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HomeMy WebLinkAboutOrange Co signed Certs Assurances State Fiscal Year 2014 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 2014 Before the North Carolina Department of Transportation (NCDOT) may award Federal and/or State transit assistance funds to support a public transportation 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) 2013. We request that you read each Certification and Assurance carefully and select those that will 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 17 groups.At a minimum,you must select the assurances in Group 01. If you request more than$100,000 in Federal/State assistance,you must also select the "Lobbying" Certification in Group 02, unless the Applicant is an Indian tribe or a tribal organization. Depending on the nature of the Subrecipient and its Project, the Subrecipient may need to select some of the Certifications and Assurances in Groups 03 through 17. However, instead ofselecting 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 seventeen (17) 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 pre-award requirements, generally required by Federal/State law or regulation, and do not include all Federal/State requirements that may apply to the Subrecipient or its Project. The FTA Master Agreement AM(19)for Federal FY 2013, http://wwrv. a.dot.gov/documents/19-Master,pdf. contains a list of most of those requirements. The Subrecipient is ultimately responsible for compliance with the Certifications and Assurances selected on its behalf that apply to itself or its Project, even if a Third Party Participant may be involved in the Subrecipient's Project, except as FTA/NCDOT determines otherwise in writing, For this reason, we strongly recommend that you take the appropriate measures to assure the validity of applicable Certifications and Assurances. The Subrecipient understands and agrees that when applying for funding on behalf of a consortium,joint venture,partnership, 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 office, all Federal requirements have been passed down to State funded assistance. Be aware that these Certifications and Assurances have been prepared in light of • FTA's latest authorization legislation, Moving Ahead for Progress in the 21st Century Act(MAP-21), Pub. L. 112-141,June 6, 2012; • The Continuing Appropriations Resolution, 2013 (CR), Pub, L, 112-175, September 28, 2012; • The FTA "Notice of FTA Transit Program Changes,Authorized Funding Levels and Implementation of the Moving Ahead for Progress in the 21st Century Act(MAP-21) and the FTA FY2013 Apportionments, j Allocations, Program Information and Interim Guidance," 77 Fed. Reg. 663670, October 16, 2012 (FTA FY 2013 Apportionments Notice); and • FTA's authorizing legislation in effect in FY 2012 or a previous fiscal year. With certain exceptions,projects financed in FFY 2013 with funds made available or appropriated for FFY 2012 or a previous fiscal year must be in compliance with the requirements for that type of project in effect for the fiscal year for which the funding was derived, except as superseded by MAP-21 cross-cutting requirements that apply instead. The Applicant must submit its Certifications and Assurances by completing and submitting the selection and signature pages at the end of this document, as well as the complete document: 1) Certifications andAssurances selection page; 2)Affirmation of Applicant; 3)Affirmation of Applicant's Attorney; 4) Certifications and Restrictions on Lobbying; and 5) Certification of Equivalent Service. i 1 i i State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances 01. ASSURANCES REQUIRED FOR EACH APPLICANT Each Subrecipient of FTA assistance awarded to NCDOT and each Subrecipient of State assistance must provide all assurances in this Group "01," NCDOT may not award any State or Federal assistance until the Applicant provides the following assurances by selecting Group "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 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: 1. Execute and file its application for Federal/State funds; 2. Execute and file its Certifications,Assurances,and Agreements binding its compliance; 3. Execute Grant Agreements or Cooperative Agreements, or both, with NCDOT; 4. Comply with applicable Federal/State laws and regulations; and 5. Follow applicable Federal/State guidance. B. Standard Assurances The Applicant assures that: 1. It will comply with all applicable Federal/State statutes and regulations to carry out any FTA/NCDOT funded Project; 2. It is under a continuing obligation to comply with the terms and conditions of the FTA/NCDOT Grant Agreement or Cooperative Agreement for its Project,including the FTA Master Agreement incorporated by reference and made part of the latest amendment to the Grant Agreement or Cooperative Agreement; 3. It recognizes that Federal/State laws and regulations may be modified from time to time and those modifications may affect Project implementation; 4. It understands that Presidential executive orders and Federal/State guidance,including Federal/State policies and program guidance,may be issued concerning matters affecting the Applicant or its Project; 5. It agrees that the most recent Federal/State laws,regulations, and guidance will apply to its Project,unless FTA/NCDOT determines otherwise in writing; 6. In light of recent FTA legislation applicable to FTA and except as FTA/NCDOT determines otherwise in writing,the Applicant agrees that requirements for FTA/NCDOT programs may vary depending on the fiscal year for which the funding for those programs was appropriated: a. In some instances,FTA has determined that Federal statutory or regulatory program and eligibility requirements for FY 2012 or a specific previous fiscal year will apply to: (1) New grants and cooperative agreements, and (2) New amendments to grants and cooperative agreements that: (a) Have been awarded Federal funds made available or appropriated for FY 2012 or the previous fiscal year,or (b) May be awarded Federal funds appropriated for FY 2012 or the previous fiscal year, but j b. In other instances,FTA has determined that MAP-21 will apply to the Federal funds made available or appropriated for FY 2012 or a previous fiscal year, and c. For all FTA funded Projects,the following MAP-21 cross-cutting requirements supersede conflicting provisions of previous Federal law and regulations: (1) Metropolitan and Statewide Planning, (2) Environmental Review Process, (3) Agency Safety Plans, (4) Transit Asset Management Provisions(and Asset Inventory and Condition Reporting), i (5) Costs Incurred by Providers of Public Transportation by Vanpool, (6) Revenue Bonds as Local Match, (7) Debt Service Reserve, 2 i State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances (8) Government's Share of Cost of Vehicles,Vehicle-Equipment, and Facilities for ADA and Clean Air Act Compliance, (9) Private Sector Participation, (10) Bus Testing, (11) Buy America, (12) Corridor Preservation, (13) Rail Car Procurements, (14) Veterans Preference/Employment, (15) Alcohol and Controlled Substance Testing, and (16) Other provisions as FTA/NCDOT may determine. (See the Federal Transit Administration,"Notice of FTA Transit Program Changes,Authorized Funding Levels and Implementation of the Moving Ahead for Progress in the 21st Century Act(MAP-21)and FTA FY 2013 Apportionments,Allocations,Program Information and Interim Guidance,"77 Fed.Reg. 663670,October 16, 2012.) C. Intergovernmental Review Assurance The Applicant assures that it.has or will submit each Federal/State 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,religion,sex,disability, or age: a. Federal transit laws, specifically 49 U.S.C. 5332, as amended by MAP-21 (prohibiting discrimination on the basis of race, color,religion,national origin,sex,disability, 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; c. The Rehabilitation Act of 1973,as amended,29 U.S.C. 794,et seq.; d. The Americans with Disabilities Act of 1990, as amended,42 U.S.C. 12101 et seq.; e. U.S.DOT regulations,"Nondiscrimination in Federally-Assisted Programs of the Department of Transportation-Effectuation of Title VI of the Civil Rights Act of 1964,"49 CFR part 21; f. U.S. DOT regulations,specifically 49 CFR parts 27,37, 38,and 39; and g. Any other applicable Federal statutes that may be signed into law or Federal regulations that may be promulgated, 2. The Applicant agrees to comply with Federal guidance implementing Federal nondiscrimination laws and regulations, except to the extent FTA/NCDOT determines otherwise in writing, 3. As required by 49 CFR 21.7,the Applicant assures that: a. It will comply with 49 U.S.C. 5332,as amended by MAP-21,42 U.S.C.2000d, and 49 CFR part 21 in the manner: (1) It conducts 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 to all parts of its facilities, including the facilities it i operates to implement 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 may be filed with U.S.DOT or FTA/NCDOT, and 3 State Fiscal Year 2014 Public Transportation Programs 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 nondiscrimination: (1) While the property is used for the purpose that the Federal/State 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 implementing 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 laws,49 U.S.C. 5332, as amended by MAP-21, g. It will comply with Federal guidance issued to implement Federal nondiscrimination requirements, except as FTA/NCDOT determines otherwise in writing, h. It will extend the requirements of 49 U.S.C. 5332,as amended by MAP-21,42 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 Third Party Participant in its Project, L It will include adequate provisions to extend the requirements of 49 U.S.C. 5332,as amended by MAP-21, 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,and j. The assurances it has made will remain in effect as long as: (1) Federal/State funding is extended to its Project, (2) Its Project property is used for a purpose for which the Federal/State funding is extended, (3) Its Project property is used for a purpose involving the provision of similar services or benefits,or (4) It retains ownership or possession of its Project property, and 4. 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,and consistent with 49 U.S.C. 5307(c)(1)(D)(iii),as amended by MAP-21,the Applicant assures that: a. It will comply with the following prohibitions against discrimination on the basis of disability,which are a condition of 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 (5) Participate in or obtain any benefit from any FTA/NCDOT administered program, and b. In any program or activity receiving or benefiting from Federal/State funding that U.S.DOT/NCDOT 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. i 4 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances E. Suspension and Debarment Certification. The Applicant certifies that: 1. It will comply and facilitate compliance with 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, 2. The Applicant certifies,to the best of its knowledge and belief,that the Applicant, its Principals,and first tier Subrecipients: a. Are eligible to participate in covered transactions of any Federal/State department or agency and are not presently: (1) Debarred, (2) Suspended, (3) Proposed for debarment, (4) Declared ineligible, (5) Voluntarily excluded,or (6) 'Disqualified, b. Have not within a three-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 a three-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 2.a—2.d above, f. Will treat each lower tier contract or lower tier subcontract under its 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 Federal/State official,and g. Will require that each covered lower tier contractor and subcontractor: (1) Comply and facilitate compliance with the Federal requirements of 2 CFR parts 180 and 1200, and (2) Assure that each lower tier participant in its Project is not presently declared by any Federal/State department or agency to be: (a) Debarred from participation in the federal/state funded Project, (b) Suspended from participation in the federal/state funded Project, (c) Proposed for debarment from participation in the federally/state funded Project, (d) Declared ineligible to participate in the federal/state funded Project, (e) Voluntarily excluded from participation in the federal/state funded Project,or {f) Disqualified from participation in the federal/state funded Project,and 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 any of its Third Party Participants at a lower tier, is unable to certify compliance with to the preceding statements in this Certification O1.E. I I it I 5 it State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances F. U.S. OMB Assurances in SF-424B and SF-424D. The assurances in Group 01.17 are consistent with the U.S. OMB assurances required in the U.S. OMB SF-424B and SF-424D,updated as necessary to reflect changes in Federal laws and regulations. 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 its Project, including: (1) The legal authority to apply for Federal/State funding,and (2) The institutional capability, (3) The managerial capability,and (4) The financial capability(including funds sufficient to pay the non-Federal/non-State share of Project cost). b. It will give limited 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 FTA/NCDOT guidance,and d. It will establish safeguards to prohibit employees from using their positions for a purpose that results in: (1) 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 Specifies, The Applicant assures that: a. Following receipt of FTA/NCDOT award, it will begin and complete Project work within the time periods that apply, 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 to assure nondiscrimination during the useful life of its Project in its title to Federal/State funded real property, (4) To the extent FTA/NCDOT requires, it will record the Federal/State interest in the title to FTA/NCDOT funded real property or interests in real property,and (5) To the extent practicable,absent 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, and 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 Federal/State statutes relating to nondiscrimination including,but not limited to the: (1) Prohibitions against discrimination on the basis of race,color,or national origin,as provided in Title VI of the Civil Rights Act,42 U.S.C.2000d, (2) Prohibitions against discrimination on the basis of sex,as provided in: (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 funded programs,as provided in the Age Discrimination Act of 1975,as amended,42 U.S.C. 6101 —6107, (4) Prohibitions against discrimination on the basis of disability in federally funded programs,as provided in section 504 of the Rehabilitation Act of 1973,as amended,29 U.S.C.794, I 6 �I State Fiscal Year 2014 Public.Transportation Programs Federal and State Assistance Certifications and Assurances (5) Prohibitions against discrimination on the basis of disability,as provided in the Americans with Disabilities Act of 1990, as amended,42 U.S.C. 12101 et seq. (6) Prohibitions against discrimination in the sale,rental, or financing of housing,as provided in Title VIII of the Civil Rights Act,42 U.S.C.3601 et seq., (7) Prohibitions against discrimination on the basis of drug abuse,as provided in 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,as provided in 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,as provided in 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 its Project, b. As provided by the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended(Uniform Relocation Act),42 U.S.C.4601 et seq.,and the MAP-21 amendment to 49 U.S.C. 5323(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 federal/state assisted programs,and: (1) It has the necessary legal authority under State and local laws to comply with: (a) The Uniform Relocation Act.42 U.S.C.4601 et seq., as specified by 42 U.S.C.4630 and 4655, and (b) U.S. DOT regulations,"Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally Assisted Programs,"49 CFR part 24,specifically 49 CFR 24.4,and (2) It has complied with or will comply with the Uniform Relocation Act and implementing U.S. DOT regulations,because: (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,and 2 Partnerships,corporations, or associations, (c) As provided by 42 U.S.C.4625 and 49 CFR part 24, it will provide relocation assistance programs offering the services described in to the U.S.DOT regulations to such displaced: 1 Families and individuals,and 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 Carry 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 be guided by the real property acquisition policies of 42 U.S.C.4651 and 4652 to the greatest extent practicable under State law, (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 Federal/State 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, (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, 7 I State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances 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, d. It will,to the extent practicable,comply with the protections for human subjects involved in research, development, and related activities supported by Federal/State funding of: (1) The National Research Act,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 federal/state funded Projects of: (1) The Davis-Bacon Act, as amended,40 U.S.C. 3141-3144,3146,and 3147, (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,and (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 Federal laws and executive orders, including,but not limited to: (1) Following 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) Following the notification of violating facilities provisions of Executive Order No. 11738,42 U.S.C. 7606 note, (3) Following the protection of wetlands provisions of Executive Order No. 11990,42 U.S.C.4321 note, (4) Following the evaluation of flood hazards in floodplains provisions of Executive Order No. 11988,42 U.S.C.4321 note, (5) Complying with the assurance of Project consistency with the approved State management program developed pursuant to the Coastal Zone Management Act of 1972,as amended, 16 U.S.C. 1451- 1465, (6) Complying with the Conformity of Federal Actions to State(Clean Air)Implementation Plans requirements under section 176(c)of the Clean Air Act of 1955,as amended,42 U.S.C. 7401- 7671 q, (7) Complying with the protections for underground sources of drinking water under the Safe Drinking Water Act of 1974,as amended,42 U.S.C. 300f-300j-6, (8) Complying with the protections for endangered species under the Endangered Species Act of 1973,as amended, 16 U.S.C. 1531- 1544, (9) Complying with the environmental protections for Federal transportation programs, including,but not limited to,protections for parks,recreation areas,or wildlife or waterfowl refuges of national, State, or local significance or any land from a historic site of national, State,or local significance to be used in a transportation Project as required by 49 U.S.C. 303(b)and 303(c), (10) Complying with the 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) Complying with and facilitating 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, complying with the following Federal requirements for the care,handling, and treatment of warm blooded animals held or used for research,teaching, or other activities supported by Federal funding: (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, obtaining 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), before accepting delivery of any FTA funded building, I 8 I State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances i. To the extent practicable,complying with,and assuring its Subrecipients located in special flood hazard areas 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,and (2) Purchasing flood insurance if the total cost of insurable construction and acquisition is$10,000 or more, j. To the extent practicable,complying with: (1) The Hatch Act, 5 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 funds, including a Federal loan,grant agreement, or cooperative agreement, and (2) 49 U.S.C. 5323(1)(2),as amended by MAP-21, 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 funding made available or authorized for 49 U.S.C. chapter 53 and 23 U.S.C. 142(a)(2)to whom the Hatch Act does not otherwise apply, k. Performing the financial and compliance audits as required by the: (1) 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) Most recent applicable U.S. OMB A-133 Compliance Supplement provisions for the U.S.DOT, and 1. To the extent practicable,complying with all the provisions of all other Federal/State laws or regulations that apply, and follow Federal/State guidance governing the Applicant and its Project, except to the extent that FTA/NCDOT has expressly approved otherwise in writing. 02. LOBBYING CERTIFICATION An Applicant, other than an Indian Tribe exempted from these requirements by 31 U.S.C. 1352, that submits an application to NCDOT for State or(FTA)Federal assistance exceeding$100,000 is required to provide the following certification. The Applicant is ultimately res P onsible f or compliance with the Certi f ication and Assurances that apply to itsel or i its Project, even if a Subrecipient or other Third Party Participant may be involved in the Applicant's Project, except as FTAINCDOT determines otherwise in writing. For this reason, we strongly encourage you to take appropriate measures to assure the validity of applicable Certifications and Assurance, Except as FTA/NCDOT determines otherwise in writing, NCDOT may not award State or Federal assistance exceeding$100,000 until the Applicant provides this certification by selecting Group "02."Any provision of the Certification in Group 02 that does not apply will not be enforced. As required by 31 U.S.C. 1352 and U.S. DOT regulations,"New Restrictions on Lobbying,"specifically 49 CFR j 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 of: (1) It, (2) Its principals, and (3) Its first tier subrecipients: I The Applicant certifies,to the best of its knowledge and belief,that: 1. No Federal/State 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 Federal/State agency, �I 9 I State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances (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) Federal/State grant or cooperative agreement,or (2) Federal/State 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 Federal/State 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 Federal/State 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) Federal/State grant or cooperative agreement, (2) Federal/State 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) Federal/State grant or cooperative agreement,or (2) Federal/State 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 Federal/State Government may award funding for a transaction covered by 31 U.S.C. 1352,including a: (1) Federal/State grant or cooperative agreement, or (2) Federal/State 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.'PRIVATE SECTOR PROTECTIONS You must select this Assurance if you intend to acquire public transportation property or operate public transportation supported with FTA/NCDOT capital or operating funds, except as FTWNCDOT determines otherwise in writing. The Applicant understands and certifies that it is ultimately responsible for compliance with the Certifications and Assurances that apply to itself or its Project, even if a Subrecipient or other Third Party Participant may be involved in its Project, except as FTA/NCDOT determines otherwise in writing. For this reason, we strongly encourage you to take appropriate measures, including, but not limited to, obtaining sufficient documentation from each Subrecipient and other Third Party Participant to assure the validity of applicable Certifications and Assurances selected. I Except as FTA/NCDOT determines otherwise in writing, before FTA/NCDOT may provide funding for a Project that involves the acquisition ofpublic transportation property or operations ofpublic transportation that affect the Applicant's acquisitions or operations,you must select the Assurance in Group 03.A and enter into the Agreements in Group 033 and Group 03.C.Any provision of the Assurance and Agreements in Group 03 that does not apply will not be enforced. A. Private Sector Property Protections. For FTA to make the findings necessary to protect private transportation providers,as required by 49 U.S.C, 5323(a)(1),you must select the Assurances in Group 03.A: 10 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances 1. If the Applicant is a: a. State, b. Local government, or c. Indian tribal government,and 2. If you are applying for or will apply for 49 U.S.C.chapter 53 funding to: a. Acquire the property of a private transit operator, or b. Operate public transportation in competition with or in addition to a public transportation operator. To facilitate FTA/NCDOT's ability to make the findings required by 49 U.S.C. 5323(a)(1),you assure that: 1. The Applicant 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 laws to the company for any franchise or property acquired, and 2. The Applicant has completed the actions described in subsection 1 of this Certification 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 operator,or (2) In addition to transportation service provided by an existing public transportation operator. B. Charter Service Agreement You must enter into the Charter Service Agreement in Group 03,B if you apply for funding to acquire or operate transit facilities and equipment, unless the Applicant qualifies 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,you are entering into the following Charter Service Agreement: 1. General Requirements. FTA's"Charter Service"regulations apply as follows: a. FTA's Charter Service regulations restrict transportation by charter service using facilities and equipment acquired by FTA/NCDOT recipients 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, b. FTA's charter service restrictions extend to: (1) The Applicant,when it becomes a recipient/subrecipient of Federal funding authorized for or made available for: (a) Federal transit laws,49 U.S.C, chapter 53,or (b) 23 U.S.C. 133 or 142, (2) Any Third Party Participant that receives Federal funding derived from: (a) Federal transit laws,49 U.S.C, chapter 53,or (b) 23 U.S.C. 133 or 142, c. A Third Party Participant includes any: (1) Subrecipient at any tier, (2) Lessee, (3) Third Party Contractor or Subcontractor at any Tier, and (4) Other Third Party Participant in your Applicant's Project, d. The Applicant agrees that neither it nor any governmental authority or publicly owned operator that receives FTA funding made available or authorized for the Applicant's Project will engage in charter service operations, except as permitted under: (1) Federal transit laws, specifically 49 U.S.C. 5323(d)and(g), (2) FTA regulations, "Charter Service,"49 CFR part 604,to the extent consistent with 49 U.S.C, 5323(d) and(g), (3) Any other Federal Charter Service regulations,or (4) Federal guidance, except as FTA determines otherwise in writing, 11 I State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances e. 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 FTA/NCDOT funding, and f. The Applicant agrees that: (1) FTA may require corrective measures or impose remedies on it or any governmental authority or publicly owned operator that receives FTA funding made available or authorized for its Project that has engaged in a pattern of violations of FTA's Charter Service regulations by: (a) Conducting charter operations prohibited by Federal transit laws and FTA's Charter Service regulations,or (b) Otherwise violating the Applicant's Charter Service Agreement it has elected in its latest annual Certifications and Assurances, and (2) These corrective measures and remedies may include: (a) Barring the Applicant or any Third Party Participant operating public transportation under the Project that has provided prohibited charter service from receiving FTA funds, (b) Withholding an amount of Federal funds as provided by Appendix D to FTA's Charter Service regulations,or (c) Any other appropriate remedy that may apply,and 2. Exceptions.Apart from exceptions to the charter service restrictions in FTA's Charter Service Regulations, FTA has established the following additional exceptions to those restrictions: a. FTA's Charter Service restrictions do not apply to an Applicant seeking funding made available or appropriated for 49 U.S.C. 5307 to be used for Job Access and Reverse Commute(JARC)activities that would have been eligible for assistance under repealed 49 U.S.C. 5316 in effect in FY 2012 or a previous fiscal year,provided that the Applicant uses that FTA funding for program purposes only, b. FTA's Charter Service restrictions do not apply to an Applicant seeking funding made available or appropriated for 49 U.S.C. 5310 to be used for New Freedom activities that would have been eligible for assistance under repealed 49 U.S.C. 5317 in effect in FY 2012 or a previous fiscal year,provided the Applicant uses that FTA funding for program purposes only,and c. An Applicant for assistance under 49 U.S.C.chapter 53 will not be determined to have violated the FTA Charter Service regulations if that recipient/subrecipient provides a private intercity or charter transportation operator reasonable access to that recipient's federally funded public transportation facilities,including intermodal facilities, park and ride lots, and bus-only highway lanes as specified in 49 U.S.C. 5323(r), as amended by MAP-21. C. School Bus Agreement You must enter into the School Bus Agreement in Group 03.C ifyou apply for funding to acquire or operate transit facilities and equipment, unless you qualify for an exception under Federal law and regulations. As required by 49 U.S.C. 5323(f)and(g), as amended by MAP-21, and FTA regulations,"School Bus Operations," 49 CFR part 605,to the extent consistent with 49 U.S.C. 5323(f)and(g),as amended by MAP-21,you are entering into the following School Bus Agreement: 1, FTA's"School Bus Operations"regulations restrict school bus operations(as defined in the FTA regulations) using facilities and equipment acquired with Federal funding derived from: a. Federal transit laws,49 U.S.C. chapter 53,or b. 23 U.S.C. 133 or 142, 2. FTA's school bus operations restrictions extend to: a. An Applicant,when it becomes a recipient/subrecipient of Federal funding made available or authorized for (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, 3. A Third Party Participant includes any: a. Subrecipient at any tier, b. Lessee, 12 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances c. Third Party Contractor or Subcontractor at any tier,and d. Other Third Party Participant in the Project, 4. The Applicant agrees,and will obtain the agreement of any Third Party Participant involved in its Project,that it will not engage in school bus operations in competition with private operators of school buses,except as permitted under: a. Federal transit laws, specifically 49 U.S.C. 5323(f)and(g),as amended by MAP-21, b. FTA regulations,"School Bus Operations,"49 CFR Part 605,to the extent consistent with 49 U.S.C. 5323(f)and(g), as amended by MAP-21, c. Any other Federal School Bus regulations,or d. Federal guidance,except as FTA determines otherwise in writing, 5. The Applicant agrees that the latest School Bus Agreement it has selected in FTA's latest annual Certifications and Assurances is incorporated by reference in and made part of the underlying Agreement accompanying an award of FTA funding, and 6. The Applicant agrees that FTA will bar it or any Third Party Participant that has violated this School Bus Agreement from receiving Federal transit funding in an amount FTA considers appropriate. I 04. PROCUREMENT AND PROCUREMENT SYSTEM In accordance with 49 CFR 18.36(g)(3)(h), each Applicant that is a State, local, or Indian tribal government that submits an application to NCDOTfor State or(FTA)Federal assistance to acquire property or services in support of its Project is requested to provide the following certification by selecting Group "04," NCDOT also requests other Applicants to provide the following certification.NCDOT may not provide State or Federal assistance to an applicant for property or services in support of its project until the Applicant provides this Certification by selecting Group "04." The Applicant is ultimately responsible for compliance with the Certifications and Assurances selected that apply to itself or its Project, even if a Subrecipient or other Third Party Participant may be involved in the Applicant's Project, except as FT41NCDOT determines otherwise in writing. For this reason, we strongly encourage the Applicant to take appropriate measures, including, but not limited to, obtaining sufficient documentation from each Subrecipient and other Third Party Participant to assure the validity of applicable Certifications and Assurances selected. Any provision of the Certification in Group 04 that does not apply will not be enforced. The Applicant certifies that its procurements and procurement system will comply with all Federal/State laws and regulations in accordance with applicable Federal/State guidance,except to the extent FTA/NCDOT has approved otherwise in writing. 05. ROLLING STOCK REVIEWS AND BUS TESTING The Applicant must select the Certifications in Group 05 if, using FTA funds, it intends to acquire: • Rolling stock for use in revenue service, or • A new bus model. The Certifications in Group 05 are required for such acquisitions listed above regardless of whether the FTA funds used were made available or appropriated for: • 49 U.S.C. chapter 53, as amended by MAP-21, or • Former 49 U.S.C. chapter 53 in effect in FY 2012 or a previous fiscal year, except as superseded by MAP- 21 cross-cutting requirements that apply instead. The Applicant is ultimately responsible for compliance with the Certifications and Assurances selected that apply to itself or its Project, even if a Subrecipient or other Third Party Participant may be involved in its Project, except as FTAINCDOT determines otherwise in writing. For this reason, we strongly encourage the Applicant to take I I 13 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances appropriate measures, including, but not limited to, obtaining sufficient documentation from each Subrecipient and other,Third Parry Participant to assure the validity of applicable Certifications and Assurances. Except as FTA/NCDOT determines otherwise in writing, before FTA/NCDOT may provide funding for the Applicant's Project to acquire rolling stock or a new bus model,you must select the Certifications in Group 05.Any provision of the Certifications in Group 05 that does not apply will not be enforced. A. Rolling Stock Reviews (If the Applicant seeks FTA funding for rolling stock for use in revenue service.) The Applicant certifies that in procuring revenue service rolling stock for use in revenue service: 1. The Applicant will comply with: a. Federal transit laws, specifically 49 U.S.C. 5323(m), and b. FTA regulations,"Pre-Award and Post-Delivery Audits of Rolling Stock Purchases,"49 CFR part 663, and 2: As provided in 49 CFR,663.7: a. The Applicant will conduct or cause to be conducted the required pre-award and post-delivery reviews, and b. The Applicant will maintain on file the Certifications required by 49 CFR part 663,subparts B, C, and D. B. Bus Testing (If the Applicant seeks FTA funding to o acquire a new bus model.) The Applicant certifies that: 1. Because the MAP-21 cross-cutting requirement"Bus Testing"applies to all acquisitions of new buses and new bus models that require bus testing,the Applicant will comply with: a. 49 U.S.C. 5318, as amended by MAP-21,and b. FTA regulations,"Bus Testing,"49 CFR part 665,to the extent these regulations are consistent with 49 U.S.C. 5318, as amended by MAP-21, 2. As required by 49 CFR 665.7,when acquiring the first bus of any new bus model or a bus model with a major change in components or configuration: a. The Applicant will not spend any Federal funds appropriated under 49 U.S.C. chapter 53 to acquire that bus until: (1) The bus has been tested at FTA's bus testing facility, and (2) It has received a copy of the test report prepared on that new bus model,and b. The Applicant will not authorize final acceptance of the bus until: (1) The bus has been tested at FTA's bus testing facility, (2) It has received a copy of the test report prepared on that new bus model, 3. The Applicant will ensure that the bus that is tested has met the performance standards consistent with those regulations, including: a. Performance standards for: (1) Maintainability, (2) Reliability, (3) Performance(including braking performance), (4) Structural integrity, (5) Fuel economy, (6) Emissions,and (7) Noise, and b. Minimum safety performance standards established under 49 U.S.C. 5329, as amended by MAP-21, and 4. After FTA has issued regulations authorized by 49 U.S,C. 5318(e)(2),as amended by MAP-21,the Applicant will ensure that the bus that is tested has received a passing aggregate test score under the"Pass/Fail"standard established under 49 U.S.C. 5318(e)(2),as amended by MAP-21. 14 I State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances 06. DEMAND RESPONSIVE SERVICE You must select the Certification in Group 06 if the Applicant is a public(or nonprofit) entity, operates demand responsive service and intends to use FTAINCDOT funding to acquire a non-rail vehicle that is not accessible, but financed with FTAINCDOT funds made available or appropriated for: • 49 U.S.C. chapter 53, as amended by MAP-21, or ® Former 49 U.S.C. chapter 53 in effect in FY 2012 or a previous fiscal year, except as superseded by MAP- 21 cross-cutting requirements that apply instead. The Applicant is ultimately responsible for compliance with the Certifications and Assurances that apply to itself or its Project, even if a Subrecipient or other Third Party Participant may be involved in the Applicant's Project, except as FTAINCDOT determines otherwise in writing. For this reason, we strongly encourage the Applicant to take appropriate measures, including, but not limited to, obtaining sufficient documentation from each Subrecipient and other Third Party Participant to assure the validity of applicable Certifications and Assurances. Except as FTAINCDOT determines otherwise in writing, before FTAINCDOT may provide funding for the Applicant's Project to acquire a non-rail transit vehicle that is not accessible,you must select the Certification in Group 06 Any provision of the Certification in Group 06 that does not apply will not be enforced. 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 Applicant offers public transportation services equivalent in level and quality of service to: a. Individuals with disabilities, including individuals who use wheelchairs,and b. Individuals without disabilities, and 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 priorities based on trip purpose, (6) Availability of information and reservation capability, and (7) Constraints on capacity or service availability, 07.INTELLIGENT TRANSPORTATION SYSTEMS . The Applicant must select the Assurance in Group 07 if it applies for Federal/State funding to support: • An Intelligent Transportation Systems(ITS)Project, or • A Project in support of an ITS Project, The Applicant is ultimately responsible for compliance with the Certifications and Assurances that apply to itself or its Project, even if a Subrecipient or other Third Party Participant may be involved in the Applicant's Project, except as FTAINCDOT determines otherwise in writing. For this reason, we strongly encourage the Applicant to take appropriate measures, including, but not limited to, obtaining sufficient documentation from each Subrecipient and other Third Party Participant to assure the validity of applicable Certifications and Assurances. Except as FTAINCDOT determines otherwise in writing, before FTAINCDOT may provide funding for your Project to support an ITS Project or a Project that supports an ITS project,you must select the Assurances in Group 07. Any provision of the Assurance in Group 07 that does not apply will not be enforced. The Applicant assures that: 1. 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 15 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances or significantly contribute to the provision of one or more ITS user services as defined in the"National ITS Architecture,"and 2. As provided in 23 U.S.C. 517(d),any ITS Project the Applicant undertakes that is funded with appropriations made available from the Highway Trust Fund, including amounts made available to deploy intelligent transportation systems,will conform to the appropriate regional ITS architecture,applicable standards, and protocols developed under 23 U.S.C. 517(a)or(c),unless the Applicant obtains a waiver as provided in 23 U.S.C. 517(d)(2). 08. INTEREST AND FINANCING COSTS AND LEASING COSTS. The Applicant must select the Certifications in Group 08 if its Project involves interest,financing or leasing costs supported with FTAINCDOT funds made available or appropriated for: ® 49 U.S.C. chapter 53, as amended by MAP-21, or • Former 49 U.S.C chapter 53 in effect in FY 2012 or a previous fiscal year, except as superseded by MAP- 21 cross-cutting requirements that apply instead. The Applicant is ultimately responsible for compliance with the Certifications and Assurances that apply to itself or its Project, even if a Subrecipient or other Third Party Participant may be involved in the Applicant's Project, except as FTAINCDOT determines otherwise in writing. For this reason, we strongly encourage the Applicant to take appropriate measures, including, but not limited to, obtaining sufficient documentation from each Subrecipient and other Third Party Participant to assure the validity of applicable Certifications and Assurances. Except as FTAINCDOT determines otherwise in writing, before FTAINCDOT may provide funding for the interest, financing or leasing costs that are apart of or connected with the Applicant's Project,you must select the Certifications in Group 08.Any provision of the Certifications in Group 08 that does not apply will not be enforced. A. Interest and Financing Costs The Applicant must select the Certification in Group 08.A if it intends to request reimbursement for interest or other financing costs for Projects funded by the Urbanized Area Formula Program, Fixed Guideway Capital Investment Program, or the New Starts or Small Starts Program within the Capital Investment Program; or State funded Projects. The Applicant certifies that: 1. It will not seek reimbursement for interest or other financing costs unless: a. It is eligible to receive Federal/State funding for those costs,and b. Its records demonstrate that it has shown reasonable diligence in seeking the most favorable financing terms,to the extent FTA/NCDOT may require, and 2. The Applicant will comply with the same favorable financing cost provisions for: a. Urbanized Area Formula Projects funded by MAP-21 or previous FTA enabling legislation, -b. Projects under Full Funding Grant Agreements funded by MAP-21 or previous FTA enabling legislation, c. Projects with Early Systems Work Agreements funded by MAP-21 or previous FTA enabling legislation, d. Fixed Guideway Capital Investment Projects funded by previous FTA enabling legislation, e. State of Good Repair Projects funded by MAP-21, f. Bus and Bus Facilities Projects funded by MAP-21, g. Low or No Emission Vehicle Development Projects funded by MAP-21,and h. State funded Projects. B. Acquisition of Capital Assets by Lease The Applicant must select the Certification in Group 08.B if it intends to use FTAINCDOTfunding to acquire capital assets through a lease. I 16 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances On behalf of your Applicant,you certify and assure that,as required by FTA regulations,"Capital Leases,"49 CFR part 639,specifically 49 CFR 639.15(b)(1)and 49 CFR 639.21, if the Applicant acquires any capital asset through a lease financed with Federal/State funding authorized under 49 U.S.C, chapter 53: 1. The Applicant will not use FederaUState funding authorized under 49 U.S.C, chapter 53 to finance 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 of: (1) Entering into the lease,or (2) Receiving a capital grant for the asset,and 2. The Applicant will not enter into a capital lease for which FTA/NCDOT can provide only incremental FederaUState funding unless the Applicant has adequate financial resources to meet its future lease obligations if Federal/State funding is not available. 09. TRANSIT ASSET MANAGEMENT AND AGENCY SAFETY PLANS Except as FTAINCDOT determines otherwise in writing,you must select the Certifications in Group 09 you seek FTAINCDOT funds made available or appropriatedfor: • 49 US.C, chapter 53, as amended by MAP-21, or ® Former 49 U.S.C. chapter 53 in effect in FY 2012 or a previous fiscal year, except as superseded by MAP- 21 cross-cutting requirements that apply instead, including.- • Transit Asset Management Provisions(and Asset Inventory and Condition Reporting), and • Agency Safety Plans. The Applicant is ultimately responsible for compliance with the Certifications and Assurances selected that apply to itself or its Project, even if a Subrecipient or other Third Party Participant may be involved in the Applicant's Project, except as FTAINCDOT determines otherwise in writing. For this reason, we strongly encourage the Applicant to take appropriate measures, including, but not limited to, obtaining sufficient documentation from each Subrecipient and other Third Party Participant to assure the validity of applicable Certifications and Assurances. i Except as FTAINCDOT determines otherwise in writing, before FTAINCDOT may provide funding made available or appropriatedfor 49 U.S.C. chapter 53,you must select the Certifications in Group 09.Any provision of the Certifications in Group 09 that does not apply will not be enforced. A. Transit Asset Management Plan. The Applicant must select the Certification in Group 09,A if it applies, as a direct Recipient, of funding made available or appropriatedfor 49 U.S.C. chapter 53, as amended by MAP-21 or for former 49 US.C. chapter 53 in effect in FY 2012 or a previous fiscal year, except as superseded MAP-21 cross-cutting requirement, "Transit Asset Management Provisions(and Asset Inventory and Condition Reporting)" instead The Applicant certifies that it will comply,and each Subrecipient/Subcontractor will: 1. Follow Federal guidance issued that implements transit asset management system provisions of 49 U.S.C. 5326,as amended by MAP-21,except as FTA/NCDOT determines otherwise in writing,and 2. Comply with the final Federal regulations that implement the transit asset management system required by 49 U.S.C. 5326, as amended by MAP-21, after those regulations have been issued as required by 49 U.S.C. 5326(e), as amended by MAP-21, B. Public Transportation Agency Safety Plan. The Applicant must select the Certification in Group 09.B if it is a State government, local government, or any other operator of apublic transportation system and seeks funding made available or appropriatedfor 49 US.C. chapter i I �I 17 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances 53, as amended by MAP-21, or for former 49 U.S.C. chapter 53 in effect in FY 2012 or a previous fiscal year, except as superseded by the MAP-21 cross-cutting requirement, "Agency Safety Plans." The Applicant certifies that it will: 1. Follow Federal guidance issued that implements the safety plan provisions of 49 U.S.C. § 5329(a)—(d),as amended by MAP-21,except as FTA/NCDOT determines otherwise in writing, and 2. Comply with the final Federal regulations that implement the safety plan requirements of 49 U.S.C. § 5329(a) —(d),as amended by MAP-21,after within one year after FTA has issued that plan as required by 49 U.S.C. 5329(b),as amended by MAP-21. 10. ALCOHOL AND CONTROLLED SUBSTANCES TESTING Except as FTA/NCDOT determines otherwise in writing, the Applicant must select the Certification in Group 10 if the Applicant is required to comply with the alcohol and controlled substance testing requirements of- 0 49 U.S.C. 5331, as amended by MAP-21, or • Former 49 U.S.C. 5331 in effect in FY 2012 or a previous fiscal year, except as superseded instead by the MAP-21 cross-cutting requirement, "Alcohol and Controlled Substance Testing." The Applicant is ultimately responsible for compliance with the Certifications and Assurances that apply to itself or its Project, even if a Subrecipient or other Third Party Participant may be involved in the Applicant's Project, except as FTA/NCDOT determines otherwise in writing. For this reason, we strongly encourage you to take appropriate measures, including, but not limited to, obtaining sufficient documentation from each Subrecipient and other Third Party Participant to assure the validity of applicable Certifications and Assurances. Except as FTA/NCDOT determines otherwise in writing, before FTA/NCDOT may provide funding for your Project, you must select the Certification in Group 10.Any provision of the Certification that does not apply will not be enforced. As required by 49 U.S.C. 5331, as amended by MAP-21,and FTA regulations,"Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations,"specifically 49 CFR part 655,subpart I,the Applicant certifies that: 1. The Applicant has established and implemented: a. An alcohol misuse testing program, and b. A controlled substance testing program, 2. The Applicant has complied with or will comply with all applicable requirements of 49 CFR part 655 to the extent those regulations are consistent with 49 U.S.C. 5331,as amended by MAP-21, and 3. Further,should the Applicant reside in a State that permits marijuana use for medical or recreational purposes, the Applicant has complied or will comply with the Federal controlled substance testing requirements of 49 CFR part 655. 11. BUS AND BUS FACILITIES PROGRAMS The Certifications in Group I IA are in addition to other Certifications and Assurances listed previously that are required for Bus and Bus Facilities Program funding. The Applicant is ultimately responsible for compliance with the Certifications and Assurances selected that apply to itself or its Project, even if a Subrecipient or other Third Party Participant may be involved in the Applicant's Project, except as FTA/NCDOT determines otherwise in writing. For this reason, we strongly encourage you to take appropriate measures, including, but not limited to, obtaining sufficient documentation from each Subrecipient and other Third Party Participant to assure the validity of applicable Certifications and Assurances. Except as FTA/NCDOT determines otherwise in writing, the Applicant must select the Certifications in Group 11 if the Applicant seeks f nancing for its: ® Bus and Bus Facilities Formula Grant Program financed with funds made available or appropriated for 49 U.S.C. 5339, as amended by MAP-21, or I 18 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances • Bus and Bus Related Equipment and Facilities Project financed with funds made available or appropriated for former 49 U.S.C. 5309(b)(3) in effect in FY2012 or a previous fiscal year, In administering these programs, MAP-21 cross-cutting requirements supersede inconsistent former requirements. These two programs have or will have funding available during FY2013.Accordingly, if an Applicant seeks funding made available or authorized by 49 U.S.C. 5339, as amended by MAP-21, or former 49 U.S.C. 5309 in effect in FY 2012 or aprevious fiscal year,you shouldprovide the two subgroups of Certifications in Group 11 to assure that FTAINCDOT can select the type offunding it considers most suitable, Before FTAINCDOT may provide funding made available or appropriated for the Applicant's Project,you must have selected the Certifications in Group 11 and other Certifications and Assurances listed previously that are required for the funding you seek.Any provision of the Certifications in Group 11 that does not apply will not be enforced A. Bus and Bus Facilities Formula Grants Program The Applicant must select the Certification in Group]LA if it seeks funding for its Bus or Bus Facilities Formula Project financed with funds made available or appropriated for 49 U.S.C. 5339, as amended by MAP-21. The following Certifications for Bus and Bus Facilities Formula Grants Program funding are required by 49 U.S.C. 5339(b),as amended by MAP-21,which states that"The requirements of section 5307 apply to recipients of grants made under this section."Therefore,except as FTA/NCDOT determines otherwise in writing,the Applicant certifies that: 1. It has or will have the: a. Legal capacity to carry out its proposed Projects, b. Financial capacity to carry out its proposed Projects, c, Technical capacity to carry out its proposed Projects, d. Necessary capacity to carry out the safety aspects of its proposed Projects, and e. Necessary capacity to carry out the security aspects of its proposed Projects, 2. It has or will have satisfactory continuing control over the use of Project equipment and facilities, 3. It will maintain its Project equipment and facilities adequately, 4. It will ensure that when,during non-peak hours for transportation using or involving a facility or equipment of a Project financed under 49 U.S.C.5339, as amended by MAP-21,the following individuals will be charged a fare not exceeding fifty(50)percent of the peak hour fare: a. Any senior, b. Any individual who,because of illness, injury,age,congenital malfunction,or other incapacity or temporary or permanent disability(including an individual who is a wheelchair user or has semi- ambulatory capability),cannot use a public transportation service or a public transportation facility effectively without special facilities,planning, or design, c. Any individual presenting a Medicare card issued to himself or herself pursuant to title II of the Social Security Act(42 U.S.C.401 etseq,),or d. Any individual presenting a Medicare card issued to himself or herself pursuant to title XVIII of the Social Security Act(42 U.S.C. 1395 et seq.), 5. When carrying out a procurement under 49 U.S.C.5339,as amended by MAP-21,the Applicant will comply with the: a. General provisions for FTA programs of 49 U.S.C. 5323,as amended by MAP-21, and b. Third party procurement requirements of 49 U.S.C. 5325,as amended by MAP-21, 6. The Applicant has complied with or will comply with 49 U.S.C. 5307(b), as amended by MAP-21,because it: a. Has made or will make available to the public information on amounts of its funding available to it under 49 U.S.C. 5339, b. Has developed or will develop, in consultation with interested parties, including private transportation providers, a proposed Program of Projects for activities to be funded, I 19 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances c. Has published or will publish a Program of Projects in a way that affected individuals,private transportation providers,and local elected officials will have an opportunity to examine and submit comments on the proposed Program of Projects and its performance as an Applicant or Recipient, d. Has provided or will provide an opportunity for a public hearing to obtain the views of individuals on the proposed Program of Projects, e. Has ensured or will ensure that the proposed Program of Projects provide for coordination of transportation services funded by U.S.DOT under 49 U.S.C. 5336 with federally funded transportation services supported by United States Government sources other than U.S.DOT, f. Has considered or will consider the comments and views received, especially those of private transportation providers, in preparing its final Program of Projects,and g. Has made or will make the final Program of Projects available to the public, 7. As required by 49 U.S.C. 5307(d),as amended by MAP-21,the Applicant: a. Has or will have the amount of funds required for the local share, b. Will provide the local share funds from approved non-Federal sources except if otherwise authorized by law,and c. Will provide the local share funds when needed, 8. The Applicant will comply with: a. The Metropolitan Planning requirements of 49 U.S.C. 5303,as amended by MAP-21,and b. The State Planning requirements of 49 U.S.C. 5304,as amended by MAP-21, 9. The Applicant has a locally developed process to solicit and consider public comment before: a. Raising a fare, or b. Implementing a major reduction of public transportation,and 10. ','The Applicant will comply with requirements for Public Transportation Agency Safety Plan requirements of 49 U.S.C. 5329,as amended by MAP-21. B. Bus and Bus Related Equipment and Facilities Grant Program (Discretionary). The Applicant must select the Certification in Group II.B if it seeks funding for its Bus or Bus Related Equipment and Facilities Project financed with funds made available or appropriated for former 49 U.S.C. 5309(b)(3) in effect in FY 2012 or a previous fiscal year. In administering these programs, MAP-21 cross-cutting requirements supersede inconsistentformer requirements. Except as FTAINCDOT determines otherwise in writing, the Applicant must select the Certification in Group I LB if it seeks funding for its discretionary Bus and Bus Related Equipment and Facilities Project. Before FTAINCDOT may provide funding made available or appropriated for the discretionary Bus and Bus Related Equipment and Facilities Program: • In FY 2013,you must have selected the Certifications and Assurances required by former 49 U.S.C. 5 3 0 7(d)(1)(A)—(C) and(H) in effect in FY 2012 or a previous fiscal year, except as superseded by MAP- 21 cross-cutting requirements that apply instead, or • You must have selected the Certification in Group IL B. Any provision of the Certification in Group I LB that does not apply will not be enforced. The following Certification for discretionary Bus and Bus Related Equipment and Facilities Grant Program funding are required by former 49 U.S.C. 5309(c)(2),which applies the requirements of former 49 U.S.C. 5307(d)(1)(A), (B),(C), and(H)in effect in FY 2012 or a previous fiscal year to this Program, except as superseded by MAP-21 cross-cutting requirements that apply instead.Therefore,except as FTA/NCDOT determines otherwise in writing, the Applicant certifies that: 1. It has or will have the: a. Legal capacity to carry out its proposed Projects, b. Financial capacity to carry out its proposed Projects, c. Technical capacity to carry out its proposed Projects, d. Necessary capacity to carry out the safety aspects of its proposed Projects, and e. Necessary capacity to carry out the security aspects of its proposed Projects, 2. It has or will have satisfactory continuing control over the use of Project equipment and facilities, 3. It will maintain its Project equipment and facilities adequately,and 20 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances 4. It has complied or will comply with,and will require each Subrecipient to comply with,49 U.S.C. 5301, 5303, and 5304, as amended by MAP-21. �I 12. URBANIZED AREA FORMULA GRANT PROGRAMS AND JOB ACCESS AND REVERSE COMMUTE (JARC) FORMULA GRANT PROGRAM The Certifications in Group 12 are in addition to other Certifications and Assurances listed previously that are required for the Urbanized Area Formula Grants Programs or Job Access and Reverse Commute (JARC)Formula Grant Program funding. The Applicant is ultimately responsible for compliance with the Certifications and Assurances selected that apply to itself or its Project, even if a Subrecipient or other Third Party Participant may be involved in the Applicant's Project, except as FTAINCDOT determines otherwise in writing. For this reason, we strongly encourage you to take appropriate measures, including, but not limited to, obtaining sufficient documentation from each Subrecipient and other Third Party Participant to assure the validity of applicable Certifications and Assurances. Except as FTAINCDOT determines otherwise in writing,you must select the Certifications in Group 12 if you seek financing for: • Urbanized Area Formula Project financed with funds made available or appropriated for 49 US.C. 5307, as amended by MAP-21, which among other things, authorizes funding for JARC Projects and Project Activities, • Urbanized Area Formula Project financed with funds made available or appropriated for former 49 U.S.C. 5307 in effect in FY 2012 or a previous fiscal year, or • Job Access and Reverse Commute Project financed with funds made available or appropriated for former 49 U.S.C. 5316 in effect in FY2012 or a previous fiscal year, In administering these programs, MAP-21 cross-cutting requirements supersede inconsistent former requirements. These three programs have or will have funding available during FY 2013. Accordingly, if the Applicant seeks funding made available or authorized by 49 U.S.C. 5307 or former 49 U.S.C. 5316, it should provide the three subgroups of Certifications in Group 12 to assure that FTAIMCDOT can select the type of funding it considers most suitable. Before FTAINCDOT may provide funding made available or appropriatedfor any of these Projects,you must have selected the Certifications in Group 12 and other Certifications and Assurances listed previously that are required for the funding the Applicant seeks. Any provision of the Certifications in Group 12 that does not apply will not be enforced. A. Urbanized Area Formula Program under MAP-21. You must select the Certification in Group 12.A if you seek funding for Urbanized Area Formula Project financed with funds made available or appropriated for 49 U.S.C. 5307, as amended by MAP-21. The following Certification for the Urbanized Area Formula Program funding made available or appropriated for MAP-21 are required by 49 U.S.C. 5307(c)(1),as amended by MAP-21. Therefore, except as FTA/NCDOT determines otherwise in writing,the Applicant certifies that: 1. The Applicant has or will have the: a. Legal capacity to carry out its proposed Projects, b. Financial capacity to carry out its proposed Projects, j a Technical`capacity to carry out its proposed Projects, d. Necessary capacity to carry out the safety aspects of its proposed Projects,and e. Necessary capacity to carry out the security aspects of its proposed Projects, 21 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances 2, The Applicant has or will have satisfactory continuing control over the use of Project equipment and facilities, 3. The Applicant will maintain its Project equipment and facilities adequately, 4. The Applicant will ensure that when, during non-peak hours for transportation using or involving a facility or equipment of a Project financed under 49 U.S.C. 5307, as amended by MAP-21,the following individuals will be charged a fare not exceeding fifty(50)percent of the peak hour fare: a. Any senior, b. Any individual who,because of illness,injury, age,congenital malfunction, or other incapacity or temporary or permanent disability(including an individual who is a wheelchair user or has semi- ambulatory capability), cannot use a public transportation service or a public transportation facility effectively without special facilities,planning,or design, c. Any individual presenting a Medicare card issued to himself or herself pursuant to title Il of the Social Security Act(42 U.S.C.401 et seq.), or d. Any individual presenting a Medicare card issued to himself or herself pursuant to title XVIII of the Social Security Act(42 U.S.C. 1395 et seq.), 5. When carrying out a procurement under 49 U.S.C. 5307,as amended by MAP-21,the Applicant will comply with the: a. General provisions for FTA programs of 49 U.S.C. 5323,and b. Third party procurement requirements of 49 U.S.C. 5325, 6. The Applicant has complied with or will comply with 49 U.S.C. 5307(b), as amended by MAP-21,because it: a. Has made or will make available to the public information on amounts of its funding available to it under 49 U.S.C. 5307, b. Has developed or will develop, in consultation with interested parties, including private transportation providers, a proposed Program of Projects for activities to be funded, c. Has published or will publish a Program of Projects in a way that affected individuals,private transportation providers, and local elected officials will have an opportunity to examine and submit comments on the proposed Program of Projects and its performance as an Applicant or Recipient, d. Has provided or will provide an opportunity for a public hearing to obtain the views of individuals on the proposed Program of Projects, e. Has ensured or will ensure that the proposed Program of Projects provide for coordination of transportation services funded by U.S.DOT under 49 U.S.C.5336 with federally funded transportation services supported by United States Government sources other than U.S.DOT, f. Has considered or will consider the comments and views received,especially those of private transportation providers, in preparing its final Program of Projects, and g. Has made or will make the final Program of Projects available to the public, 7. As required by 49 U.S.C. 5307(d),as amended by MAP-21,the Applicant: a. Has or will have the amount of funds required for the local share, b. Will provide the local share funds from approved non-Federal sources except if otherwise authorized by law,and c. Will provide the local share funds when needed, 8. As required by 49 U.S.C. 5307(c)(1)(H)and 49 U.S.C. 5309(c)(2),as amended by MAP-21,the Applicant will comply with: a. The Metropolitan Planning requirements of 49 U.S.C. 5303,as amended by MAP-21, and b. The State Planning requirements of 49 U.S.C. 5304,as amended by MAP-21, 9. As required by 49 U.S.C. 5307(c)(1)(I), as amended by MAP-21,the Applicant has a locally developed process to solicit and consider public comment before: a. Raising a fare,or b. Implementing a major reduction of public transportation, j 10. Each fiscal year: a. The Applicant will ensure that at least one(1)percent of the amount of the 49 U.S.C. 5307 funding apportioned to the urbanized area is spent for public transportation security Projects as described in 49 U.S.C. 5307(c)(1)(J)(i)including: (1) Increased lighting in or adjacent to a public transportation system(including bus stops,subway stations,parking lots,and garages), (2) Increased camera surveillance of an area in or adjacent to that system, (3) Emergency telephone line or lines to contact law enforcement or security personnel in an area in or adjacent to that system,and i 22 i State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances (4) Any other Project intended to increase the security and safety of an existing or planned public transportation,or b. The Designated Recipients in the Applicant's urbanized area will certify that such expenditures for transportation security Projects are not necessary, (Information about the intentions of your Designated Recipients in the Applicant's urbanized area must be recorded in the"Security"tab page of the TEAM-Web"Project Information"window when it submits its Urbanized Area Formula Program application in TEAM-Web), 11. If the Applicant serves an urbanized area with a population of at least 200,000 individuals,as determined by the Bureau of the Census: a. Each fiscal year,the Applicant will ensure that at least one(1)percent of the amount apportioned to the urbanized area is spent for Associated Transit Improvements,as defined in 49 U.S.C. 5302(1),as amended by MAP-21, b. The Applicant will include in its quarterly report for the fourth quarter of the preceding Federal fiscal year: (1) A list of its Associated Transit Improvement Projects or Project activities during that Federal fiscal year using those 49 U.S.C. 5307 funds,or (2) Sufficient information to demonstrate that the Designated Recipients in its area together have spent one(1)percent of the amount of funding that must be made available to them for Associated Transit Improvement Projects or Project activities, or have included the same information in a separate report attached in TEAM-Web, and c. The report of the Applicant's Associated Transit Improvement Projects or Project activities is or will be incorporated by reference and made part of its Certifications and Assurances, and 12. The Applicant will comply with its Public Transportation Agency Safety Plan as required by 49 U.S.C. 5329, as amended by MAP-21. B. Urbanized Area Formula Program Before MAP-21 Became Effective. You must select the Certification in Group 123 if you seek funding for Urbanized Area Formula Project financed with funds made available or appropriated for former 49 U.S.C. 5307 in effect in FY 2012 or a previous fiscal year. In administering this program, MAP-21 cross-cutting requirements supersede inconsistent former requirements, The following Certification for the Urbanized Area Formula Grants Program are required by former 49 U.S.C. 5307(d)(1) in effect in FY 2012 or a previous fiscal year,except as superseded by MAP-21 cross-cutting requirements that apply instead. Therefore,except as FTA determines otherwise in writing,the Applicant certifies that: 1. It has or will have the: a. Legal capacity to carry out its proposed Projects, b. Financial capacity to carry out its proposed Projects, c. Technical capacity to carry out its proposed Projects, d. Necessary capacity to carry out the safety aspects of its proposed Projects,and e, Necessary capacity to carry out the security aspects of its proposed Projects, 2. It has or will have satisfactory continuing control over the use of Project equipment and facilities, 3. It will maintain its Project equipment and facilities adequately, 4. It will ensure that for transportation using or involving a facility or equipment of a Project financed under former 49 U.S.C. 5307 in effect in FY 2012 or a previous fiscal year,the following individuals will be charged a fare not exceeding fifty(50)percent of the peak hour fare: a. Any elderly individual, b. Any handicapped individual, as described in 49 CFR part 27, c. Any individual presenting a Medicare card issued to himself or herself pursuant to title II of the Social Security Act(42 U.S.C.401 et seq.),or d. Any individual presenting a Medicare card issued to himself or herself pursuant to title XVIII of the Social Security Act(42 U.S.C. 1395 et seq.), 5. When carrying out a procurement under former 49 U.S.C. 5307 in effect in FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross cutting requirements that apply instead: 23 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances a. The Applicant will use competitive procurement(as defined or approved by FTA),as required by 49 U.S.C. 5325(a), b. The Applicant will not use exclusionary or discriminatory specifications in its procurements,as required by 49 U.S.C. 5323(h), c. As provided by the MAP-21 cross-cutting requirement,"Buy America,"the Applicant will comply with 49 U.S.C. 53230),as amended by MAP-21, d. The Applicant will comply with applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m), e. As provided by MAP-21 cross-cutting requirements,the Applicant will comply with applicable railcar option restrictions of 49 U.S.C. 5325(e),as amended by MAP-21,and f. As required by the MAP cross-cutting requirement,"Veterans Preference/Employment,"the Applicant will comply with 49 U.S.C. 5325(k), as amended by MAP-21, 6. The Applicant has complied or will comply with,and will require each Subrecipient to comply with,former 49 U.S.C. 5307(b)in effect in FY 2012 or a previous fiscal year,except as superseded by MAP-21 requirements that apply instead: a. For a capital project that will substantially affect a community or the public transportation service of a community,the Applicant certifies that it: (1) Has provided an adequate opportunity for public review and comment on its Project, (2) After providing notice,has held a public hearing on the project if the project affects significant economic,social, or environmental interests, (3) Has considered the economic, social, and environmental effects of the project,and (4) Has found that the project is consistent with official plans for developing the community, b. The notice of a hearing the Applicant published: (1) Included a concise description of the proposed project,and (2) Was published in a newspaper of general circulation in the geographic area the project will serve, and c. The Applicant's application for a capital grant that will substantially affect a community,or the public transportation service of a community under former 49 U.S.C.chapter 53 in effect in FY 2012 or a previous fiscal year for a capital project described in paragraph(1)will include the following: (1) A Certification that the applicant has complied with the requirements of 49 U.S.C. 5323(b)(1)(C),and (2) In the environmental record for the project,evidence that the Applicant has complied with the requirements of 49 U.S.C. 5323(b)(1)(C). 7. The Applicant: a. Has or will have the amount of funds required for the local share by former 49 U.S.C. 5307(e)in effect in FY 2012 or a previous fiscal year,except as superseded by MAP-21 cross cutting requirements that apply instead, b. Will provide the local share funds from approved non-Federal sources except as permitted by former 49 U.S.C. 5307(e)in effect in FY 2012 or a previous fiscal year,except as superseded by MAP-21 cross- cutting requirements that apply instead, and c. Will provide the local share funds when needed, 8. The Applicant has complied or will comply with,and will require each Subrecipient to comply with,49 U.S.C. 5301, 5303,and 5304, as amended by MAP-21, 9. The Applicant has a locally developed process to solicit and consider public comment before: a. Raising a fare,or b. Implementing a major reduction of public transportation, 10. Each fiscal year: a. The Applicant will spend at least one(1)percent of its 49 U.S.C. 5307 funding for public transportation security Projects(limited to capital Projects if your Applicant serves an urbanized area with a population of 200,000 or more), including: (1) Increased lighting in or adjacent to a public transportation system(including bus stops,subway stations,parking lots, and garages), (2) Increased camera surveillance of an area in or adjacent to that system, (3) Emergency telephone line or lines to contact law enforcement or security personnel in an area in or adjacent to that system,and (4) Any other Project intended to increase the security and safety of an existing or planned public transportation, or b. The Applicant will certify that such expenditures for transportation security Projects are not necessary, 24 I State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances (Information about the Applicant's intentions must be recorded in the"Security"tab page of the TEAM- Web"Project Information"window when it submits its Urbanized Area Formula Program application in TEAM-Web), 11. If the Applicant serves an urbanized area with a population of at least 200,000 individuals: a. Each fiscal year,the Applicant will ensure that at least one(1)percent of the amount apportioned to the urbanized area is spent for Transit Enhancements,as defined in former 49 U.S.C. 5302(a)(15), b. The Applicant will include in its quarterly report for the fourth quarter of the preceding Federal fiscal year (1) A list of its Transit Enhancement Project activities during that Federal fiscal year using those former 49 U.S.C. 5307 funds,or (2) Sufficient information to demonstrate that the Designated Recipients in the Applicant's urbanized area together have spent one(1)percent of the amount of funding that must be made available to them for Transit Enhancements or have included the same information in a separate report attached in TEAM-Web,and c. The report of the Applicant or the Designated Recipients' Transit Enhancement Projects or Project activities is or will be incorporated by reference and made part of its Certifications and Assurances, and 12. As required by the MAP-21 cross-cutting requirement,"Agency Safety Plans,"the Applicant will comply with its Public Transportation Agency Safety Plan, as required by 49 U.S.C. 5329,as amended by MAP-21. C. Job Access and Reverse Commute (JARC) Formula Grant Program. The Applicant must select the Certification in Groff 12.0 if it seeks funding for a JARC Project financed with funds made available or appropriated for former 49 U.S.C. 5316 in effect in FY 2012 or a previous fiscal year.In administering program MAP 21 cross-cutting requirements supersede inconsistent former requirements. 1. The following Certification for the Urbanized Area Formula Grants Program are required by former 49 U.S.C. 5316 in effect in FY 2012 or a previous fiscal year,except as superseded by MAP-21 cross-cutting requirements that apply instead.Therefore, except as FTA determines otherwise in writing,the Applicant certifies that: a. 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 in compliance with former 49 U.S.C. 5316, and (2) A statewide solicitation for applications for JARC funding in compliance with former 49 U.S.C. 5316, b. Any allocations to Subrecipients of JARC funding authorized by former 49 U.S.C. 5316 will be distributed on a fair and equitable basis, c. As required by former 49 U.S.C. 5316: (1) The projects the Applicant has selected or will select for funding made available or appropriated for 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 public,private, and nonprofit human services providers,and (c� Participation by the public, d. Before the Applicant transfers funds to a project funded by former 49 U.S.C. 5336,that project has been or will have been coordinated with private nonprofit providers of services, e. Before using funds apportioned for projects serving an area other than that for which funding was apportioned under former 49 U.S.C. 5316: (1) The State's chief executive officer,or his or her designee,will have certified that all the JARC program objectives of former 49 U.S.C. 5316 are being met in the area from which the funding would be derived,and (2) If the State has a statewide program for meeting the JARC program objectives of former 49 U.S.C. 5316,the funds can be used for projects anywhere in the State,and f. The requirements of former 49 U.S.C. 5307 will apply to the JARC Program, authorized by former 49 U.S.C. 5316,and I I I i 25 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances 2. The following Certifications for the JARC Program are required by former 49 U.S.C. 5307(d)(1)in effect in FY 2012 or a previous fiscal year,except as superseded by MAP-21 cross-cutting requirements that apply instead.Therefore,except as FTA determines otherwise in writing,the Applicant certifies that: a. It has or will have, and will require each Subrecipient to have: (1) The legal capacity to carry out its proposed Projects, (2) The financial capacity to carry out its proposed Projects, (3) The technical capacity to carry out its proposed Projects, (4) The necessary capacity to carry out the safety aspects of its proposed Projects,and (5) The necessary capacity to carry out the security aspects of its proposed Projects, b. The Applicant has or will have,and will require each Subrecipient to have satisfactory continuing control over the use of Project equipment and facilities, c. The Applicant will maintain, and will require each Subrecipient to maintain, its Project equipment and facilities adequately, d. The Applicant will ensure,and will require each Subrecipient to ensure,that for transportation using or involving a facility or equipment of a Project financed under former 49 U.S.C. 5307 in effect in FY 2012 or a previous fiscal year,the following individuals will be charged a fare not exceeding fifty(50)percent of the peak hour fare: (1) Any elderly individual, (2) Any handicapped individual,as described in 49 CFR part 27, (3) Any individual presenting a Medicare card issued to himself or herself pursuant to title II of the Social Security Act(42 U.S.C.401 et seq.), or (4) Any individual presenting a Medicare card issued to himself or herself pursuant to title XVIII of the Social Security Act(42 U.S.C. 1395 et seq), e. When carrying out a procurement under former 49 U.S.C. 5307 in effect in FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross cutting requirements that apply instead,the Applicant will, and will require each Subrecipient to: (1) Use competitive procurement(as defined or approved by FTA),as required by 49 U.S.C. 5325(a), and (2) Not use exclusionary or discriminatory specifications in its procurements, as required by 49'U.S.C. 5323(h), f. The Applicant has complied or will comply with,and will require each Subrecipient to comply with, former 49 U.S.C. 5307(c)in effect in FY 2012 or a previous fiscal year,except as superseded by MAP-21 requirements that apply instead: (1) For a capital project that will substantially affect a community or the public transportation service of a community,the Applicant: (a) Has provided an adequate opportunity for public review and comment on its Project, (b) After providing notice,has held a public hearing on the project if the project affects significant economic, social,or environmental interests, (c) Has considered the economic, social, and environmental effects of the project,and (d) Has found that the project is consistent with official plans for developing the community, (2) The notice of a hearing the Applicant published: (a) Included a concise description of the proposed project,and (b) Was published in a newspaper of general circulation in the geographic area the project will serve, and (3) The Applicant's application for a capital grant that will substantially affect a community,or the public transportation service of a community under former 49 U.S.C, chapter 53 in effect in FY 2012 or a previous fiscal year for a capital project described in paragraph(1)will include the following: (a) A Certification that the applicant has complied with the requirements of 49 U.S.C. 5323(b)(1)(C), as amended by MAP-21,and (b) In the environmental record for the project,evidence that the Applicant has complied with the requirements of 49 U.S.C. 5323(b)(1)(C). g. The Applicant: (1) Has or will have and,as necessary,will require each Subrecipient to have the amount of funds required for the local share by former 49 U.S.C. 5307(e)in effect in FY 2012 or a previous fiscal year,except as superseded by MAP-21 cross cutting requirements that apply instead, (2) Will provide and, as necessary, will require each Subrecipient to provide,the local share funds from approved non-Federal sources except as permitted by former 49 U.S.C. 5307(e)in effect in FY 2012 26 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances or a previous fiscal year,except as superseded by MAP-21 cross-cutting requirements that apply instead, and (3) Will provide and,as necessary,will provide the local share funds when needed, h. The Applicant has complied or will comply with,and will require each Subrecipient to comply with,49 U.S.C. 5301,5303, and 5304,as amended by MAP-21, i. The Applicant has or will have, and will require each Subrecipient to have a locally developed process to solicit and consider public comment before: (1) Raising a fare, or (2) Implementing a major reduction of public transportation,and j. To the extent applicable,as required by the MAP-21 cross-cutting requirement,"Agency Safety Plans," the Applicant will comply with and,as necessary,will require each Subrecipient to comply with its Public Transportation Agency Safety Plan,as required by 49 U.S.C. 5329, as amended by MAP-21. 13. SENIORS/ELDERLY/INDIVIDUALS WITH DISABILITIES AND NEW FREEDOM PROGRAMS The Certifications in Group 13 are in addition to other Certifications and Assurances listed previously that are required for Seniors/Elderly/Individuals with Disabilities or New Freedom Program funding, The Applicant is ultimately responsible for compliance with the Certifications and Assurances that apply to itself or its Project, even if a Subrecipient or other Third Party Participant may be involved in the Applicant's Project, except as FTAINCDOT determines otherwise in writing. For this reason, we strongly encourage the Applicant to take appropriate measures, including, but not limited to, obtaining sufficient documentation from each Subrecipient and other Third Party Participant to assure the validity of the applicable Certifications and Assurances. Except as FTAINCDOT determines otherwise in writing, the Applicant must select the Certifications in Group 13 if it seeks financing for its; • Formula Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities Project,financed or to be financed with funds made available or appropriated for 49 U.S.C. 5310, as amended by MAP-21, which among other things authorizes funding for New Freedom Projects and Project Activities, • Formula Grants for the Special Needs of Elderly Individuals and Individuals with Disabilities Project financed or to be financed with funds made available or appropriated for former 49 U.S.C. 5310 in effect in FY2012 or a previous fiscal year, or • New Freedom Project financed or to be financed with funds made available or appropriated for former 49 U.S.C. 5317 in effect in FY2012 or a previous fiscal year. In administering these programs, MAP-21 cross-cutting requirements supersede inconsistent former requirements. These three programs have or will have funding available during FY2013. Accordingly, if the Applicant seeks funding made available or authorized by 49 U.S.C. 5310 or former 49 U.S.C. 5317 in effect in FY2012 or a previous fiscal year, it should provide the three subgroups of Certifications in Group 13 to assure that FTAINCDOT can select the type of funding it considers most suitable. Before FTAINCDOT may provide funding made available or appropriated for any of these Projects, the Applicant must have selected the Certifications in Group 13 and other Certifications and Assurances listed previously that are required for the funding that the Applicant seeks.Any provision of the Certifications in Group 13 that does not apply will not be enforced. A. Formula Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities Program. The Applicant must select the Certification in Group 13.A if it seeks funding for its Formula Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities Project financed with funds made available or appropriated for 49 U.S.C. 5310, as amended by MAP-21, 27 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances 1. The following Certification for the Formula Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities Program are required by 49 U.S.C. 5310,as amended by MAP-21.Therefore,except as FTA/NCDOT determines otherwise in writing,the Applicant certifies that: a. Each of the Applicant's Subrecipients is: (1) A private nonprofit organization, or (2) A State or local governmental authority that: (a) Is approved by a State to coordinate services for seniors and individuals with disabilities; or (b) Certifies that there are no private nonprofit organizations readily available in the area to provide services authorized under the Formula Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities Program, b. The Applicant will comply with the following Project selection and planning requirements: (1) The Projects it has selected or will select for funding made available or appropriated for 49 U.S.C. 5310,as amended by MAP-21,are included in a public transit-human services transportation plan that has been: (a) Locally developed,and (b) Coordinated, (2) That public transit-human services transportation plan was developed and approved through a process that included participation by: (a) Seniors, (b) Individuals with disabilities, (c) Representatives of public,private, and nonprofit transportation providers, (d) Representatives of public,private, and nonprofit human services providers,and (e) Other members of the public;and (3) To the maximum extent feasible,the services funded by 49 U.S,C. 5310,as amended by MAP-21, will be coordinated with transportation services funded by other Federal departments and agencies, including any transportation activities carried out by a recipient of a grant from the Department of Health and Human Services, c. As required by 49 U.S.C. 5310(e)(2)(B), as amended by MAP-21,the Applicant certifies that if it allocates funds received under 49 U.S.C. 5310, as amended by MAP-21,to Subrecipients,it will have allocated those funds on a fair and equitable basis, d. The Applicant will transfer a facility or equipment financed with funding made available or appropriated for a grant under 49 U.S.C. 5310,as amended by MAP-21,to any other recipient eligible to receive assistance under 49 U.S.C. chapter 53,as amended by MAP-21, only if: (1) The recipient in possession of the facility or equipment consents to the transfer,and (2) The facility or equipment will continue to be used as required under 49 U.S.C. 5310, as amended by MAP-21, and e. The requirements of 49 U.S.C. 5307, as amended by MAP-21,as determined by FTA,will apply to the Formula Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities, authorized by 49 U.S.C. 5310,as amended by MAP-21,and 2. FTA has determined certain requirements of 49 U.S.C. 5307,as amended by MAP-21,to be appropriate for which some require Certifications.Therefore,as specified under 49 U.S.C. 5307(c)(1), as amended by MAP- 21,the Applicant certifies that: a. It has or will have, and will require each Subrecipient to 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) Necessary capacity to carry out the safety aspects of its proposed Projects,and (5) Necessary capacity to carry out the security aspects of its proposed Projects, b. The Applicant has or will have,and will require each Subrecipient to have,satisfactory continuing control over the use of Project equipment and facilities, c. The Applicant will maintain, and will require each Subrecipient to maintain its Project equipment and facilities adequately, d. When carrying out a procurement under the Formula Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities Program,the Applicant will, and will require each Subrecipient to: (1) Comply with the general provisions for FTA programs of 49 U.S..C. 5323,as amended by MAP-21, and 28 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances (2) Comply with the third party procurement requirements of 49 U.S.C.5325,as amended by MAP-21, e. The Applicant: (1) Has or will have and, as necessary,will require each Subrecipient to have the amount of funds required for the local share by 49 U.S.C. 5307(d),as amended by MAP-21, (2) Will provide and, as necessary,will require each Subrecipient to provide the local share funds from approved non-Federal sources,except as permitted by 49 U.S.C. 5307(d),as amended by MAP-21, and (3) Will provide and, as necessary,will require each Subrecipient to provide the local share funds when needed, f. The Applicant has complied or will comply with, and will require each Subrecipient to comply with: (1) The Metropolitan Planning requirements of 49 U.S.C. 5303,as amended by MAP-21, and (2) The State Planning requirements of 49 U.S.C. 5304,as amended by MAP-21,and g. To the extent applicable,the Applicant will comply with, and require its Subrecipients to comply with the requirements for a Public Transportation Agency Safety Plan provided by 49 U.S.C. 5329(d),as amended by MAP-21,to the extent FTA so requires. B. Formula Grants for the Special Needs of Elderly Individuals and Individuals with Disabilities Program. You must select the Certification in Group 13.13 if the Applicant seeks funding for its Formula Grants for the Special Needs of Elderly Individuals and Individuals with Disabilities Project financed with funds made available or appropriated for former 49 U.S.C. 5310 in effect in FY 2012 or a previous fiscal year.In administering this program, MAP-21 cross-cutting requirements supersede inconsistent former requirements. 1. The following Certification for the Formula Grants for the Special Needs of Elderly Individuals and Individuals with Disabilities Program are required by former 49 U.S.C. 5310 in effect in FY 2012 or a previous fiscal year,except as superseded by MAP-21 cross-cutting requirements that apply instead. Therefore,except as FTA determines otherwise in writing,the Applicant certifies that: a. Each of the Applicant's Subrecipients is: (1) A private nonprofit organization,if the public transportation service that would undertake public transportation capital projects planned,designed,and carried out to meet the special needs of elderly individuals and individuals with disabilities is: (a) Unavailable, (b) Insufficient, or (c) Inappropriate, (2) A local governmental authority that: (a) Is approved by a State to coordinate services for seniors and individuals with disabilities, or (b) Certifies that: 1 There are not any nonprofit organizations readily available in the area to provide public transportation capital projects planned,designed,and carried out to meet the special needs of seniors and individuals with disabilities,and 2 When public transportation is: a Insufficient, b Inappropriate,or c Unavailable, b. The Projects the Applicant has selected or will select for funding made available or appropriated for former 49 U.S.C. 5310 are included in a public transit-human services transportation plan that has been: (1) Locally developed, and (2) Coordinated, c. That public transit-human services transportation plan was developed and approved through a process that included participation by: (1) Elderly Individuals, (2) Individuals with disabilities, (3) Representatives of public,private, and nonprofit transportation providers, (4) Representatives of human services providers,and (5) Other members of the public, 29 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances d. To the maximum extent feasible,the services funded will be coordinated with transportation services funded by other Federal departments and agencies, including any transportation activities carried out by a recipient of a grant from the Department of Health and Human Services, e. If the Applicant allocates funds received under former 49 U.S.C. 5310 to Subrecipients,the Applicant will have allocated those funds on a fair and equitable basis, f. The Program of Projects the Applicant has submitted or will submit contains or will contain an assurance that the Program provides for the maximum feasible coordination of transportation services funded by former 49 U.S.C. 5310 with transportation services funded by other Government sources,and g, The Applicant will comply with the requirements of former 49 U.S.C. 5307 that FTA determined will apply to the former Formula Grants for the Special Needs of Elderly Individuals and Individuals with Disabilities Program, 2. The following Certification for the Special Needs of Elderly Individuals and Individuals with Disabilities Program are required by former 49 U.S.C. 5307(d)(1) in effect in FY 2012 or a previous fiscal year,except as superseded by MAP-21 cross-cutting requirements that apply instead.Therefore, except as FTA determines otherwise in writing,the Applicant certifies that: a. The Applicant and each of its Subrecipients have 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) Necessary capacity to carry out the safety aspects of its proposed Projects,and (5) Necessary capacity to carry out the security aspects of its proposed Projects, b. The Applicant and each Subrecipient has or will have satisfactory continuing control over the use of Project equipment and facilities, c. The Applicant and each of its Subrecipients will maintain its Project equipment and facilities adequately, d. When carrying out a procurement under former 49 U.S.C. 5307 in effect in FY 2012 or a previous fiscal year,except as superseded by MAP-21 cross cutting requirements that apply instead,the Applicant will, and will require each Subrecipient to,do the following: (1) Use competitive procurement(as defined or approved by FTA),as required by 49 U.S.C. 5325(a), (2) Not use exclusionary or discriminatory specifications in its procurements, as required by 49 U.S.C. 5323(h), (3) As provided by the MAP-21 cross-cutting requirement,"Buy America,"comply with 49 U.S.C. 53230),as amended by MAP-21, (4) Comply with applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m), (5) As provided by MAP-21 cross cutting requirement,"Rail Car Procurement,"comply with the railcar option restrictions of 49 U.S.C. 5325(e),as amendedby MAP-21, and (6) As required by the MAP-21 cross-cutting requirement,"Veterans Preference/Employment,"comply with 49 U.S.C. 5325(k),as amended by MAP-21, e. The Applicant: (1) Has or will have and,as necessary,will require each Subrecipient to have the amount of funds required for the local share by former 49 U.S.C. 5307(e)in effect in FY 2012 or a previous fiscal year,except as superseded by MAP-21 cross cutting requirements that apply instead, (2) Will provide and, as necessary,will require each Subrecipient to provide the local share funds from approved non-Federal sources except as permitted by former 49 U.S.C. 5307(e)in effect in FY 2012 or a previous fiscal year,except as superseded by MAP-21 cross-cutting requirements that apply instead,and (3) Will provide and, as necessary,will require each Subrecipient to provide the local share funds when needed, f. The Applicant has complied or will comply with, and will require each Subrecipient to comply with, 49 U.S.C. 5301,5303,and 5304,as amended by MAP-21,and g. To the extent applicable,as required by the MAP-21 cross-cutting requirement,"Agency Safety Plans," the Applicant will comply with and,as necessary,will require each Subrecipient to comply with, its Public Transportation Agency Safety Plan,as required by 49 U.S.C. 5329,as amended by MAP-21. 30 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances C. New Freedom Program. The Applicant must select the Certification in Group 13.0 if it seeks funding for its New Freedom Project financed with funds made available or appropriated for former 49 U.S.C. 5317 in effect in FY 2012 or a previous fiscal year. In administering this program,MAP-21 cross-cutting requirements supersede inconsistent former requirements. 1. The following Certification for the New Freedom Program is required by former 49 U.S.C. 5317 in effect in FY 2012 or a previous fiscal year.Therefore,except as FTA determines otherwise in writing,the Applicant certifies that: a. It will make awards of New Freedom funding on a competitive basis after conducting: (1) An areawide solicitation in cooperation with the appropriate metropolitan planning organization for applications for funding in compliance with former 49 U.S.C. 5317,or (2) A statewide solicitation for applications for New Freedom funding in compliance with former 49 U.S.C.5317, b. Any allocations to Subrecipients of New Freedom funding authorized by former 49 U.S.C. 5317 will be distributed on a fair and equitable basis, c. The Applicant will comply with the following Project selection and planning requirements: (1) The projects the Applicant has selected or will select for funding made available or appropriated for 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 and 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, d. Before an Applicant transfers funds to a project funded by former 49 U.S.C. 5311(c),former 49 U.S.C. 5336,or both: (1) The funding to be transferred may be made available only to projects eligible for funding made available or appropriated for former 49 U.S.C. 5317, and (2) The Applicant will have consulted with responsible local officials and publicly owned operators of public transportation in each area for which the amount to be transferred was originally awarded, e. The Applicant may transfer funds to another Subrecipient only if it has consulted with responsible local officials and publicly owned operators of public transportation in each area for which the amount originally was awarded,as provided by former 49 U.S.C. 5317, and f. The requirements of former 49 U.S.C. 5307,as determined by FTA,will apply to the New Freedom Program,authorized by former 49 U.S.C. 5317,and 2. The following Certification for the New Freedom Program is required by former 49 U.S.C. 5307(d)(1) in effect in FY 2012 or a previous fiscal year,except as superseded by MAP-21 cross-cutting requirements that apply instead. Therefore, except as FTA determines otherwise in writing,the Applicant certifies that: a. It has or will have,and will require each Subrecipient to 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) Necessary capacity to carry out the safety aspects of its proposed Projects,and (5) Necessary capacity to carry out the security aspects of its proposed Projects, b. The Applicant has or will have,and will require each Subrecipient to have,satisfactory continuing control over the use of Project equipment and facilities, c. The Applicant will maintain, and will require each Subrecipient to maintain, its Project equipment and facilities adequately, d. When carrying out a procurement under former 49 U.S.C, 5317 in effect in FY 2012 or a previous fiscal year superseded by MAP-21 cross cutting requirements that apply,the Applicant will and will require each Subrecipient to do the following: (1) Use competitive procurement(as defined or approved by FTA), as required by 49 U.S.C. 5325(a), (2) Not use exclusionary or discriminatory specifications in its procurements,as required by 49 U.S.C. 5323(h), (3) As provided by the MAP-21 cross-cutting requirement,"Buy America,"the Applicant will comply with 49 U.S.C. 53230),as amended by MAP-21, 31 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances (4) Comply with applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m), (5) As provided by MAP-21 cross cutting requirement,"Rail Car Procurement,"comply with the railcar option restrictions of 49 U.S.C. 5325(e), as amended by MAP-21,and (6) As required by the MAP-21 cross-cutting requirement,"Veterans Preference/Employment,"comply with 49 U.S.C. 5325(k),as amended by MAP-21, e. The Applicant: (1) Has or will have and,as necessary,will require each Subrecipient to have the amount of funds required for the local share required by former 49 U.S.C. 5317(g)in effect in FY 2012 or a previous fiscal year,except as superseded by MAP-21 cross cutting requirements that may apply instead, (2) Will provide and,as necessary,will require each Subrecipient to provide,the local share funds from approved non-Federal sources except as permitted by former 49 U.S.C. 5317(g)in effect in FY 2012 or a previous fiscal year,except as superseded by MAP-21 cross-cutting requirements that apply instead,and (3) Will provide and, as necessary,will require each Subrecipient to provide,the local share funds when needed, f. The Applicant has complied or will comply with, and will require each Subrecipient to comply with,49 U.S.C. 5301, 5303,and 5304,as amended by MAP-21,and g. To the extent applicable,as required by the MAP-21 cross-cutting requirement,"Agency Safety Plans," the Applicant will comply with and,as necessary,will require each Subrecipient to comply with,its Public Transportation Agency Safety Plan,as required by 49 U.S.C. 5329, as amended by MAP-21. 14.:RURAL/OTHER THAN URBANIZED AREAS/APPALACHIAN DEVELOPMENT/OVER-THE-ROAD BUS ACCESSIBILITY PROGRAMS The Certifications and Assurances in Group 14 are in addition to other Certifications and Assurances listed previously that are required for Rural/Other Than Urbanized Areas/Appalachian Development/or Over-the-Road Bus Accessibility Program funding. The Applicant is ultimately responsible for compliance with the Certifications and Assurances that apply to itself or its Project, even if a Subrecipient or other Third Party Participant may be involved in the Applicant's Project, except as FTAINCDOT determines otherwise in writing. For this reason, we strongly encourage the Applicant to take appropriate measures, including, but not limited to, obtaining sufficient documentation from each Subrecipient and other Third Party Participant to assure the validity of the applicable Certifications and Assurances. Except as FTAINCDOT determines otherwise in writing,you must select the Certifications and Assurances in Group 14 if the Applicant seeks financing for its: • Formula Grants for Rural Areas Project financed with funding made available or appropriated for 49 U.S.C. 5311(b), as amended by MAP-21, • Formula Grants for Other Than Urbanized Areas Project financed with funding made available or appropriated for former 49 US.C. 5311(b) in effect in FY 2012 or a previous fiscal year, • Appalachian Development Public Transportation Assistance Project financed with funding made available or appropriated for 49 U.S.C. 5311(c)(2), as amended by MAP-21, or • Over-the-Road Bus Accessibility Project financed with funding made available or appropriated for section 3038 of TEA-21, as amended by section 3039 ofSAFETEA-LU, 49 U.S.C. 5310 note, In administering these programs, MAP-21 cross-cutting requirements supersede inconsistent former requirements. These four programs have or are likely to have funding available during FY 2013.Accordingly, if the Applicant seeks funding made available or authorized by 49 U.S.C. 5311 or former section 3038 of TEA-21,you should provide these Certifications in Group 14 to assure that FTAINCDOT can select the type offunding it considers most suitable. Before FTAINCDOT may provide funding made available or appropriated for any of these Projects the Applicant must have selected the Certifications in Group 14 and other Certifications and Assurances listed previously that are 32 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances required for the funding you seeks. Any provision of the Certifications and Assurances in Group 14 that does not apply will not be enforced. A. Formula Grants for Rural Areas Program The Applicant must select the Certification in Group 14.A if it seeks funding for its Formula Grants for Rural Areas Project financed with funds made available or appropriated for 49 U.S.C. 5311(b), as amended by MAP-21. The following Certification applies to each State or State organization(NCDOT)serving as the Applicant for funding made available or appropriated for the Rural Areas Formula Project authorized by 49 U.S.C. 5311(b), as amended by MAP-21.The Applicant assures and requires each Subrecipient to certify and assure that: 1. It has or will have the: a. Legal capacity to carry out its proposed Projects, b. Financial capacity to carry out its proposed Projects, c. Technical capacity to carry out its proposed Projects, d. Necessary capacity to carry out the safety aspects of its proposed Projects, and e. Necessary capacity to carry out the security aspects of its proposed Projects, 2. It has or will have satisfactory continuing control over the use of Project equipment and facilities, 3. The Project equipment and facilities will be adequately maintained, 4. The program has provided for a fair distribution of Federal funding made available or appropriated for 49 U.S.C. 5311(b), as amended by MAP-21 within the State, including Indian "reservations, 5. The program provides or will provide the maximum feasible coordination of public transportation service funded by 49 U.S.C. 5311(b),as amended by MAP-21,with transportation service funded by other Federal sources, 6. Projects in its Formula Grants for Rural Areas 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), as amended by MAP-21,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, 8. It may transfer a facility or equipment acquired using a grant under 49 U.S.C. 531 l(b)to any other recipient eligible to receive assistance under 49 U.S.C. chapter 53, if: a. The recipient in possession of the facility or equipment consents to the transfer, and b. The facility or equipment will continue to be used as required under 49 U.S.C. 5311,as amended by MAP-21,and 9. 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 facilities, (3) Joint-use facilities, (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 Governor of the State that: (1) It has consulted with the affected intercity bus service providers about the intercity bus needs of the State,and (2) The State's intercity bus service needs are being met adequately. 33 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances B. Formula Grants for Other Than Urbanized Areas Program i The Applicant must select the Certification in Group 14.B if it seeks funding for its Formula Grant for Other Than Urbanized Areas Project financed with funds made available or appropriated for former 49 U.S.C. 5311(b), in effect in FY 2012 or a previous fiscal year, In administering this program, MAP-21 cross-cutting requirements supersede inconsistent former requirements. The following Certification applies to each State or State organization(NCDOT)serving as the Applicant for funding-made available or appropriated for the Formula Grants for Other Than Urbanized Areas Project authorized by 49 U.S.C. 5311(b)(2)in effect in FY 2012 or a previous fiscal year,except as superseded by MAP-21 cross- cutting requirements that apply instead.The Applicant assures and requires each Subrecipient to certify and assure that: 1. It has or will have the: a. Legal capacity to carry out its proposed Projects, b. Financial capacity to carry out its proposed Projects, c. Technical capacity to carry out its proposed Projects, d. Necessary capacity to carry out the safety aspects of its proposed Projects,and e. Necessary capacity to carry out the security aspects of its proposed Projects, 2. It has or will have satisfactory continuing control over the use of Project equipment and facilities, 3. Project equipment and facilities will be adequately maintained, 4. The program has provided for a fair distribution of Federal funding made available or appropriated for 49 U.S.C. 5311(b) in effect in FY 2012 or a previous fiscal year,within the State,including Indian reservations, 5. The program provides or will provide the maximum feasible coordination of public transportation service funded by former 49 U.S.C. 5311(b)in effect in FY 2012 or a previous fiscal year,with transportation service funded by other Federal sources, 6. The Projects in its Formula Grants for Rural Areas 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) in effect in FY 2012 or a previous fiscal year,and: a. Will provide the local share funds from approved non-Federal sources except as permitted by Federal law, b. Will provide the local share funds when needed, 8. It may transfer a facility or equipment acquired using a grant under 49 U.S.C. 5311(b)in effect in FY 2012 or a previous fiscal year to any other recipient eligible to receive assistance under 49 U.S.C, chapter 53,if: a. The Recipient in possession of the facility or equipment consents to the transfer,and b. The facility or equipment will continue to be used as required under 49 U.S.C. 5311 in effect in FY 2012, and 9. 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 Chief Executive Officer of the State that: (1) It has consulted with the affected intercity bus service providers about the intercity bus needs of the State,and (2) The State's intercity bus service needs are being met adequately. 34 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances C. Appalachian Development Public Transportation Assistance Program The Applicant must select the Certification in Group 14.C if you seek funding for Appalachian Development Public Transportation Assistance Project financed with funds made available or appropriated for former 49 U.S.C. 5311(c)(2), as amended by MAP-21. The Applicant certifies and assures that, in addition to other Certifications and Assurances it must provide, if the Applicant is unable to use the funding made available or appropriated for this program for public transportation purposes, it may use the funding for a highway project provided that it provides notice and an opportunity for comment and appeal to affected public transportation providers and the Applicant in approving the use determines that local transit needs are being addressed, as required by 49 U.S.C. 5311(c)(2)(D), as amended by MAP-21. D. Over-the-Road Bus Accessibility Program The Applicant must select the Assurance in Group 14.D if it seeks funding for its Over-the-Road Bus Accessibility Project financed with funds made available or appropriated for repealed section 3038 of TEA-21, as amended by section 3039 of SAFETEA-LU in effect in FY2012 or a previous fiscal year. In administering this program, MAP-21 cross-cutting requirements supersede inconsistent former requirements. The Applicant assures that it will comply with all applicable Federal statutes and regulations, and follow applicable Federal guidance in carrying out any Over-the-Road Bus Accessibility Project supported by the FTA/NCDOT grant. The Applicant acknowledges that it is under a continuing obligation to comply with the terms and conditions of the grant agreement issued for its project with FTA/NCDOT.The Applicant understands that Federal/State laws, regulations,policies,and administrative practices might be modified from time to time and affect the implementation of the project. The Applicant assures that the Federal requirements for the Over-the-Road Bus Accessibility Program during FY 2012 will apply to the project,unless FTA/NCDOT issues a written determination otherwise. Certifications and Assurances for funding to be awarded under this program in FY 2013 are included in these FTA/NCDOT Certifications and Assurances for FY 2013.Each Applicant must submit Group 01 ("Required Certifications and Assurances for Each Applicant").Each Applicant seeking more than$100,000 in Federal funding must provide both Group 01, and Group 02,("Lobbying"). i 15. LOW OR NO EMISSION/CLEAN FUELS GRANT PROGRAM The Certifications in Group 15 are in addition to other Certifications and Assurances listed previously that are required for Low or No Emission Vehicle Deployment Program funding or Clean Fuels Grant Program funding. The Applicant is ultimately responsible for compliance with the Certifications and Assurances that apply to itself or its Project, even if a Subrecipient or other Third Party Participant may be involved in the Applicant's Project, except as FTAINCDOT determines otherwise in writing. For this reason, we strongly encourage the Applicant to take appropriate measures, including, but not limited to, obtaining sufficient documentation from each Subrecipient and other Third Party Participant to assure the validity of the applicable Certifications and Assurances. Except as FTAINCDOT determines otherwise in writing, the Applicant must select the Certifications in Group 15, if it seeks financing for its: • Discretionary Low or No Emission Vehicle Deployment Project financed with funding made available or appropriated for 49 U.S,C. 5312(d)(5), as amended by A,1AP-21, or • Discretionary Clean Fuels Grant Program Project financed with funding made available or appropriated for former 49 U.S.C. 5308 in effect in FY2012 or a previous fiscal year. In administering these programs, MAP-21 cross-cutting requirements supersede inconsistent former requirements. Before FTA/NCDOT may provide funding made available or appropriated for any of these Projects,you must have selected the Certifications in Group 15 and other Certifications and Assurances listed previously that are required I 35 i I State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances for the funding the Applicant seeks, Any provision of the Certifications in Group 15 that does not apply will not be enforced. A. Low or No Emission Vehicle Deployment The Applicant must select the Certification in Group 15.A, if it seeks funding for its Low or No Emission Vehicle Development Project financed with funds made available or appropriated for 49 US C. 5312(d)(5), as amended by MAP-21. The following Certification for Low or No Emission Vehicle Deployment Program funding made available or appropriated for MAP-21 is required by 49 U.S.C. 5312(d)(5)(C)and by 49 U.S.C. 5307(c)(1),as amended by MAP-21. Therefore,except as FTA/NCDOT determines otherwise in writing,you certify that: 1. You have or will have the: a. Legal capacity to carry out its proposed Projects, b. Financial capacity to carry out its proposed Projects, c. Technical capacity to carry out its proposed Projects, d. Necessary capacity to carry out the safety aspects of its proposed Projects, and e. Necessary capacity to carry out the security aspects of its proposed Projects, 2. The Applicant has or will have satisfactory continuing control over the use of Project equipment and facilities, 3. The Applicant will maintain its Project equipment and facilities adequately, 4. The Applicant will ensure that,during non-peak hours,for transportation using or involving a facility or equipment funded for its Project,the following individuals will be charged a fare not exceeding fifty(50) percent of the peak hour fare: a. Any senior, b. Any individual who,because of illness, injury,age,a congenital malfunction, or any other incapacity or temporary or permanent disability(including an individual who is a wheelchair user or who has semi- ambulatory capability), and cannot use a public transportation service or a public transportation facility effectively without special facilities,special planning, or special design, c. Any individual presenting a Medicare card issued to himself or herself pursuant to title II of the Social Security Act(42 U.S.C,401 et seq.),or d. Any individual presenting a Medicare card issued to himself or herself pursuant to title XVIII of the Social Security Act(42 U.S.C. 1395 et seq.), 5. When carrying out a procurement under this Program,the Applicant will comply with the: a. General provisions for FTA programs of 49 U.S.C. 5323,and b. Third party procurement requirements of 49 U.S.C. 5325, 6. The Applicant: a. Has informed or will inform the public of the amounts of its funding available under this Program, b. Has developed or will develop, in consultation with interested parties,including private transportation providers,a proposed Program of Projects for activities to be funded, c. Has published or will publish a Program of Projects in a way that affected individuals,private transportation providers, and local elected officials will have an opportunity to examine and submit comments on the proposed Projects and its performance as an Applicant, d. Has provided or will provide an opportunity for a public hearing to obtain the views of individuals on the proposed Program of Projects, e. Has assured or will assure that the proposed Program of Projects provide for coordination of transportation services with federally funded transportation services supported by United States Government sources other than U.S.DOT, f. Has considered or will consider the comments and views received, especially those of private transportation providers, in preparing its final list of Projects,and g. Has made or will make the final list of Projects available to the public, 7. The Applicant: a. Has or will have the amount of funds required for the local share, b. Will provide the local share funds from approved non-Federal sources,except if otherwise authorized by j law,and c. Will provide the local share funds when needed, 8. The Applicant will comply with: i 36 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances a. The Metropolitan Planning requirements of 49 U.S.C. 5303,as amended by MAP-21, and b. The State Planning requirements of 49 U.S.C. 5304,as amended by MAP-21, 9. The Applicant has a locally developed process to solicit and consider public comment before: a. Raising a fare,or b. Implementing a major reduction of public transportation, and 10. The Applicant will comply with its Public Transportation Agency Safety Plan as required by 49 U.S.C. 5329, as amended by MAP-21. B. Clean Fuels Grant Program The Applicant must select the Certification in Group 15.B if it seeks funding for its Clean Fuels Grant Project financed with funds made available or appropriated for former 49 U.S,C. 5308 in effect in FY 2012 or a previous fiscal year. In administering this program, MAP-21 cross-cutting requirements supersede inconsistent former requirements. The following Certification for Clean Fuels Grant Program funding made available or appropriated for former 49 U.S.C. 5308 in effect in FY 2012 or a previous fiscal year is required by former 49 U.S.C:5308(d)(1)and former 49 U.S.C. 5307(d)(1),except as superseded by MAP-21 cross-cutting requirements that apply instead. Therefore, except as FTA/NCDOT determines otherwise in writing,the Applicant certifies that: 1. It has or will have the: a. Legal capacity to carry out its proposed projects, b. Financial capacity to carry out its proposed projects, c. Technical capacity to carry out its proposed projects, d. Safety aspects of its proposed projects, and e. Security aspects of its proposed projects, 2. It has or will have satisfactory continuing control over the use of project equipment and facilities, 3. It will maintain the project equipment and facilities adequately, 4. It 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 former 49 U.S.C. 5308: a. Elderly individuals, b. Individuals with disabilities,or c. 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.), 5. When carrying out a procurement under former 49 U.S.C. 5308 in effect in FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross cutting requirements that apply instead: a. It will use competitive procurement(as defined or approved by FTA), as required by 49 U.S.C. 5325(a), b. It will not use exclusionary or discriminatory specifications in its procurements, as required by 49 U.S.C. 5323(h), c. As provided by the MAP-21 cross-cutting requirement,"Buy America,"the Applicant will comply with 49 U.S.C. 53230), as amended by MAP-21, d. It will comply with applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m), e. As provided by MAP-21 cross cutting requirement,"Rail Car Procurement,"it will comply with the railcar option restrictions of 49 U.S.C. 5325(e),as amended by MAP-21,and f As required by the MAP-21 cross-cutting requirement, "Veterans Preference/Employment,"it will comply with 49 U.S.C. 5325(k),as amended by MAP-21, 6. It has complied with or will comply with former 49 U.S.C. 5307(c)because it: a. Has informed or will inform the public of the amounts of its Clean Fuels Grant Program funds available under 49 U.S.C. 5308,and the projects it proposes to undertake, b. Has developed or will develop, in consultation with interested parties, including private transportation providers,the projects proposed to be funded, c. 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, d. Has provided or will provide an opportunity for a public hearing to obtain the views of citizens on the proposed projects, 37 I State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances e. Has assured or will assure that the proposed Program of Projects provide for coordination of transportation services with federally funded transportation services supported by United States Government sources other than U.S.DOT, f, Has considered or will consider the comments and views received,especially those of private transportation providers, in preparing its final list of projects,and g. Has made or will make the final list of projects available to the public, 7. The Applicant: a. Has or will have the amount of funds required for the local share, b. Will provide the local share funds from approved non-Federal sources except as permitted by Federal law, and c. Will provide the local share funds when needed, 8. The Applicant has complied or will comply with,and will require each Subrecipient to comply with,49 U.S.C. 5301,5303,and 5304,as amended by MAP-21 9. The Applicant has a locally developed process to solicit and consider public comment before: a. Raising a fare,or b. Implementing a major reduction of public transportation, and 10. Consistent with the MAP-21 cross-cutting requirement,"Safety,"the Applicant will comply with its Public Transportation Agency Safety Plan requirements of 49 U.S.C. 5329,as amended by MAP-21. 16. STATE SAFETY OVERSIGHT GRANT PROGRAM The Assurance in Group 16 is in addition to other Certifications and Assurances required for State Safety Oversight Grant Program funding. At the time the FY 2013 Certifications and Assurances for various FTA programs were issued, the Certification and Assurance requirements for the State Safety Oversight Grant Program, authorized under 49 U.S.C. 5329(e)(6), as amended by MAP-21, were not formally established. In the interim, however,please select the Assurance for Group 16 ifyou are applying for funding for a State Safety Oversight Project, The Applicant is ultimately responsible for compliance with the Certifications and Assurances that apply to itself or its Project, even if a Subrecipient or other Third Party Participant may be involved in the Applicant's Project, except as FTAINCDOT determines otherwise in writing. For this reason, we strongly encourage the Applicant to take appropriate measures, including, but not limited to, obtaining sufficient documentation from each Subrecipient and other Third Party Participant to assure the validity of applicable Certifications and Assurances. Except as FTAINCDOT determines otherwise in writing, before FTAINCDOT provides funding made available or appropriated for a State Safety Oversight Project you should select the Assurance in Group 16 and other Certifications and Assurances listed previously that are required for the funding you seek.Any provision of the Assurance in Group 16 that does not apply will not be enforced. The Applicant assures that it will comply with the requirements of those Certifications and Assurances FTA determines will apply to an Applicant for funding made available or appropriated for the State Safety Oversight Program,as required by 49 U.S.C. 5329(e)(6), as amended by MAP-21. 17. PUBLIC TRANSPORTATION EMERGENCY RELIEF PROGRAM The Assurance in Group 17 is in addition to other Certifications and Assurances listed previously required for Public Transportation Emergency Relief Program funding. At the time the FY 2013 Certifications and Assurances for various FTA programs were issued, the Certification and Assurance requirements for the Public Transportation Emergency Relief Program, authorized under 49 U.S.C. 5324, as amended by MAP-21, were not formally established 38 State Fiscal Year 2014 Public Transportation Programs Federal and State Assistance Certifications and Assurances In the interim, however,please select the Assurance for Group 17 if you apply for funding for a Public Transportation Emergency Relief Project. The Applicant is ultimately responsible for compliance with the Certifications and Assurances that apply to itself or its Project, even if a Subrecipient or other Third Party Participant may be involved in the Applicant's Project, except as FTAINCDOT determines otherwise in writing, For this reason, we strongly encourage the Applicant to take appropriate measures, including, but not limited to, obtaining sufficient documentation from each Subrecipient and other Third Party Participant to assure the validity of applicable Certifications and Assurances, Except as FTAINCDOT determines otherwise in writing, before FTAINCDOT provides funding made available or appropriated for a Public Transportation Emergency Relief Project,you should select the Assurance in Group 17 and other Certifications and Assurances listed previously that are required for the funding you seek.Any provision of the Assurance in Group 17 that does not apply will not be enforced. As required by 49 U.S.C. 5324(d)(1), as amended by MAP-21,the Applicant assures that you will comply with the requirements of the Certifications and Assurances as FTA determines will apply to an Applicant for funding made available or appropriated for the Public Transportation Emergency Relief Program. Selection and Signature Page(s)follow 39 FEDERAL(FTA)AND STATE(NCDOT)CERTIFICATIONS AND ASSURANCES FOR PUBLIC TRANSPORTATION PROGRAMS STATE FISCAL YEAR 2014 Legal Name of Applicant: Orange County,North Carolina The Applicant agrees to comply with applicable provisions of Groups 01 —17. Accept *** OR*** The Applicant agrees to comply with the applicable provisions of the following Groups it has selected: Group Description Accept 01. Assurances Required For Each Applicant. El 02. Lobbying. F 03. Private Sector Protections. 04. Procurement and Procurement System, 05. Rolling Stock Reviews and Bus Testing. El 06. Demand Responsive Service. El 07. Intelligent Transportation Systems. 0 08. Interest and Finance Costs and Leasing Costs. 11 09. Transit Asset Management and Agency Safety Plans, El 10. Alcohol and Controlled Substances Testing. 11. Bus/Bus Facilities Programs. 12 Urbanized Area Formula Programs and Job Access and Reverse Commute E (JARC)Program. 13. Seniors/Elderly/Individuals with Disabilities Programs and New Freedom El Program, Rural/Other Than Urbanized Areas/Appalachian Development/Over-the-Road Bus E 14. Accessibility Programs. I 15. Low or No Emission/Clean Fuels Grant Programs. D 16. State Safety Oversight Program. El 17. Public Transportation Emergency Relief Program. 40 STATE FISCAL YEAR 2014 FEDERAL FTA / STATE NCDOT CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE (Required of all Applicants) AFFIRMATION OF APPLICANT Legal Name of Applicant: Orange County,North Carolina Name and Relationship of Authorized Official: Barry Jacobs,Chair,Orange County Board of 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 Federal/State statutes and regulations,and follow applicable Federal/State guidance,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 2014, irrespective of whether the individual that acted on its Applicant's behalf continues to represent the Applicant. NCDOT and FTA intend that the Certifications and Assurances the Applicant selects on the preceding Certifications and Assurances group selection page 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 2014. The Applicant affirms the truthfulness and accuracy of the Certifications and Assurances it has selected in the statements submitted 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. February 26,2013 Signature of Autho F—d ' cial Date Signed Barry Jacobs,Chair Orange County Board of Commissioners Name/Title of Authorized Official .................................................................................... Affix Not Seal Here Seal Subscribed and sworn to me ( to V) 4—?�\ul _ 1`� �tii r i P lil, U is N= NOTARY PUBLIC G O,p Printed Name dddAcldress � My commission expires (date) 41 AFFIRMATION OF APPLICANT'S ATTORNEY (Required of all Applicants) For(Legal Name of Applicant): Orange County,North Carolina As the undersigned Attorney for the above named Applicant, I hereby affirm to the Applicant that it has authority under State, local, or tribal government law,as applicable,to make and comply with the Certifications and Assurances as indicated on the foregoing pages. I further affirm that,in my opinion,the Certifications and Assurances have been legally made and constitute legal and binding obligations on the Applicant. I further affirm to the Applicant that,to the best of my knowledge,there is no legislation or litigation pending or imminent that might adversely affect the validity of these Certifications and Assurances,or of the performance of its FTA/NCDOT Project or Projects. February 26,2013 #ature f A mey for A licant Date Signed Annette M.Moore Name of Attorney for Applicant ................................... ..................................................... Seal Subs ribed and sworn to a (date) , a Affix N Seal tl Here ry Publi `Clj N N OTARY cps �t�n�, k �hllsl�rlw�a��� IBC �� �1� o PUBLIC Printed Name and Address $V M commission expires (date) n / COU��,���``���`\ Y P �0 1�l� iiirumriiinnt►►►► .......................................................................... ..........: 42 (Required of all Applicants, except an Indian tribe or a tribal organization) CERTIFICATION AND RESTRICTIONS ON LOBBYING 1, Barry Jacobs , on behalf of Name of Authorized Official Orange County,North Carolina , 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 representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. § 1352 (as amended by the Lobbying Disclosure Act of 1995). Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The undersigned certifies or affirms the truthfulness and accuracy of the contents of the statements submitted on or with this certification and understands that the provisions of 31 U.S.C. Section 3801, et seq., are applicable thereto. i a ............................................................................................. Signature ofAuthorize dffici.l Affix Notary Seal Here i Seal Subscribed and-swan to a date) , DN3 � �� ary u6Ic => N01`gRY N= k W= o� PUBLIC G Printed Name and_,sadress My commission expires (date) `�� rt�cici©U��' .................................. .. ....... ......... ......... ........ I I 43 (Required of all Applicants that currently operate or plan to procure inaccessible vehicles) CERTIFICATION OF EQUIVALENT SERVICE I, Barry Jacobs , on behalf of Name of Authorized Official Orange County,North Carolina Legal Name of Applicant Hereby certifies that: The 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. .............................. ............................................, Signa ure of Authorize A tz Notary Seal Here CKIII II l Sea/Subscribed an rn to (date) R ���i�� tbry P is NO'tA�Y N 0 6b �f Printed Name and 8a,ddrbss My commission expires date " i 44 j i