighteen (18) Categories of certifications and assurances are listed by numbers 01 through I8 in this document.
NCDOT recommends that Subrecipients cert fy to all categories.
NCDOT and the Subrecipient understand and agree that not every provision of these certiftcations and assurances
will apply to every Subrecipient or every project for which NCDOT provides (FTA) Federal and (NCDOT~ State
financial assistance through a Grant Agreement. The type ofproject and the section of the statute authorizing (FTA)
Federal financial assistance and/or (NCDOT) State financial assistance for the project will determine which
provisions apply. The terms of these cert f cations and assurances reflect applicable requirements of FTA's enabling
legislation currently in effect.
The Subrecipient also understands and agrees that these certifications and assurances are special pre-award
requirements specifically prescribed by Federal law or regulation and do not encompass all Federal laws,
regulations, and directives that may apply to the Subrecipient or its project. A comprehensive list of those Federal
laws, regulations, and directives is contained in the current FTA Master Agreement MA(16) for Federal Fiscal Year
2010 at the FTA Web site http://www.fta.dot.gov/documents/16-Master.pdf. The certifications and assurances in
this document have been streamlined to remove most provisions not covered by statutory or regulatory certification
or assurance requirements.
• Note that by an opinion of the North Carolina Attorney General's office, all Federal requirements have been passed
down to State funded assistance.
The Applicant must submit its certifications and assurances by completing and submitting the selection and
signature pages at the end of this document: I) Certifications and Assurances selection page; 2) Affirmation of
Applicant; and 3) Affirmation of Applicant's Attorney.
Ol. ASSURANCES REQUIItED FOR EACH APPLICANT
Each Subrecipient of FTA assistance awarded to NCDOT and each Subrecipient of State assistance must provide all
assurances in this Category "01. " NCDOT may not award arty State or Federal assistance until the Applicant
provides the following assurances by selecting Category "01. "
A. Assurance of Authority of the Applicant and Its Representative
The authorized representative of the Applicant and the attorney who sign these certifications, assurances, and
agreements affum that both the Applicant and its authorized representative have adequate authority under applicable
State, local, or Indian tribal law and regulations, and the Applicant's by-laws or internal rules to:
(1) Execute and file the application for Federal assistance on behalf of the Applicant;
(2) Execute and file the required certifications, assurances, and agreements on behalf of the Applicant binding the
Applicant; and
(3) Execute grant agreements and cooperative agreements with NCDOT on behalf of the Applicant.
State Fiscal Year 2011 Community Transportation Programs
Federal and State Assistance Certifications and Assurance
6
B. Standard Assurances •
The Applicant assures that it will comply with all applicable Federal statutes and regulations in carrying out any
project supported by an FTA/NCDOT grant or cooperative agreement. The Applicant agrees that it is under a
continuing, obligation to comply with the terms and conditions of the grant agreement or cooperative agreement with
NCDOT issued for its approved project with FTA. The Applicant recognizes that Federal laws and regulations may
be modified from time to time and those modifications may affect project implementation. The Applicant
understands that Presidential executive orders and Federal directives, including Federal policies and program
guidance may be issued concerning matters affecting the Applicant or its project. The Applicant agrees that the most
recent Federal laws, regulations, and directives will apply to the project, unless FTA issues a written determination
otherwise.
C. Intergovernmental Review Assurance
Except if the Applicant is an Indian tribal government seeking assistance authorized by 49 U.S.C. 5311(c)(1), the
Applicant assures that each application for Federal assistance it submits to FTA has been submitted or will be
submitted for intergovernmental review to the appropriate State and local agencies as determined by the State.
Specifically, the Applicant assures that it has fulfilled or will fulfill the obligations imposed on FTA by U.S.
~~
Department of Transportation (U.S. DOT) regulations, Intergovernmental Review of Department of Transportation
Programs and Activities," 49 CFR part 17. This assurance does not apply to Applicants for Federal assistance under
FTA's Tribal Transit Program, 49 U.S.C. 5311(c)(1).
D, Nondiscrimination Assurance
As required by 49 U.S.C. 5332 (which prohibits discrimination on the basis of race, color, creed, national origin,
sex, or age, and prohibits discrimination in employment or business opportunity), by Title VI of the Civil Rights Act
of 1964, as amended, 42 U.S.C. 2000d, and by U.S. DOT regulations, "Nondiscrimination in Federally-Assisted
Programs of the Department of Transportation-Effectuation of Title VI of the Civil Rights Act," 49 CFR part 21 at •
21.7, the Applicant assures that it will comply with all requirements imposed by or issued pursuant to 49 U.S.C.
5332, 42 U.S.C. 2000d, and 49 CFR part 21, so that no person in the United States, on the basis of race, color,
national origin, creed, sex, or age will be excluded from participation in, be denied the benefits of, or otherwise be
subjected to discrimination in any program or activity (particularly in the level and quality of transportation services
and transportation-related benefits) for which the Applicant receives Federal assistance awarded by the U.S. DOT or
FTA.
Specifically, during the period in which Federal assistance is extended to the project, or project properly is used for a
purpose for which the Federal assistance is extended or for another purpose involving the provision of similar
services or benefits, or as long as the Applicant retains ownership or possession:of the project property, whichever is
longer, the Applicant assures that:
(1) Each project will be conducted, property acquisitions will be undertaken, and project facilities will be operated
in accordance with all applicable requirements of 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR part 21, and
understands that this assurance extends to its entire facility and to facilities operated in connection with the
project.
(2) It will promptly take the necessary actions to effectuate this assurance, including notifying the public that
complaints of discrimination in the provision oftransportation-related services or benefits may be filed with
U.S. DOT or FTA. Upon request by U.S. DOT or FTA, the Applicant assures that it will submit the required
information pertaining to its compliance with these provisions.
(3) It will include in each subagreement, property transfer agreement, third party contract, third party subcontract,
or participation agreement adequate provisions to extend the requirements imposed by or issued pursuant to 49
U.S.C. 5332, 42 U.S.C. 2000d and 49 CFR part 21 to other parties involved therein including any subrecipient,
transferee, third party contractor, third party subcontractor at any level, successor in interest, or any other
participant in the project.
(4) Should it transfer real property, structures, or improvements financed with Federal assistance provided by
FTA to another party, any deeds and instruments recording the transfer of that property shall contain a
covenant running with the land assuring nondiscrimination for the period during which the properly is used for •
State Fiscal Year 2011 Community Transportation Programs
Federal and State Assistance Certifications and Assurance
• a purpose for which the Federal assistance is extended or for another purpose involving the provision of
similar services or benefits.
(5) The United States has a right to seek judicial enforcement with regard to any matter arising under Title VI of
the Civil Rights Act, U.S. DOT implementing regulations, and this assurance.
(6) It will make any changes in its Title VI implementing procedures as U.S. DOT or FTA may request to achieve
compliance with the requirements imposed by or issued pursuant to 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49
CFR part 21.
E. Assurance of Nondiscrimination on the Basis of Disability
As required by U.S. DOT regulations, "Nondiscrimination on the Basis of Handicap in Programs and Activities
Receiving or Benefiting from Federal Financial Assistance," at 49 CFR 27.9, the Applicant assures that, as a
condition to the approval or extension of any Federal assistance awarded by FTA to construct any facility, obtain
any rolling stock or other equipment, undertake studies, conduct research, or to participate in or obtain any benefit
from any program administered by FTA, no otherwise qualified person with a disability shall be, solely by reason of
that disability, excluded from participation in, denied the benefits of, or otherwise subjected to discrimination in any
program or activity receiving or benefiting from Federal assistance administered by the FTA or any entity within
U.S. DOT. The Applicant assures that project implementation and operations so assisted will comply with all
applicable requirements of U.S. DOT regulations implementing the Rehabilitation Act of 1973, as amended, 29
U.S.C. 794, et seq., and the Americans with Disabilities Act of 1990, as amended, 42 U.S.C. 12101 et seq., and
implementing U.S. DOT regulations at 49 CFR parts 27, 37, and 38, and any other applicable Federal laws that may
be enacted or Federal regulations that may be promulgated.
F. U.S. Office of Management and Budget (OMB) Assurances
Consistent with OMB assurances set forth in SF-424B and SF-424D, the Applicant assures that, with respect to
itself or its project, the Applicant:
• (1) Has the legal authority to apply for Federal assistance and the institutional, managerial, and financial
capability (including funds sufficient to pay the non-Federal share of project cost) to assure proper planning,
management, and completion bf the project described in its application;
(2) Will give FTA, the Comptroller General of the United States, and, if appropriate, the State, through any
authorized representative, access to and the right to examine all records, books, papers, or documents related to
the awazd; and will establish a proper accounting system in accordance with generally accepted accounting
standards or agency directives;
(3) Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or
presents the appearance of personal or organizational conflict of interest or personal gain;
(4) Will initiate and complete the work within the applicable project time periods following receipt of FTA
approval;
(5) Will comply with all applicable Federal statutes relating to nondiscrimination including, but not limited to:
(a) Title VI of the Civil Rights Act, 42 U.S.C. 2000d, which prohibits discrimination on the basis of race,
color, or national origin;
(b) Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. 1681 through 1b83, and 1685
through 1687, and U.S. DOT regulations, "Nondiscrimination on the Basis of Sex in Education Programs
or Activities Receiving Federal Financial Assistance," 49 CFR part 25, which prohibit discrimination on
the basis of sex;
(c) Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, which prohibits
discrimination on the basis of disability;
(d) The Age Discrimination Act of 1975, as amended, 42 U.S.C. 6101 through 6107, which prohibits
discrimination on the basis of age;
(e) The Drug Abuse Office and Treatment Act of 1972, as amended, 21 U.S.C. 1101 et seq., relating to
nondiscrimination on the basis of drug abuse;
(f) The Comprehensive Alcohol Abuse and Alcoholism Prevention Act of 1970, as amended, 42 U.S.C.
4541 et seq. relating to nondiscrimination on the basis of alcohol abuse or alcoholism;
(g) The Public Health Service Act of 1912, as amended, 42 U.S.C. 290dd through 290dd-2., relating to
• confidentiality of alcohol and drug abuse patient records;
7
State Fiscal Year 2011 Community Transportation Programs $
Federal and State Assistance Certifications and Assurance
(h) Title VIII of the Civil Rights Act, 42 U.S.C. 3601 et seq., relating to nondiscrimination in the sale, rental, •
or fmancing of housing; and
(i) Any other nondiscrimination statute(s) that may apply to the project;
(6) To the extent applicable, will comply with, or has complied with, the requirements of Titles II and III of the
Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended, (Uniform
Relocation Act) 42 U.S.C. 4601 et seq., which, among other things, provide for fair and equitable treatment of
persons displaced or persons whose property is acquired as a result of federally assisted programs. These
requirements apply to all interests in real property acquired for project purposes and displacement caused by
the project regardless of Federal participation in any purchase. As required by sections 210 and 305 of the
Uniform Relocation Act, 42 U.S.C. 4630 and 4655, and by U.S. DOT regulations, "Uniform Relocation
Assistance and Real Properly Acquisition for Federal and Federally Assisted Programs," 49 CFR 24.4, the
Applicant assures that it has the requisite authority under applicable State and local law to comply with the
requirements of the Uniform Relocation Act, 42 U.S.C. 4601 et seq., and U.S. DOT regulations, "Uniform
Relocation Assistance and Real Property Acquisirion for Federal and Federally Assisted Programs," 49 CFR
part 24, and will comply with that Act or has complied with that Act and those implementing regulations,
including but not limited to the following:
(a) The Applicant will adequately inform each affected person of the. benefits, policies, and procedures
provided for in 49 CFR part 24;
(b) The Applicant will provide fair and reasonable relocation payments and assistance as required by 42
U.S.C. 4622, 4623, and 4624; 49 CFR part 24; and any applicable FTA procedures, to or for families,
individuals, partnerships, corporations, or associations displaced as a result of any project fmanced with
FTA assistance;
(c) The Applicant will provide relocation assistance programs offering the services described in 42 U.S.C.
4625 to such displaced families, individuals, partnerships, corporations, or associations in the manner
provided in 49 CFR part 24;
(d) Within a reasonable time before displacement, the Applicant will make available comparable
replacement dwellings to displaced families and individuals as required by 42 U.S.C. 4625(c)(3);
(e) The Applicant will carry out the relocation process in such manner as to provide displaced persons with •
uniform and consistent services, and will make available replacement housing in the same range of
choices with respect to such housing to all displaced persons regardless of race, color, religion, or
national origin;
(f) In acquiring real property, the Applicant will be guided to the greatest extent practicable under State law,
by the real property acquisition policies of 42 U.S.C. 4651 and 4652;
(g) The Applicant will pay or reimburse property owners for their necessary expenses as specified in 42
U.S.C. 4653 and 4654, with the understanding that FTA will provide Federal fmancial assistance for the
Applicant's eligible costs of providing payments for those expenses, as required by 42 U.S.C. 4631;
(h) The Applicant will execute such amendments to third party contracts and subagreements fmanced with
FTA assistance.and execute, famish, and be bound by such additional documents as FTA may determine
necessary to effectuate or implement the assurances provided herein; and
(i) The Applicant agrees to make these assurances part of or incorporate them by reference into any third
parry contract or subagreement, or any amendments thereto, relating to any project fmanced by FTA
involving relocation or land acquisition and provide in any affected document that these relocation and
land acquisition provisions shall supersede any conflicting provisions;
(7) To the extent applicable, will comply with the Davis-Bacon Act, as amended, 40 U.S.C. 3141 et seg., the
Copeland "Anti-Kickback" Act, as amended, 18 U.S.C. 874, and at 40 U.S.C. 3145, and the Contract Work
Hours and Safety Standards Act, as amended, 40 U.S.C. 3701 et seq., regarding labor standards for federally
assisted projects;
(8) To the extent applicable, will comply with the flood insurance purchase requirements of section 102(a) of the
Flood Disaster Protection Act of 1973, as amended, 42 U.S.C. 4012a(a), requiring the Applicant and its
subrecipients in a special flood hazard area to participate in the program and purchase flood insurance if the
total cost of insurable construction and acquisition is $10,000 or more;
(9) To the extent applicable, will comply with the Lead-Based Paint Poisoning Prevention Act, 42 U.S.C. 4831(b),
which prohibits the use of lead-based paint in the construction or rehabilitation of residence structures;
(10) To the extent applicable, will not dispose of, modify the use of, or change the terms of the real property title or
other interest in the site and facilities on which a construction project supported with FTA assistance takes •
place without permission and instructions from FTA;
4
State Fiscal Year 2011 Community Transportation Programs
Federal and State Assistance Certifications and Assurance
• (11) To the extent required by FTA, will record the Federal interest in the title of real property, and will include a
covenant in the title of real property acquired in whole or in part with Federal assistance funds to assure
nondiscrimination during the useful life of the project;
(12) To the extent applicable, will comply with FTA provisions concerning the drafting, review, and approval of
construction plans and specifications of any construction project supported with FTA assistance. As required
by U.S. DOT regulations, "Seismic Safety," 49 CFR 41.117(d), before accepting delivery of any building
financed with FTA assistance, it will obtain a certificate of compliance with the seismic design and
construction requirements of 49 CFR part 41;
(13) To the extent applicable, will provide and maintain competent and adequate engineering supervision at the
construction site of any project supported with FTA assistance to assure that the complete work conforms with
the approved plans and specifications, and will furnish progress reports and such other information as may be
required by FTA or the State;
(14) To the extent applicable, will comply with any applicable environmental standards that may be prescribed to
implement the following Federal laws and executive orders:
(a) Institution of environmental quality control measures under the National Environmental Policy Act of
1969, as amended, 42 U.S.C. 4321 through 4335 and Executive Order No. 11514, as amended, 42 U.S.C.
4321 note;
(b) Notification of violating facilities pursuant to Executive Order No. 11738, 42 U.S.C. 7606 note;
(c) Protection of wetlands pursuant to Executive Order No. 11990, 42 U.S.C. 4321 note;
(d) Evaluation of flood hazards in floodplains in accordance with Executive Order No. 11988, 42 U.S.C.
4321 note;
(e) Assurance of project consistency with the approved State management program developed pursuant to
the requirements of the Coastal Zone Management Act of 1972, as amended, 16 U.S.C. 1451"through
1465;
(f) Conformity of Federal actions to State (Clean Air) Implementation Plans under section 176(c) of the
Clean Air Act of 1955, as amended, 42 U.S.C. 7401 through 7671q;
(g) Protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as
• amended, 42 U.S.C. 300f through 300j-6;
(h) Protection of endangered species under the Endangered Species Act of 1973, as amended, 16 U.S.C.
1531 through 1544; and
(i) Environmental protections for Federal transportation programs, including, but not limited to, protections
for parks, recreation areas, or wildlife or waterfowl refuges of national, State, or local significance or any
land from a historic site of national, State, or local significance to be used in a transportation project as
required by 49 U.S.C. 303(b) and 303(c);
(j) Protection of the components of the national wild and scenic rivers systems, as required under the Wild
and Scenic Rivers Act of 1968, as amended, 16 U.S.C. 1271 through 1287; and
(k) Provision of assistance to FTA in complying with section 106 of the National Historic Preservation Act
of 1966, as amended, 16 U.S.C. 470f; with the Archaeological and Historic Preservation Act of 1974, as
amended, 16 U.S.C. 469 through 469c; and with Executive Order No. 11593 (identification and
protection of historic properties), 16 U.S.C. 470 note;
(15) To the extent applicable, will comply with the requirements of the Hatch Act, 5 U.S.C. 1501 through 1508 and
7324 through 7326, which limit the political activities of State and local agencies and their officers and
employees whose primary employment activities are financed in whole or part with Federal funds including a
Federal loan, grant agreement, or cooperative agreement except, in accordance with 49 U.S.C. 5307(k)(2) and
23 U.S.C. 142(g), the Hatch Act does not apply to a nonsupervisory employee of a public transportation
system (or of any other agency or entity performing related functions) receiving FTA assistance to whom that
Act does not otherwise apply;
(16) To the extent applicable, will comply with the National Research Act, Pub. L. 93-348, July 12, 1974, as
amended, 42 U.S.C. 289 et seq., and U.S. DOT regulations, "Protection of Human Subjects," 49 CFR part 11,
regarding the protection of human subjects involved in research, development, and related activities supported
by Federal assistance;
(17) To the extent applicable, will comply with the Animal Welfare Act, as amended, 7 U.S.C. 2131 et seq., and
U.S. Department of Agriculture regulations, "Animal Welfare," 9 CFR subchapter A, parts 1, 2, 3, and 4,
regarding the care, handling, and treatment of warm blooded animals held or used for research, teaching, or
• other activities supported by Federal assistance;
9
State Fiscal Year 2011 Community Transportation Programs
Federal and State Assistance Certifications and Assurance
~~
(18) Will have performed the financial and compliance audits as required by the Single Audit Act Amendments of •
1996, 31 U.S.C. 7501 et seq., OMB Circular A-133, "Audits of States, Local Governments, and Non-Profit
Organizations," Revised, and the most recent applicable OMB A-133 Compliance Supplement provisions for
the U.S. DOT; and
(19) To the extent applicable, will comply with all applicable provisions of all other Federal laws or regulations,
and follow Federal directives governing the project, except to the extent that FTA has expressly approved
otherwise in writing.
02. LOBBYING CERTIFICATION
An Applicant that submits an application to NCDOT for State or (FTA) Federal assistance exceeding $100, 000 is
required to provide the following certification. NCDOT may not award State or Federal assistance exceeding
$100, 000 until the Applicant provides this certification by selecting Category "02. "
A. As required by 31 U.S.C. 1352 and U.S. DOT regulations, "New Restrictions on Lobbying," at 49 CFR
20.110, the Applicant's authorized representative certifies to the' best of his or her lmowledge and belief that
for each application to FTA for Federal assistance exceeding $100,000:
(1) No Federal appropriated funds have been or will be paid by or on behalf of the Applicant to any person
to influence or attempt to influence an officer or employee of any Federal agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress regazding the
awazd of Federal assistance, or the extension, continuation,. renewal, amendment, or modification of any
Federal assistance agreement; and
(2) If any funds other than Federal appropriated funds have been or will be paid to any person to influence or
attempt to influence an officer or employee of any Federal agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in connection with any application for
Federal assistance, the Applicant assures that it will complete and submit Standard Form-LLL,
"Disclosure of Lobbying Activities," Rev. 7-97; and
(3) .The language of this certification shall be included in the awazd documents for all subawazds at all tiers •
(including subcontracts, subgrants, subagreements, and contracts under grants, loans (including a line of
credit), cooperative agreements, loan guarantees, and-loan insurance).
B. The Applicant understands that this certification is a material representation of fact upon which reliance is
placed by the Federal government and that submission of this certification is a prerequisite for providing
Federal assistance for a transaction covered by 31 U.S.C. 1352. The Applicant also understands that any
person who fails to file a required certification shall be subject to a civil penalty of not less than $10,000 and
not more than $100,000 for each such failure.
03. PROCUREMENT COMPLIANCE
In accordance with 49 CFR 18.36(p~(3)(ii), each Applicant that is a State, local, or Indian tribal government that
submits an application to NCDOT for State or (FTA) Federal assistance to acquire property or services in support
of its project is requested to provide the following certification by selecting Category "03. " NCDOT also requests
other Applicants to provide the following certification. NCDOT may not provide State or Federal assistance to an
applicant for State or Federal assistance, property or services in support of its project until the Applicant provides
this cert~cation by selecting Category "03. "
The Applicant certifies that its procurements and procurement system will comply with all applicable Federal laws
and regulations in accordance with applicable Federal directives.
04. PROTECTIONS FOR PRIVATE TRANSPORTATION PROVIDERS
Each Applicant that submits an application to NCDOT for State or Federal assistance authorized under 49 U.S.C.
chapter 53 to acquire any property or an interest in the property of a private provider of public transportation or to •
operate public transportation equipment or facilities in competition with, or in addition to, transportation service
State Fiscal Year 2011 Community Transportation Programs
Federal and State Assistance Certifications and Assurance
• provided by an existing private provider of public transportation is required to provide the following certtfication.
NCDOT may not award State or Federal assistance for such a project until the Applicant provides this cert f cation
by selecting Category "04. "
As required by 49 U.S.C. 5323(x)(1), the Applicant certifies that before it acquires the property or an interest in the
property of a private provider of public transportation or operates public transportation equipment or facilities in
competition with, or in addition to, transportation service provided by an existing public transportation company, it
has or will have:
A. Determined that the assistance is essential to carrying out a program of projects as required by 49 U.S.C. 5303,
5304, and 5306;
B. Provided for the participation of private companies engaged in public transportation to the maximum extent.
feasible; and
C. Paid just compensation under State or local law to the company for any franchise or property acquired.
O5. PUBLIC HEARING
An Applicant seeking State or Federal assistance authorized under 49 U.S.C. chapter 53 for a capital project that
will substantially affect a community or a community's public transportation service is required to provide the
following certiftcation. NCDOT may not award State or Federal assistance for a capital project of that type until the
Applicant provides this certification by selecting Category "OS."
As required by 49 U.S.C. 5323(b), for a proposed capital project that will substantially affect a community, or the
public transportation service of a community, the Applicant certifies that it has, or before submitting its application,
it will have:
A. Provided an adequate opportunity for public review and comment on the proposed project;
B. After providing notice, including a concise description of the proposed project, published in a newspaper of
general circulation in the geographic area to be served, held a public hearing on the project if the. project
affects significant economic, social, or environmental interests;
C. Considered the economic, social, and environmental effects of the proposed project; and
D. Determined that the proposed project is consistent with official plans for developing the community.
06. ACQUISITION OF ROLLING STOCK FOR USE IN REVENUE SERVICE
An Applicant seeking State or Federal assistance authorized under 49 U.S.C. chapter S3 to acquire any rolling stock
for use in revenue service is required to provide the following certiftcation. NCDOT may not award arty State or
Federal assistance to acquire such rolling stock until the Applicant provides this certification by selecting Category
"06. "
As required by 49 U.S.C. 5323(m) and implementing FTA regulations, "Pre-Award and Post-Delivery Audits of
Rolling Stock Purchases," 49 CFR part 663, at 49 CFR 663.7, the Applicant certifies that it will comply with the
requirements of 49 CFR part 663 as modified by amendments authorized by section 3023(k) of SAFETEA-LU when
procuring revenue service rolling stock. Among other things, the Applicant agrees to conduct or cause to be
conducted the requisite pre-award and post delivery reviews, and maintain on file the certifications required by 49
CFR part 663, subparts B, C, and D.
07. ACQUISITION OF CAPITAL ASSETS BY LEASE
An Applicant that intends to request the use of State or Federal assistance authorized under 49 U.S.C. chapter 53 to
acquire capital assets by lease is required to provide the following certifications. NCDOT may not provide State or
Federal assistance to support those costs until the Applicant provides this certification by selecting Category "07. "
11
•
State Fiscal Year 2011 Community Transportation Programs
Federal and State Assistance Certifications and Assurance
12
As required by FTA regulations, "Capital Leases," 49 CFR part 639, at 49 CFR 639.15(b)(1) and 44 CFR 639.21, if
the Applicant acquires any capital asset by lease fmanced with Federal assistance authorized under 49 U.S.C. •
chapter 53, the Applicant certifies as follows:
(1) It will not use Federal assistance authorized under 49 U.S.C. chapter 53 to fmance the cost of leasing any
capital asset until it performs calculations demonstrating that leasing the capital asset would be more cost-
effective than purchasing or constructing a similaz asset; and it will complete these calculations before entering
into the lease or before receiving a capital grant for the asset, whichever is later; and
(2) It will not enter into a capital lease for which FTA can provide only incremental Federal assistance unless it
has adequate fmancial resources to meet its future obligations under the lease if Federal assistance is not
available for capital projects in the subsequent years.
08. BUS TESTING
An Applicant for State or Federal assistance appropriated or made available for 49 U.S.C. chapter 53 to acquire
any new bus model or any bus model with a new major change in configuration or components is required to
provide the following certification. NCDOT may not provide State or Federal assistance for the acquisition of any
new bus model or bus model with a major change until the Applicant provides this certification by selecting
-Category "08. "
As required by 49 U.S.C. 5318 and FTA regulations, "Bus Testing," at 49 CFR 665.7, the Applicant certifies that,
before expending any Federal assistance to acquire the fast bus of any new bus model or any bus model with a new
major change in configuration or components, or before authorizing final acceptance of that bus (as described in 49
CFR part 665):
A. The bus model will have been tested at FTA's bus testing facility; and
B. The Applicant will have received a copy of the test report prepazed on the bus model.
09. CHARTER SERVICE AGREEMENT •
An Applicant seeking State or Federal assistance authorized under 49 U.SC. chapter 53 (except as permitted by 49
CFR 604.2), or under 23 U.S.C. 133 or 142, to acquire or operate arty public transportation equipment or facilities
is required to enter into the following Charter Service Agreement. NCDOT may not provide State or Federal
assistance authorized under 49 U.SC. chapter 53 (except as permitted by 49 CFR 604.2), or under 23 U.S.C.133 or
142, for such projects until the Applicant enters into this Charter Service Agreement by selecting Category "09. "
A. As required by 49 U.S.C. 5323(d) and (g) and FTA regulations at 49 CFR 604.4, the Applicant understands
and agrees that it and each subrecipient, lessee, third party contractor, or other participant in the project at any
tier may provide charter service for transportation projects that uses equipment or facilities acquired with
Federal assistance authorized under the Federal transit laws (except as permitted by 49 CFR 604.2), or under
23 U.S.C. 133 or 142, only in compliance with those laws and FTA regulations, "Charter Service," 49 CFR
part 604, the terms and conditions of which are incorporated herein by reference.
B. The Applicant understands and agrees that:
(1) The requirements of FTA regulations, "Charter Service," 49 CFR part 604, will apply to any charter
service it or its subrecipients, lessees, third party contractors, or other participants in the project provide,
(2) The definitions of FTA regulations, "Charter Service," 49 CFR part 604, will apply to this Charter
Service Agreement, and
(3) A pattern of violations of this Charter Service Agreement may require corrective measures and
imposition of remedies, including barring the Applicant, subrecipient, lessee, third party contractor, or
other participant in the project that has engaged in that pattern of violations from receiving State or FTA
financial assistance, or withholding an amount of State and/or Federal assistance as set forth in FTA
regulations, "Charter Service," 49 CFR part 604, Appendix D.
•
State Fiscal Year 2011 Community Transportation Programs
Federal and State Assistance Certifications and Assurance
• 10. SCHOOL TRANSPORTATION AGREEMENT
An Applicant that is seeking State or Federal assistance authorized under 49 U.S.C. chapter 53 or under 23
U.S.C.133 or 142 to acquire or operate public transportation facilities and equipment is required to enter into the
following School Transportation Agreement. NCDOT may not provide State or Federal assistance authorized under
49 U.S.C. chapter 53 or under 23 U.S.C.133 or 142 for such projects until the Applicant enters into this School
Transportation Agreement by selecting Category "10. "
A. As required by 49 U.S.C. 5323(fj and (g) and FTA regulations at 49 CFR 605.14, the Applicant understands
and agrees that it and each subrecipient, lessee, third party contractor, or other participant in the project at any
tier may engage in school transportation operations in competition with private school transportation operators
that uses equipment or facilities acquired with Federal assistance authorized under the Federal transit laws or
under 23 U.S.C. 133 or 142, only in compliance with those laws and FTA regulations, "School Bus
Operations," 49 CFR part 605, to the extent consistent with 49 U.S.C. 5323(f) or (g), the terms and conditions
of which are incorporated herein by reference.
B. The Applicant understands and agrees that:
(1) The requirements of FTA regulations, "School Bus Operations," 49 CFR part 605, to the extent
consistent with 49 U.S.C. 5323(f) or (g), will apply to any school transportation service it or its
subrecipients, lessees, third party contractors, or other participants in the project provide,
(2) The defmitions of FTA regulations, "School Bus Operations," 49 CFR part 605 will apply to this School
Transportation Agreement, and
(3) If there is a violation of this School Transportation Agreement, NCDOT will bar the Applicant,
subrecipient, lessee, third party contractor, or other participant in the project that has violated this School
Transportation Agreement from receiving State and/or Federal transit assistance in an amount NCDOT
considers appropriate.
• 11. DEMAND RESPONSIVE SERVICE
An Applicant that operates demand responsive service and applies for State or Federal assistance authorized under
49 U.S.C. chapter 53 to acquire non-rail public transportation vehicles is required to provide the following
certification. NCDOT may not award State or Federal assistance authorized under 49 U.S.C. chapter 53 to an
Applicant that operates demand responsive service to acquire non-rail public transportation vehicles until the
Applicant provides this certification by selecting Category "11. "
As required by U.S. DOT regulations, "Transportation Services for Individuals with Disabilities (ADA)," at 49 CFR
37.77(d), the Applicant certifies that its demand responsive service offered to individuals with disabilities, including
individuals who use wheelchairs, is equivalent to the level and quality of service offered to individuals without
disabilities. Viewed in its entirety, the Applicant's service for individuals with disabilities is provided in the most
integrated setting feasible and is equivalent with respect to: (1) response time, (2) fares, (3) geographic service area,
(4) hours and days of service, (5) restrictions on trip purpose, (6) availability of information and reservation
capability, and (7) constraints on capacity or service availability.
12. ALCOHOL NIISUSE AND PROHIBITED DRUG USE
An Applicant is required by FTA regulations, "Prevention of Alcohol Misuse and Prohibited Drug Use in Transit
Operations, " at 49 CFR part 65, to provide the following certification concerning its activities to prevent alcohol
misuse and prohibited drug use in its public transportation operations. NCDOT may not provide State or Federal
assistance to the Applicant until it provides this certification by selecting Category "12"
As required by FTA regulations, "Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations," at
49 CFR part 655, subpart I, the Applicant certifies that it has established and implemented an alcohol misuse and
anti-drug program, and has complied with or will comply with all applicable requirements of FTA regulations,
• "Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations," 49 CFR part 655.
13
State. Fiscal Year 2011 Community Transportation Programs 14
Federal and State Assistance Certifications and Assurance
13. INTELLIGENT TRANSPORTATION SYSTEMS •
An Applicant for State or (FTA) Federal assistance for an Intelligent Transportation Systems (ITS) project, defined
as arty project that in whole or in part finances the acquisition of technologies or systems of technologies that
provide or significantly contribute to the provision of one or more ITS user services as defined in the "National ITS
Architecture, " is requested to provide the following assurance. NCDOT strongly encourages arty Applicant for State
or (FTA) Federal financial assistance to support an ITS project to provides this assurance by selecting Category
"13. "An Applicant for NCDOT or FTA assistance for an I7S project that fails to provide this assurance, without
providing other documentation assuring the Applicant's commitment to comply with applicable State and/or Federal
ITS standards and protocols, may be determined ineligible for award of State/Federal assistance for the ITS project.
As used in this assurance, the term Intelligent Transportation Systems (ITS) project is defined to include any project
that in whole or in part finances the acquisition of technologies or systems of technologies that provide or
significantly contribute to the provision of one or more ITS user services as defined in the "National ITS
Architecture."
A. As provided in SAFETEA-LU section 5307(c), 23 U.S.C. 512 note, apart from certain exceptions, "intelligent
transportation system projects carried out using funds made available from the Highway Trust Fund, including
funds made available under this subtitle to deploy intelligent transportation system technologies, [shall]
conform to the national architecture, applicable standards or provisional standards, and protocols developed
under subsection (a) [of section 5307 of SAFETEA-LU]." To facilitate compliance with section 5307(c) of
SAFETEA-LU, 23 U.S.C. 512 note, the Applicant assures it will comply with all applicable provisions of
Section V (Regional ITS Architecture) and Section VI (Project Implementation) of FTA Notice, "FTA
National ITS Architecture Policy on Transit Projects," at 66 FR 1455 et seq., January 8, 2001, and other FTA
policies that may be issued in connection with any ITS project it undertakes financed with funds authorized
under Title 49 or Title 23, United States Code, except to the extent that FTA expressly determines otherwise in
writing.
B. With respect to any ITS project financed with Federal assistance derived from a source other than Title 49 or
Title 23, United States Code, the Applicant assures that it will use its best efforts to assure that any ITS project
it undertakes will not preclude interface with other intelligent transportation systems in the Region.
14. ELDERLY INDIVIDUALS AND INDIVIDUALS WITH DISABILITIES
FORMULA GRANT PROGRAM AND PILOT PROGRAM
The North Carolina Department of Transportation administers the Elderly Individuals and Individuals with
Disabilities Formula Program and, if applicable, the Elderly Individuals and Individuals with Disabilities Pilot
Program on behalf of itself and its Subrecipients and is required to provide the following certifications on behalf of
itself and each Subrecipient. NCDOT may not award assistance for the Elderly Individuals and Individuals with
Disabilities Formula Program or the Elderly Individuals and Individuals with Disabilities Pilot Program until the
Applicant provides these certifications by selecting Category "14. "
A. As required by 49 U.S.C. 5310(d), which makes the requirements of 49 U.S.C. 5307 applicable to the Elderly
Individuals and Individuals with Disabilities Formula Grant Program to the extent that the Federal Transit
Administrator or his or her designee determines appropriate, and 49 U.S.C. 5307(d)(1), the State or State
organization serving as the Applicant (State) and that administers, on behalf of the State, the Elderly
Individuals and Individuals with Disabilities Program authorized by 49 U.S.C. 5310, and, if applicable, the
Elderly Individuals and Individuals with Disabilities Pilot Program authorized by subsection 3012(b) of
SAFETEA-LU, 49 U.S.C. 5310 note, certifies and assures on behalf of itself and its Subrecipients as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or will have the legal, financial, and
technical capacity to carry out its proposed program of projects, including the safety and security aspects
of that program;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory continuing
control over the use of project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the project
equipment and facilities; •
10
State Fiscal Year 2011 Community Transportation Programs
Federal and State Assistance Certifications and Assurance
• (4) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in carrying out a procurement fmanced with
Federal assistance authorized under 49 U.S.C. 5310 or subsection 3012(b) of SAFETEA-LU: (1) will use
competitive procurement. (as defined or approved by FTA), (2) will not use exclusionary or
discriminatory specifications in its procurements, (3) will comply with applicable Buy America laws,
and (4) will comply with the general provisions for FTA assistance of 49 U.S.C. 5323 and the third party
procurement requirements of 49 U.S.C. 5325;
(5) The State has or will have available and will provide the amount of funds required by 49 U.S.C. 5310(c),
and if applicable by subsections 3012(b)(3) and (4) of SAFETEA-LU, for the local share, and that those
funds will be provided from approved non-Federal sources except as permitted by Federal law; and
(6) In compliance with 49 U.S.C. 5307(d)(1)(I-17, the Applicant will comply with: (1) 49 U.S.C. 5301(a)
(requirements for public transportation systems that maximize the safe, secure, and efficient mobility of
individuals, minimize environmental impacts, and minimize transportation-related fuel consumption and
reliance on foreign oil); (2) 49 U.S.C. 5301(d) (special efforts to design and provide public transportation
for elderly individuals and individuals with disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning
and private enterprise requirements);
B. The State assures that each subrecipient either is recognized under State law as a private nonprofit organization
with the legal capability to contract with the State to carry out the proposed project, or is a public body that has
met the statutory requirements to receive Federal assistance authorized for 49 U.S.C. 5310.
C. The private nonprofit subrecipient's application for 49 U.S.C. 5310 assistance contains information from
which the State concludes that the transit service provided or offered to be provided by existing public or
private transit operators is unavailable, insufficient, or inappropriate to meet the special needs of the elderly
and persons with disabilities.
D. ' In compliance with 49 U.S.C. 5310(d)(2)(A) and section 3012(b)(2) of SAFETEA-LU, the State certifies that,
before it transfers funds to a project funded under 49 U.S.C. 5336, that project has been or will have been
coordinated with private nonprofit providers of services under 49 U.S.C. 5310;
E. In compliance with 49 U.S.C. 5310(d)(2)(C), the State certifies that allocations to subrecipients of financial
assistance authorized under 49 U.S.C. 5310 or subsection 3012(b) of SAFETEA-LU will be distributed on a
• fair and equitable basis; and
F. In compliance with 49 U.S.C. 5310(d)(2)(B) and subsection 3012(b)(2) of SAFETEA-LU, the State certifies
that: (1) projects it has selected or will select for assistance under that program were derived from a locally.
developed, coordinated public transit-human services transportation plan; and (2) the plan was developed
through a process that included representatives of public, private, and nonprofit transportation and human
services providers and participation by the public.
15. NONURBANIZED AREA FORMULA PROGRAM FOR STATES
Each Applicant for Nonurbanized Area Formula Grant Program assistance authorized under 49 U.S.C. 5311 and
State Assistance is required to provide the following certifications. NCDOT may not award Federal assistance for
the Nonurbanized Area Formula Grant Program or State assistance until the Applicant provides these certifications
by selecting Category "1 S. "
The provisions of 49 U.S.C. 5311 establishing the Nonurbanized Area Formula Program for States do not impose,
as apre-condition of award, arty explicit certification or assurance requirements established spec~cally for that
program. Only a State or a State organization acting as the Recipient on beha f of a State (State) may be a direct
recipient of this Nonurbanized Area Formula Program assistance. Separate certifications and assurances (not
included herein) have been established for an Indian tribe that is a direct FTA Applicant for Tribal Transit Program
assistance authorized by 49 U.S.C. 5311(c)(1).
Before FTA may award Nonurbanized Area Formula Program assistance to a State, the U.S. Secretary of
Transportation or his or her designee is required to make the pre-award determinations required by 49 U.S.C.
5311. Because certain information is needed before FTA can make those determinations, each State is requested to
provide the following certifications and assurances on behalf of itself and its subrecipients. Unless FTA determines
otherwise in writing, the State itself is ultimately responsible for compliance with its certifications and assurances
• even though a subrecipient, lessee, third party contractor, or other participant may participate in that project.
Consequently, in providing certifications and assurances that involve the compliance of its prospective
15
11
State Fiscal Year 2011 Community Transportation Programs
Federal and State Assistance Certifications and Assurance
16
subrecipients, the State is strongly encouraged to take the appropriate measures, including but not limited to •
obtaining suj~cient documentation from each subrecipient, to assure the validity of all certifications and assurances
the State has made to FTA. A State that fails to provide these certifications and assurances on behalf of itself and its
subrecipients may be determined ineligible for a grant of Federal assistance under 49 U.S.C. 5311 ifFTA lacks
sujj <cient information from which to make those determinations required by Federal laws and regulations governing
the Nonurbanized Area Formula Program authorized by 49 U.S.C. 5311. The State and subrecipient must select
Category "(1 S). "
The State or State organization serving as the Applicant and that administers, on behalf of the State (State) the
Nonurbanized Area Formula Program for States authorized by 49 U.S.C. 5311, assures on behalf of itself and its
subrecipients as follows:
A. The State has or will have the necessary legal, financial, and managerial capability to apply for, receive, and
disburse Federal assistance authorized for 49 U.S.C. 5311; and to carry out each project, including the safety
and security aspects of that project;
B. The State has or will have satisfactory continuing control over the use of project equipment and facilities;
C. The State assures that.the project equipment and facilities will be adequately maintained;
D. In compliance with 49 U.S.C. 5311(b)(2)(C)(i), the State's program has provided for a fair distribution of
Federal assistance authorized for 49 U.S.C. 5311 within the State, including Indian reservations within the
State;
E. In compliance with 49 U.S.C. 5311(b)(2)(C)(ii), the State's program provides or will provide the maximum
feasible coordination of public transportation service to receive assistance under 49 U.S.C. 5311 with
transportation service assisted by other Federal sources;
F. The protects in the State's Nonurbanized Area Formula Program are included in the Statewide Transportation
Improvement Program and, to the extent applicable, the projects are included in a metropolitan Transportation
Improvement Program;
G. .The State has or will have available and will provide the amount of funds required by 49 U.S.C. 5311(g) for
the local share, and that those funds will be provided from approved non-Federal sources except as permitted
by Federal law; and •
H. In compliance with 49 U.S.C. 5311(f), the State will expend not less than fifteen (15) percent of its Federal
assistance authorized under 49 U.S.C. 5311 to develop and support intercity bus transportation within the
State, unless the chief executive officer of the State, or his or her designee, after consultation with affected
intercity bus service providers, certifies to the Federal Transit Administrator, apart from these certifications
and assurances herein, that the intercity bus service needs of the State are being adequately met.
16. JOB ACCESS AND REVERSE COMMUTE FORMULA GRANT PROGRAM
Each Applicant for Job Access and Reverse Commute (JARC) Formula Grant Program assistance authorized under
49 U.S.C. 5316 is required to provide the following cert f cations. NCDOT may not award Federal assistance for
the JARC Formula Grant Program until the Applicant provides these certifications by selecting Category "16. "
A. As required by 49 U.S.C. 5316(f)(1), which makes the requirements of 49 U.S.C. 5307 applicable to Job
Access and Reverse Commute (JARC) formula grants, and 49 U.S.C. 5307(d)(1), the Applicant for JARC
Formula Program assistance authorized under 49 U.S.C. 5316, certifies on behalf of itself and its subrecipients,
if any, as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or will have the legal, financial, and
technical capacity to carry out its proposed program of projects, including the safety and security aspects
of that program;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory continuing
control over the use of project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the project
equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(D), the Applicant will assure that any elderly individual, any
individual with disabilities, or any person presenting a Medicare card issued to himself or herself
pursuant to title II or title XVIII of the Social Security Act (42 U.S.C. 401 et seq. or 42 U.S.C. 1395 et
seq.), will be charged for transportation during non-peak hours using or involving a facility or equipment
12
•
•
State Fiscal Year 2011 Community Transportation Programs
Federal and State Assistance Certifications and Assurance
of a project financed with Federal assistance authorized under 49 U.S.C. 5316 not more than fifty (50)
percent of the peak hour fare;
(5) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in carrying out a procurement financed with
Federal assistance authorized under 49 U.S.C. 5316: (1) will use competitive procurement (as defined or
approved by FTA), (2) will not use exclusionary or discriminatory specifications in its procurements, (3)
will comply with applicable Buy America laws, and (4) will comply with the general provisions for FTA
assistance of 49 U.S.C. 5323 and the third party procurement requirements of 49 U.S.C. 5325;
(6) In compliance with 49 U.S.C. 5316(f)(1) and 49 U.S.C. 5307(d)(1)(F), the Applicant certifies that (1)
with respect to financial assistance authorized under 49 U.S.C. 5316, it will conduct in cooperation with
the appropriate MPO an areawide solicitation for applications, and make awards on a competitive basis
and (2) with respect to financial assistance authorized under 49 U.S.C. 5316, it will conduct a statewide
solicitation for applications, and make awards on a competitive basis; and that these activities will be
carried out in a manner that complies with or will comply with 49 U.S.C. 5307(c);
(7) The Applicant has or will have available and will provide the amount of funds required by 49 U.S.C.
5316(h) for the local share, and that those funds will be provided from approved non-Federal sources
except as permitted by Federal law;
(8) In compliance with 49 U.S.C. 5307(d)(1)(I-n, the Applicant will comply with: (1) 49 U.S.C. 5301(a)
(requirements for public transportation systems that maximize the safe, secure, and efficient mobility of
individuals, minimize environmental impacts, and minimize transportation-related fuel consumption and
reliance on foreign oil); and (2) 49 U.S.C. 5301(d) (special efforts to design and provide public
transportation for elderly individuals and individuals with disabilities); and (3) 49 U.S.C. 5303 through
5306 (planning and private enterprise requirements).
B. In compliance with 49 U.S.C. 5316(d), the Applicant certifies that (1) with respect to financial assistance
authorized under 49 U.S.C. 5316(c)(1)(A), it will conduct in cooperation with the appropriate MPO an
areawide solicitation for applications, and make awards on a competitive basis and (2) with respect to financial
assistance authorized under 49 U.S.C. 5316(c)(1)(B) or 49 U.S.C. 5316(c)(1)(C), it will conduct a statewide
solicitation for applications, and make awards on a competitive basis;
C. In compliance with 49 U.S.C. 5316(f)(2), the Applicant certifies that any allocations to subrecipients of
financial assistance authorized under 49 U.S.C. 5316 will be distributed on a fair and equitable basis;
D. In compliance with 49 U.S.C. 5316(g)(2), the Applicant certifies that, before it transfers funds to a project
funded under 49 U.S.C. 5336, that project has been or will have been coordinated with private nonprofit
providers of services;
E In compliance with 49 U.S.C. 5316(g)(3), the Applicant certifies that: (1) the projects it has selected or will
select for assistance under that program were derived from a locally developed, coordinated public transit-
. human services transportation plan; and (2) the plan was developed through a process that included
representatives of public, private, and nonprofit transportation and human services providers and participation
by the public; and
F. In compliance with 49 U.S.C. 5316(c)(3), before the Applicant uses finding apportioned under 49 U.S.C.
5316(c)(1)(B) or (C) for projects serving an area other than that specified in 49 U.S.C. 5316(2)(B) or (C), the
Applicant certifies that the chief executive officer of the State, or his or her designee will have certified to the
Federal Transit Administrator, apart from these certifications herein, that all of the objectives of 49 U.S.C.
5316 are being met in the area from which such funding would be derived.
17. NEW FREEDOM PROGRAM
•
Each Applicant for New Freedom Program assistance authorized under 49 U.S.C. 5317 must provide the following
certifications. NCDOT may not award Federal assistance for the New Freedom Program until the Applicant
provides these certifications. by selecting Category "17. "
A. As required by 49 U.S.C. 5317(e)(1), which makes the requirements of 49 U.S.C. 5310 applicable to New
Freedom grants to the extent the Federal Transit Administrator or his or her designee determines appropriate,
by 49 U.S.C. 5310(d)(1), which makes the requirements of 49 U.S.C. 5307 applicable to Elderly Individuals
and Individuals with Disabilities Formula grants to the extent the Federal Transit Administrator or his or her
designee determines appropriate, and by 49 U.S.C. 5307(dxl), the Applicant for New Freedom Program
17
13
State Fiscal Year 2011 Community Transportation Programs 1 8
Federal and State Assistance Certifications and Assurance
assistance authorized under 49 U.S.C. 5317 certifies and assures on behalf of,itself and its subrecipients, if •
any, as follows:
(1) In compliance with 49 U.S.C. 5307(d)(1)(A), the Applicant has or will have the legal, fmancial, and
technical capacity to carry out its proposed program of projects, including the safety and security aspects
of that program;
(2) In compliance with 49 U.S.C. 5307(d)(1)(B), the Applicant has or will have satisfactory continuing
control over the use of project equipment and facilities;
(3) In compliance with 49 U.S.C. 5307(d)(1)(C), the Applicant will adequately maintain the project
equipment and facilities;
(4) In compliance with 49 U.S.C. 5307(d)(1)(E), the Applicant, in carrying out a procurement financed with
Federal assistance authorized under 49 U.S.C. 5317: (1) will use competitive procurement (as defined or
approved by FTA), (2) will not use exclusionary or discriminatory specifications in its procurements, (3)
will comply with applicable Buy America laws, and (4) will comply with the general provisions for FTA
assistance of 49 U.S.C. 5323 and the third party procurement requirements of 49 U.S.C. 5325;
(5) The Applicant has or will have available and will provide the amount of funds required by 49 U.S.C.
5317(g) for the local share, and that those funds will be provided from approved non-Federal sources .
except as permitted by Federal law; and
(6) In compliance with 49 U.S.C. 5307(d)(1)(IT), the Applicant will comply with: (1) 49 U.S.C. 5301(a)
(requirements for public transportation systems that maximize the safe, secure, and efficient mobility of
individuals, minimize environmental impacts, and minimize transportation-related fuel consumption and
reliance on foreign oil); (2) 49 U.S.C. 5301(d) (special efforts to design and provide public transportation
for elderly individuals and individuals with disabilities); and (3) 49 U.S.C. 5303 through 5306 (planning
and private enterprise requirements);
B. In compliance with 49 U.S.C. 5317(d), the Applicant certifies that (1) with respect to fmancial assistance
authorized under 49 U.S.C. 5317(c)(1)(A), it will conduct in cooperation with the appropriate MPO an
areawide solicitation for applications, and make awards on a competitive basis and (2) with respect to fmancial
assistance authorized under 49 U.S.C. 5317(c)(1)(B) or 49 U.S.C. 5317(c)(1)(C), it will conduct a statewide
solicitation for applications, and make awards on a competitive basis; •
C. In compliance with 49 U.S.C. 5317(f}(2), the Applicant certifies that, before it transfers funds to a project
funded under 49 U.S.C. 5336, that project has been or will have been coordinated with private nonprofit
providers of services;
D. Incompliance with 49 U.S.C. 5317(e)(2), the Applicant certifies that any allocations to subrecipients of
financial assistance authorized under 49 U.S.C. 5317 will be distributed on a fair and equitable basis; and
E. In compliance with 49 U.S.C. 5317(f)(3), the Applicant certifies that: (1) projects it has selected or will select
for assistance under that program were derived from a locally developed, coordinated public transit-human
services transportation plan; and (2) the plan was developed through a process that included representatives of
public, private, and nonprofit transportation and human services providers and through participation by the
public.
18. NORTH CAROLINA DEPARTMENT OF TRANSPORTATION
PUBLIC TRANSPORTATION DIVISION VEHICLE USE
The Applicant agrees that all vehicles purchased with State and/or Federal funds, including existing vehicles and
any vehicles purchased in the future, shall only be used for the provision ofpublic transportation services
(Revenue). Staff members shall not use arty vehicles purchased with State and/or Federal funds for other purposes
including administrative.
##
Selection and Signature Page(s) follow
•
14
i•
State Fiscal Year 2011 Community Transportation Programs
Federal and State Assistance Certifications and Assurance
FEDERAL (FTA) AND STATE (NCDOT) CERTIFICATIONS AND ASSURANCES FOR
COMMUNITY TRANSPORTATION PROGRAMS
STATE FISCAL YEAR 2011
Legal Name of Applicant:
The Applicant agrees to comply with applicable provisions of Categories Ol -18. ^
Accept
OR
The Applicant agrees to comply with the applicable provisions of the following Categories it has selected:
Category Description Accept
O1. Assurances Required For Each Applicant. ^
02. Lobbying. ^
03. Procurement Compliance. ^
04. Protections for Private Providers of Public Transportation. ^
O5. Public Hearing. ^
06. Acquisition of Rolling Stock for Use in Revenue Service. ^
• 07. Acquisition of Capital Assets by Lease. ^
08. Bus Testing. ^
09. Charter Service Agreement. ^
10. School Transportation Agreement. ^
11. Demand Responsive Service. ^
12. Alcohol Misuse and Prohibited Drug Use. ^
13. Intelligent Transportation Systems. ^
14. Elderly Individuals and Individuals with Disabilities Formula Program and Pilot Program. ^
15. Nonurbanized Area Formula Program. ^
16. Job Access and Reverse Commute Program. ^
17. New Freedom Program.' ^
18. Prohibited Use of FederaUState Funded Vehicles. ^
•
19
15
State Fiscal Yeaz 2011 Community Transportation Programs
Federal and State Assistance Certifications and Assurance
20
STATE FISCAL YEAR 2011 •
FEDERAL/STATE CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE
(Required of all Applicants)
AFFIRMATION OF APPLICANT
Legal Name of Applicant:
Name .and Relationship of Authorized Representative:
BY SIGNING BELOW, on behalf of the Applicant, I declare that the Applicant has duly authorized me to make
these certifications and assurances and bind the Applicant's compliance. Thus, the Applicant agrees to comply with
all Federal statutes and regulations, and follow applicable Federal directives, and comply with the certifications and
assurances as indicated on the foregoing page applicable to each application it makes to the Federal Transit
Administration (FTA) and for State assistance in State Fiscal Year 2011.
The State of North Carolina and FTA intend that the certifications and assurances the Applicant selects on the
preceding certifications and assurances category selection page, as representative of the certifications and assurances
in this document, should apply, as provided, to each project for which the Applicant seeks now, or may later, seek
State or FTA assistance during State Fiscal Year 2011.
The Applicant affirms the truthfulness and accuracy of the certifications and assurances it has made in the
statements submitted herein with this document and any other submission made to the State and FTA, and
acknowledges that the Program Fraud Civil Remedies Act of 1986, 31 U.S.C. 3801 et seq., and implementing
U.S. DOT regulations, "Program Fraud Civil Remedies," 49 CFR part 31 apply to any certification, assurance or
submission made to the State and FTA. The criminal provisions of 18 U.S.C. 1001 apply to any certification, •
assurance, or submission made in connection with a Federal public transportation program authorized in 49 U.S.C.
chapter 53 or any other statute.
In signing this document, I declare under penalties of perjury that the foregoing certifications and assurances, and
any other statements made by me on behalf of the Applicant are true and correct.
Signature of Authorized Official
Name/Title of Authorized Official
Date Signed
16
State Fiscal Year 2011 Community Transportation Programs 21
Federal and State Assistance Certifications and Assurance
• AFFIRMATION OF APPLICANT'S ATTORNEY
For (Legal Name of Applicant):
As the undersigned Attorney for the above named Applicant, I hereby affirm to the Applicant that it has authority
under State, local, or tribal government law, as applicable, to make and comply with the certifications and
assurances as indicated on the foregoing pages. I further affirm that, in my opinion, the certifications and assurances
have been legally made and constitute legal and binding obligations on the Applicant.
I further affirm to the Applicant that, to the best of my knowledge, there is no legislation or litigation pending or
imminent that might adversely affect the validity of these certifications and assurances, or of the performance of the
project.
Signature of Attorney for Applicant
Name of Attorney for Applicant
Date Signed
Each Applicant for State or FTA financial assistance and each State or FTA Grantee with an active capital or
formula project must provide an Affirmation of Applicant's Attorney pertaining to the Applicant's legal capacity.
• The Applicant may enter its signature in lieu of the Attorney's signature, provided the Applicant has on file this
Affnmation, signed by the attorney and dated this State fiscal year.
•
17
FY2011 Community Transportation Program (CTP) Grant Application 2 2
PROPOSED PROJECT BUDGET
ADMINISTRATIVE EXPENSES (Dept. 4521
icant IOra
Project Nbr: 11-CT-056
•
Object
Code Title
Total Cost Maximum
Partici ation
G120 -Salaries and Wages
G121 Full-time employees $111,698 $0
G122 Overtime
G125 Part-time (receives benefits) $0 $0
G126 Temporary and part-time (receives no benefits) $0 $0
G127 Longevity $2,071
Subtotal Salaries: $113,769 $0
G180 - Fringe Benefits
G181 Social security contribution (7.65% of total salaries) _ $8,703 $0
G182 Retirement contribution; total salaries X articipating percentage -
111,819 X 6.430% $7,190
G183 Hos italization insurance; ins: cost/month X the no. of employees.
499 X 2.25 '$13,473
G184 Disabili insurance; cost/month X the no. of employees.
t
---
::: X , 2.25 $0
G185 Unemployment compensation
G186 Workers compensation
G189 Other: Dental Insurance., Life Insurance - $945
Subtotal Fringe: $30,311 $0
TOTAL SALARY 8 FRINGE: $1?}4,080 $0
G190 - Professional Services
G191 Accounting
G192 Legal $250
G195 Management consultant contract (Admin only)
G196 Drug & Alcohol Testing Contract
G197 Drug & Alcohol Tests <$500
Provide # of employees in test pool: 24.
G198 Medical Review Officer
,..
G199 Other:
G200 - Supplies and Materials
G211 Janitorial supplies $250
G212 Uniforms
G261 Office supplies and materials :$2;600
G281 Air conditioner / Furnace filters
G291 Computer supplies
G300 -Travel and Transportation (other than employee development)
G311 Travel: Anticipated trips: NCPTA & NCDOT conferences, training $600
G312 Travel subsistence $6.70
G314 Vehicle rental (does not include vehiGes for providing contracted services)
Administrative Budget
Page 3
Project Nbr: 1.1-CT=05Q$
i•
i•
PROPOSED PROJECT BUDGET
ADMINISTRATIVE EXPENSES (Dept. 4521)
into
Object Maximum
Code Title Total Cost Partici ation
G320 -Communications
G321 Telephone service (includes mo. phone, modem, fax and cellular service) $3,600
G322 Internet Service Provider Fee-Name:
G323 Combined Service Fee
G325 Postage $825
G329 Other:
G330 - Utilities
G331 Electricity $4,000
G332 Fuel oil
G333 Natural Gas
G334 Water
G335 Sewer
G336 Trash collection
G337 Single/combined utility bill
G339 Other: -
G340 - Printing and Binding
G341 Printing and reproduction $2,000
G349 Other: , ;
G350 - Repairs and Maintenance
G355 OfFce and computer equipment ,$300
G357 Communications equipment $1,500
,;
G359 Other:
G380 -Computer Support Services (contracted)
G381 Computer programming services
G382 Computer support/technical assistance $6,900
G390 - Other Services
G391 .Legal advertising $400
G393 Temporary Help
G394 Cleaning services
G395 Training -Employee Education Expense '$1,000
G396 Management services (contracted transit system mgmt/admin services)
G398 Security services .
G399 Other. , . ` , :: ,
G410 - Rental of Real Property (include copy of current lease agreement)
G412 Rent of building X number of a ments annually
-~ _ $609:50 X 12 ~ $7,314
G413 Rent of offices X number of a ments annually
~~ X ~ $0
G419 Other:
Administrative Budget
Page 4
Project Nbr: ` 11-CT-054
PROPOSED PROJECT BUDGET.
ADMINISTRATIVE EXPENSES (Dept. 4521
Object
Code Title
G420 -Service and Maintenance Contracts
G422 Lease of Computer Software
G430 - Lease of Equipment
G431 Lease of Reproduction equipment
G432 Lease of Postage Meter
G433 Lease of Communications equipment (includes radio, cable lines and
antennae)
G439 Other:
G440 - Service and Maintenance Contracts
G441 Communications equipment
G442 Office equipment
G443 Reproduction equipment
G445 Computer equipment
G449 Other. Fire extinguishers
G450 - Insurance and Bonding (Vehicle Insurance moved to bottom of form)
G451 Property and general liability (does not include vehicle insurance)
G454 Professional liabilities
G455 Special liabilities
G480 - Indirect Costs
G481 Central SeNICeS: (CTP2010 budget direct cost base) X (percentage rate)
X Mazimum'Eligible - S0
prior approval of Indirect Cost Percentage Rate required.
2uestions should be directed to Financial Management
G490 -Other Fixed Charges
G491 Dues and subscriptions
Describe: NCPTA : ~..
SUBTOTAL ADMINISTRATIVE EXPENSES:
Complete budget request for above line items before continuing I
G370 -Advertising/Promotion
Marketing (paid ads, marketing firm, etc.)
G371 ~ Requested ,$3,638
Describe:
Marketing (paid ads, marketing firm, etc.)
G371 ~ Approved
Total Cost
1
Maximum
•i
Administrative Budget
Page 5
Project Nbr: 11-CT-05@
PROPOSED PROJECT BUDGET
ADMINISTRATIVE EXPENSES De t. 4521
Applicant Orange County.
object
Code Title
Promotional items
G372 --- Requested
Describe:
Promotional items
G372 ~ Approved
G450 - Insurance and Bonding
Vehicle Ins
Total Cost
NCDOT
Maximum
G452 -- Requested ~ Maximum Amount $0
Vehicle Ins
G452 -- Approved 0 Maximum Amount $0
TOTAL SALARIES 8 FRINGES: , $144,080 $0
TOTAL OTHER ADMINISTRATIVE EXPENSES: $41,445 $0
TOTAL ALL ADMINISTRATIVE EXPENSES: $185,525 $o
$910
Administrative Budget
Page 6
FY2011 Community Transportation Program (CTP) Grant Application 26
Project Nbr: 11-CT-056
CAPITAL BUDGET SUMMARY ~,
Legal Name of Applicant: Orange County
Applicant's Federal Taxpayer Identification Number: 56-6000327
Period of Performance: July 1, 2010 -June 30, 2011
I. Total Project Expenditures
(NCDOT Maximum Participation Amounts)
Replacement Vehicles
Expansion Vehicles
Other Capital Expenses
Baseline Technology Expenses
NCDOT
Requested Approved
Total $ 209,5tl0 $ 0
. .
II" Funding ,(Do not complete this section'='NC,DOT only) `
Total Federal NCDOT Local
100% 0% 90% 10%
CAPITAL 0 0 0 0
(State funding only)
100% 80% 10% 10%
CAPITAL 0 0 0 0
(Federal/State funding)
Capital Budget
Page 1