HomeMy WebLinkAboutRES-2012-008 Resolution authorizing the submission of grant application for the Community Transportation Program for FY 2013
COMMUNITY TRANSPORTATION PROGRAM RESOLUTION
Section 5311
FY 2013 RESOLUTION
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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.
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A mOtlOn W2S .made by (Board Member's Name 8nd SeC011d2d (Board Member's Name or N/A, if not requir~- for the
adoption of the following resolution, and upon being put to a vote was duly adopted.
WHEREAS, Article 2B 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, (t_egal Name ofApplicanr) Orange County hereby assures and certifies that it will provide the required
local matching funds; that its staff has the technical capacity to implement and manage the project, prepare
required reports, obtain required training, attend meetings and conferences; and agrees to 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 (Authorized Official's Title)* Chair, Of (Name of Applicant's Governing Body)
Orange County Board of Countv Commissioners is hereby authorized to submit a grant application for federal and
state funding, make the necessary assurances and certifications and be empowered to enter into an agreement
with the NCDOT to provide rural public transportation services.
(Certifying Official's Name)* Bernadette Pelissier (certifying official's Title) Chair, Orange County Commissioners do hereby
.certify that the above is a true and correct copy of an excerpt from the minutes of a meeting of the (Name ofApplicant's
Governing Board) Orange County Board of County Commissioners duly held on the 24 day of January, 2013.
Signature of Certifying Official
*Nofe that the authorized official, certifying official, and notary public should be three separate individuals.
Seal Subscribed and sworn to me (dare) ~ - f -- ,ZU 102 Affix Notary Seal Here
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Printed Name and Address %O """ 1
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State Fiscal Year 2013 Public Transportation Programs
Federal and State Assistance Certifications and Assurances
FEDERAL (FTA) AND STATE (NCDOT) CERTIFICATIONS AND ASSURANCES FOR
PUBLIC TRANSPORTATION PROGRAMS
STATE FISCAL YEAR-2013
Before the North Carolina Department of Transportation (NCDOT) may award Federal and/or State transit
assistance funds to support a project, each Subrecipient must provide certain certifications and assurances required
by Federal/State law or regulation. You must provide all certifications and assurances required to support
applications for FTA/NCDOT funding during Federal fiscal year (FFY) 2012.
We regzrest that you read each certification and assurance carefully and select all certifications and assurances that
might apply to all projects for which you might seek FTA/NCDOT funding. We can award FTA/NCDOT funding for
your project only if you provide adequate certifications and assurances as required by Federal/State law or
regulation.
We have consolidated our certifications and assurances into 18 groups. At a minimum, you must provide the
assurances in Category 01. Depending on the nature of the Subrecipient and its project, the Subrecipient may need
to provide some of the certifications and asszrrances r.'n Categor°ies 03 through 18. However, instead of selecting
individual groups of certifications and assurances, you may make a single selection that will encompass all groups
of certifications and assurances applicable to all FTA/NCDOT programs. NCDOT and the Subrecipient understand
and agree that not every provision of these certifications and assurances will apply to every Subrecipient or every
project we fund. The type of project and Subrecipient will determine which certifications and assurances apply.
The Subrecipient also understands and agrees that these certifications and assurances are special pre-award
requirements and do not include all Federal/NCDOT requirements that may apply to the Subrecipient or its project.
The FTA Master Agreement MA(18) for Federal Fiscal Year 2012, http: //ri~ww.~a. dot. gov/doczrnzents/I S-Master. pdf,
contains a Zist of most of those requirements.
Except in limited circumstances, the Szbrecipient is ultimately responsible for compliance with the certifications and
assurances that apply to itself or its project irrespective of Subrecipient participation in the project. Because many
FFY 2012 certifications and assurances will require Subrecipient compliance, we strongly recommend that you take
appropriate measures to assure the validity of your certifications and assurances. The Subrecipient understands and
agrees that when applying for funding on behalf of a consortium, joint venture, partner°ship, or team, each member
of that consortium, joint venture, partnership, or team is responsible for compliance with the certifications and
assurances that the Subrecipient selects.
Note that by an opinion of the North Carolina Attorney General 's off ce, all Federal requirements have been passed
down to State funded assistance.
The Applicant must submit its certifications and asszrrances by completing and submitting the selection and
signature pages at the end of this doczrment: 1) Certifications and Assurances selection page; 2) Aff rmation of
Applicant; 3) Affirmation of Applicant's Attorney; 4) Certifications and Restrictions on Lobbying; and
S) Certification of Equivalent Service.
O1. ASSURANCES REQUIRED FOR EACH APPLICANT
Each Subrecipient of FTA assistance awarded to NCDOT and each Szbrecipient of State assistance- must provide all
assurances in this Category "Ol. " NCDOT may not award any 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 Applicant's attorney who sign these certifications,
assurances, and agreements, affirm that both the Applicant and its authorized representative may, under North
State Fiscal Year 2013 Public Transportation Programs
Federal and State Assistance Certifications and Assurances
Carolina, local, or Indian tribal law and regulations, and the Applicant's by-laws or internal rules, undertake the
following activities on behalf of the Applicant: J
1. Execute and file its application for FederaUState funds;
2. Execute and file its certifications, assurances, and agreements binding its compliance, and
3. Execute Grant Agreements or Cooperative Agreements, or both, with NCDOT.
B. Standard Assurances
The Applicant assures that:
1. It has sufficient authority under North Carolina, local, or Indian tribal law, regulations by-laws and internal
rules to carry out each FTA/NCDOT funded project as required by FederaUState laws and regulations;
2. It will comply with all applicable FederaUState statutes and regulations to carry out any FTA/NCDOT funded
project;
3. It is under a continuing obligation to comply with the terms and conditions of the NCDOT Grant Agreement
for the project, including the FTA Master Agreement incorporated by reference and made part of the latest
amendment to Grant Agreement;
4. It recognizes that Federal/State laws and regulations may be modified from time to time and those
modifications may affect project implementation;
5. It understands that executive orders of the President of the United States or the Governor of the State of North
Carolina and FederaUState directives, including Federal/State policies and program guidance, may be issued
concerning matters affecting the Applicant or its project; and
6. It agrees that the most recent FederaUState laws, regulations, and directives will apply to the project, unless
NCDOT determines otherwise in writing.
C. Intergovernmental Review Assurance
The Applicant assures that it has or will submit each FederaUState funding application to the appropriate State and
local agencies for intergovernmental review to facilitate compliance with U.S. Department of Transportation (U.S.
DOT) regulations, "Intergovernmental Review of Department. of Transportation Programs and Activities," 49 CFR
part 17.
D. Nondiscrimination Assurance.
1. The Applicant assures that it will comply with the following laws and regulations so that no person in the
United States will be denied the benefits of, or otherwise be subjected to discrimination in any U.S. DOT or
FTA/NCDOT funded program or activity (particularly in the level and quality of transportation services and
transportation-related benefits on the basis of race, color, national origin, creed, sex, or age:
a. Federal transit law, specifically 49 U.S.C. 5332 (prohibiting discrimination on the basis of race, color, _
creed, national origin, sex, or age, and in employment or business opportunity),
b. Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000d, and
c. 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.
2. As required by 49 CFR 21.7, the Applicant assures that:
a. It will comply with 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR part 21 in the manner:
(1) It cq~ducts each project,
(2) It undertakes property acquisitions, and
(3) It operates the project facilities, including:
(a) Its entire facilities, and
(b) Its facilities operated in connection with its project,
b. This assurance applies to its entire project and entire facilities, including facilities operated in connection
with its project,
c. It will promptly take the necessary actions to carry out this assurance, including:
(1) Notifying the public that discrimination complaints about transportation-related services or benefits
maybe filed with U.S. DOT or FTA/NCDOT, and
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Federal and State Assistance Certifications and Assurances
(2) Submitting information about its compliance with these provisions to U.S. DOT or FTA/NCDOT
upon their request,
d. If it transfers FTA/NCDOT funded real property, structures, or improvements to another party, any deeds
and instruments recording that transfer will contain a covenant running with the land assuring
non discrimination:
(1) While the property is used for the purpose that the FederaUState funding is extended,
(2) While the property is used for another purpose involving the provision of similar services or benefits,
e. The United States has a right to seek judicial enforcement of any matter arising under:
(1) Title VI of the Civil Rights Act, 42 U.S.C. 2000d,
(2) U.S. DOT regulations, 49 CFR part 21, and
(3) This assurance,
f. It will make any changes in its Title VI hnplementing procedures as U.S. DOT or FTA/NCDOT may
request to comply with:
(1) Title VI of the Civil Rights Act, 42 U.S.C. 2000d,
(2) U.S. DOT regulations, 49 CFR part 21, and
(3) Federal transit law, 49 U.S.C. 5332,
g. It will extend the requirements of 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49 CFR part 21 to each third
party participant, including:
\
(1) Any subrecipient,
(2) Any transferee,
(3) Any third party contractor or subcontractor at any tier, \
(4) Any successor in interest,
(5) Any lessee, or
(6) Any other participant in the project,
h. It will include adequate provisions to extend the requirements of 49 U.S.C. 5332, 42 U.S.C. 2000d, and 49
CFR part 21 to each third party agreement, including:
(1) Each subagreement,
(2) Each property transfer agreement,
(3) Each third party contract or subcontract at any tier,
(4) Each lease, or
(5) Each participation agreement,
i. The assurances it has made will remain in effect for the longest of the following:
(1) As long as Federal/State funding is extended to the project,
(2) As long as the Project property is used for a purpose for which the FederaUState funding is extended,
(3) As long as the Project property is used for a purpose involving the provision of similar services or
benefits, or
(4) As long as the Applicant retains ownership or possession of the project property.
E. Assurance of Nondiscrimination on the Basis of Disability.
The Applicant assures that it and its project implementation and operations will comply with all applicable
requirements of:
a. The Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, et seq.,
b. The Americans with Disabilities Act of 1990, as amended, 42 U.S.C. 12101 et seq.,
c. U.S. DOT regulations, specifically 49 CFR parts 27, 37, and 38, and
d. Any other applicable FederaUState laws that may be enacted or FederaUState regulations that may be
promulgated,
As required by U.S. DOT regulations, "Nondiscrimination on the Basis of Handicap in Programs and
Activities Receiving or Benefiting from Federal Financial Assistance," 49 CFR part 27, specifically 49 CFR
27.9, the Applicant assures that:
a. The following prohibition against discrimination on the basis of disability is a condition to the approval or
extension of any FTA/NCDOT funding awarded to:
(1) Construct any facility,
(2) Obtain any rolling stock or other equipment,
(3) Undertake studies,
(4) Conduct research, or
State Fiscal Year 2013 Public Transportation Programs
Federal and State Assistance Certifications and Assurances
(5) Participate in or obtain any benefit from any FTA/NCDOT administered program,
b. In any program or activity receiving or benefiting from FederaUState funding FTA/NCDOT or any entity
within U.S.DOT administers, no otherwise qualified people with a disability will, because of their
disability, be:
(1) Excluded from participation,
(2) Denied benefits, or
(3) Otherwise subjected to discrimination.
F. Suspension and Debarment.
1. U.S. DOT regulations, "Nonprocurement Suspension and Debarment," 2 CFR part 1200, which adopts and
supplements the provisions of U.S. Office of Management and Budget (U.S. OMB) "Guidelines to Agencies
on Governmentwide Debarment and Suspension (Nonprocurement)," 2 CFR part 180, permit certifications to
assure the Applicant acknowledges that:
2. The Applicant certifies to the best of its knowledge and belief that, it, its principals, and first tier subrecipients:
a. Are eligible to participate in covered transactions of any FederaUState department or agency and are not
presently:
(1) Debarred,
(2) Suspended,
(3) Proposed for debarment,
(4) Declared ineligible, or
(5) Voluntarily excluded, or
(6) Disqualified,
b. .Have not within athree-year period preceding its latest application or proposal been convicted of or had a
civil judgment rendered against any of them for:
(1) Commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or
performing a public (Federal, State, or local) transaction, or contract under a public transaction,
(2) .Violation of any Federal or State antitrust statute, or
(3) Commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making
any false statement, or receiving stolen property,
c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity
(Federal, State, or local) with commission of any of the offenses listed in the preceding Section 2.b of this
certification,
d. Have not had one or more public transactions (Federal, State, or local) terminated for cause or default
within athree-year period preceding this certification,
e. Will promptly provide any information to the FTA/NCDOT if at a later time any information contradicts
the statements of subparagraphs (1) through (4) above, and
f. Will treat each lower tier contract or lower tier subcontract under the Project as a covered lower tier
contract for purposes of 2 CFR part 1200 and 2 CFR part 180 if it:
(1) Equals or exceeds $25,000,
(2) Is for audit services, or
(3) Requires the consent of a FederaUState official,
g. Will require that each covered lower tier contractor and subcontractor:
(1) Comply with the Federal requirements of 2 CFR part 1200 and 2 CFR part 180, and
(2) Assure that each lower tier participant in the Project is not presently declared by any FederaUState
department or agency to be:
(a) Debarred from participation in the federaUstate funded project,
(b) Suspended from participation in the federaUstate funded project,
(c) Proposed for debarment from participation in the federally/state funded project,
(d) Declared ineligible to participate in the federaUstate funded project,
(e) Voluntarily excluded from participation in the federaUstate funded project, or
(f) Disqualified from participation in the federaUstate funded Project.
3, The Applicant will provide a written explanation indicated on its Signature Page or a page attached in
NCDOT's Grants Management System if it or any of its principals, including any of its first tier subrecipients
or lower tier participants, is unable to certify to the preceding statements in this certification.
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State Fiscal Yeaz 2013 Public Transportation Programs
Federal and State Assistance Certifications and Assurances
G. U.S OMB Assurances in SF-424B and SF-424D.
(These assurances are consistent with U.S. OMB assurances required in SF-424B and SF-424D.)
1. Administrative Activities: The Applicant assures that:
a. For every project described in any application it submits, it has adequate resources to properly plan,
manage, and complete the project, including:
(1) The legal authority to apply for FederaUState funding, and
(2) The institutional capability,
(3) The managerial capability, and
(4) The fmancial capability (including funds sufficient to pay the non-FederaUState share of project cost).
b. It will give access and the right to examine project-related materials, including but not limited to:
(1) FTA,
(2) The Comptroller General of the United States, and,
(3) If appropriate, the State of North Carolina, through any authorized representative,
c. It will establish a proper accounting system in accordance with generally accepted accounting standards or
agency directives.
d. It will establish safeguards to prohibit employees from using their positions for a purpose that:
(1) Results in a personal or organizational conflict of interest, or personal gain, or
(2) Presents the appearance of a personal or organizational conflict of interest or personal gain.
2. Project Specifics. The Applicant assures that:
a. Following receipt of FTA/NCDOT award, it will begin and complete Project work within the applicable
time periods,
b. For FTA/NCDOT funded construction projects:
(1) It will comply with FTA/NCDOT provisions concerning the drafting, review, and approval of
construction plans and specifications
(2) It will to the extent practicable provide and maintain competent and adequate engineering supervision
at the construction site to assure that the completed work conforms with the approved plans and
specifications,
(3) It will include a covenant in the title of federal/state funded real property acquired to assure
nondiscrimination during the useful life of the project,
(4) To the extent FTA/NCDOT requires, it will record the FederaUState interest in the title to
FTA/NCDOT assisted real property or interests in real property, and
(5) To the extent practicable, without permission and instructions from FTA/NCDOT, it will not alter the
site of the FTA/NCDOT funded construction project or facilities by:
(a) Disposing of the underlying real property or other interest in the site and facilities,
(b) Modifying the use of the underlying real property or other interest in the site and facilities, or
(c) Changing the terms of the underlying real property title or other interest in the site and facilities.
c. It will furnish progress reports and other information as FTA/NCDOT or the State of North Carolina may
require.
3. Statutory and Regulatory requirements. The Applicant assures that:
a. It will comply with all applicable FederaUState statutes relating to nondiscrimination including, but not
' limited to the:
(1) Prohibitions against discrimination on the basis of race, color, or national origin of Title VI of the
Civil Rights Act, 42 U.S.C. 2000d,
(2) Prohibitions against discrimination on the basis of sex o£
(a) Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. 1681 - 1683, and 1685 -
1687, and
(b) U.S. DOT regulations, "Nondiscrimination on the Basis of Sex in Education Programs or
Activities Receiving Federal Financial Assistance," 49 CFR part 25,
(3) Prohibitions against discrimination on the basis of age in federally assisted programs of the Age
Discrimination Act of 1975, as amended, 42 U.S.C. 6101 - 6107,
(4) Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, which prohibits
discrimination on the basis of disability,
(5) Prohibitions against discrimination on the basis of disability of Section 504 of the Rehabilitation Act
of 1973, as amended, 29 U.S.C. 794,
State Fiscal Year 2013 Public Transportation Progams
Federal and State Assistance Certifications and Assurances
(6) Nondiscrimination requirements relating to the sale, rental, or financing of housing of Title VIII of
the Civil Rights Act, 42 U.S.C. 3601 et seq.,
(7) Prohibitions against discrimination on the basis of drug abuse of the Drug Abuse Office and
Treatment Act of 1972, as amended, 21 U.S.C. 1101 et seq.,
(8} Prohibitions against discrimination on the basis of alcohol abuse of the Comprehensive Alcohol -
Abuse and Alcoholism Prevention Act of 1970, as amended, 42 U.S.C. 4541 et seq.,
(9) Confidentiality requirements for the records of alcohol and drug abuse patients of the Public Health
Service Act, as amended, 42 U.S.C. 290dd - 290dd-2, and
(10) Nondiscrimination provisions of any other statute(s) that may apply to the project,
b. Regardless of whether Federal/State funding has been provided for any of the real property acquired for
Project purposes, it will provide for fair and equitable treatment of displaced persons or persons whose
property is acquired as a result of federaUstate assisted progams, and:
(1) It has the necessary legal authority under State and local law to comply with:
(a) The Unifonn Relocation Assistance and Real Property Acquisition Policies Act of 1970, as
amended, (Unifonn Relocation Act) 42 U.S.C. 4601 et seq., as specified by sections 210 and 305
of that Act, 42 U.S.C. 4630 and 4655, respectively, and
(b) U.S. DOT regulations, "Uniform Relocation Assistance and Real Property Acquisition for
Federal and Federally Assisted Progams," 49 CFR part 24, specifically 49 CFR 24.4.
(2) It has complied with or will comply with the Uniform Relocation Act and implementing U.S. DOT
regulations including but not limited to doing the following:
(a) It will adequately inform each affected person of the benefits, policies, and procedures provided
for in 49 CFR part 24,
(b) As required by 42 U.S.C. 4622, 4623, and 4624, and 49 CFR part 24, it will provide fair and
reasonable relocation payments and assistance for displacement, resulting from any
FTA/NCDOT funded project, of
1 Families and individuals,
2 Partnerships, corporations, or associations,
(c) As provided by 42 U.S.C. 4625 and 49 CFR part 24, it will provide relocation assistance
progams offering the services described in to the U.S. DOT regulations to such displaced:
1 Families and individuals,
2 Partnerships, corporations, or associations,
(d) As required by 42 U.S.C. 4625(c)(3), within a reasonable time before displacement it will make
available comparable replacement dwellings to families and individuals,
(e) It will:
1 Cany out the relocation process to provide displaced persons with uniform and consistent
services, and
2 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) It will be guided to the geatest extent practicable under State law, by the real property
acquisition policies of 42 U.S.C. 4651 and 4652,
(g) It will pay or reimburse property owners for their necessary expenses as specified in 42 U.S.C.
4653 and 4654, understanding that FTA/NCDOT will provide FederaUState funding for its
eligible costs of providing payments for those expenses, as required by 42 U.S.C. 4631,
(h) It will execute the necessary implementing amendments to third party contracts and
subagreements financed with FTA/NCDOT funding, and
(i) It will execute, furnish, and be bound by such additional documents as FTA/NCDOT may
determine necessary to effectuate or implement these assurances, and
(j) It will incorporate these assurances by reference into and make them a part of any third party
contract or subagreement, or any amendments thereto, relating to any FTA/NCDOT funded
project involving relocation or land acquisition, and
(k) It will provide in any affected document that these relocation and land acquisition provisions
must supersede any conflicting provisions,
c. To the extent practicable, it 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,
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Federal and State Assistance Certifications and Assurances
d. It will, to the extent practicable, comply. with the protections for human subjects involved in research,
development, and related activities supported by FederaUState funding o£
(1) The National Research Act, Pub. L. 93-348, July 12, 1974, as amended, 42 U.S.C. 289 et seq., and
(2) U.S. DOT regulations, "Protection of Human Subjects," 49 CFR part 11,
e. It will, to the extent practicable, comply with the labor standards and protections for federaUState funded
projects of:
(1) The Davis-Bacon Act, as amended, 40 U.S.C. 3141-et seq.,
(2) Sections 1 and 2 of the Copeland "Anti-Kickback" Act, as amended, 18 U.S.C. 874, and 40 U.S.C.
3145, respectively,
(3) The Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. 3701 et seq.,
f. It will, to the extent practicable, comply with any applicable environmental standards that may be
prescribed to implement the following FederaUState laws and executive orders, including but not limited
to the following:
(1) It will comply with the institution of environmental quality control measures under the National
Environmental Policy Act of 1969, as amended, 42 U.S.C. 4321 -4335 and Executive Order No.
11514, as amended, 42 U.S.C. 4321 note,
(2) It will comply with notification of violating facilities pursuant to Executive Order No. 11738, 42
U.S.C. 7606 note,
(3) It will comply with protection of wetlands pursuant to Executive Order No. 11990, 42 U.S.C. 4321
note,
(4) It will comply with evaluation of flood hazards in floodplains in accordance with Executive Order
No. 11988, 42 U.S.C. 4321 note,
(5) It will comply with an 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 - 1465,
(6) It will comply with 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 - 7671 q,
(7) It will comply with protection of underground sources of drinking water under the Safe Drinking
Water Act of 1974, as amended, 42 U.S.C. 300f- 300j-6,
(8) It will comply with protection of endangered species under the Endangered Species Act of 1973, as
amended, 16 U.S.C. 1531 - 1544, and
(9) It will comply with environmental protections for FederaUState 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),
(10) It will comply with 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 - 1287, and
(11) It will comply with and facilitate compliance with
(a) Section 106 of the National Historic Preservation Act of 1966, as amended, 16 U.S.C. 470f,
(b) The Archaeological and Historic Preservation Act of 1974, as amended, 16 U.S.C. 469 - 469c,
and
(c) Executive Order No. 11593 (identification and protection of historic properties), 16 U.S.C. 470
note,
g. To the extent practicable, it will comply with Federal/State requirements for the care, handling, and
trearinent of warm blooded animals held or used for research, teaching, or other activities supported by
FederaUState funding o£
(1) The Animal Welfare Act, as amended, 7 U.S.C. 2131 et seq., and
(2) U.S. Department of Agriculture regulations, "Animal Welfare," 9 CFR subchapter A, parts 1, 2, 3,
and 4,
h. To the extent practicable, before accepting delivery of any FTA/NCDOT funded building it will obtain a
• certificate of compliance with the seismic design and construction requirements of U.S. DOT regulations,
"Seismic Safety," 49 CFR part 41, specifically 49 CFR 41.117(d),
i. To the extent practicable, it and its subrecipients located in special flood hazard areas will comply with
section 102(a) of the Flood Disaster Protection Act of 1973, as amended, 42 U.S.C. 4012a(a), by:
(1) Participating in the Federal flood insurance program,
State Fiscal Year 2013 Public Transportation Programs
Federal and State Assistance Certifications and Assurances
(2) Purchasing flood insurance if the total cost. of insurable construction and acquisition is $10,000 or
more,
j. To-the extent practicable, it will comply with:
(1) The Hatch Act, S U.S.C. 1501 - 1508, 7324 - 7326, which limits 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/State funds including a FederaUState loan, grant agreement, or cooperative
agreement, and
(2) 49 U.S.C. 5307(k)(2) and 23 U.S.C. 142(g), which provide an exception from Hatch Act restrictions
for a nonsupervisory employee of a public transportation system (or of any other agency or entity
performing related functions) receiving FTA/NCDOT funding to. whom the Hatch Act does not
otherwise apply,
k. It will have performed the financial and compliance audits as required by:
(1) The Single Audit Act Amendments of 1996, 31 U.S.C. 7501 et seq.,
(2) U.S. OMB Circular A-133, "Audits of States, Local Governments, and Non-Profit Organizations,"
Revised, and
(3) The most recent applicable U.S. OMB A-133 Compliance Supplement provisions for the U.S. DOT,
and
1. It will, to the extent practicable, comply with all applicable provisions of all other FederaUState laws or
regulations, and follow Federal/State directives governing the project, except to the extent that
FTA/NCDOT has expressly approved otherwise in writing.
02. LOBBYING CERTIFICATION
An Applicant that sz~bmits 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. "
As required by 31 U.S.C. 1352 and U.S. DOT regulations, "New Restrictions on Lobbying," specifically 49 CFR
20.110, the Applicant understands that:
a. The lobbying restrictions of your certification apply to requests for:
(1) $100,000 or more in Federal funding for a grantor cooperative agreement, and
(2) $150,000 or more in Federal funding for a loan, line of credit, or loan guarantee,
b. Its certification covers the lobbying activities o£
(1) It,
(2) Its principals, and
(3) Its first tier subrecipients:
The Applicant certifies to the best of its knowledge and belief, that:
1. No FederaUState appropriated funds have been or will be paid by or on its behalf to any person:
a. To influence or attempt to influence:
(1) An officer or employee of any FederaUState agency,
(2) A Member of Congress or State Legislature, an employee of a member of Congress or State
Legislature, or an officer or employee of Congress or State Legislature,
b. Regarding the award of a:
(1) FederaUState grant or cooperative. agreement, or
(2) FederaUState loan, line of credit, loan guarantee, or loan insurance
2. It will submit a complete OMB Standard Form-LLL, "Disclosure of Lobbying Activities (Rev. 7-97)," in
accordance with its instructions, if any funds other than FederaUState appropriated funds have been or will be
paid to any person:
a. To influence or attempt to influence:
(1) An officer or employee of any FederaUState agency, _
(2) A Member of Congress or State Legislature, an employee of a Member of Congress or State.
Legislature, or an officer or employee of Congress or State Legislature, or
b. Regarding any application for a:
(1) FederaUState grant or cooperative agreement,
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Federal and State Assistance Certifications and Assurances
(2) FederaUState loan, line of credit, loan guarantee, or loan insurance, and
3. It will include the language of this certification in the award documents for all subawards at all tiers including,
but not limited to:
a. Subcontracts,
b. Subgrants,
c. Subagreements, and
d. Third party contracts under a:
(1) FederaUState grant or cooperative agreement, or
(2) FederaUState loan, line of credit, loan guarantee, or loan insurance, and
4. It understands that:
a. This certification is a material representation of fact that the Federal/State Government relies on, and
b. It must submit this certification before the FederaUState Goverrunent may award funding for a transaction
covered by 31 U.S.C. 1352, including a:
(1) FederaUState grant or cooperative agreement, or
(2) FederaUState loan, line of credit, loan guarantee, or loan insurance, and
5. It also understands that any person who does not file a required certification will 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(~(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 FederaUState
laws and regulations in accordance with applicable FederaUState 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
provided by an existing private provider of public transportation is ~°egz~ired to provide the following certification.
NCDOT may not award State or Federal assistance for such a project until the Applicant provides this cert~cation
by selecting Category "04. "
As required by 49 U.S.C. 5323(a)(1), the Applicant certifies that:
1. Before it:
a. Acquires the property or an interest in the property of a private provider of public transportation, or
b. Operates public transportation equipment or facilities:
(1) In competition with transportation service provided by an existing public transportation company, or
(2) In addition to transportation service provided by an existing public transportation company,
2. It has or will have:
a. Determined that the funding 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.
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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 certification. NCDOT may not award State or Federal assistance for a capital project of that type a~ntil the
Applicant provides this certification by selecting Category "OS. "
As required by 49 U.S.C. 5323(b), the Applicant certifies that:
1. Before submitting an application for a capital project that:
a. Will substantially affect:
(1) A community, or
(2) The public transportation service of a community, and
b. Also will affect:
(1) Significant economic interests,
(2) Significant social interests, or
(3) Significant envirommental interests,
It will:
(l) Provide an adequate opportunity for public review and comment on the project, after giving notice
that:
(a) Includes a concise description of the proposed project; and
(b) Has been published in a newspaper of general circulation in the geographic area the project.
(2) Hold a public hearing on the project if the project affects:
(a) Significant economic, interests,
(b) Significant social, interests, or
(c) Significant environmental interests,
2. It will have considered the economic, social, and environmental effects of the project, and
3. It will have determined that the 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 53 to acquire arty rolling stock
for use in revenue service is required to provide the following certification. NCDOT may not award any State or
Federal assistance to acquire such rolling stock until the Applicant p~°ovides this certification by selecting Category
"06. "
The Applicant certifies that in procuring revenue service rolling stock, it will comply with:
1. Federal transit law, specifically 49 U.S.C. 5323(m),
2. FTA regulations, "Pre-Award and Post-Delivery Audits of Rolling Stock Purchases," 49 CFR part 663,
specifically 49 CFR 663.7, as modified by amendments authorized by section 3023(1) of SAFETEA-LU,
including the requirements to:
a. Conduct or cause to be conducted the required preaward and post delivery reviews, and
b. 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. "
As required by FTA regulations, "Capital Leases," 49 CFR part 639, specifically 639.15(b)(1) and 639.21, if the
Applicant acquires any capital asset by lease financed with FederaUState funding authorized under 49 U.S.C.
chapter 53, the Applicant certifies as follows:.
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It will not use FederaUState funding authorized under 49 U.S.C. chapter 53 to fmance the cost of leasing any
capital asset until:
a. It performs calculations demonstrating that leasing the capital asset would be more cost-effective than.
purchasing or constructing a similar asset, and
b. It completes these calculations before the later o£
(1) Entering into the lease, or
(2) Receiving a capital grant for the asset, and
It will not enter into a capital lease for which FTA/NCDOT can provide only incremental FederaUState
funding unless it has adequate fmancial resources to meet its future lease obligations if FederaUState funding is
not available.
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 or newly configured bus or a bus with new majo~° components is required to provide the following
certification by selecting Category "08. "
The Applicant certifies that:
1. It will comply with Federal transit law, specifically 49 U.S.C. 5318,
2. FTA regulations, "Bus Testing," 49 CFR part 665, specifically 49 CFR 665.7, requires that
a. Before:
(1) Spending any Federal (or State) funds to acquire:
(a) The first bus of any new bus model,
(b) The first bus with a new major change in configuration or components, or
(2) Authorizing final acceptance of a new bus model or a bus model with a major change in components
or configuration:
b. It will:
(1) Ensure that the bus model has been tested at FTA's bus testing facility, and
(2) Have received a copy of the test report prepared on the bus model.
09. CHARTER SERVICE AGREEMENT
You must enter in this Charter Service Agreement by selecting Category "09" ifyou apply for State or Federal
assistance to acquire or operate transit facilities and equipment, zmless you quay for an exception under Federal
law and regulations.
As required by 49 U.S.C. 5323(d) and (g) and FTA regulations, "Charter Service," 49 CFR part 604, specifically 49
CFR 604.4, the Applicant understands and agrees that:
1. Except in certain circumstances described in its regulations, FTA's "Charter Service" regulations restrict
transportation by charter service using facilities and equipment acquired by FTA for transportation projects
with Federal funding derived from:
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. §§ 133 or 142,
2. FTA's charter service restrictions extend to:
a. The Applicant when it becomes a recipient of Federal funding under:
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. §§ 133 or 142,
b. Any third party participant that receives Federal funding derived from:
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. §§ 133 or 142,
c. A third party participant includes a:
(1) Subrecipient at any tier,
(2) Lessee,
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(3) Third party contractor or subcontractor at any tier, and
(4) Other participant in the project,
Neither the Applicant nor any third party participant involved in its Project will engage in charter service
operations, except as permitted under:
a. Federal transit laws, specifically 49 U.S.C. § 5323(d) and (g),
b. FTA regulations, "Charter Service," 49 C.F.R. Part 604,
c. Any other Federal Charter Service regulations, or
d. Federal directives, except as FTA determines otherwise in writing.
The Applicant agrees that the latest Charter Service Agreement it has selected in its latest annual Certifications
and Assurances is incorporated by reference in and made part of the underlying Agreement accompanying an
award of F,TA funding.
The Applicant agrees that:
a. FTA/NCDOT may require corrective measures or impose remedies on it or any subrecipient that has
engaged in a pattern of violations of FTA's Charter Service regulations by:
(1) Conducting charter operations prohibited by Federal transit laws and FTA's Charter Service
regulations, or
(2) Otherwise violating the Applicant's Charter Service Agreement it has elected in its latest annual
Certifications and Assurances.
b. These corrective measures and remedies may include:
(1) Barring it or any third party participant operating public transportation under the Project that has
provided prohibited charter service from receiving FTA/NCDOT funds, or
(2) Withholding an amount of FederaUState funds as provided by Appendix D to FTA's Charter Service
regulations.
10. SCHOOL TRANSPORTATION AGREEMENT
You must enter in this School Transportation Agreement by selecting Category "10 " if you apply for State or
Federal assistance to acquire or operate transit facilities and equipment, unless you gztal~ for an exception under
Federal law and regulations.
As required by 49 U.S.C. 5323(f) and (g) and FTA regulations, "School Bus Operations," 49 CFR part 605, to the
extent consistent with 49 U.S.C. 5323(f) and (g), the Applicant understands and agrees that:
1. FTA's "School Bus Operations" regulations restrict school bus service as defined in the FTA regulations using
facilities and equipment acquired with Federal funding derived from:
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. §§ 133 or 142,
2. FTA's school bus operations restrictions extend to:
a. The Applicant when it becomes a recipient of Federal funding under:
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. §§ 133 or 142,
b. Any third party participant that receives Federal funding derived from:
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. §§ 133 or 142,
a A third party participant includes a:
(1} Subrecipient at any tier,
(2) Lessee,
(3) Third party contractor or subcontractor at any tier, and
(4) Other participant in the project,
3. Neither the Applicant nor any third party participant involved in its Project will engage in school transportation
operations in competition with private operators of school transportation, except as permitted under:
a. Federal transit laws, specifically 49 U.S.C. § 5323(f) and (g),
b. FTA regulations, "School Bus Operations," 49 C.F.R. Part 605, to the extent consistent with 49 U.S.C. §
5323(f) and (g),
c. Any other Federal School Transportation regulations, or
d. Federal directives, except as FTA determines otherwise in writing.
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4. The Applicant agrees that the latest School Transportation Agreement it has selected in its latest annual
Certifications and Assurances is incorporated by reference in and made part of the underlying Agreement
accompanying an award of FTA funding.
5. The Applicant agrees that FTA will bar the Applicant or any third party participant that has violated this
School Transportation Agreement from receiving Federal transit funding in an amount FTA considers
appropriate.
11. DEMAND RESPONSIVE SERVICE
You zzzzzst select the following certification in Category "11 " if you operate demand responsive service and you
apply for State or Federal assistance authorized under 49 U.S.C. chapter 53 to acquire non- rail transit vehicles.
As required by U.S. DOT regulations, "Transportation Services for Individuals with Disabilities (ADA)," 49 CFR
part 37, specifically 49 CFR 37.77(d), the Applicant certifies that:
1. The following public transportation services it offers are equivalent in level and quality of service:
a. Its demand responsive service offered to individuals with disabilities, including individuals who use
wheelchairs,
b. Its service offered to individuals without disabilities,
2. Viewed in its entirety, the Applicant's service for individuals with disabilities is:
a. Provided in the most integrated setting feasible, and
b. Equivalent to the service it offers individuals without disabilities 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 MISUSE AND PROHIBITED DRUG USE
If an Applicant is required by FTA regulations, "Prevention of Alcohol Misuse and Prohibited Drug Use in Transit
Operations, " at 49 CFR part 655, to provide the follotiving 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,"
specifically 49 CFR part 655, subpart I, the Applicant certifies that it:
1. Has established and implemented:
a. An alcohol misuse program and
b. An anti-drug program, and
2. Has complied with or will comply with all applicable requirements of this part.
13. INTELLIGENT TRANSPORTATION SYSTEMS
An Applicant for State or (FTA) Federal assistance for an Intelligent Transportation Systems (ITS) project or a
project in support of an ITS project is requested to provide the following assurance by selecting Category "13. " An
Applicant for ITS project funding that fails to provide this asszrance, without providing other documentation
assuring its commitment to comply with applicable Federal/State ITS standards and protocols, nzay be ineligible for
award of Federal/State funding for that ITS project.
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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." The Applicant assures that:
1. As provided in subsection 53Q7(c) of SAFETEA-LU, 23 U.S.C. 512 note:
a. "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, [will] conform to the national architecture, applicable standards or provisional standards,
and protocols developed under subsection (a) [of section 5307 of SAFETEA-LU]."
b. ITS standards will not apply if it obtains an exception to subsection 5307(c) of SAFETEA-LU, 23 U.S.C.
512 note.
2. 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, if supported with Federal funding not derived from:
a. Title 49, United States Code, or
b. Title 23, United States Code.
3. To facilitate compliance with subsection 5307(c) of 23 U.S.C. 512 note, except as the Federal Government
determines otherwise in writing, the Applicant assures that it will comply with:
a. FTA Notice, "FTA National ITS Architecture Policy on Transit Projects," 66 FR 1455, January 8, 2001,
specifically:
(1) Applicable provisions of Section V (Regional ITS Architecture, and
(2) Section VI (Project Implementation), and
b. 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,
14. URBANIZED AREA FORMULA PROGRAM
Each Applicant for Urbanized Area Formula Program assistance authorized under 49 U.S.C. 5307 is required to
provide the following certifications on behalf of itself and arty stcbrecipients participating in its projects. Unless FTA
determines otherwise in writing, the Applicant 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
subrecipients, the Applicant is strongly encouraged to take appropriate measures, including bzct not limited to
obtaining sufficient documentation from each sz~brecipient, to assure the validity of all certifications and assurances
the Applicant has made to FTA. If, however a "Designated Recipient" as defined at 49 U.S.C. 5307(a)(2)(A) enters
into a Stcpplemental Agreement with FTA and a Pc•ospective Grantee, that Grantee is recognized as the Applicant
for Urbanized Area Formula Pt•ogrmzz assistance and must provide the following certifications and assurances.
Each Applicant is required by 49 U.S.C. 5307(d)(I)(J) to expend at least one (1) percent of its UrbanizedArea
Formula Program assistance for public tc•anspor•tation security projects, unless the Applicant has certified that such
expenditures are not necessary. Information about the Applicant's intentions will be recorded in the "Security" tab
page of the TEAM-Web "Project Information "window when the Applicant enters its Urbanized Area Formula
Program application in TEAM-Web.
FTA may not award Urbanized Area Formula Program assistance to any Applicant that is required by 49 U. S C.
5307(d)(I)(K) to expend one (I) percent of its Urbanized Area Formula Program assistance for eligible transit
enhancements unless that Applicant's quarterly report for the fourth quarter of the preceding Federal fiscal year
has been submitted to FTA and includes the requisite list or the Applicant attaches. in TEAM-Web or incltdes in its
quarterly report information sz ff cient to demonstrate that the Designated Recipients in its area together have
expended one (1) percent of the amount of Urbanized Area Program assistance made available to them for transit
enhancement projects.
FTA may not award Federal assistance for the Urbanized Area Formula Program to the Applicant until the
Applicant provides these certiftcations and assurances by selecting Category "14. "
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15. ELDERLY INDIVIDUALS AND INDIVIDUALS WITH DISABILITIES
FORMULA GRANT PROGRAM AND PILOT PROGRAM
The North Carolina Department of Transportation (NCDOT) 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 awa~~d 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 "I5. "
The following certifications and assurances apply to each State or State organization (NCDOT) serving as Applicant
for funding and each Subrecipient of funding under the Elderly Individuals and Individuals with Disabilities
Formula Grant Program authorized under 49 U.S.C. 5310, and the Elderly Individuals and Individuals with
Disabilities Pilot Program authorized under subsection 3012(b) of SAFETEA-LU.
1. NCDOT assures and requires each Applicant (Subrecipient) to assure that:
a. Each Subrecipient is:
(1) Recognized under State law as a private nonprofit organization with the legal capability to contract
with the Statc to carry out the proposed project, or
(2) A public body that has met the statutory requirements to receive Federal funding authorized for 49
U.S.C. 5310,
b. NCDOT can conclude from information in a private nonprofit Subrecipient's application for 49 U.S.C.
5310 funding that:
(1) The transit service provided or offered to be provided by existing public or private transit operators
cannot meet the special needs of elderly individuals and individuals with disabilities, because it is:
(a) Unavailable,
(b) Insufficient, or
(c) Inappropriate,
c. As required by 49 U.S.C. 5310(d)(2)(A) and subsection 3012(b)(2) of SAFETEA-LU, NCDOT certifies
and the Subrecipient agrees that, before it transfers funds to a project funded under 49 U.S.C. 5336, the
project has been or will have been coordinated with private nonprofit providers of services under 49
U.S.C. 5310,
d. As required by 49 U.S.C. 5310(d)(2)(C), NCDOT certifies and the Subrecipient agrees that allocations to
Subrecipients 49 U.S.C. 5310 funding or subsection 3012(b) funding will be distributed on a fair and
equitable basis, and
e. As required by 49 U.S.C. 5310(d)(2)(B) and subsection 3012(b)(2) of SAFETEA-LU, NCDOT certifies
and the Subrecipient agrees that:
(1) The projects NCDOT has selected or will select for funding under that program were derived from a
public transit-human services transportation plan that has been:
(a) Locally developed, and
(b) Coordinated, and
(2) That locally developed, coordinated plan was produced through a process that included:
(a) Representatives of public, private, and nonprofit transportation providers,
(b) Representatives of public, private, and nonprofit human services providers, and
(c) Participation by the public.
2. As permitted by 49 U.S.C. 5310(d), the Federal Transit Administrator has selected certain requirements of 49
U.S.C. 5307 to be appropriate for the Elderly Individuals and Individuals with Disabilities Formula Grant
Program authorized by 49 U.S.C. 5310, and the Elderly Individuals and Individuals with Disabilities Pilot
Program authorized by subsection 3012(b) of SAFETEA-LU, 49 U.S.C. 5310 note, of which some require
certifications. Therefore, as specified under 49 U.S.C. 5307(d)(1), NCDOT certifies and the Subrecipient
agrees that:
a. As required by 49 U.S.C. 5307(d)(1)(A), NCDOT and each Subrecipient has or will have the:
(1) Legal capacity to carry out its proposed projects,
(2) Financial capacity to carry out its proposed projects,
(3) Technical capacity to carry out its proposed projects,
(4) Safety aspects of its proposed projects, and
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(5) Security aspects of its proposed projects,
b. As required by 49 U.S.C. 5307(d)(1)(B), NCDOT and each Subrecipient has or will have satisfactory
continuing control over the use of project equipment and facilities,
c. As required by 49 U.S.C. 5307(d)(1)(C), NCDOT and each Subrecipient will maintain the project
equipment and facilities adequately,
d. As required by 49 U.S.C. 5307(d)(1)(E), when carrying out a procurement under the Elderly Individuals
and Individuals with Disabilities Formula Grant Program authorized by 49 U.S.C. 5310, or the Elderly
Individuals and Individuals with Disabilities Pilot Program authorized by subsection 3012(b) of
SAFETEA-LU, 49 U.S.C. 5310 note, NCDOT and each Subrecipient will:
(1) Use competitive procurement (as defined or approved by FTA/NCDOT),
(2) Not use exclusionary or discriminatory specifications in its procurements,
(3) Comply with applicable Buy America laws, and
(4) Comply with the general provisions for FTA programs of 49 U.S.C. 5323, and
(5) Comply with the third party procurement requirements of 49 U.S.C. 5325,
e. As required by 49 U.S.C. 5307(d)(1)(G), NCDOT and each Subrecipient:
(1) Has or will have the amount of funds required for the local share,
(a) As required by 49 U.S.C. 5310(c), and
(b) Subsections 3012(b)(3) and (4) of SAFETEA-LU, if applicable,
(2) Will provide the local share funds from approved non-Federal sources except as permitted by Federal
law, and
(3) .Will provide the local share funds when needed, and
f. As required by 49 U.S.C. 5307(d)(1)(H), NCDOT and each Subrecipient will comply with:
(1) The requirements of 49 U.S.C. 5301(a) for public transportation systems that:
(a) Maximize the safe, secure, and efficient mobility of people,
(b) Minimize environmental impacts, and
(c) Minimize transportation-related fuel consumption and reliance on foreign oil,
(2) The requirements of 49 U.S.C. 5301(d) for special efforts to:
(a) Design public transportation for elderly individuals and individuals with disabilities, and
(b) Provide public transportation for elderly individuals and individuals with disabilities, and
(3) The requirements of 49 U.S.C. 5303 - 5306 for:
(a) Metropolitan and State Planning, and
(b) Private enterprise participation.
16. NONURBANIZED AREA FORMULA PROGRAM FOR STATES
NCDOT s°equires each Applicant for Nonurbanized Area Formula Grant Program assistance authorized under 49
U.S.C. 5311 and State Assistance to provide the following certifications. NCDOT may not awaJ°d Federal assistance
for the Nonurbanized Area Formula Grant Program or State assistance until the Applicant provides these
certifications by selecting Category "16. "
'(You) The Applicant itself is ultimately responsible for compliance with its certifications and assz~rances even
though a subrecipient, lessee, third party contractor, or other participant may participate in that project, unless
FTA/NCDOT determines otherwise in writing. Consequently, NCDOT strongly encourages you to take the
appropriate measures including, but not limited to, obtaining szffdent documentation from each subrecipient, to
assure the validity of all certifications and assurances you have made.
The following certifications and assurances apply to each State or State organization (NCDOT) serving as the
Applicant for funding under the Nonurbanized Area Formula Program authorized under 49 U.S.C. 5311. The
Applicant assures and requires each Subrecipient to assure that:
1. It has or will have the necessary legal, financial, and managerial capability to:
a. Apply, receive and disburse 49 U.S.C. 5311(c)(1) funding, and
b. Carry out each project, including the:
(1) Safety aspects of its proposed projects, and
(2) Security aspects of its proposed projects,
2. It has or will have satisfactory continuing control over the use of project equipment and facilities,
16
State Fiscal Year 2013 Public Transportation Programs
Federal and State Assistance Certifications and Assurances
3. Theproject equipment and facilities will be adequately maintained,
4. As required by 49 U.S.C. 5311(b)(2)(C)(i), its program has provided for a fair distribution of Federal funding
authorized for 49 U.S.C. 5311 within the State, including Indian reservations within the State,
5. As required by 49 U.S.C. 5311(b)(2)(C)(ii), its program provides or will provide the maximum feasible
coordination of public transportation service to receive funding under 49 U.S.C. 5311 with transportation
service assisted by other Federal sources,
6. The projects in its Nonurbanized Area Formula Program are included in:
a. The Statewide Transportation Improvement Program, and
b. To the extent applicable, a metropolitan Transportation Improvement Program,
7. It has or will have the amount of funds required for the local share, as required by 49 U.S.C. 5311(g), and
a. Will provide the local share funds from approved non-Federal sources except as permitted by Federal law,
and
b. Will provide the local share funds when needed, and
8. As required by 49 U.S.C. 5311(f), each fiscal year:
a. It (NCDOT) will spend at least fifteen (15) percent of its 49 U.S.C. 5311 funding available that fiscal year
to develop and support intercity bus transportation within the State, with eligible activities including:
(1) Planning and marketing for intercity bus transportation,
(2) Capital grants for intercity bus shelters,
(3) Joint-use. stops and depots,
(4) Operating grants through purchase-of-service agreements, user-side subsidies, and demonstration
projects, and
(5) Coordinating rural connections between small public transportation operations and intercity bus
carriers, or
b. It (NCDOT) will provide to the Federal Transit Administrator a certification of the State's chief executive
officer that:
(1) After consulting with the affected intercity bus service providers about the intercity bus needs of the
State,
(2) The State's intercity bus service needs are being met adequately.
17. JOS ACCESS AND REVERSE COMMUTE (JARC)
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 certifications. NCDOT may not award Federal assistance for
the JARC Formula Grant Program until the Applicant provides these certifications by selecting Category "17. "
The following certifications and assurances apply to each Applicant for and Subrecipient of funding under the Job
Access and Reverse Commute (JARC) Formula Grant funding authorized under 49 U.S.C: 5316.
1. The Applicant certifies that:
a. As required by 49 U.S.C. 5316(d)(4), it will make awards of JARC funding on a competitive basis
following:
(1) An areawide solicitation in cooperation with the appropriate metropolitan planning organization for
applications for funding under 5316(c)(1)(A) (see 49 U.S.C. 5316(d)(1)), and
(2) A statewide solicitation for applications for JARC funding under 49 U.S.C. 5316(c)(1)(B) or 49
U.S.C. 5316(c)(1)(C), (see 49 U.S.C. 5316(d)(2)) and
b. As required by 49 U.S.C. 5316(f)(2), any allocations to Subrecipients of funding authorized under 49
U.S.C. 5316 will be distributed on a fair and equitable basis,
c. As required by 49 U.S.C. 5316(g)(3):
(1) -The projects it has selected or will select for funding under that program were derived from a public
transit-human services transportation plan that has been:
(a) Locally developed, and
(b) Coordinated,
(2) That locally developed, coordinated plan was produced through a process that included:
(a) Representatives of public, private, and nonprofit transportation providers,
17
State Fiscal Year 2013 Public Transportation Programs
Federal and State Assistance Certifications and Assurances
(b) Representatives of public, private, and nonprofit human services providers, and
(c) Participation by the public, and
d. As required by 49 U.S.C. 5316(g)(2), 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, and
e. As required by 49 U.S.C. 5316(c)(3), before using funds apportioned for projects serving an area other
than that for which funding was apportioned under 49 U.S.C. 5316(c)(1)(B) or (C):
(1) .The State's chief executive officer, or his or her designee, will have certified that all the JARC
program objectives of 49 U.S.C. 5316 are being met in the area from which the funding would be
derived,
(2) If the State has a statewide program for meeting the JARC program objectives of 49 U.S.C. 5316, the
funds can be used for projects anywhere in the State.
Under 49 U.S.C. 5316(f)(1), the requirements of 49 U.S.C. 5307 apply to the JARC Program, authorized under
49 U.S.C. 5316. Therefore, as specified under 49 U.S.C. 5307(d)(1), the Applicant certifies that
a. As required by 49 U.S.C. 5307(d)(1)(A), it and each Subrecipient has or will have the:
(1) Legal capacity to carry out its proposed projects,
(2) Financial capacity to carry out its proposed projects,
(3) Technical capacity to carry out its proposed projects,
(4) Safety aspects of its proposed projects, and
(5) Security aspects of its proposed projects,
b. As required by 49 U.S.C. 5307(d)(1)(B), it and each Subrecipient has or will have satisfactory continuing
control over the use ofproject equipment and facilities,
c. As required by 49 U.S.C. 5307(d)(1)(C), it and each Subrecipient will maintain the project equipment and
facilities adequately,
d. As Tequired by 49 U.S.C. 5307(d)(1)(D), it and each Subrecipient will ensure that the following
individuals will be charged not more than fifty (50) percent of the peak hour fare for transportation during
non-peak hours using or involving project facilities or equipment supported under 49 U.S.C. 5316:
(1) Elderly individuals,
(2) Individuals with disabilities, or
(3) Individuals 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.),
e. As required by 49 U.S.C. 5307(d)(1)(E), when carrying out a procurement under the JARC Program, 49
U.S.C. 5316, it will:
(1) Use competitive procurement (as defined or approved by FTA/NCDOT),
(2) Not use exclusionary or discriminatory specifications in its procurements,
(3) Comply with applicable Buy America laws,
(4) Comply with the general provisions for FTA programs of 49 U.S.C. 5323, and
(5) Comply with the third party procurement requirements of 49 U.S.C. 5325,
£ As required by 49 U.S.C. 5307(d)(1)(F), it and each Subrecipient has complied with or will comply with
49 U.S.C. 5307(c) because it:
(1) Has informed or will inform the public of the amount of its JARC Program funds available under 49
U.S.C. 5316, and the projects it proposes to undertake,
(2) Has developed or will develop, in consultation with interested parties including private transportation
providers, the projects proposed to be funded,
(3) Has published or will publish a list of its projects in a way that affected citizens, private transportation
providers, and local elected officials will have an opportunity to examine and submit comments on
the proposed projects and its performance,
(4) Has provided or will provide an opportunity for a public hearing to obtain the views of citizens on the
proposed projects,
(5) Has assured or will assure that the proposed projects provide for coordination of transportation
services assisted under 49 U.S.C. 5336 with federally assisted transportation services supported by a
Federal government source other than U.S. DOT,
(6) Has considered or will consider the comments and views received, especially those of private
transportation providers, in preparing its final list of projects, and
(7) Has made or will make the final list of projects available to the public,
g. As required by 49 U.S.C. 5307(d)(1)(G), it and each Subrecipient:
(1) Has or will have the amount of funds required for the local share,
18
State Fiscal Year 2013 Public Transportation Programs
Federal and State Assistance Certifications and Assurances
(2) Will provide the local share. funds from approved non-Federal sources except as permitted by Federal
law, and
(3) Will provide the local share funds when needed,
h. As required by 49 U.S.C. 5307(d)(1)(H), it and each Subrecipient will comply with:
(1) The requirements of 49 U.S.C. 5301(a) for public transportation systems that:
(a) Maximize the safe, secure, and efficient mobility of people,
(b) Minimize environmental impacts, and
(c) Minimize transportation-related fuel consumption and reliance on foreign oil,
(2) The requirements of 49 U.S.C. 5301(d) for special efforts to:
(a) Design public transportation for elderly individuals and individuals with disabilities, and
(b) Provide public transportation for elderly individuals and individuals with disabilities, and
(3) The requirements of 49 U.S.C. 5303 - 5306 for:
(a) Metropolitan and State Planning, and
(b) Private enterprise participation, and
i. As required by 49 U.S.C. 5307(d)(1)(I), it and each Subrecipient has a locally developed process to solicit
and consider public comment before:
(1) Raising a fare, or
(2) Implementing a major reduction of public transportation.
18. NEW FREEDOM PROGRAM
Each Applicant for New Freedom Program assistance authorised 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 "18."
The Applicant certifies that:
a. As required by 49 U.S.C. 5317(d)(4), it will make awards of New Freedom funding on a competitive basis
following:
(1) An areawide solicitation in cooperation with the appropriate metropolitan planning organization for
applications for funding under 5317(c)(1)(A) (see 49 U.S.C. 5317(d)(1)), and
(2) A statewide solicitation for applications for JARC funding under 49 U.S.C. 5317(c)(1)(B) or 49
U.S.C. 5317(c)(1)(C), (see 49 U.S.C. 5317(d)(2)),
b. As required by 49 U.S.C. 5317(e)(2), any allocations to subrecipients of funding authorized under 49
U.S.C. 5317 will be distributed on a fair and equitable basis,
c. As required by 49 U.S.C. 5317(f)(3):
(1) The projects it has selected or will select for funding under that program were derived from a public
transit-human services transportation plan that has been:
(a) Locally developed, and
(b) Coordinated,
(2) That locally developed, coordinated plan was produced through a process that included:
(a) Representatives of public, private, and nonprofit transportation providers,
(b) Representatives of human services public, private, and nonprofit providers, and
(c) Participation by the public, and
d. As required by 49 U.S.C. 5316(f)(2), 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.
As permitted by 49 U.S.C. 5317(e)(1), the Federal Transit Administrator has selected certain requirements of
49 U.S.C. 5310 and 49 U.S.C. 5307 to be appropriate for the New Freedom Program, of which some require
certifications. Therefore, as specified under 49 U.S.C. 5307(d)(1), the Applicant certifies that:
a. As required by 49 U.S.C. 5307(d)(1)(A), it and each subrecipient has or will have the:
(1) Legal capacity to carry out its proposed projects,
(2) Financial capacity to carry out its proposed projects,
(3) Technical capacity to carry out its proposed projects,
(4) Safety aspects of its proposed projects, and
(5) Security aspects of its proposed projects,
19
State Fiscal Year 2013 .Public Transportation Programs
Federal and State Assistance Certifications and Assurances
b. As required by 49 U.S.C. 5307(d)(1)(B), it and each subrecipient has or will have satisfactory continuing
control over the use ofproject equipment and facilities,
c. As required by 49 U.S.C. 5307(d)(1)(C), it and each subrecipient will maintain the project equipment and
facilities adequately,
d. As required by 49 U.S.C. 5307(d)(1)(E), when carrying out a procurement under the New Freedom
Program authorized by 49 U.S.C. 5317, it and each subrecipient will:
(1) Use competitive. procurement (as defined or approved by FTA),
(2) Not use exclusionary or discriminatory specifications in its procurements,
(3) Comply with applicable Buy America laws, and
(4) Comply with the general provisions for FTA programs of 49 U.S.C. 5323, and
(5) Comply with the third party procurement requirements of 49 U.S.C. 5325,
e. As required by 49 U.S.C. 5307(d)(1)(G), it and each subrecipient:
(1) Has or will have the amount of funds required for the local share,
(2) Will provide the local share funds from approved non-Federal sources except as permitted by Federal
law, and
(3) Will provide the local share funds when needed, and
f. As required by 49 U.S.C. 5307(d)(1)(H), it will comply with:
(1) The requirements of 49 U.S.C. 5301(a) for public transportation systems that:
(a) Maxnnize the safe, secure, and efficient mobility of people,
(b) Minimize environmental impacts, and
(c) Minimize transportation-related fuel consumption and reliance on foreign oil,
(2) The requirements of 49 U.S.C. 5301(d) for special efforts to:
(a) Design public transportation for elderly individuals and individuals with disabilities, and
(b) Provide public transportation for elderly individuals and individuals with disabilities, and
(3) The requirements of 49 U.S.C. 5303 - 5306 for:
(a) Metropolitan and State Planning, and
(b) Private enterprise participation.
##
Selection and Signature Page(s) follow
20
State Fiscal Year 2013 Public Transportation Programs
Federal and State Assistance Certifications and Assurances
FEDERAL (FTA) AND STATE (NCDOT) CERTIFICATIONS AND ASSURANCES FOR
PUBLIC TRANSPORTATION PROGRAMS
STATE FISCAL YEAR 2013
Legal Name of Applicant: Orange County ,
The Applicant agrees to comply with applicable provisions of Categories Ol -18.
Accept
OR
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. Urbanized Area Formula Program. ^
15. Elderly Individuals & Individuals with Disabilities Formula Program & Pilot Program. ^
16. Nonurbanized Area Formula Program. ^
17. Job Access and Reverse Commute (JARC) Program. ^
~
18.
New Freedom Program. I
^
21
State Fiscal Year 2013 Public Transportation Programs
Federal and State Assistance Certifications and Assurances
STATE FISCAL YEAR 2013
FEDERAL (FTA) /STATE (NCDOT) CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE
(Required of all Applicants)
AFFIRMATION OF APPLICANT
Legal Name of Applicant:
Orange County
Name and Relationship of Authorized Official:
Bernadette Pelissier, Chair Board of County Commissioners
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 FederaUState statutes and regulations, and follow applicable FederaUState directives, and comply with the
certifications and assurances as indicated on the foregoing page applicable to each application it makes to North
Carolina Department of Transportation (NCDOT) for FTA (Federal Transit Administration) and for State assistance
in State Fiscal Year 2013.
NCDOT 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)
Federal assistance during State Fiscal Year 2013.
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 NCDOT, 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
NCDOT 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
'{.' • ~'
Date Signed
Bernadette Pelissier, Chair Orange County Commissioners
Name/Title of Authorized Official
Seal Subscribed and sworn to me (date) e~ " 1 ' a QlOZ-
Notary Public
~ u~l~~ ! C~~ _
Printed Name and Address
My commission expires (date> l (~ ' ~~ ~ 47:~L
Seal Here.
Affrx ,11'otary
,
e,r •" "t.
J ~'
_ j_ ^'e
~~
~. ,~ -
.. ~~
fir aa,. i
/t ,
22
14. CAPITAL - In the chart below, list and provide narrative justification for any of the following FY2013 capital requests:
* Advanced /Baseline Technology
* Expansion Vehicle
* Radio Equipment
* Telephone Equipment
If NONE check here: ^
List in order of ariority. See Capital Replacement Schedule for documentation requirements
Supporting
Capital Category Narrative Description/Justification Documentation
2)
3)
4)
5)
7)
8)
9)
10)
11
12)
13)
14)
15)
16)
Page 6
State Fiscal Year 2013 Public Transportation Programs
Federal and State Assistance Certifications and Assurances
AFFIRMATION OF APPLICANT'S ATTORNEY
(Required of all Applicants)
For (Legal Name of Applicant):
Orange County
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
inuninent that might adversely affect the validity of these certifications and assurances, or of the performance of the
project.
of Attorney for
.~o ~~ ~ `~y~~ '"" ~
Name of Attorney for Applicant
Seal S~scribed and sworn to me (date) / 3 l.Z
ter, ~5r.
~7~2yg
My commission expires (date> M~{ y f 6, 0~O1 s~
/3~
Signed
Affrx Not~~y;,.~,~gl Here
`~ ~` ~_
PSC.~ir^~t~'t'
~~j ~!.t~! EC ~,``
~'~;;uniin u~a~~`
23
State Fiscal Year 2013 Public Transportation Programs
Federal and State Assistance Certifications and Assurances
(Required of all Applicants)
CERTIFICATION AND RESTRICTIONS ON LOBBYING
I, Bernadette Pelissier , on behalf of
Name of Authorized Official
Orange County
Legal Name of Applicant '
Hereby certifies that:
No Federal/State appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any
person for influencing or attempting to influence an officer or employee of any Federal/State agency, a Member
of Congress or State Legislature, an employee. of a member of Congress or State Legislature, or an officer or
employee of Congress or State Legislature in connection with the awarding of any Federal/State contract, the
making of any Federal/State grant, the making of any Federal/State loan, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or modification of any Federal/State contract,
grant, loan, or cooperative agreement.
If any funds other than Federal/State appropriated funds have been paid or will be paid to any person
influencing or attempting to influence an officer or employee of any Federal/State agency, a Member of
Congress or State Legislature, an employee of a member of Congress or State Legislature, or an officer or
employee of Congress or State Legislature in connection with the Federal/State contract, grant, loan, or
cooperative agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure Form to
Report Lobbying," in accordance with its instructions.
The undersigned shall require that the language of this certification be included in the award documents for all
sub-awards at all tiers (including sub-contracts, sub-grants and contracts under grants, loans, and cooperative
agreements) and that all sub-recipients shall certify and disclose accordingly.
This certification is a material I°epresentation of fact upon which I°eliance lwas placed tivhen this t~~ansaction was
made or entered into. Submission of this certification is a prerequisite for making oh entering into this
transaction imposed by 31 U.S. C. ,~ 1352 (as amended by the Lobbying Disclosure Act of 1995). Any person
who fails to file the required certification shall be subject to a civil penalty of not less than X10, ODO and not
mor°e than $100, 000 for each such failztre.
The undersigned certifies or affirms the truthfulness and accuracy of the contents of the statements submitted on
or 1~~ith this cel°tification and zrnderstands that the provisions of 31 U. S. C. Section 3801, et seq., are applicable
thel°eto.
Signature of Authorized O~ci 9 E
Seal Subscribed and sworn to me (date) p~ ~ ~ - ~~ l
~ ~2 ~~~,~
Notary Public y ~ ~ ~C, ~J ~e~ l
`~1~..~~~ G 2,~21a3
Printed Name and Address
My commission expires (date) f Q - l3 -- ~ Q
Affrx Notes ~eat;,~Iere
~~ ~~
` 1'~s~ P~~Y ~
,,.~ ~...
,, ,,
24
State Fiscal Year 2013 Public Transportation Programs
Federal and State Assistance Certifications and Assurances
(Required of all Applicants that plan to procure inaccessible vehicles)
CERTIFICATION OF EQUIVALENT SERVICE
Orange County (Legal Name of applicant) certifies that its demand responsive service offered to individuals with
disabilities
(as defined in 49 CFR 37.3), including individuals who use wheelchairs, is equivalent to the level and quality of
service offered to individuals without disabilities. Such service, when viewed in its entirety, 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 or priorities based on trip purpose;
6) Availability of information and reservation capability; and
7) Constraints on capacity or service availability.
In accordance with 49 CFR 37.77, public funded entities operating demand responsive systems for the general
public which receive financial assistance under section 18 of the Federal Transit Act must file this certification
with the appropriate state program office before procuring any inaccessible vehicle. NCDOT also requires state
funded entities that do not receive Federal Transit Administration (FTA) funds to file this certification as well.
This certification is valid for no longer than one year from its date of filing.
The NCDOT Public Transportation Division requires all participants to certify equivalent service when
requesting to purchase non-ADA accessible vehicles. By signing this certification, the above-named agency is
certifying that it has a mechanism in place to provide rides to individuals with disabilities. The ride must be
provided in a manner equivalent to the service provided by the above-named agency to individuals without
disabilities.
~~~~~ n
Signature of Authorized Official f
Sea! Subscribed and sworn to me (date) ~' 1 ~ 0?0~41
~ ~ ~~
Notary Pubglic ~ Ve s ~( m e e.C l
o` ~ FAO ~,~ ~,/" C~ S ~ f4 /l~i
X ~1~~~ ~/c a.~a-~G ~
Printed Name and Address
My commission expires (date) IQ `'`~ ~~~
Affix Notary¢ Slea@l Here
R.4s°~~~t~~;~~~P~37~1f '~s
v.~ ,1,r
. E;
,~
~ p
. ",, ~~
.~ ~~ ~_F ~ ~ i L V ~~
,~F~ ~~
~,-r..,,;,~~.
.................................................................................................:
25
FY2013 COMMUNITY TRANSPORTATION PROGRAM GRANT APPLICATION
NORTH CAROLINA DEPARTMENT OF TRANSPORTATION
FEDERAL SECTION 5311 & STATE FUNDING
TRANSIT SYSTEM DESCRIPTION
1. GENERAL INFORMATION
APPLICANT'S LEGAL NAME: Oran a Coun
APPLICANT'S CONGRESSIONAL DISTRICT: ® Ifincorrect enter correctprfmarydistrict:
IfApplicant's city is included in more than one district, enter primary district only
MAILING ADDRESS: 600 Hi hwa 86 North
PO Box or Street Address
Hillsborou h, N.C. 27278
City, State Zip
PHYSICAL ADDRESS: 600 Hi hwa 86 North
Street Address
Hillsborou h, N.C. 27278
City, State
TAXPAYER IDENTIFICATION NUMBER:
DOING BUSINESS AS (DBA) NAME: Oran a Public Transportaion/Oran a Bus
Normally the transit system name, if different than applicant name
APPLICANT DUNS NUMBER:
Unique 9-Digit numberissued by Dun & Bradstreet Maybe obtained free of charge at:
h tto: //fedo ov. d n b. com/webfo rm
DUNS NUMBER OF PARENT AGENCY:
Required only if different than Applicant
CONTACT PERSON: AI Ter
PHONE NUMBER: 919-245-2008
Area Code 8 Phone Number
FAX NUMBER: 919-732-2137
Area Code & Phone Number
EMAIL ADDRESS: ater co.oran e.nc.us
SERVICE AREA'S CONGRESSIONAL DISTRICT: ® If incorrect, enfercorrectprimarydistrict:
If Service Area is included in more than one district, enter primary district only
SERVICE AREA: Oran a Coun
FEDERAL FINANCIAL ASSISTANCE
TRANSPARENCY ACT (FFATA): FFATA mandates the disclosure of the names and total compensation of the five most
highly compensated officers of an entity if:
• The Applicant received 80% or more of its annual gross revenues in the preceding
fiscal year from the federal government (all federal sources, not just FTA); and
• Those revenues were greater than $25M; and
• The public does not have access to the information through Securities and Exchange
Commission or Internal Revenue Service filings as specified in FFATA.
Applicant should select "Yes" if they are subject to the reporting requirements of FFATA
and "No" if they are not subject to Executive Compensation Reporting. No
EXECUTIVE COMPENSATION REPORTING: If "Yes" is selected above, enter the Names and Compensation amounts for the
top five officers of the Applicant.
1. $ _
Enter full name Total compensation
2. $ -
Enterfull name Total compensation
3. $ _
Enterfull name Total compensation
4. $ -
Enterfull name Total compensation
5. $ -
Enter full name Total compensation
Page 1
2. TYPE OF APPLICANT Public County Government
3. TYPE OF TRANSIT SYSTEM Single-County
4. TYPE OF SERVICE - (check all that apply)
~ Demand Response ~ Fixed Route
~ Subscription ^ Other: (specify below)
~ Deviated Fixed Route
5. SERVICE OPTIONS - (check all that apply)
~ General Public ^ Brokerage (Contractual service not a referral)
~ Human Service ^ Other: (describe below)
6. PURCHASE SERVICE -List agencies that purchase service from the transit system. Note: List agency ONCE
Agency 1 Agency 2
Name: Orange County social Services Name: Orange County Senior Centers
~ Check if agency purchased service last year ~ Check if agency purchased service last year
List Programs Served: List Programs Served:
1) low income 1) 60+ population
2) transit dependant 2) nutrition
3) Medicaid 3) day trips
4) 4)
5) 5)
Agency 3 Agency 4
Name: Orange Enterprises Name:
Q Check if agency purchased service last year ^ Check if agency purchased service last year
List Programs Served: List Programs Served:
1) disabled to workshops 1)
2) 2)
3) 3)
4) 4)
5) 5)
Agency 5 Agency 6
Name: Name:
^ Check if agency purchased service last year ^ Check if agency purchased service last year
List Programs Served: List Programs Served:
1) 1)
2) 2)
3) 3)
4) 4)
5) 5)
Agency 7 Agency 8
Name: Name:
^ Check if agency purchased service last year ^ Check if agency purchased service last year
List Programs Served: List Programs Served:
1) 1)
~) 2)
3) 3)
4) 4)
5) 5)
Agency 9 Agency
Name: 10 Name:
^ Check if agency purchased service last year ^ Check if agency purchased service last year
List Programs Served: List Programs Served:
1) 1)
2) 2)
3) 3)
4) 4)
5) 5)
^ Check box at left if you serve more than 10 ag encies and complete Continuation worksheet.
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7. REVENUE VEHICLE INVENTORY BY CATEGORY
-- Important - (If a vehicle has been replaced and the transit system has received the title from PTD, the vehicle should
not be included in this inventory. Identify vehicles awaiting disposition in 8B below.)
0 Center Aisle Van 20-Ft LTV (Cutaway) (no lift)
1 Conversion Van 2 20-Ft LTV (Cutaway) (w/lift)
4 Lift-Equipped Van 2 22-Ft LTV (Cutaway) (w/lift)
2 Minivan (no ramp) 3 25-Ft LTV (Cutaway) (w/lift)
Minivan (w/ramp) 5 28-Ft LTV (Cutaway) (w/lift)
Crossover (4/All-wheel drive) Sedan
Transit Bus 2 Other: (describe below)
25 ft LTV no lift
8. FLEET SIZE
A. ACTIVE FLEET
19 Total Revenue Vehicles in Fleet
2 Backup Revenue Vehicles
21 Total Lift-Equipped Vehicles
B. INACTIVE FLEET
Enter number of vehicles awaitihg disposition. This includes vehicles for which replacements have been received and titles have been
received from PTD. It also includes fleet reductions for which titles have been received from PTD.
9. DAYS AND HOURS OF SERVICE (Check all that apply and enter corresponding service hours):
DAYS Beginning Time SERVICE HOURS Ending Time
^ Seven (7) days per week
or
~ Monday -Friday 6:30 AM
~ Saturday 8:00 AM
^ Sunday
Q Holiday 8:00 AM
10. SYSTEM MANAGEMENT & OPERATION
A. Is the Management/Administration of the transit system currently subcontracted?
If yes, answer the following:
Name of the Management provider:
When will the new RFP process begin?
Are employees of the subcontractor represented by a labor organization (union)?
If so, provide the following:
Name of Union:
6:00 PM
5:00 PM
5:00 PM
No
Example: Amalgamate ransit Union Loca #1437
B. Is the Oaeration of the transit system currently subcontracted?
If yes, answer the following:
Name of the service provider:
When will the new RFP process begin?
Are employees of the subcontractor represented by a labor organization (union)?
If so, provide the following:
Name of Union:
No
Example: Amalgamated ransit Union Local #1437
C. Does another public transit system contract with your system for any part of its service?
If yes, answer the following:
Name of the public transit system:
Type of service that you provide:
Are employees of the other transit system or its subcontractor(s) represented by a labor union?
If so, provide the following:
Name of other system's subcontractor (if applicable):
Name of Union:
No
Example: Amalgamated Transit Union Local #1437 Page 3
11. PUBLIC INVOLVEMENT -Please complete the chart below to document outreach efforts.
1
2
3
4
5
6
7
12)
13)
14)
15)
Organizations /Events
Date /Time
Location
Number of
Attendees
Primary Audience Number Title
VI Forms
Completed
Master Aging Plan Forum 2011
ongoing
Homesread Road, Chapel Hill NC
22 General Public
0
Social Services forum 09-2011 Orange Grove Road, Hillsborough NC .76 General Public 0
Work First Forum 01-2012 Social Services, Hillsborough NC 12 General Public 0
A. Is a governing board approved formalized public involvement plan in use? Yes
If yes (complete questions below)
Is that plan evaluated and updated at least annually? Yes
Does that plan have defined objectives? Yes
Are those objectives being met? Yes
Ir no - vescrloe pelow now the ettectlveness or the puollc Involvement efforts are evaluatetl and/or
B. Describe Public Outreach Methods:
Select the ONE word that most accurately completes the sentence
Atways Usually Sometimes Seldom Never
Information dissemination is Always written.
Public meeting times are Usually between 8 AM and 5 PM.
Information is Usually available in an audible format.
Information is Always available in a language other than English.
Reasonable access is Always .available for those with a disability.
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12: ADMINISTRATIVE CHANGES -Describe administrative changes to be incorporated during FY2013 in the space below. A newjob
description must be attached for (1) any new administrative positions or (2) any increase in the percentage of a position dedicated to transportation.
If NONE check here: ~ Check here if job description(s) attached: ^
13. SERVICE CHANGES -Describe any service changes and/or provide justification/need for exaansion vehicle(s) in the space below.
If NONE check here: ^
(Note: Include in your description the rationale for the anticipated change in service. For example, the anticipated change is due to customer feedback, marketing or other efforts.)
tt ex ansion vehicles re nested, what is the source for fundin to operate the vehicles ?
how will the public be notified of the service chan es described above?
How much lead-time is iven before service chan es take effect?
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