HomeMy WebLinkAbout2016-207 OPT - FY2016 FTA Certifications and Assurances FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
PREFACE
Except as the Federal Transit Administration (FTA or We) determines otherwise in
writing, before FTA may award federal assistance for public transportation in the form of
a federal grant, cooperative agreement, loan, line of credit, or loan guarantee, certain
pre-award Certifications and Assurances are required. The Applicant must authorize a
representative (Authorized Representative) to select and sign its Certifications and
Assurances and bind the Applicant's compliance. You, as your Applicant's Authorized
Representative, must select and sign all Certifications and Assurances that your
Applicant must provide to support each application it submits to FTA for federal
assistance during federal fiscal year (FY) 2016
We request that you read each Certification and Assurance and select those that will
apply to any application for which your Applicant might seek federal assistance from
FTA during FY 2016 As provided by federal laws, regulations, and requirements, only if
you select adequate Certifications and Assurances on your Applicant's behalf may FTA
award federal assistance.
We have consolidated our Certifications and Assurances into twenty-three (23)
Categories. At a minimum,you must select the Assurances in Category 01. If your
Applicant requests more than$100,000 in federal assistance,you must select the
"Lobbying" Certification in Category 02, except if your Applicant is an Indian tribe,
Indian organization, or an Indian tribal organization. Depending on the nature of your
Applicant and the Award it seeks,you may also need to select one or more Certifications
and Assurances in Categories 03 through 23. Instead of selecting individual Categories
of Certifications and Assurances, however,you may make a single selection that will
encompass all twenty-three (23) Categories of Certifications and Assurances that apply
to our various programs.
FTA,your Applicant, and you, as your Applicant's Authorized Representative,
understand and agree that not every provision of these twenty-three (23) Categories of
Certifications and Assurances will apply to every Applicant or every Award or Project
included in an Award, even if you make a single selection encompassing all twenty-three
(23) Categories. Nor will every provision of each Certification or Assurance within a
single Category apply if that provision does not apply to your Applicant or the Award it
seeks. The type of Applicant and its application will determine which Certifications and
Assurances apply.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected that apply to its Award, itself, any Subrecipient, or any other Third
Party Participant in its Award, except as FTA determines otherwise in writing. For this
reason, we strongly encourage your Applicant to take appropriate measures, including,
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but not limited to, obtaining sufficient documentation from each Subrecipient and any
other Third Party Participant as necessary to assure your Applicant's compliance with
the applicable Certifications and Assurances selected on its behalf.
Except as FTA determines otherwise in writing, if your Applicant is a team, consortium,
joint venture, or partnership, it understands and agrees that you must identify the
activities that each member will perform and the extent to which each member will be
responsible for compliance with the Certifications and Assurances selected on its behalf.
You also must identify each member's role in the Award, whether as a Recipient,
Subrecipient, Third Party Contractor, or other Third Party Participant.
It is important that your Applicant and you also understand that these Certifications and
Assurances are pre-award requirements, generally imposed by federal law or regulation,
and do not include all federal requirements that may apply to it or its Award. We expect
you to submit your Applicant's FY 2016 Certifications and Assurances and its
applications for federal assistance in FTA's electronic award and management system,
currently the Transit Award Management System (TrAMS). You must be registered in
TrAMS to submit to FTA your Applicant's FY 2016 Certifications and Assurances.
TrAMS contains fields for selecting among the twenty-three (23) Categories of
Certifications and Assurances and a designated field for selecting all twenty-three (23)
Categories of Certifications and Assurances. If FTA agrees that you are unable to submit
your Applicant's FY 2016 Certifications and Assurances electronically,you must submit
the Signature Pages at the end of this document, as FTA directs, marked to show the
Categories of Certifications and Assurances that you are submitting.
Be aware that these Certifications and Assurances have been prepared in light of:
• The Fixing America's Surface Transportation (FAST)Act, Public Law No. 114-94,
December 4, 2015,
• The Moving Ahead for Progress in the 21st Century Act(MAP-21), Public Law
No. 112-141, July 6, 2012, as amended by the Surface Transportation and Veterans
Health Care Choice Improvement Act of 2015, Public Law No. 114-41, July 31, 2015
and other authorizing legislation to be enacted,
• FTA's authorizing legislation in effect in FY 2012 or a previous fiscal year, except as
superseded by the FAST Act cross-cutting requirements that apply, and
• Appropriations Acts or Continuing Resolutions funding the U.S. Department of
Transportation during Fiscal Year 2016
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CATEGORY 01. REQUIRED CERTIFICATIONS AND ASSURANCES
FOR EACH APPLICANT.
Before FTA may provide federal assistance for your Applicant's Award,you must select
the Certifications and Assurances in Category 01 in addition to any other Certifications
and Assurances that you must select on your Applicant's behalf, except as FTA
determines otherwise in writing.
Any provision of the Certifications and Assurances in Category 01 that does not apply
will not be enforced.
01.A. Certification and Assurance of Authority of the Applicant and Its Authorized
Representative.
You certify and affirm that in signing these Certifications, Assurances, and Agreements,
both you, as your Applicant's Authorized Representative, and your Applicant's attorney
who is authorized to represent your Applicant in legal matters, may undertake the
following activities on your Applicant's behalf, in compliance with applicable state,
local, or Indian tribal laws, regulations, and requirements and its by-laws or internal
rules:
1. Execute and file its application for federal assistance,
2. Execute and file its Certifications, Assurances, Charter Service Agreement, and
School Bus Agreement, as applicable, binding its compliance,
3. Execute its Grant Agreement, Cooperative Agreement, Loan, Loan Guarantee, or
Line of Credit, for which the Applicant is seeking federal assistance from FTA,
4. Comply with applicable federal laws, regulations, and requirements, and
5. Follow applicable federal guidance.
01.B. Standard Assurances.
On behalf of your Applicant, you assure that it understands and agrees to the following:
1. It will comply with all applicable federal laws, regulations, and requirements in
implementing its Award.
2. It is under a continuing obligation to comply with the terms and conditions of its
Grant Agreement or Cooperative Agreement with FTA for each Award, including the
FTA Master Agreement and other documents incorporated by reference and made
part of its Grant Agreement or Cooperative Agreement, or latest amendment thereto.
3. It recognizes that federal laws, regulations, and requirements may be amended from
time to time and those amendments may affect the implementation of its Award.
4. It understands that Presidential executive orders and federal guidance, including
federal policies and program guidance, may be issued concerning matters affecting it
or its Award.
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5. It agrees that the most recent federal laws,regulations, requirements, and guidance
will apply to its Award, except as FTA determines otherwise in writing.
6. Except as FTA determines otherwise in writing, it agrees that requirements for FTA
programs may vary depending on the fiscal year for which the federal assistance for
those programs was appropriated or made available.
O1.C. Intergovernmental Review Assurance.
(This assurance in this Category O1.0 does not apply to an Indian tribe, an Indian
organization, or an Indian tribal organization that applies for federal assistance made
available under 49 U.S.C. §5311(c)(1), which authorizes FTA's Tribal Transit
Programs.)
As required by U.S. Department of Transportation(U.S. DOT) regulations,
"Intergovernmental Review of Department of Transportation Programs and Activities,"
49 CFR part 17, on behalf of your Applicant, you assure that it has submitted or will
submit each application for federal assistance to the appropriate state and local agencies
for intergovernmental review.
OLD. Nondiscrimination Assurance.
On behalf of your Applicant, you assure that:
1. It will comply with the following laws, regulations, and requirements 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 assisted 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 including:
a. Federal transit laws, specifically 49 U.S.C. § 5332 (prohibiting discrimination on
the basis of race, color, religion,national origin, sex(including gender identity),
disability, age, 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,
£ 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, federal
regulations that may be issued, or federal requirements that may be imposed.
2. It will comply with federal guidance implementing federal nondiscrimination laws,
regulations, or requirements, except as FTA determines otherwise in writing.
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3. As required by 49 CFR § 21.7:
a. It will comply with 49 U.S.C. § 5332, 42 U.S.C. § 2000d, and 49 CFR part 21 in
the manner that:
(1) It implements its Award,
(2) It undertakes property acquisitions, and
(3) It operates all parts of its facilities, as well as its facilities operated in
connection with its Award.
b. This assurance applies to its Award and to all parts of its facilities, as well as its
facilities used to implement its Award.
c. It will promptly take the necessary actions to carry out this assurance, including
the following:
(1) Notifying the public that discrimination complaints about transportation-
related services or benefits may be filed with U.S. DOT or FTA, and
(2) Submitting information about its compliance with these provisions to
U.S. DOT or FTA upon their request.
d. If it transfers U.S. DOT or FTA assisted 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 assistance is
extended, or
(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, or
(3) This assurance.
f. It will make any changes in its Title VI implementing procedures, as U.S. DOT or
FTA may request,to comply with:
(1) Title VI of the Civil Rights Act, 42 U.S.C. § 2000d,
(2) U.S. DOT regulations,49 CFR part 21, and
(3) Federal transit law,49 U.S.C. § 5332.
g. It will comply with applicable federal guidance issued to implement federal
nondiscrimination requirements, except as FTA determines otherwise in writing.
h. It will extend the requirements of 49 U.S.C. § 5332,42 U.S.C. § 2000d, and
49 CFR part 21 to each Third Party Participant, including any:
(1) Subrecipient,
(2) Transferee,
(3) Third Party Contractor or Subcontractor at any tier,
(4) Successor in Interest,
(5) Lessee, or
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(6) Other Participant in its Award, except FTA and the Applicant(and later,the
Recipient).
i. It will include adequate provisions to extend the requirements of 49 U.S.C.
§ 5332, 42 U.S.C. § 2000d, and 49 CFR part 21 to each third party agreement,
including each:
(1) Subagreement at any tier,
(2) Property transfer agreement,
(3) Third party contract or subcontract at any tier,
(4) Lease, or
(5) Participation agreement.
j. The assurances you have made on your Applicant's behalf remain in effect as
long as FTA determines appropriate, including, for example, as long as:
(1) Federal assistance is provided for its Award,
(2) Its property acquired or improved with federal assistance is used for a
purpose for which the federal assistance is extended, or for a purpose
involving similar services or benefits,
(3) It retains ownership or possession of its property acquired or improved with
federal assistance provided for its Award, or
(4) FTA may otherwise determine in writing.
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. § 5332,you assure that:
a. It will comply with the following prohibitions against discrimination on the basis
of disability listed below in subsection 4.b of this Category OLD Assurance, of
which compliance is a condition of approval or extension of any FTA assistance
awarded to:
(1) Construct any facility,
(2) Obtain any rolling stock or other equipment,
(3) Undertake studies,
(4) Conduct research, or
(5) Participate in any benefit or obtain any benefit from any FTA administered
program.
b. In any program or activity receiving or benefiting from federal assistance that
U.S. DOT administers, no qualified individual with a disability will,because of
his or her disability, be:
(1) Excluded from participation,
(2) Denied benefits, or
(3) Otherwise subjected to discrimination.
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01.E. Suspension and Debarment Certification.
On behalf of your Applicant, you certify 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 U.S. Office of Management and Budget(U.S. OMB) "Guidelines to
Agencies on Governmentwide Debarment and Suspension(Nonprocurement),"
2 CFR part 180.
2. To the best of its knowledge and belief,that its Principals and Subrecipients at the
first tier:
a. Are eligible to participate in covered transactions of any federal 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. Within a three-year period preceding its latest application or proposal, its
management has not 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. It is 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 subsection 2.b of this Certification.
d. It has 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. If, at a later time, it receives any information that contradicts the preceding
statements of subsections 2.a—2.d of this Category 01.E Certification, it will
promptly provide that information to FTA.
f. It will treat each lower tier contract or subcontract under its Award 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 official.
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g. It 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 Award is not presently declared
by any federal department or agency to be:
(a) Debarred from participation in any federally assisted Award,
(b) Suspended from participation in any federally assisted Award,
(c) Proposed for debarment from participation in any federally assisted
Award,
(d) Declared ineligible to participate in any federally assisted Award,
(e) Voluntarily excluded from participation in any federally assisted Award,
or
(f) Disqualified from participation in any federally assisted Award.
5. It will provide a written explanation if it or any of its principals, including any of its
first tier Subrecipients or its Third Party Participants at a lower tier, is unable to
certify compliance with the preceding statements in this Category 01.E Certification.
01.F. U.S. OMB Assurances in SF-424B and SF-424D.
The assurances in this Category 01.F are consistent with the U.S. OMB assurances
required in the U.S. OMB SF-424B and SF-424D, and updated as necessary to reflect
changes in federal laws, regulations, and requirements.
1. Administrative Activities. On behalf of your Applicant, you assure that:
a. For any application it submits for federal assistance, it has adequate resources to
plan, manage, and complete properly the tasks to implement its Award, including:
(1) The legal authority to apply for federal assistance,
(2) The institutional capability,
(3) The managerial capability, and
(4) The financial capability(including funds sufficient to pay the non-federal
share of the cost of incurred under its Award).
b. As required, it will give access and the right to examine materials related to its
Award to the following entities or individuals, including, but not limited to:
(1) FTA,
(2) The Comptroller General of the United States, and
(3) The State,through an appropriate authorized representative.
c. It will establish a proper accounting system in accordance with generally accepted
accounting standards or FTA guidance.
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
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(2) An appearance of a personal or organizational conflict of interest or personal
gain.
2. Specifics of the Award. On behalf of your Applicant, you assure that:
a. It will begin and complete work within the period of performance that applies
following receipt of an FTA Award.
b. For FTA assisted construction Awards:
(1) It will comply with FTA provisions concerning the drafting, review, and
approval of construction plans and specifications,
(2) It will provide and maintain competent and adequate engineering supervision
at the construction site to assure that the completed work conforms to the
approved plans and specifications,
(3) It will include a covenant to assure nondiscrimination during the useful life
of the real property financed under its Award in its title to that real property,
(4) To the extent FTA requires, it will record the federal interest in the title to
FTA assisted real property or interests in real property, and
(5) It will not alter the site of the FTA assisted construction or facilities without
permission or instructions from FTA by:
(a) Disposing of the underlying real property or other interest in the site and
facilities,
(b) Modifying the use of the underlying real property or other interest in the
site and facilities, or
(c) Changing the terms of the underlying real property title or other interest
in the site and facilities.
c. It will furnish progress reports and other information as FTA or the state may
require.
3. Statutory and Regulatory requirements. On behalf of your Applicant, you assure that:
a. It will comply with all federal laws, regulations, and requirements relating to
nondiscrimination that apply, including, but not limited to:
(1) The 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) The 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) The prohibitions against discrimination on the basis of age in federally
assisted programs, as provided in the Age Discrimination Act of 1975, as
amended, 42 U.S.C. §§ 6101 —6107.
(4) The prohibitions against discrimination on the basis of disability in federally
assisted programs, as provided in section 504 of the Rehabilitation Act
of 1973, as amended, 29 U.S.C. § 794.
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(5) The 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) The 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) The 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) The 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) The confidentiality requirements for records of alcohol and drug abuse
patients, as provided in the Public Health Service Act, as amended, 42 U.S.C.
§ 290dd—290dd-2.
(10)The nondiscrimination provisions of any other statute(s)that may apply to its
Award.
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 49 U.S.C. § 5323(b), regardless of whether federal assistance has been
provided for any real property acquired or improved for purposes of its Award:
(1) It will provide for fair and equitable treatment of any displaced persons or
any persons whose property is acquired or improved as a result of federally
assisted programs.
(2) It has the necessary legal authority under state and local laws, regulations,
and requirements 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.
(3) 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 provided by 42 U.S.C. §§ 4622, 4623, and 4624, and 49 CFR part 24,
if its Award results in displacement, it will provide fair and reasonable
relocation payments and assistance to:
1 Displaced families or individuals, and
2 Displaced corporations, associations, or partnerships.
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(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 the
U.S. DOT regulations to such:
1 Displaced families and individuals, and
2 Displaced corporations, associations, or partnerships.
(d) As provided 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 by the real property acquisition policies of 42 U.S.C.
§§ 4651 and 4652.
(g) It will pay or reimburse property owners for their necessary expenses as
specified in 42 U.S.C. §§ 4653 and 4654, understanding that FTA will
provide federal assistance 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 FTA assisted
third party contracts and subagreements.
(i) It will execute, furnish, and be bound by such additional documents as
FTA 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, related to its Award that involves relocation or land acquisition.
(k) It will provide in any affected document that these relocation and land
acquisition provisions must supersede any conflicting provisions.
c. It will comply with the Lead-Based Paint Poisoning Prevention Act, specifically
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 applicable, comply with the protections for human subjects
involved in research, development, and related activities supported by federal
assistance 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 applicable, comply with the labor standards and protections
for federally assisted Awards of:
(1) The Davis-Bacon Act, as amended, 40 U.S.C. §§ 3141 —3144, 3146, and
3147,
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
(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 comply with any applicable environmental standards prescribed to
implement federal laws and executive orders, including,but not limited to:
(1) Complying with the institution of environmental quality control measures
under the National Environmental Policy Act of 1969, as amended,42 U.S.C.
§§ 4321 —4335 and following 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 the floodplains provisions of
Executive Order No. 11988, May 24, 1977, 42 U.S.C. § 4321 note,and
Executive Order No. 13690 `Establishing a Federal Flood Risk Management
Standard and a Process for Further Soliciting and Considering Stakeholder
Input, January 30, 2015.
(5) Complying with the assurance of 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 1970, as amended, 42 U.S.C. §§ 7401 —7671q.
(7) Complying with 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 Award, as required by 49 U.S.C. § 303 (also known
as"Section 4f').
(10)Complying with the protections for 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.
(11)Complying with and facilitating compliance with:
(a) Section 106 of the National Historic Preservation Act of 1966, as
amended, 54 U.S.C. § 300108,
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(b) The Archaeological and Historic Preservation Act of 1974, as amended,
54 U.S.C. § 312501 et seq., and
(c) Executive Order No. 11593 (identification and protection of historic
properties), 54 U.S.C. § 300101.
g. To the extent applicable, it will comply 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 with federal assistance:
(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 applicable, it will obtain a certificate of compliance with the seismic
design and construction requirements of U.S. DOT regulations, "Seismic Safety,"
49 CFR part 41, specifically 49 CFR § 41.117(d), before accepting delivery of
any FTA assisted buildings.
i. It will comply with and assure that each of its Subrecipients located in special
flood hazard areas will comply with section 102(a) of the Flood Disaster
Protection Act of 1973, as amended, 42 U.S.C. § 4012a(a), by:
(1) Participating in the federal flood insurance program, and
(2) Purchasing flood insurance if the total cost of insurable construction and
acquisition is $10,000 or more.
j. It will comply 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 assistance, including a federal loan, grant agreement, or
cooperative agreement, and
(2) 49 U.S.C. § 5323(1)(2) and 23 U.S.C. § 142(g), which provide an exception
from Hatch Act restrictions for a nonsupervisory employee of a public
transportation system (or of any other agency or entity performing related
functions)receiving federal assistance appropriated or made available under
49 U.S.C. chapter 53 and 23 U.S.C. § 142(a)(2)to whom the Hatch Act does
not otherwise apply.
k. It will perform 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. DOT regulations, "Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards,"2 CFR part 1201,
which incorporates by reference U.S. OMB regulatory guidance, "Uniform
Administrative Requirements, Cost Principles, and Audit Requirements for
Federal Awards,"2 CFR part 200, and
(3) Most recent applicable U.S. OMB Compliance Supplement, 2 CFR part 200,
appendix XI(previously known as the U.S. OMB Circular A-133
Compliance Supplement).
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1. It will comply with all other federal laws,regulations, and requirements that
apply.
m. It will follow federal guidance governing it and its Award, except as FTA has
expressly approved otherwise in writing.
CATEGORY 02. LOBBYING.
Before FTA may provide federal assistance for a grant or cooperative agreement
exceeding$100,000 or a loan, line of credit, loan guarantee, or loan insurance exceeding
$150,000, unless your Applicant is an Indian Tribe, Indian organization, or an Indian
tribal organization exempt from the requirements of 31 U.S.C. §1352,you must select
the Lobbying Certifications in Category 02 in addition to other Certifications and
Assurances you must select on your Applicant's behalf, except as FTA determines
otherwise in writing.
Any provision of the Certifications in Category 02 that does not apply will not be
enforced.
On behalf of your Applicant, you certify that:
1. As required by 31 U.S.C. § 1352 and U.S.DOT regulations, "New Restrictions on
Lobbying," specifically 49 CFR 20.110:
a. The lobbying restrictions of this Certification apply to its requests:
(1) For$100,000 or more in federal assistance for a grant or cooperative
agreement, and
(2) For$150,000 or more in federal assistance for a loan, line of credit, loan
guarantee, or loan insurance, and
b. Your Certification on its behalf applies to the lobbying activities of:
(1) It,
(2) Its Principals, and
(3) Its Subrecipients at the first tier.
2. To the best of your knowledge and belief:
a. No federal appropriated funds have been or will be paid by your Applicant or on
its behalf to any person to influence or attempt to influence:
(1) An officer or employee of any federal agency regarding the award of a:
(a) Federal grant or cooperative agreement, or
(b) Federal loan, line of credit, loan guarantee, or loan insurance, or
(2) A Member of Congress, an employee of a member of Congress, or an officer
or employee of Congress regarding the award of a:
(a) Federal grant or cooperative agreement, or
(b) Federal loan, line of credit, loan guarantee, or loan insurance.
b. It will submit a complete OMB Standard Form LLL (Rev. 7-97), "Disclosure of
Lobbying Activities," consistent with the instructions on that form, if any funds
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FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
other than federal appropriated funds have been or will be paid to any person to
influence or attempt to influence:
(1) An officer or employee of any federal agency regarding the award of a:
(a) Federal grant or cooperative agreement, or
(b) Federal loan, line of credit, loan guarantee, or loan insurance, or
(2) A Member of Congress, an employee of a member of Congress, or an officer
or employee of Congress regarding the award of a:
(a) Federal grant or cooperative agreement, or
(b) Federal loan, line of credit, loan guarantee, or loan insurance.
c. It will include the language of this Certification in its Award documents under a
federal grant, cooperative agreement, loan, line of credit, or loan insurance
including, but not limited to:
(1) Each third party contract,
(2) Each third party subcontract,
(3) Each subagreement, and
(4) Each third party agreement.
3. It understands that:
a. This Certification is a material representation of fact that the Federal Government
relies on, and
b. It must submit this Certification before the Federal Government may award
federal assistance for a transaction covered by 31 U.S.C. § 1352, including a:
(1) Federal grant or cooperative agreement, or
(2) Federal loan, line of credit, loan guarantee, or loan insurance.
4. It understands that any person who does not file a required Certification will incur a
civil penalty of not less than$10,000 and not more than$100,000 for each such
failure.
CATEGORY 03. PROCUREMENT AND PROCUREMENT SYSTEMS.
We request that you select the Procurement and Procurement Systems Certification in
Category 03 on behalf of your Applicant, especially if your Applicant is a state, local, or
Indian tribal government with a certified procurement system, as provided in 2 CFR
§200.324(c)(2), incorporated by reference in 2 CFR part 1201 or former 49 CFR
18.360(3)(ii).
Any provision of the Certification in Category 03 that does not apply will not be
enforced.
On behalf of your Applicant, you certify that its procurements and its procurement
system will comply with all federal laws, regulations, and requirements in accordance
with applicable federal guidance, except as FTA has approved otherwise in writing.
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CATEGORY 04. PRIVATE SECTOR PROTECTIONS.
Before FTA may provide federal assistance for an Award that involves the acquisition of
public transportation property or the operation of public transportation facilities or
equipment,you must select the Private Property Protections Assurances in
Category 04.A and enter into the Agreements in Category 04.B and Category 04.0 on
behalf of your Applicant in addition to other Certifications you must select on your
Applicant's behalf, except as FTA determines otherwise in writing.
Any provision of the Assurances and Agreements in Category 04 that does not apply will
not be enforced.
04.A. Private Property Protections.
If your Applicant is a state, local government, or Indian tribal government and seeks
federal assistance from FTA to acquire the property of a private transit operator or
operate public transportation in competition with or in addition to a public
transportation operator, the Private Property Protections Assurances in Category 04.A
apply to your Applicant, except as FTA determines otherwise in writing.
To facilitate FTA's ability to make the findings required by 49 U.S.C. § 5323(a)(1), on
behalf of your Applicant, you assure that:
1. It has or will have:
a. Determined that the federal assistance it has requested is essential to carrying out
its 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.
2. It has completed the actions described in the preceding section 1 of this Category
04.A Certification before:
a. It acquires the property or an interest in the property of a private provider of
public transportation, or
b. It 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.
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FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
04.11. Charter Service Agreement.
If your Applicant seeks federal assistance from FTA to acquire or operate transit
facilities or equipment, the Charter Service Agreement in Category 04.B applies to your
Applicant, except as FTA determines otherwise in writing.
To comply with 49 U.S.C. § 5323(d)and (g) and FTA regulations, "Charter Service,"
49 CFR part 604, specifically 49 CFR § 604.4,on behalf of your Applicant, you are
entering into the following Charter Service Agreement:
1. FTA's "Charter Service"regulations apply as follows:
a. FTA's Charter Service regulations restrict transportation by charter service using
facilities and equipment acquired or improved under its Award from FTA
financed with federal assistance derived from:
(1) Federal transit laws, 49 U.S.C. chapter 53,
(2) 23 U.S.C. §§ 133 or 142, or
(3) Any other Act that provides federal public transportation assistance, unless
otherwise excepted.
b. FTA's charter service restrictions extend to:
(1) Your Applicant, when it becomes a Recipient of federal assistance
appropriated or made available for:
(a) Federal transit laws, 49 U.S.C. chapter 53,
(b) 23 U.S.C. §§ 133 or 142, or
(c) Any other Act that provides federal public transportation assistance,
unless otherwise excepted.
(2) Any Third Party Participant that receives federal assistance derived from:
(a) Federal transit laws, 49 U.S.C. chapter 53,
(b) 23 U.S.C. §§ 133 or 142, or
(c) Any other Act that provides federal public transportation assistance,
unless otherwise excepted.
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 its Award.
d. You and your Applicant agree that neither it nor any governmental authority or
publicly owned operator that receives federal public transportation assistance
appropriated or made available for its Award 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
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FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
(4) Federal guidance, except as FTA determines otherwise in writing.
e. You and your Applicant agree that the latest Charter Service Agreement selected
in its latest annual Certifications and Assurances is incorporated by reference in
and made part of the Underlying Agreement accompanying its Award of federal
assistance from FTA.
f. You and your Applicant agree that:
1 FTA may require corrective measures or impose remedies on it or an
( ) Y q p Y
governmental authority or publicly owned operator that receives federal
assistance from FTA appropriated or made available for its Award 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 its Charter Service Agreement selected in its latest
annual Certifications and Assurances, and
(2) These corrective measures and remedies may include:
(a) Barring it or any Third Party Participant operating public transportation
under its Award that has provided prohibited charter service from
receiving federal assistance from FTA,
(b) Withholding an amount of federal assistance as provided by Appendix D
to FTA's Charter Service regulations, or
(c) Any other appropriate remedy that may apply.
2. In addition to the exceptions to the 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 your Applicant if it seeks
federal assistance appropriated or made available under 49 U.S.C. §§ 5307 or
5311 to be used for Job Access and Reverse Commute (JARC) activities that
would have been eligible for assistance under former 49 U.S.C. §§ 5316 in effect
in FY 2012 or a previous fiscal year,provided that it uses that federal assistance
from FTA for those program purposes only.
b. FTA's Charter Service restrictions do not apply to your Applicant if it seeks
federal assistance appropriated or made available under 49 U.S.C. § 5310 to be
used for New Freedom activities that would have been eligible for assistance
under former 49 U.S.C. § 5317 in effect in FY 2012 or a previous fiscal year,
provided it uses that federal assistance from FTA for those program purposes
only.
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 provides a
private intercity or charter transportation operator reasonable access to that
Recipient's federally assisted public transportation facilities, including intermodal
facilities,park and ride lots, and bus-only highway lanes, as provided in 49 U.S.C.
§ 5323(r).
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FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
04.C. School Bus Agreement.
If your Applicant seeks federal assistance from FTA to acquire or operate transit
facilities or equipment, the School Bus Agreement in Category 04.C applies to your
Applicant, except as FTA determines otherwise in writing.
To comply with 49 U.S.C. § 5323(f) and(g)and FTA regulations, "School Bus
Operations,"49 CFR part 605,to the extent consistent with 49 U.S.C. § 5323(f)and (g),
on behalf of your Applicant, you are entering into the following School Bus Agreement:
1. FTA's "School Bus Operations"regulations restrict school bus operations using
facilities and equipment acquired or improved with federal assistance derived from:
a. Federal transit laws, 49 U.S.C. chapter 53,
b. 23 U.S.C. §§ 133 or 142, or
c. Any other Act that provides federal public transportation assistance, unless
otherwise excepted.
2. FTA's school bus operations restrictions extend to:
a. Your Applicant, when it becomes a Recipient of federal assistance appropriated or
made available for:
(1) Federal transit laws, 49 U.S.C. chapter 53,
(2) 23 U.S.C. §§ 133 or 142, or
(3) Any other Act that provides federal public transportation assistance, unless
otherwise excepted.
b. Any Third Party Participant that receives federal assistance derived from:
(1) Federal transit laws, 49 U.S.C. chapter 53,
(2) 23 U.S.C. §§ 133 or 142, or
(3) Any other Act that provides federal public transportation assistance, unless
otherwise excepted.
3. A Third Party Participant includes any:
a. Subrecipient at any tier,
b. Lessee,
c. Third Party Contractor or Subcontractor at any tier, and
d. Other Third Party Participant in its Award.
4. You and your Applicant agree and will obtain the agreement of any Third Party
Participant involved in your Applicant's Award 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),
b. FTA regulations, "School Bus Operations,"49 CFR part 605,to the extent
consistent with 49 U.S.C. § 5323(f) and(g),
c. Any other federal School Bus regulations, or
d. Federal guidance, except as FTA determines otherwise in writing.
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FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
5. You and your Applicant agree that the latest School Bus Agreement selected on its
behalf in FTA's latest annual Certifications and Assurances is incorporated by
reference in and made part of the Underlying Agreement accompanying its Award of
federal assistance.
6. You and your Applicant agree that after it is a Recipient, if it or any Third Party
Participant has violated this School Bus Agreement,FTA may:
a. Bar your Applicant or Third Party Participant from receiving further federal
assistance for public transportation, or
b. Require the Applicant or Third Party Participant to take such remedial measures
as FTA considers appropriate.
CATEGORY 05. ROLLING STOCK REVIEWS AND BUS TESTING.
Before FTA may provide federal assistance for an Award to acquire rolling stock for use
in revenue service or to acquire a new bus model,you must select the Rolling Stock
Reviews and Bus Testing Certifications in Category 05 in addition to other Certifications
and Assurances you must select on your Applicant's behalf, except as FTA determines
otherwise in writing.
Any provision of the Certifications in Category 05 that does not apply will not be
enforced.
05.A. Rolling Stock Reviews.
If your Applicant seeks federal assistance from FTA to acquire rolling stock for use in
revenue service, the Rolling Stock Reviews Certifications in Category 05.A apply to your
Applicant, except as FTA determines otherwise in writing.
On behalf of your Applicant, you certify that when procuring rolling stock for use in
revenue service:
1. It 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. It will conduct or cause to be conducted the required pre-award and post-delivery
reviews of that rolling stock, and
b. It will maintain on file the Certifications required by 49 CFR part 663, subparts B,
C, and D.
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FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
05.B. Bus Testing.
If your Applicant seeks federal assistance from FTA to acquire a new bus model, the Bus
Testing Certifications in Category 05.B apply to your Applicant, except as FTA
determines otherwise in writing.
On behalf of your Applicant, you certify that:
1. FTA's bus testing requirements apply to all acquisitions of new buses and new bus
models that require bus testing as defined in FTA's Bus Testing regulations, and it
will comply with:
a. 49 U.S.C. § 5318, and
b. FTA regulations, "Bus Testing,"49 CFR part 665,to the extent these regulations
are consistent with 49 U.S.C. § 5318.
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. It will not spend any federal assistance appropriated under 49 U.S.C. chapter 53 to
acquire that new bus or new bus model until:
(1) That new bus or new bus model has been tested at FTA's bus testing facility,
and
(2) It has received a copy of the test report prepared for that new bus or new bus
model, and
b. It will not authorize final acceptance of that new bus or new bus model until:
(1) That new bus or new bus model has been tested at FTA's bus testing facility,
and
(2) It has received a copy of the test report prepared for that new bus or new bus
model.
3. It will ensure that the new bus or new bus model that is tested has met the
performance standards consistent with those regulations, including the:
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.
4. After FTA regulations authorized by 49 U.S.C. § 5318(e)(2)are in effect, it will
ensure that the new bus or new bus model that is tested has received a passing
aggregate test score under the"Pass/Fail" standard established by regulation.
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FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
CATEGORY 06. DEMAND RESPONSIVE SERVICE.
Before FTA may provide federal assistance for an Award to a public entity that operates
demand responsive service to acquire a non-rail vehicle that is not accessible,you must
select the Demand Responsive Service Certifications in Category 06 in addition to other
Certifications and Assurances you must select on your Applicant's behalf, except as FTA
determines otherwise in writing.
Any provision of the Certifications in Category 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), on behalf of your
Applicant, you certify that:
I. Your 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.
2. Viewed in its entirety, its 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.
CATEGORY 07. INTELLIGENT TRANSPORTATION SYSTEMS.
Before FTA may provide federal assistance for an Award in support of an Intelligent
Transportation System (ITS),you must select the Intelligent Transportation Systems
Assurances in Category 07 in addition to other Certifications and Assurances you must
select on your Applicant's behalf, except as FTA determines otherwise in writing.
Any provision of the Assurances in Category 07 that does not apply will not be enforced.
On behalf of your Applicant, you and your Applicant:
1. Understand that, as used in this Assurance,the term Intelligent Transportation System
is defined to include technologies or systems of technologies that provide or
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FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
significantly contribute to the provision of one or more Intelligent Transportation
System (ITS) user services as defined in the "National ITS Architecture."
2. Assure that, as provided in 23 U.S.C. § 517(d), any Award that includes an ITS or
related activity financed with appropriations made available from the Highway Trust
Fund, including amounts made available to deploy ITS facilities or equipment, will
conform to the appropriate regional ITS architecture, applicable standards, and
protocols developed under 23 U.S.C. § 517(a) or(c), unless it obtains a waiver as
provided in 23 U.S.C. § 517(d)(2).
CATEGORY 08. INTEREST AND FINANCING COSTS AND ACQUISITION OF
CAPITAL ASSETS BY LEASE.
Before FTA may award federal assistance appropriated or made available under
49 U.S.C. chapter 53 to support the interest,financing, or leasing costs of any Award
financed under the Urbanized Area Formula Grants Program, Fixed Guideway Capital
Investment Grants Program, any program to which the requirements of 49 U.S.C. §5307
apply, or any other program as FTA may spec,you must select the Certifications in
Category 08 in addition to other Certifications and Assurances you must select on your
Applicant's behalf, except as FTA may determine otherwise in writing.
Any provision of the Certifications and Assurances in Category 08 that does not apply
will not be enforced.
08.A. Interest and Financing Costs.
If your Applicant intends to use federal assistance to support the interest or any other
financing costs for an Award financed under the Urbanized Area Formula Grants
Program, the Fixed Guideway Capital Investment Grants Program, the New Starts, Small
Starts, and Core Capacity Programs, any program that must comply with the
requirements of 49 U.S.C. §5307, or any other program as FTA may specify, the Interest
and Financing Costs Certifications in Category 08.A apply to your Applicant, except as
FTA determines otherwise in writing.
On behalf of your Applicant, you certify that:
1. It will not seek reimbursement for interest or any other financing costs unless:
a. It is eligible to receive federal assistance for those costs, and
b. Its records demonstrate that it has shown reasonable diligence in seeking the most
favorable financing terms, as FTA may require.
2. It will comply with the same favorable financing cost provisions for Awards financed
under:
a. The Urbanized Area Formula Grants Program,
b. A Full Funding Grant Agreement,
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FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
c. An Early Systems Work Agreement,
d. The Fixed Guideway Capital Investment Program financed by previous FTA
enabling legislation,
e. Any program that must comply with the requirements of 49 U.S.C. § 5307, or
f. Any other program as FTA may specify.
08.B. Acquisition of Capital Assets by Lease.
If your Applicant seeks federal assistance from FTA to acquire capital assets (other than
rolling stock or related equipment) through a lease, the Acquisition of Capital Assets by
Lease Certifications and Assurances in Category 08.B applies to your Applicant, except
as FTA determines otherwise in writing.
On behalf of your Applicant, you certify and assure that, as required by FTA regulations,
"Capital Leases,"49 CFR part 639,to the extent consistent with the FAST Act, if your
Applicant acquires any capital asset(other than rolling stock or related equipment)
through a lease financed with federal assistance appropriated or made available under
49 U.S.C. chapter 53, it will not enter into a capital lease for which FTA can provide only
incremental federal assistance unless it has adequate financial resources to meet its future
lease obligations if federal assistance is not available.
CATEGORY 09. TRANSIT ASSET MANAGEMENT PLAN AND
PUBLIC TRANSPORTATION AGENCY SAFETY PLAN.
Before FTA may provide federal assistance appropriated or made available under
49 U.S.C. chapter 53 to support an Award,you must select the Certifications in
Category 09 in addition to other Certifications and Assurances you must select on your
Applicant's behalf, except as FTA determines otherwise in writing.
Any provision of the Certifications in Category 09 that does not apply will not be
enforced.
09.A. Transit Asset Management Plan.
If your Applicant applies for funding appropriated or made available for 49 U.S.C.
chapter 53, the Transit Asset Management Certifications in Group 09.A apply to your
Applicant, except as FTA determines otherwise in writing.
On behalf of your Applicant, you certify that it and each of its Subrecipients will:
1. Follow federal guidance that,when issued,will implement the transit asset
management system provisions of 49 U.S.C. § 5326, except as FTA determines
otherwise in writing, and
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FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
2. Comply with the final federal regulations that, when issued, will implement the transit
asset management provisions of 49 U.S.C. § 5326.
09.B. Public Transportation Agency Safety Plan.
If your Applicant applies for funding under 49 U.S.C. chapter 53 and it is a State
government, local government, or any other operator of a public transportation system,
the Public Transportation Safety Plan Certifications in Group 09.B apply to your
Applicant, except as FTA determines otherwise in writing.
On behalf of your Applicant, you certify that it will:
1. Follow the Federal guidance,when issued,that will implement the safety plan
provisions of 49 U.S.C. § 5329(d), except as FTA determines otherwise in writing,
and
2. Comply with the final Federal regulations, when issued,that implement the safety
plan requirements of 49 U.S.C. § 5329(d).
CATEGORY 10. ALCOHOL AND CONTROLLED SUBSTANCES TESTING.
If your Applicant must comply with the alcohol and controlled substance testing
requirements of 49 U.S.C. §5331 and its implementing regulations, before FTA may
provide federal assistance for an Award,you must select the Certifications in
Category 10 in addition to other Certifications and Assurances you select on your
Applicant's behalf, except as FTA may determine otherwise in writing.
Any provision of the Certifications in Category 10 that does not apply will not be
enforced.
As required by 49 U.S.C. § 5331, and FTA regulations, "Prevention of Alcohol Misuse
and Prohibited Drug Use in Transit Operations,"49 CFR part 655, subpart I, specifically
49 CFR § 655.83, on behalf of your Applicant, including an Applicant that is a state, and
on behalf of its Subrecipients and Third Party Contractors, you certify that:
1. Your Applicant, its Subrecipients, and Third Party Contractors to which these testing
requirements apply have established and implemented:
a. An alcohol misuse testing program, and
b. A controlled substance testing program.
2. Your Applicant, its Subrecipients, and its Third Party Contractors to which these
testing requirements apply have complied 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.
3. Consistent with U.S. DOT Office of Drug and Alcohol Policy and Compliance
Notice, issued October 22, 2009, if your Applicant, its Subrecipients, or its Third
25
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
Party Contractors to which these testing requirements apply reside in a state that
permits marijuana use for medical or recreational purposes, your Applicant, its
Subrecipients, and its Third Party Contractors to which these testing requirements
apply have complied or will comply with the federal controlled substance testing
requirements of 49 CFR part 655.
CATEGORY 11. FIXED GUIDEWAY CAPITAL INVESTMENT GRANTS
PROGRAM(NEW STARTS, SMALL STARTS,AND CORE CAPACITY
IMPROVEMENT).
Before FTA may provide federal assistance for an Award financed under the New Starts,
Small Starts, or Core Capacity Improvement Program authorized under 49 U.S.C.
§5309,you must select the Certifications in Category 11 in addition to other
Certifications and Assurances you must select on your Applicant's behalf, except as FTA
may determine otherwise in writing.
Any provision of the Certifications in Category 11 that does not apply will not be
enforced.
Except as FTA determines otherwise in writing, on behalf of your Applicant, you certify
that:
1. It has or will have the legal, financial, and technical capacity to carry out its Award,
including the safety and security aspects of that Award,
2. It has or will have satisfactory continuing control over the use of its equipment and
facilities acquired or improved under its Award,
3. It will maintain its equipment and facilities acquired or improved under its Award in
accordance with its transit asset management plan,
4. It will comply with:
a. The metropolitan transportation planning requirements of 49 U.S.C. § 5303, and
b. The statewide and nonmetropolitan transportation planning requirements of
49 U.S.C. § 5304, and
5. It will comply with FTA guidance, "Final Interim Policy Guidance, Capital
Investment Grant Program,"August 2015, 80 Fed. Reg. 46514, August 5, 2015,
CATEGORY 12. STATE OF GOOD REPAIR PROGRAM.
Before FTA may provide federal assistance for an Award financed under the State of
Good Repair Program authorized under 49 U.S.C. §5337,you must select the
Certifications in Category 12 in addition to other Certifications and Assurances you must
select on your Applicant's behalf, except as FTA determines otherwise in writing.
Any provision of the Assurance in Category 12 that does not apply will not be enforced.
26
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
On behalf of your Applicant, you certify that:
1. It has or will have the legal, financial, and technical capacity to carry out its Award,
including the safety and security aspects of that Award,
2. It has or will have satisfactory continuing control over the use of its equipment and
facilities acquired or improved under its Award,
3. It will maintain its equipment and facilities acquired or improved under its Award, in
accordance with the recipient's transit asset management plan, and
4. It will comply with:
a. The metropolitan transportation planning requirements of 49 U.S.C. § 5303, and
b. The statewide and nonmetropolitan transportation planning requirements of
49 U.S.C. § 5304.
CATEGORY 13. GRANTS FOR BUSES AND BUS FACILITIES AND LOW OR
NO EMISSION VEHICLE DEPLOYMENT GRANT PROGRAMS
Before FTA may provide federal assistance for an Award under the Buses and Bus
Facilities Program authorized under 49 U.S.C. §5339, as amended by the FAST Act,
which among other things authorizes grants for Low or No Emission buses,you must
select the Certifications in Category 13 in addition to other Certifications and
Assurances you must select on your Applicant's behalf, except as FTA determines
otherwise in writing.
Any provision of the Certifications in Category 13 that does not apply will not be
enforced.
13.A. Grants for Buses and Bus Facilities Program The following Certifications for
the Grants for Buses and Bus Facilities Program are required by 49 U.S.C. § 5339, as
amended by the FAST Act, which provides that the requirements of 49 U.S.C. § 5307
shall apply to recipients of grants made in urbanized areas and the requirements of
49 U.S.C. § 5311 shall apply to recipients of grants made in rural areas under this
49 U.S.C. §§ 5339(a) and(b). Therefore:
1. If your Applicant is in an urbanized area, except as FTA determines otherwise in
writing, on behalf of your Applicant, you certify that:
a. It has or will have the legal, financial, and technical capacity to carry out its
Award, including the safety and security aspects of that Award.
b. It has or will have satisfactory continuing control over the use of its equipment
and facilities acquired or improved under its Award.
c. It will maintain its equipment and facilities acquired or improved under its
Award, in accordance with the recipient's transit asset management plan,
27
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
d. When using or involving a facility or equipment acquired or improved with
federal assistance under 49 U.S.C. § 5339 during non-peak hours for
transportation,recipients in an urbanized area will ensure that the following
individuals will be charged a fare not exceeding fifty(50)percent of the peak
hour fare:
(1) Any senior,
(2) Any individual who,because of illness, injury, age, congenital malfunction,
or any other incapacity or temporary or permanent disability(including an
individual who is a wheelchair user or has semi-ambulatory capability), is
unable to use a public transportation service or a public transportation facility
effectively without special facilities,planning, or design,
(3) Any individual presenting a Medicare card issued to that individual under
title I1 of the Social Security Act(42 U.S.C. § 401 et seq.), and
(4) Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act(42 U.S.C. § 1395 et seq.).
e. When carrying out a procurement under 49 U.S.C. § 5339, it will comply with:
(1) The applicable general provisions of 49 U.S.C. § 5323, and
(2) The applicable third party contract provisions of 49 U.S.C. § 5325.
f. It has complied with or will comply with 49 U.S.C. § 5307(b).
g. As required by 49 U.S.C. § 5307(d):
(1) It has or will have the amount of funds required for the non-federal share,
(2) It will provide the non-federal share from sources approved by FTA, and
(3) It will provide the non-federal share when needed.
h. It will comply with:
(1) The metropolitan transportation planning requirements of 49 U.S.C. § 5303,
and
(2) The statewide and nonmetropolitan transportation planning requirements of
49 U.S.C. § 5304.
i. It has a locally developed process to solicit and consider public comment before:
(1) Raising a fare, or
(2) Implementing a major reduction of public transportation service.
j. It will comply with the final federal regulations that,when issued,will implement
the safety plan requirements of 49 U.S.C. § 5329(d).
2. If your Applicant is in a rural area, except as FTA determines otherwise in writing, on
behalf of your Applicant, you certify that:
a. It has or will have and require each Subrecipient to have the legal, financial, and
technical capacity to carry out its Award, including the safety and security aspects
of that Award.
b. It has or will have and require each Subrecipient to have satisfactory continuing
control over the use of its equipment and facilities acquired or improved under its
Award.
28
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
c. It will maintain and require each Subrecipient to maintain its equipment and
facilities acquired or improved under its Award, in accordance with the recipient's
transit asset management plan.
d. Its state program has provided for a fair distribution of federal assistance
appropriated or made available under 49 U.S.C. § 531 l(b)within the state to
eligible entities, including Indian reservations.
e. Its program provides or will provide the maximum feasible coordination of
federal assistance for public transportation service with transportation service
financed by other federal sources.
f. Its Awards and Subawards in its Formula Grants for Rural Areas Program are
included in:
(1) The statewide transportation improvement program, and
(2) To the extent applicable, a metropolitan transportation improvement
program.
g. With respect to the non-federal share:
(1) It has or will have and, as necessary, will require each Subrecipient to have
the amount of funds required for the non-federal share, as required by
49 U.S.C. § 5311(g) ,
(2) It will provide and, as necessary, will require each Subrecipient to provide
the non-federal share from sources approved by FTA, and
(3) It will provide and, as necessary,will require each Subrecipient to provide
the non-federal share when needed.
h. It may transfer a facility or equipment acquired or improved under its Award to
any other Recipient eligible to receive assistance under 49 U.S.C. chapter 53, if:
a. The Recipient possessing 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.
B.B. Low or No Emission Vehicle Deployment.
If your Applicant seeks federal assistance from FTA for an Award financed under the
Low or No Emission Vehicle Development Program authorized under former 49 U.S.C.
§5312(d)(5), the Certifications and Assurances in Category 13.B apply to your
Applicant, except as FTA determines otherwise in writing.
Former section 5312(d)(5)(C)(i) of title 49, United States Code, requires the following
Certifications for Low or No Emission Vehicle Deployment Program before awarding
federal assistance appropriated or made available under MAP-21. Therefore, except as
FTA determines otherwise in writing, on behalf of your Applicant, you certify and assure
that:
i
I
29
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
i
j
1. It has or will have the legal, financial, and technical capacity to carry out its Award,
including the safety and security aspects of that Award.
2. It has or will have satisfactory continuing control over the use of equipment and
facilities acquired or improved under its Award.
3. It will maintain its equipment and facilities acquired or improved under its Award.
4. When using or involving a facility or equipment acquired or improved with federal
assistance under former 49 U.S.C. § 5312(d)(5)during non-peak hours for
transportation, it will ensure that the following individuals will be charged a fare not
exceeding fifty(50)percent of the peak hour:
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 is unable to
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 that individual under title Il
of the Social Security Act(42 U.S.C. § 401 et seq.), and
d. Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act(42 U.S.C. § 1395 et seq.).
5. When carrying out a procurement under this Program, it will comply with:
a. The applicable general provisions of 49 U.S.C. § 5323, and
b. The applicable third party contract provisions of 49 U.S.C. § 5325.
6. It has complied with or will comply with 49 U.S.C. § 5307(b) because:
a. It has informed or will inform the public of the amounts of its federal assistance
available under this Program,
b. It has developed or will develop, in consultation with interested parties including
private transportation providers, its proposed Program of Projects for activities to
be financed,
c. It has published or will publish its proposed 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. It has provided or will provide an opportunity for a public hearing to obtain the
views of individuals on its proposed Program of Projects,
e. It has assured or will assure that its proposed Program of Projects provides for
coordination of public transportation services assisted under 49 U.S.C. § 5336, as
amended by the FAST Act,with federally assisted transportation services
supported by other federal sources,
f. It 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. It has made or will make the final list of Projects for which an Award is sought
available to the public.
30
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
7. With respect to the non-federal share:
a. It has or will have the amount of funds required for the non-federal share,
b. It will provide the non-federal share from sources approved by FTA, and
c. It will provide the non-federal share when needed.
8. It will comply with:
a. The metropolitan transportation planning requirements of 49 U.S.C. § 5303, and
b. The statewide and nonmetropolitan planning requirements of 49 U.S.C. § 5304.
9. It 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 service.
10. It will comply with the final federal regulations that,when issued, will implement the
safety plan requirements of 49 U.S.C. § 5329(d).
CATEGORY 14. URBANIZED AREA FORMULA GRANTS PROGRAMS AND
PASSENGER FERRY GRANT PROGRAM.
Before FTA may provide federal assistance for an Award financed under the Urbanized
Area Formula Grants Program authorized under 49 U.S.C. §5307, as amended by the
FAST Act, which among other things, authorizes federal assistance for Job Access and
Reverse Commute (JARC) activities, and the Passenger Ferry Grant Program authorized
under 49 U.S.C. §5307(h),you must select the Certifications in Category 14 in addition
to other Certifications and Assurances you must select on your Applicant's behalf, except
as FTA determines otherwise in writing.
Any provision of the Certifications in Category 14 that does not apply will not be
enforced.
14.A. Urbanized Area Formula Grants Program under the FAST Act.
If your Applicant seeks federal assistance from FTA for an Award financed under the
Urbanized Area Formula Grants Program authorized under 49 U.S.C. §5307, as
amended by the FASTAct, the Certifications in Category 14.A apply to your Applicant,
except as FTA determines otherwise in writing.
The following Certifications for the Urbanized Area Formula Grants Program under
49 U.S.C. § 5307, as amended by the FAST Act are required by 49 U.S.C. § 5307(c)(1).
Therefore, except as FTA determines otherwise in writing, on behalf of your Applicant,
you certify that:
1. It has or will have the legal, financial, and technical capacity to carry out its Award,
including the safety and security aspects of that Award.
2. It has or will have satisfactory continuing control over the use of its equipment and
facilities acquired or improved under its Award.
31
I�
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
3. It will maintain its equipment and facilities acquired or improved under its Award, in
accordance with the recipient's transit asset management plan,
4. When using or involving a facility or equipment acquired or improved with federal
assistance under 49 U.S.C. § 5307 during non-peak hours for transportation, it will
ensure that 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
any other incapacity or temporary or permanent disability(including an individual
who is a wheelchair user or has semi-ambulatory capability), is unable to 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 that individual under title II
of the Social Security Act(42 U.S.C. § 401 et seq.), and
d. Any individual presenting a Medicare card issued to that individual under
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, it will comply with:
a. The applicable general provisions of 49 U.S.C. § 5323, and
b. The applicable third party contract provisions of 49 U.S.C. § 5325.
6. It has complied with or will comply with 49 U.S.C. § 5307(b)because:
a. It has made or will make available to the public information on the amounts of
federal assistance available to it under 49 U.S.C. § 5307,
b. It has developed or will develop, in consultation with interested parties including
private transportation providers, its proposed Program of Projects for activities for
which federal assistance is sought,
c. It has published or will publish its proposed 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 its proposed
Program of Projects and its performance as an Applicant or Recipient,
d. It has provided or will provide an opportunity for a public hearing to obtain the
views of individuals on its proposed Program of Projects,
e. It has ensured or will ensure that its proposed Program of Projects provides for
coordination of transportation services financed by FTA under 49 U.S.C. § 5336,
as amended by the FAST Act,with transportation services supported by other
Federal Government sources,
f. It 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. It has made or will make its final Program of Projects available to the public.
7. As required by 49 U.S.C. § 5307(d):
a. It has or will have the amount of funds required for the non-federal share,
b. It will provide the non-federal share from sources approved by FTA, and
32
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
c. It will provide the non-federal share when needed.
8. As required by 49 U.S.C. § 5307(c)(1)(H), it will comply with:
a. The metropolitan transportation planning requirements of 49 U.S.C. § 5303, and
b. The statewide and nonmetropolitan transportation planning requirements of
49 U.S.C. § 5304.
9. As required by 49 U.S.C. § 5307(c)(1)(I), it 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. It will assure that at least one (1)percent of the amount of federal assistance under
49 U.S.C. § 5307 apportioned to its urbanized area must be expended for Public
Transportation Security activities 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
(4) Any other activity intended to increase the security and safety of an existing
or planned public transportation system, or
b. The Designated Recipients in its urbanized area certify that such expenditures for
Public Transportation Security activities are not necessary.
11. If it serves an urbanized area with a population of at least 200,000 individuals, as
determined by the Bureau of the Census:
a. It will provide a report by the end of the fourth quarter of the preceding federal
fiscal year that lists projects carried out in the preceding fiscal year under this
section for associated transit improvements as defined in 49 U.S.C. § 5302, and
b. The report of its Associated Transit Improvements or related activities is or will
be incorporated by reference and made part of its Certifications and Assurances.
12. It will comply with the final federal regulations that, when issued, will implement the
safety requirements of 49 U.S.C. § 5329(d).
14.B. Passenger Ferry Grant Program.
If your Applicant seeks federal assistance from FTA for an Award financed under the
Passenger Ferry Grant Program authorized under 49 U.S.C. §5307(h), the
Certifications in Category 14.B apply to your Applicant, except as FTA determines
otherwise in writing.
33
I
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
The following Certifications for the Passenger Ferry Grant Program are required by
49 U.S.C. § 5307(c)(1) or(h). Therefore, except as FTA determines otherwise in writing,
on behalf of your Applicant, you certify that:
1. It has or will have the legal, financial, and technical capacity to carry out its Award,
including the safety and security aspects of that Award.
2. It has or will have satisfactory continuing control over the use of its equipment and
facilities acquired or improved under its Award.
3. It will maintain its equipment and facilities acquired or improved under its Award, in
accordance with the recipient's transit asset management plan.
4. When using or involving a facility or equipment acquired or improved with federal
assistance under 49 U.S.C. § 5307(h) during non-peak hours for transportation, it will
ensure that 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
any other incapacity or temporary or permanent disability(including an individual
who is a wheelchair user or has semi-ambulatory capability), is unable to 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 that individual under title II
of the Social Security Act(42 U.S.C. § 401 et seq.), and
d. Any individual presenting a Medicare card issued to that individual under
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(h), it will comply with:
a. The applicable general provisions of 49 U.S.C. § 5323, and
b. The applicable third party contract provisions of 49 U.S.C. § 5325.
6. As required by 49 U.S.C. § 5307(d):
a. It has or will have the amount of funds required for the non-federal share,
b. It will provide the non-federal share from sources approved by FTA, and
c. It will provide the non-federal share when needed.
7. As required by 49 U.S.C. § 5307(c)(1)(H), it will comply with:
a. The metropolitan transportation planning requirements of 49 U.S.C. § 5303, and
b. The statewide and nonmetropolitan transportation planning requirements of
49 U.S.C. § 5304.
As required b 49 U.S.C. 5307(c)(1)(1), it has a locall developed process to solicit
8. q Y § Y p P
and consider public comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation service.
9. It will comply with the final federal regulations that,when issued, will implement the
safety plan requirements of 49 U.S.C. § 5329(d).
34
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
CATEGORY 15. SENIORS AND INDIVIDUALS WITH DISABILITIES
PROGRAMS.
Before FTA may provide federal assistance for an Award financed under the Formula
Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities Program
authorized under 49 U.S.C. §5310, as amended by the FAST Act,you must select the
Certifications in Category 15 in addition to other Certifications and Assurances you must
select on your Applicant's behalf, except as FTA determines otherwise in writing.
Any provision of the Certifications in Category 15 that does not apply will not be
enforced.
1. The following Certifications for the Formula Grants for the Enhanced Mobility of
Seniors and Individuals with Disabilities Program are required by 49 U.S.C. § 5310.
Therefore, except as FTA determines otherwise in writing, on behalf of your
Applicant,you certify that:
a. Each Subrecipient 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 the services authorized for support under
the Formula Grants for the Enhanced Mobility of Seniors and
Individuals with Disabilities Program.
b. It will comply with the following selection and planning requirements:
(1) The Projects it has selected or will select for an Award or Subaward of
federal assistance appropriated or made available under 49 U.S.C. § 5310 are
included in a public transit-human services transportation plan that has been:
(a) Locally developed, and
(b) Coordinated.
(2) The 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.
(3) Within its Award,the Projects selected to receive federal assistance will
assist in providing transportation services for seniors and individuals with
35
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
disabilities are included in its Program of Projects,that is or will be
submitted to FTA annually.
(4) To the maximum extent feasible,the services financed by 49 U.S.C. § 5310
will be coordinated with transportation services financed by other federal
departments and agencies, including any transportation activities carried out
by a recipient of federal assistance from the Department of Health and
Human Services.
c. As required by 49 U.S.C. § 5310(e)(2)(B), it certifies that if it allocates to any
Subrecipient federal assistance received under 49 U.S.C. § 5310, it will have
allocated that federal assistance on a fair and equitable basis.
d. It will not transfer a facility or equipment acquired or improved with federal
assistance appropriated or made available for a grant under 49 U.S.C. § 5310 to
any other recipient eligible to receive assistance under 49 U.S.C. chapter 53,
unless:
(1) The recipient possessing 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.
e. As required by 49 U.S.C. § 5310(b)(2), it will use at least fifty-five (55)percent
of the federal assistance it receives for Capital Projects to meet the special needs
of seniors and individuals with disabilities.
f. The requirements of 49 U.S.C. § 5307, as determined by FTA,will apply to the
Formula Grants for the Enhanced Mobility of Seniors and Individuals with
Disabilities Program authorized by 49 U.S.C. § 5310.
2. FTA has determined that certain requirements of 49 U.S.C. § 5307 are appropriate for
the Formula Grants for the Enhanced Mobility of Seniors and Individuals with
Disabilities Program, some of which require Certifications. Therefore, as specified
under 49 U.S.C. § 5307(c)(1), it certifies that:
a. It has or will have and will require each Subrecipient to have the legal, financial,
and technical capacity to carry out its Award, including the safety and security
aspects of that Award.
b. It has or will have and will require each Subrecipient to have satisfactory
continuing control over the use of its equipment and facilities acquired or
improved under its Award or Subaward.
c. It will maintain and will require each Subrecipient to maintain its equipment and
facilities acquired or improved under its Award or Subaward, in accordance with
the recipient's transit asset management plan.
d. When carrying out a procurement under the Formula Grants for the Enhanced
Mobility of Seniors and Individuals with Disabilities Program, it will require each
Subrecipient to comply with:
(1) The applicable general provisions of 49 U.S.C. § 5323, and
(2) The applicable third party contract provisions of 49 U.S.C. § 5325.
36
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
e. With respect to the non-federal share:
(1) It has or will have and, as necessary, will require each Subrecipient to have
the amount of funds required for the non-federal share, as required by
49 U.S.C. § 5310,
(2) It will provide and, as necessary, will require each Subrecipient to provide
the non-federal share from sources approved by FTA, and
(3) It will provide and, as necessary, will require each Subrecipient to provide
the non-federal share when needed.
f. It has complied or will comply and will require each Subrecipient to comply with:
(1) The metropolitan transportation planning requirements of 49 U.S.C. § 5303,
and
(2) The statewide and nonmetropolitan transportation planning requirements of
49 U.S.C. § 5304.
g. To the extent applicable, it will comply and require its Subrecipients to comply
with the final federal regulations that,when issued,will implement the safety plan
requirements of 49 U.S.C. § 5329(d).
CATEGORY 16. RURAL AREAS AND APPALACHIAN DEVELOPMENT
PROGRAMS.
Before FTA may provide federal assistance for an Award financed under the Formula
Grants for Rural Areas Program authorized under 49 U.S.C. §5311(b), as amended by
FAST Act, and the Appalachian Development Public Transportation Assistance Program
authorized under 49 U.S.C. §5311(c)(2), as amended by FAST,you must select the
Certifications in Category 16 in addition to other Certifications and Assurances you must
select on your Applicant's behalf, except as FTA determines otherwise in writing.
Any provision of the Certifications and Assurances in Category 16 that does not apply
will not be enforced.
16.A. Formula Grants for Rural Areas Program.
If your Applicant seeks federal assistance from FTA for an Award financed under the
Formula Grants for Rural Areas Program authorized under 49 U.S.C. §5311, as
amended by FAST Act, the Certifications in Category 16.A apply to your Applicant,
except as FTA determines otherwise in writing.
The following Certifications apply to each state or state organization serving as your
Applicant for federal assistance appropriated or made available for the Rural Areas
Formula Program financed under 49 U.S.C. § 5311(b), as amended by FAST Act. On its
behalf, you certify and assure that:
37
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
1. It has or will have and require each Subrecipient to have the legal, financial, and
technical capacity to carry out its Award, including the safety and security aspects of
that Award.
2. It has or will have and require each Subrecipient to have satisfactory continuing
control over the use of its equipment and facilities acquired or improved under its
Award.
3. It will maintain and require each Subrecipient to maintain its equipment and facilities
acquired or improved under its Award, in accordance with the recipient's transit asset
management plan.
4. Its state program has provided for a fair distribution of federal assistance appropriated
or made available under 49 U.S.C. § 5311(b)within the state to eligible entities,
including Indian reservations.
5. Its program provides or will provide the maximum feasible coordination of federal
assistance for public transportation service authorized by 49 U.S.C. § 53 l 1(b)with
transportation service financed by other federal sources.
6. Its Awards and Subawards 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. With respect to the non-federal share:
a. It has or will have and, as necessary, will require each Subrecipient to have the
amount of funds required for the non-federal share, as required by former
49 U.S.C. § 5311(g),
b. It will provide and, as necessary, will require each Subrecipient to provide the
non-federal share from sources approved by FTA, and
c. It will provide and, as necessary,will require each Subrecipient to provide the
non-federal share when needed.
8. It may transfer a facility or equipment acquired or improved under its Award to any
other Recipient eligible to receive assistance under 49 U.S.C. chapter 53, if:
a. The Recipient possessing 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.
9. Each fiscal year:
a. It will spend at least fifteen (15)percent of its federal assistance authorized under
49 U.S.C. § 5311 and available that fiscal year for eligible activities to develop
and support intercity bus transportation within the state 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
38
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
(5) Coordinating rural connections between small public transportation
operations and intercity bus carriers, or
b. It will provide to FTA a Certification from 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.
16.B. Appalachian Development Public Transportation Assistance Program.
If your Applicant seeks federal assistance from FTA for an Award financed under the
Appalachian Development Public Transportation Assistance Program authorized under
49 U.S.C. §5311(c)(2), the Certification in Category 16.0 applies to your Applicant,
except as FTA determines otherwise in writing.
On behalf of your Applicant, you certify and assure that, in addition to other
Certifications and Assurances it must provide, if it is unable to use its federal assistance
made available or appropriated for public transportation operating assistance, in
accordance with 49 U.S.C. § 5311(c)(2)(D), it may use the federal assistance for a
Highway Project only after:
1. It provides notice and an opportunity for comment and appeal to affected public
transportation providers,
2. It approves such use in writing, and
3. In approving the use, it determines that local transit needs are being addressed.
CATEGORY 17. TRIBAL TRANSIT PROGRAMS
(PUBLIC TRANSPORTATION ON INDIAN RESERVATIONS PROGRAMS).
Before FTA may provide federal assistance for an Award financed under either the
Public Transportation on Indian Reservations Formula or Discretionary Program
authorized under 49 U.S.C. §5311(c)(1), as amended by the FASTAct, (Tribal Transit
Programs),you must select the Certifications in Category 17 in addition to other
Certifications and Assurances you must select on your Applicant's behalf, except as FTA
determines otherwise in writing.
Any provision of the Certifications in Category 17 that does not apply will not be
enforced.
FTA has established terms and conditions for Tribal Transit Program grants financed
with federal assistance appropriated or made available under 49 U.S.C. § 5311(c)(1). On
behalf of your Applicant, you certify and assure that:
1. It has or will have the legal, financial, and technical capacity to carry out its Award,
including the safety and security aspects of that Award.
39
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
2. It has or will have satisfactory continuing control over the use of its equipment and
facilities acquired or improved under its Award.
3. It will maintain its equipment and facilities acquired or improved under its Award, in
accordance with the recipient's transit asset management plan.
4. Its Award will achieve maximum feasible coordination with transportation service
financed by other federal sources.
5. With respect to its procurement system:
a. It will have a procurement system that complies with U.S. DOT regulations,
"Uniform Administrative Requirements, Cost Principles, and Audit Requirements
for Federal Awards,"2 CFR part 1201, which incorporates by reference U.S.
OMB regulatory guidance, "Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards,"2 CFR part 200, for
Awards made on or after December 26, 2014,
b. It will have a procurement system that complies with U.S. DOT regulations,
"Uniform Administrative Requirements for Grants and Cooperative Agreements
to State and Local Governments,"49 CFR part 18, specifically former 49 CFR
§ 18.36, for Awards made before December 26,2014, or
c. It will inform FTA promptly that its procurement system does not comply with
either of those U.S. DOT regulations.
6. It will comply with the Buy America requirements under 49 U.S.C. § 53230), as
amended by FAST Act, and FTA regulations, "Buy America Requirements,"49 CFR
part 661.
7. It will comply with the Certifications, Assurances, and Agreements in:
a. Category 03.13 and 03.0 (Charter Service Agreement and School Bus
Agreement),
b. Category 05.B (Bus Testing),
c. Category 06 (Demand Responsive Service),
d. Category 07 (Intelligent Transportation Systems), and
e. Category 10 (Alcohol and Controlled Substances Testing).
CATEGORY 18. STATE SAFETY OVERSIGHT GRANT PROGRAM.
Before FTA may provide federal assistance for an Award financed under the State Safety
Oversight Grant Program authorized under 49 U.S.C. §5329(e)(6), you must select the
Certifications in Category 18 in addition to other Certifications and Assurances you must
select on your Applicant's behalf, except as FTA determines otherwise in writing.
Any provision of the Certifications in Category 18 that does not apply will not be
enforced.
40
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
On behalf of your Applicant,you certify that:
1. It has or will have the legal, financial, and technical capacity to carry out its Award,
including the safety and security aspects of that Award.
2. It has or will have satisfactory continuing control over the use of equipment and
facilities acquired or improved under its Award.
3. It will maintain its equipment and facilities acquired or improved under its Award.
4. When carrying out a procurement under its Award, it will comply with:
a. The applicable general provisions of 49 U.S.C. § 5323, and
b. The applicable third party contract provisions of 49 U.S.C. § 5325.
5. As required by 49 U.S.C. § 5329(e)(6)(C):
a. It has or will have the amount of funds required for the non-federal share,
b. It will provide the non-federal share only from sources approved by FTA, and will
not be met by:
(1) Any federal assistance,
(2) Any funds received from a public transportation agency, or
(3) Any revenues earned by a public transportation agency, and
c. Will provide the non-federal share when needed.
6. It meets the applicable requirements of FTA regulations, "Rail Fixed Guideway
Systems: State Safety Oversight,"49 CFR part 659.
7. It has received or will receive an FTA certification upon a determination that its State
Safety Oversight Program meets the requirements of 49 U.S.C. § 5329(e) and is
adequate to promote the purposes of 49 U.S.C. § 5329.
CATEGORY 19. PUBLIC TRANSPORTATION EMERGENCY RELIEF
PROGRAM.
Before FTA may provide federal assistance for an Award financed under the Public
Transportation Emergency Relief Program authorized under 49 U.S.C. §5324,you must
select the Certifications in Category 19 in addition to other Certifications and
Assurances you must select on your Applicant's behalf, except as FTA determines
otherwise in writing.
Any provision of the Assurance in Category 19 that does not apply will not be enforced.
As required by 49 U.S.C. § 5324(d), on behalf of your Applicant, you assure that it will:
1. Comply with the requirements of the Certifications and Assurances as FTA
determines will apply to an Applicant for federal assistance appropriated or made
available for the Public Transportation Emergency Relief Program, and
2. Comply with FTA regulations, "Emergency Relief," 49 C.F.R.part 602.
41
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
CATEGORY 20. EXPEDITED PROJECT DELIVERY PILOT PROGRAM.
Before FTA may provide federal assistance for an Award financed under the Expedited
Project Delivery Pilot Program authorized under section 3005(b) of the FAST Act,you
must select the Certifications in Category 20 in addition to other Certifications and
Assurances you must select on your Applicant's behalf, except as FTA determines
otherwise in writing.
To the extent that any Certification in Category 20 does not apply, it will not be enforced.
As required by section 3005(b)(3)(B) of the FAST Act, except as FTA determines
otherwise in writing, on behalf of your Applicant, you certify that:
1. It has or will have the legal, financial, and technical capacity to carry out its Award,
including the safety and security aspects of that Award.
2. It has or will have satisfactory continuing control over the use of its equipment and
facilities acquired or improved under its Award.
3. It will maintain its equipment and facilities acquired or improved under its Award in
accordance with the recipient's transit asset management plan.
4. It will comply with:
a. The metropolitan transportation planning requirements of 49 U.S.C. § 5303, and
b. The statewide and nonmetropolitan transportation planning requirements of
49 U.S.C. § 5304.
CATEGORY 21. INFRASTRUCTURE FINANCE PROGRAMS.
Before FTA may provide credit assistance for an Award financed under the
Transportation Infrastructure Finance and Innovation Act(TIFIA)Program authorized
under 23 U.S.C. §§601—609, or the State Infrastructure Banks (SIB)Program
authorized under 23 U.S.C. §610,you must select the Certifications in Category 23 in
addition to other Certifications and Assurances you must select on your Applicant's
behalf, except as FTA determines otherwise in writing.
Any provision of the Certifications and Assurances in Category 21 that does not apply
will not be enforced.
21.A. Transportation Infrastructure Finance and Innovation Act(TIFIA)
Program.
If your Applicant seeks federal assistance from FTA for an Award financed under the
TIFIA Program authorized under 23 U.S.C. §§601—609 the Certifications and
Assurances in Category 23.A applies to your Applicant, except as FTA determines
42
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
otherwise in writing. In administering this Program, the FAST Act cross-cutting
requirements supersede inconsistent former requirements.
On behalf of your Applicant, you certify and assure, as required by 49 U.S.C. § 5323(o),
that federal transit laws, specifically 49 U.S.C. § 5307, 49 U.S.C. § 5309, and 49 U.S.C.
§ 5337, apply to any Project under 49 U.S.C. chapter 53 that receives TIFIA credit
assistance under 23 U.S.C. §§ 601 —609.
1. To comply with 49 U.S.C. § 5307, specifically 49 U.S.C. § 5307(c)(1), on its behalf,
you certify that:
a. It has or will have the legal, financial, and technical capacity to carry out its
Award, including the safety and security aspects of that Award.
b. It has or will have satisfactory continuing control over the use of equipment and
facilities acquired or improved under its Award.
c. It will maintain its equipment and facilities acquired or improved under its
Award, in accordance with the recipient's transit asset management plan.
d. For transportation during non-peak hours and using or involving a facility or
equipment of an Award financed using 49 U.S.C. § 5307 funds, it will ensure that
the following individuals will be charged a fare not exceeding fifty(50)percent of
the peak hour fare:
(1) Any senior,
(2) 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), is
unable to use a public transportation service or a public transportation facility
effectively without special facilities,planning, or design,
(3) Any individual presenting a Medicare card issued to that individual under
title II of the Social Security Act(42 U.S.C. § 401 et seq.), and
(4) Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act(42 U.S.C. § 1395 et seq.).
e. When carrying out a TIFIA-financed procurement, it will comply with:
(1) The applicable provisions of 49 U.S.C. § 5323, and
(2) The applicable provisions of 49 U.S.C. § 5325.
f. It has complied with or will comply with 49 U.S.C. § 5307(b).
g. (1) It has or will have no more than 80 percent of the Total Award Budget as the
sum of all federal grants and any TIFIA-financed awards,
(2) It will provide the non-federal share from sources approved by FTA, and
(3) It will provide the non-federal share when needed.
h. It will comply with:
(1) The metropolitan transportation planning requirements of 49 U.S.C. § 5303,
and
(2) The statewide and nonmetropolitan planning requirements of 49 U.S.C.
§ 5304.
43
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
i. It has a locally developed process to solicit and consider public comment before:
(1) Raising a fare, or
(2) Implementing a major reduction of public transportation.
j. It will comply with the final federal regulations that,when issued, will implement
the safety plan requirements of 49 U.S.C. § 5329(d).
2. To comply with the interest and financing costs restrictions of 49 U.S.C. chapter 53, it
agrees that it will not seek reimbursement for interest or any other financing costs
incurred in connection with its Award that must be in compliance with those
requirements unless:
a. It is eligible to receive federal assistance for those expenses, and
b. Its records demonstrate that it has used reasonable diligence in seeking the most
favorable financing terms underlying those costs,to the extent FTA may require.
3. It will comply with Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et
seq.).
4. Pursuant to the National Environmental Policy Act of 1969 (NEPA),42 U.S.C.
§ 5321 et seq., it will receive an environmental categorical exclusion, a finding of no
significant impact, or a record of decision under NEPA for its Award before
obligating federal assistance.
5. It agrees that it will adopt a transit asset management plan that complies with
regulations implementing 49 U.S.C. § 5326(d), when required.
21.B. State Infrastructure Banks (SIB)Program.
If your Applicant is a state and seeks federal assistance from FTA financed under the SIB
Program authorized under 23 U.S.C. §610, the Certifications and Assurances in
Category 23.B applies to your state and its Award, except as FTA determines otherwise
in writing. In administering this Program, the FAST Act cross-cutting requirements
supersede inconsistent former requirements.
On behalf of the state organization serving as your Applicant for federal assistance for its
SIB Program, you certify and assure that:
1. It will comply with the following applicable federal laws establishing the various SIB
Programs since 1995:
a. 23 U.S.C. § 610, as amended by the FAST Act,
b. 23 U.S.C. § 610 or its predecessor before the FAST Act was signed into law,
c. Section 1511 of TEA-21, 23 U.S.C. § 181 note, or
d. Section 350 of the National Highway System Designation Act of 1995, as
amended, 23 U.S.C. § 181.
2. It will comply with or follow the Cooperative Agreement establishing the state's SIB
Program between:
a. It and FHWA, FRA, and FTA, or
b. It and FHWA and FTA.
44
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
3. It will comply with or follow the Grant Agreement that provides federal assistance
from FTA for the SIB and is between it and FTA, including the FTA Master
Agreement,which is incorporated by reference into the Grant Agreement, except that
any provision of the FTA Master Agreement incorporated by reference into that Grant
Agreement will not apply if it conflicts with any provision of:
a. 23 U.S.C. § 610, as amended by the FAST Act,
b. 23 U.S.C. § 610 or its predecessor before the FAST Act was signed into law,
c. Section 1511 of TEA-21, 23 U.S.C. § 181 note, or section 350 of the National
Highway System Designation Act of 1995, as amended, 23 U.S.C. § 181 note,
d. Federal guidance pertaining to the SIB Program,
e. The Cooperative Agreement establishing the state's SIB Program, or
f. The Grant Agreement with FTA.
4. As required by 49 U.S.C. § 5323(0), federal transit laws, specifically 49 U.S.C.
§ 5307, 49 U.S.C. § 5309, and 49 U.S.C. § 5337, as amended by the FAST Act, apply
to any Award under 49 U.S.C. chapter 53 that receives SIB support or financing
under 23 U.S.C. § 610 (or any support from 23 U.S.C. §§ 601 —609).
5. As required by 49 U.S.C. § 5323(0)and 49 U.S.C. § 5307(c)(1):
a. It has or will have the legal, financial, and technical capacity to carry out its
Award, including the safety and security aspects of that Award.
b. It has or will have satisfactory continuing control over the use of equipment and
facilities acquired or improved under its Award.
c. It will maintain its equipment and facilities acquired or improved under its
Award, in accordance with the recipient's transit asset management plan.
d. When using or involving a facility or equipment acquired or improved with
federal assistance under a SIB-financed Award during non-peak hours for
transportation, it will ensure that the following individuals will be charged a fare
not exceeding fifty(50)percent of the peak hour fare:
(1) Any senior,
(2) Any individual who,because of illness, injury, age, congenital malfunction,
or any other incapacity or temporary or permanent disability(including an
individual who is a wheelchair user or has semi-ambulatory capability), is
unable to use a public transportation service or a public transportation facility
effectively without special facilities,planning, or design,
(3) Any individual presenting a Medicare card issued to that individual under
title II of the Social Security Act(42 U.S.C. § 401 et seq.), and
(4) Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act(42 U.S.C. § 1395 et seq.).
e. When carrying out a procurement under a SIB-financed Award, it will comply
with:
(1) The applicable general provisions of 49 U.S.C. § 5323, and
(2) The applicable third party contract provisions of 49 U.S.C. § 5325.
f. It has complied with or will comply with 49 U.S.C. § 5307(b).
45
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
g. (1) It has or will have the amount of funds required for the non-federal share by
the SIB Program, but not less than twenty-five (25)percent of each
capitalization grant,
(2) It will provide the non-federal share from sources approved by FTA, and
(3) It will provide the non-federal share when needed.
h. It will comply with:
(1) The metropolitan transportation planning requirements of 49 U.S.C. § 5303,
and
(2) The statewide and nonmetropolitan planning requirements of 49 U.S.C.
§ 5304.
i. It has a locally developed process to solicit and consider public comment before:
(1) Raising a fare, or
(2) Implementing a major reduction of public transportation.
j. It will comply with the final federal regulations that,when issued,will implement
the safety plan requirements of 49 U.S.C. § 5329(d).
6. As required by 49 U.S.C. chapter 53, it certifies that it will not seek reimbursement
for interest or any other financing costs incurred in connection with its Award unless:
a. It is eligible to receive federal assistance for those expenses, and
b. Its records demonstrate that it has used reasonable diligence in seeking the most
favorable financing terms underlying those costs, as FTA may require.
7. It agrees that it will adopt a transit asset management plan that complies with
regulations implementing 49 U.S.C. § 5326(d).
GROUP CATEGORY 22. PAUL S. SARBANES TRANSIT IN PARKS
PROGRAM
Before FTA may provide federal assistance for an Award financed under the Paul S.
Sarbanes Transit in Parks Program authorized under former 49 U.S.C. §5320, in effect
in FY 2012 or a previous fiscal year, except as superseded by FAST Act requirements
that apply you must select the Certifications in Category 22 in addition to other
Certifications and Assurances you must select on your Applicant's behalf, except as FTA
determines otherwise in writing.
An provision o the Certifications and Assurances in Category 22 that does not apply
Yp
.f g r1' Pp Y
will not be enforced
1. Except as superseded by the FAST Act cross-cutting requirements that apply, the
following Certifications and Assurances for the Paul S. Sarbanes Transit in Parks
Program (Parks Program) are required by former 49 U.S.C. § 5320, in effect in
FY 2012 or a previous fiscal year. Therefore, except as FTA determines otherwise in
writing, on behalf of your Applicant, you certify that:
46
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
a. It will consult with the appropriate federal land management agency during the
planning process, and
b. The requirements of former 49 U.S.C. § 5307, as determined by FTA, will apply
to the Parks Program authorized by former 49 U.S.C. § 5320.
2. FTA has determined certain requirements of former 49 U.S.C. § 5307 to be
appropriate for the Parks Program, of which some require Certifications. Therefore,
as specified under former 49 U.S.C. § 5307(d)(1), except as superseded by the FAST
Act cross-cutting requirements that apply, you certify that:
a. It has or will have the legal, financial, and technical capacity to carry out its
Award, including the safety and security aspects of that Award.
b. It has or will have satisfactory continuing control over the use of equipment and
facilities acquired or improved under its Award.
c. It will maintain its equipment and facilities acquired or improved under its
Award.
d. When carrying out a procurement under former 49 U.S.C. § 5320, it will comply
and will require each Subrecipient to comply with the following provisions:
(1) Competitive procurement(as defined or approved by FTA)requirements of
49 U.S.C. § 5325(a),
(2) The prohibition against exclusionary or discriminatory specifications in its
procurements under 49 U.S.C. § 5323(h),
(3) "Buy America"requirements under 49 U.S.C. § 53230), as amended by the
FAST Act, and FTA regulations, "Buy America Requirements,"49 CFR
part 661,
(4) Applicable pre-award and post-delivery requirements of 49 U.S.C.
§ 5323(m),
(5) Applicable railcar option restrictions of 49 U.S.C. § 5325(e), and
(6) "Veterans Preference/Employment"requirements under 49 U.S.C. § 5325(k).
e. It will comply with other applicable requirements under 49 U.S.C. § 5323 and
§ 5325.
f. It has complied or will comply with the requirements of former 49 U.S.C.
§ 5307(c), and specifically:
(1) It has made or will make available to the public information on the amounts
available for the Parks Program, former 49 U.S.C. § 5320, and the Projects it
proposes to implement under its Award,
(2) It has developed or will develop, in consultation with interested parties
including private transportation providers,Projects to be financed under its
Award,
(3) It has published or will publish a list of proposed Projects in a way that
affected citizens, private transportation providers, and local elected officials
have the opportunity to examine the proposed Projects and submit comments
on the proposed Projects and its performance,
47
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
(4) It has provided or will provide an opportunity for a public hearing to obtain
the views of citizens on the proposed Projects,
(5) It has considered or will consider the comments and views received,
especially those of private transportation providers, in preparing its final list
of Projects, and
(6) It has made or will make the final list of Projects for which an Award is
sought available to the public.
g. With respect to the non-federal share:
(1) It has or will have and, as necessary, will require each Subrecipient to have
the amount of funds required for the non-federal share, as required by
49 U.S.C. § 5320,
(2) It will provide the non-federal share from sources approved by FTA, and
(3) It will provide the non-federal share when needed.
h. It has complied or will comply with and will require each Subrecipient to comply
with:
(1) The metropolitan transportation planning requirements of 49 U.S.C. § 5303,
and
(2) The statewide and nonmetropolitan planning requirements of 49 U.S.C.
§ 5304.
i. It has a locally developed process to solicit and consider public comment before:
(1) Raising a fare, or
(2) Implementing a major reduction of public transportation.
CATEGORY 23. CONSTRUCTION HIRING PREFERENCES.
Before FTA may provide federal assistance for a third party contract for construction
hiring financed under title 49 U.S.C. or title 23 U.S.C. using a geographic, economic, or
any other hiring preference not otherwise authorized by federal law or regulation,you
must select the Certifications in Category 23 on behalf of your Applicant in addition to
other Certifications you must select on your Applicant's behalf, except as FTA
determines otherwise in writing.
Any provision of the Certifications in Category 23 that does not apply will not be
enforced.
As provided by section 192 of division L,title I of the Consolidated Appropriations Act,
2016, Pub. L. 114-113, on behalf of your Applicant, you certify that if, in connection
with any third party contract for construction hiring financed under title 49 U.S.C. or title
23 U.S.C., it uses a geographic, economic, or any other hiring preference not otherwise
authorized by law or prohibited under 2 CFR § 200.319(b):
1. Except with respect to apprentices or trainees, a pool of readily available but
unemployed individuals possessing the knowledge, skill, and ability to perform the
48
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
work that the third party contract requires resides in the jurisdiction where the work
will be performed;
2. It will include appropriate provisions in its bid document ensuring that its third party
contractor(s)do not displace any of its existing employees in order to satisfy such
hiring preference; and
3. That any increase in the cost of labor,training, or delays resulting from the use of
such hiring preference does not delay or displace any transportation project in the
applicable Statewide Transportation Improvement Program or Transportation
Improvement Program.
Selection and Signature Page(s) follow.
49
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
FEDERAL FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES FOR
FEDERAL TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS
(Signature pages alternative to providing Certifications and Assurances in TrAMS)
Name of Applicant: C
The Applicant agrees to comply with applicable provisions of Categories 01—23.
OR
The Applicant agrees to comply with applicable provisions of the Categories it has selected:
Category Description
01. Required Certifications and Assurances for Each Applicant.
02. Lobbying.
03. Procurement and Procurement Systems.
04. Private Sector Protections.
05. Rolling Stock Reviews and Bus Testing.
06. Demand Responsive Service.
07. Intelligent Transportation Systems.
08. Interest and Financing Costs and Acquisition of Capital Assets by Lease.
09 Transit Asset Management Plan and Public Transportation Agency Safety Plan.
10. Alcohol and Controlled Substances Testing.
11. Fixed Guideway Capital Investment Grants Program(New Starts,Small Starts,and Core
Capacity Improvement).
12. State of Good Repair Program.
13. Grants for Buses and Bus Facilities and Low or No Emission Vehicle Deployment Grant
Programs.
14. Urbanized Area Formula Grants Programs and Passenger Ferry Grant Program.
15. Seniors and Individuals with Disabilities Programs.
16 Rural Areas and Appalachian Development Programs.
17. Tribal Transit Programs(Public Transportation on Indian Reservations Programs).
18. State Safety Oversight Grant Program.
19. Public Transportation Emergency Relief Program.
20. Expedited Project Delivery Pilot Program.
21. Infrastructure Finance Programs.
22. Paul S.Sarbanes Transit in Parks Program.
23 Hiring Preferences
50
FTA FISCAL YEAR 2016 CERTIFICATIONS AND ASSURANCES
FEDERAL FISCAL YEAR 2016 FTA CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE
(Required of all Applicants for federal assistance to be awarded by FTA and all FTA Grantees with an active Capital or
Formula Award)
AFFIRMATION OF APPLICANT
Name of the Applicant: (7 r a h Q� e o V h
Name and Relationship of the Authorized Representative: ort Ak MQ 2 6WJ of
BY SIGNING BELOW,on behalf of the Applicant,I declare that it has duly authorized me to make these
Certifications and Assurances and bind its compliance.Thus,it agrees to comply with all federal laws,regulations,and
requirements,follow applicable federal guidance,and comply with the Certifications and Assurances as indicated on
the foregoing page applicable to each application its Authorized Representative makes to the Federal Transit
Administration(FTA)in federal fiscal year 2016,irrespective of whether the individual that acted on his or her
Applicant's behalf continues to represent it.
FTA intends that the Certifications and Assurances the Applicant selects on the other side of this document should
apply to each Award for which it now seeks,or may later seek federal assistance to be awarded by FTA during federal
fiscal year 2016.
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 FTA,and acknowledges that the Program
Fraud Civil Remedies Act of 1986,31 U.S.C.§3801 et seq.,and implementing U.S.DOT regulations,"Program Fraud
Civil Remedies,"49 CFR part 31,apply to any certification,assurance or submission made to 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 by 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 accurate.
{� c
Signature GGsMI —' Date: 1g D
Name EQ.r
Authorized Representative of Applicant
AFFIRMATION OF APPLICANT'S ATTORNEY
For(Name of Applicant): Or 4 rt Q C Co LA!l-�y
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 it.
I further affirm that,to the best of my knowledge,there is no legislation or litigation pending or imminent that might
adversely affect the v lidi of thes rtif ations and Assurances,or of the performance of its FTA assisted Award.
Signature r Date: 4-13-4
Name — 0�
Attorney for Applicant
Each Applicant for federal assistance to be awarded by FTA and each FTA Recipient with an active Capital or
Formula Project or Award mustprovide an Affirmation of Applicant's Attorney pertaining to the Applicant's legal
capacity The Applicant may enter its electronic signature in lieu of the Attorney's signature within FTA's electronic
award and management system,provided the Applicant has on file and uploaded to FTA's electronic award and
management system this hard-copy Affirmation,signed by the attorney and dated this federal fiscal year
51
(Required of all Applicants)
CERTIFICATION AND RESTRICTIONS ON LOBBYING
I, Earl McKee , on behalf of
Name of Authorized Official
Orange County
Legal Name of Applicant
Hereby certifies that:
No Federal/State appropriated funds have been paid or will be paid, by or on behalf of the undersigned,to any
person for influencing or attempting to influence an officer or employee of any Federal/State agency, a Member
of Congress or State Legislature, an employee of a member of Congress or State Legislature, or an officer or
employee of Congress or State Legislature in connection with the awarding of any Federal/State contract, the
making of any Federal/State grant,the making of any Federal/State loan, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or modification of any Federal/State contract,
grant, loan, or cooperative agreement.
If any funds other than Federal/State appropriated funds have been paid or will be paid to any person
influencing or attempting to influence an officer or employee of any Federal/State agency, a Member of
Congress or State Legislature, an employee of a member of Congress or State Legislature, or an officer or
employee of Congress or State Legislature in connection with the Federal/State contract, grant, loan, or
cooperative agreement,the undersigned shall complete and submit Standard Form—LLL, "Disclosure Form to
Report Lobbying," in accordance with its instructions.
The undersigned shall require that the language of this certification be included in the award documents for all
sub-awards at all tiers (including sub-contracts, sub-grants and contracts under grants, loans, and cooperative
agreements) and that all sub-recipients shall certify and disclose accordingly.
This certification is a material representation offact upon which reliance was placed when this transaction was
made or entered into. Submission of this certification is aprerequisite 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.
..............................................................................................
Signature of Authorized Official Affix Notary Seal Here
Seal Subscribed and sworn to me(date) )ZAP
rw�
Notary Public
yq�)awcjy\44v Dr /fk25n/-V C
Printed Name and Address
My commission expires(date) 1�- 46
1
SFY 2017 Community Transportation Program (CTP) Grant
Application - Special Section 5333 (b) Warranty
Special Section 5333(b) Warranty
For Application to the Nonurbanized Area Formula Program
The following language shall be made part of the contract of assistance with the State or other
public body charged with allocation and administration of funds provided under the
Community Transportation Program(CTP):
A. General Application
The Public Body (The North Carolina Department of Transportation) agrees that the terms
and conditions of this warranty, as set forth below, shall apply for the protection of the
transportation related employees of any employer providing transportation services assisted
by the project,
Orange County
(Legal Name of Applicant) and the transportation related employees of any other surface
public transportation providers in the transportation service area of the project.
The Public Body shall provide to the U. S. Department of Labor and maintain at all times
during the Project an accurate, up-to-date listing of all existing transportation providers which
are eligible Recipients of transportation assistance funded by the Project, in the transportation
service area of the Project, and any labor organizations representing the employees of such
providers.
Certification by the Public Body to the U. S. Department of Labor that the designated
Recipients have indicated in writing acceptance of the terms and conditions of the warranty
arrangement will be sufficient to permit the flow of CTP funding in the absence of a finding
of noncompliance by the Department of Labor.
B. Standard Terms and Conditions
(1) The Project shall be carried out in such a manner and upon such terms and conditions as
will not adversely affect employees of the Recipient and of any other surface public
transportation provider in the transportation service area of the Project. It shall be an
obligation of the Recipient to assure that any and all transportation services assisted by the
Project are contracted for and operated in such a manner that they do not impair the rights and
interests of affected employees. The term "Project," as used herein, shall not be limited to the
particular facility, service, or operation assisted by Federal funds, but shall include any
changes, whether organizational, operational, technological, or otherwise, which are a result
of the assistance provided. The phrase "as a result of the Project," shall, when used in this
arrangement, include events related to the Project occurring in anticipation of, during, and
subsequent to the Project and any program of efficiencies or economies related thereto;
provided, however, that volume rises and falls of business, or changes in volume and
character of employment brought about solely by causes other than the Project (including any
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economies or efficiencies unrelated to the Project) are not within the purview of this
arrangement.
An employee covered by this arrangement, who is not dismissed, displaced or otherwise
worsened in his/her position with regard to employment as a result of the Project, but who is
dismissed, displaced or otherwise worsened solely because of the total or partial termination
of the Project or exhaustion of Project funding shall not be deemed eligible for a dismissal or
displacement allowance within the meaning of paragraphs (6) and (7) of this arrangement.
(2) Where employees of a Recipient are represented for collective bargaining purposes, all
Project services provided by that Recipient shall be provided under and in accordance with
any collective bargaining agreement applicable to such employees which is then in effect.
This Arrangement does not create any collective bargaining relationship where one does not
already exist or between any Recipient and the employees of another employer. Where the
Recipient has no collective bargaining relationship with the Unions representing employees in
the service area, the Recipient will not take any action which impairs or interferes with the
rights, privileges, and benefits and/or the preservation or continuation of the collective
bargaining rights of such employees.
(3) All rights, privileges, and benefits (including pension rights and benefits) of employees
covered by this arrangement (including employees having already retired) under existing
collective bargaining agreements or otherwise, or under any revision or renewal thereof, shall
be preserved and continued; provided, however, that such rights, privileges and benefits
which are not foreclosed from further bargaining under applicable law or contract may be
modified by collective bargaining and agreement by the Recipient and the Union involved to
substitute other rights, privileges and benefits. Unless otherwise provided, nothing in this
arrangement shall be deemed to restrict any rights the Recipient may otherwise have to direct
the working forces and manage its business as it deemed best, in accordance with the
applicable collective bargaining agreement.
(4) The collective bargaining rights of employees covered by this arrangement, including the
right to arbitrate labor disputes and to maintain union security and checkoff arrangements, as
provided by applicable laws, policies and/or existing collective bargaining agreements, shall
be preserved and continued. Provided, however, that this provision shall not be interpreted so
as to require the Recipient to retain any such rights which exist by virtue of a collective
bargaining agreement after such agreement is no longer in effect.
The Recipient agrees that it will bargain collectively with the Union or otherwise arrange for
the continuation of collective bargaining, and that it will enter into agreements with the Union
or arrange for such agreements to be entered into, relative to all subjects which are or may be
proper subjects of collective bargaining. If, at any time, applicable law or contracts permit or
grant to employees covered by this arrangement the right to utilize any economic measures,
nothing in this arrangement shall be deemed to foreclose the exercise of such right.
(5)(a) The Recipient shall provide to all affected employees sixty (60) days' notice of intended
actions which may result in displacements or dismissals or rearrangements of the working
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forces as a result of the Project. In the case of employees represented by a Union, such notice
shall be provided by certified mail through their representatives. The notice shall contain a
full and adequate statement of the proposed changes, and an estimate of the number of
employees affected by the intended changes, and the number and classifications of any jobs
within the jurisdiction and control of the Recipient, including those in the employment of any
entity bound by this arrangement pursuant to paragraph (21), available to be filled by such
affected employees.
(5)(b) The procedures of this subparagraph shall apply to cases where notices involve
employees represented by a Union for collective bargaining purposes. At the request of either
the Recipient or the representatives of such employees, negotiations for the purposes of
reaching agreement with respect to the application of the terms and conditions of this
arrangement shall commence immediately. These negotiations shall include determining the
selection of forces from among the mass transportation employees who may be affected as a
result of the Project, to establish which such employees shall be offered employment for
which they are qualified or can be trained. If no agreement is reached within twenty (20) days
from the commencement of negotiations, any party to the dispute may submit the matter to
dispute settlement procedures in accordance with paragraph (15) of this arrangement. Unless
the parties otherwise mutually agree in writing, no change in operations, services, facilities or
equipment within the purview of this paragraph (5) shall occur until after either: 1) an
agreement with respect to the application of the terms and conditions of this arrangement to
the intended change(s) is reached; 2) the decision of the arbitrator has been rendered pursuant
to this subparagraph (b); or 3) an arbitrator selected pursuant to Paragraph (15) of this
arrangement determines that the intended change(s) may be instituted prior to the finalization
of implementing arrangements.
(5)(c) In the event of a dispute as to whether an intended change within the purview of this
paragraph (5) may be instituted at the end of the 60-day notice period and before an
implementing agreement is reached or a final arbitration decision is rendered pursuant to
subparagraph (b), any involved party may immediately submit that issue to arbitration under
paragraph (15) of this arrangement. In any such arbitration, the arbitrator shall rely upon the
standards and criteria utilized by the Surface Transportation Board (and its predecessor
agency, the Interstate Commerce Commission) to address the "preconsummation" issue in
cases involving employee protections pursuant to 49 U.S.C. Section 11326 (or its predecessor,
Section 5(2)(f) of the Interstate Commerce Act, as amended). If the Recipient demonstrates,
as a threshold matter in any such arbitration, that the intended action is a trackage rights, lease
proceeding or similar transaction, and not a merger, acquisition, consolidation, or other
similar transaction, the burden shall then shift to the involved labor organization(s) to prove
that under the standards and criteria referenced above, the intended action should not be
permitted to be instituted prior to the effective date of a negotiated or arbitrated implementing
agreement. If the Recipient fails to demonstrate that the intended action is a trackage rights,
lease proceeding, or similar transaction, it shall be the burden of the Recipient to prove that
under the standards and criteria referenced above, the intended action should be permitted to
be instituted prior to the effective date of a negotiated or arbitrated implementing agreement.
For purposes of any such arbitration, the time period within which the parties are to respond
to the list of potential arbitrators submitted by the American Arbitration Association Service
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shall be five (5) days, the notice of hearing may be given orally or by facsimile, the hearing
will be held promptly, the award of the arbitrator shall be rendered promptly and, unless
otherwise agreed to by the parties, no later than fourteen (14) days from the date of closing
the hearings, with five (5) additional days for mailing if posthearing briefs are requested by
either party. The intended change shall not be instituted during the pendency of any
arbitration proceedings under this subparagraph (c).
(5)(d) If an intended change within the purview of this paragraph (5) is instituted before an
implementing agreement is reached or a final arbitration decision is rendered pursuant to
subparagraph (b), all employees affected shall be kept financially whole, as if the noticed and
implemented action has not taken place, from the time they are affected until the effective
date of an implementing agreement or final arbitration decision. This protection shall be in
addition to the protective period defined in paragraph (14) of this arrangement, which period
shall begin on the effective date of the implementing agreement or final arbitration decision
rendered pursuant to subparagraph(b).
An employee selecting, bidding on, or hired to fill any position established as a result of a
noticed and implemented action prior to the consummation of an implementing agreement or
final arbitration decision shall accumulate no benefits under this arrangement as a result
thereof during that period prior to the consummation of an implementing agreement or final
arbitration decision pursuant to subparagraph (b).
(6)(a) Whenever an employee, retained in service, recalled to service, or employed by the
Recipient pursuant to paragraphs (5), (7)(e), or (18) hereof is placed in a worse position with
respect to compensation as a result of the Project, the employee shall be considered a
"displaced employee", and shall be paid a monthly "displacement allowance" to be
determined in accordance with this paragraph. Said displacement allowance shall be paid each
displaced employee during the protective period so long as the employee is unable, in the
exercise of his/her seniority rights, to obtain a position producing compensation equal to or
exceeding the compensation the employee received in the position from which the employee
was displaced, adjusted to reflect subsequent general wage adjustments, including cost of
living adjustments where provided for.
(6)(b) The displacement allowance shall be a monthly allowance determined by computing
the total compensation received by the employee, including vacation allowances and monthly
compensation guarantees, and his/her total time paid for during the last twelve (12) months in
which the employee performed compensated service more than fifty per centum of each such
months, based upon the employee's normal work schedule, immediately preceding the date of
his/her displacement as a result of the Project, and by dividing separately the total
compensation and the total time paid for by twelve, thereby producing the average monthly
compensation and the average monthly time paid for. Such allowance shall be adjusted to
reflect subsequent general wage adjustments, including cost of living adjustments where
provided for. If the displaced employee's compensation in his/her current position is less in
any month during his/her protective period than the aforesaid average compensation (adjusted
to reflect subsequent general wage adjustments, including cost of living adjustments where
provided for), the employee shall be paid the difference, less compensation for any time lost
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Application - Special Section 5333 (b) Warranty
on account of voluntary absences to the extent that the employee is not available for service
equivalent to his/her average monthly time, but the employee shall be compensated in
addition thereto at the rate of the current position for any time worked in excess of the average
monthly time paid for. If a displaced employee fails to exercise his/her seniority rights to
secure another position to which the employee is entitled under the then existing collective
bargaining agreement, and which carries a wage rate and compensation exceeding that of the
position which the employee elects to retain, the employee shall thereafter be treated, for the
purposes of this paragraph, as occupying the position the employee elects to decline.
(6)(c) The displacement allowance shall cease prior to the expiration of the protective period
in the event of the displaced employee's resignation, death, retirement, or dismissal for cause
in accordance with any labor agreement applicable to his/her employment.
(7)(a) Whenever any employee is laid off or otherwise deprived of employment as a result of
the Project, in accordance with any collective bargaining agreement applicable to his/her
employment, the employee shall be considered a "dismissed employee" and shall be paid a
monthly dismissal allowance to be determined in accordance with this paragraph. Said
dismissal allowance shall first be paid each dismissed employee on the thirtieth (30th) day
following the day on which the employee is "dismissed" and shall continue during the
protective period, as follow:
Employee's length of Service
prior to adverse effect Period of protection
1 day to 6 years equivalent period
6 years or more 6 years
The monthly dismissal allowance shall be equivalent to one-twelfth (1/12th) of the total
compensation received by the employee in the last twelve (12) months of his/her employment
in which the employee performed compensation service more than fifty per centum of each
such month based on the employee's normal work schedule to the date on which the
employee was first deprived of employment as a result of the Project. Such allowance shall be
adjusted to reflect subsequent general wage adjustments, including cost of living adjustments
where provided for.
(7)(b) An employee shall be regarded as deprived of employment and entitled to a dismissal
allowance when the position the employee holds is abolished as a result of the Project, or
when the position the employee holds is not abolished but the employee loses that position as
a result of the exercise of seniority rights by an employee whose position is abolished as a
result of the Project or as a result of the exercise of seniority rights by other employees
brought about as a result of the Project, and the employee is unable to obtain another position,
either by the exercise of the employee's seniority rights, or through the Recipient, in
accordance with subparagraph (e). In the absence of proper notice followed by an agreement
or decision pursuant to paragraph (5) hereof, no employee who has been deprived of
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Application - Special Section 5333 (b) Warranty
employment as a result of the Project shall be required to exercise his/her seniority rights to
secure another position in order to qualify for a dismissal allowance hereunder.
(7)(c) Each employee receiving a dismissal allowance shall keep the Recipient informed as to
his/her current address and the current name and address of any other person by whom the
employee may be regularly employed, or if the employee is self-employed.
(7)(d) The dismissal allowance shall be paid to the regularly assigned incumbent of the
position abolished. If the position of an employee is abolished when the employee is absent
from service, the employee will be entitled to the dismissal allowance when the employee is
available for service. The employee temporarily filling said position at the time it was
abolished will be given a dismissal allowance on the basis of that position, until the regular
employee is available for service, and thereafter shall revert to the employee's previous status
and will be given the protections of the agreement in said position, if any are due him/her.
(7)(e)An employee receiving a dismissal allowance shall be subject to call to return to service
by the employee's former employer; notification shall be in accordance with the terms of the
then-existing collective bargaining agreement if the employee is represented by a union. Prior
to such call to return to work by his/her employer, the employee may be required by the
Recipient to accept reasonably comparable employment for which the employee is physically
and mentally qualified, or for which the employee can become qualified after a reasonable
training or retraining period, provided it does not require a change in residence or infringe
upon the employment rights of other employees under then-existing collective bargaining
agreements.
(7)(f) When an employee who is receiving a dismissal allowance again commences
employment in accordance with subparagraph (e) above, said allowance shall cease while the
employee is so reemployed, and the period of time during which the employee is so
reemployed shall be deducted from the total period for which the employee is entitled to
receive a dismissal allowance. During the time of such reemployment, the employee shall be
entitled to the protections of this arrangement to the extent they are applicable.
(7)(g) The dismissal allowance of any employee who is otherwise employed shall be reduced
to the extent that the employee's combined monthly earnings from such other employment or
self-employment, any benefits received from any unemployment insurance law, and his/her
dismissal allowance exceed the amount upon which the employee's dismissal allowance is
based. Such employee, or his/her union representative, and the Recipient shall agree upon a
procedure by which the Recipient shall be kept currently informed of the earnings of such
employee in employment other than with the employee's former employer, including self-
employment, and the benefits received.
(7)(h) The dismissal allowance shall cease prior to the expiration of the protective period in
the event of the failure of the employee without good cause to return to service in accordance
with the applicable labor agreement, or to accept employment as provided under subparagraph
(e) above, or in the event of the employee's resignation, death, retirement, or dismissal for
cause in accordance with any labor agreement applicable to his/her employment.
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(7)(i) A dismissed employee receiving a dismissal allowance shall actively seek and not
refuse other reasonably comparable employment offered him/her for which the employee is
physically and mentally qualified and does not require a change in the employee's place of
residence. Failure of the dismissed employee to comply with this obligation shall be grounds
for discontinuance of the employee's allowance; provided that said dismissal allowance shall
not be discontinued until final determination is made either by agreement between the
Recipient and the employee or his/her representative, or by final arbitration decision rendered
in accordance with paragraph (15) of this arrangement that such employee did not comply
with this obligation.
(8) In determining length of service of a displaced or dismissed employee for purposes of this
arrangement, such employee shall be given full service credits in accordance with the records
and labor agreements applicable to him/her and the employee shall be given additional service
credits for each month in which the employee receives a dismissal or displacement allowance
as if the employee were continuing to perform services in his/her former position.
(9) No employee shall be entitled to either a displacement or dismissal allowance under
paragraphs (6) or (7) hereof because of the abolishment of a position to which, at some future
time, the employee could have bid, been transferred, or promoted.
(10) No employee receiving a dismissal or displacement allowance shall be deprived, during
the employee's protected period, of any rights, privileges, or benefits attaching to his/her
employment, including, without limitation, group life insurance, hospitalization and medical
care, free transportation for the employee and the employee's family, sick leave, continued
status and participation under any disability or retirement program, and such other employee
benefits as Railroad Retirement, Social Security, Workmen's Compensation, and
unemployment compensation, as well as any other benefits to which the employee may be
entitled under the same conditions and so long as such benefits continue to be accorded to
other employees of the bargaining unit, in active service or furloughed as the case may be.
(11)(a) Any employee covered by this arrangement who is retained in the service of his/her
employer, or who is later restored to service after being entitled to receive a dismissal
allowance, and who is required to change the point of his/her employment in order to retain or
secure active employment with the Recipient in accordance with this arrangement, and who is
required to move his/her place of residence, shall be reimbursed for all expenses of moving
his/her household and other personal effects, for the traveling expenses for the employee and
members of the employee's immediate family, including living expenses for the employee
and the employee's immediate family, and for his/her own actual wage loss during the time
necessary for such transfer and for a reasonable time thereafter, not to exceed five (5)working
days. The exact extent of the responsibility of the Recipient under this paragraph, and the
ways and means of transportation, shall be agreed upon in advance between the Recipient and
the affected employee or the employee's representatives.
(11)(b) If any such employee is laid off within three (3) years after changing his/her point of
employment in accordance with paragraph (a) hereof, and elects to move his/her place of
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SFY 2017 Community Transportation Program (CTP) Grant
Application - Special Section 5333 (b) Warranty
residence back to the original point of employment, the Recipient shall assume the expenses,
losses and costs of moving to the same extent provided in subparagraph (a) of this paragraph
(11) and paragraph(12)(a)hereof.
(11)(c) No claim for reimbursement shall be paid under the provisions of this paragraph
unless such claim is presented to the Recipient in writing within ninety (90) days after the
date on which the expenses were incurred.
(11)(d) Except as otherwise provided in subparagraph (b), changes in place of residence,
subsequent to the initial changes as a result of the Project, which are not a result of the Project
but grow out of the normal exercise of seniority rights, shall not be considered within the
purview of this paragraph.
(12)(a) The following conditions shall apply to the extent they are applicable in each instance
to any employee who is retained in the service of the employer (or who is later restored to
service after being entitled to receive a dismissal allowance), who is required to change the
point of his/her employment as a result of the Project, and is thereby required to move his/her
place of residence.
If the employee owns his/her own home in the locality from which the employee is required
to move, the employee shall, at the employee's option, be reimbursed by the Recipient for any
loss suffered in the sale of the employee's home for less than its fair market value, plus
conventional fees and closing costs, such loss to be paid within thirty (30) days of settlement
or closing on the sale of the home. In each case, the fair market value of the home in question
shall be determined, as of a date sufficiently prior to the date of the Project, so as to be
unaffected thereby. The Recipient shall, in each instance, be afforded an opportunity to
purchase the home at such fair market value before it is sold by the employee to any other
person and to reimburse the seller for his/her conventional fees and closing costs.
If the employee is under a contract to purchase his/her home, the Recipient shall protect the
employee against loss under such contract, and in addition, shall relieve the employee from
any further obligation thereunder.
If the employee holds an unexpired lease of a dwelling occupied as the employee's home, the
Recipient shall protect the employee from all loss and cost in securing the cancellation of said
lease.
(12)(b) No claim for loss shall be paid under the provisions of this paragraph unless such
claim is presented to the Recipient in writing within one year after the effective date of the
change in residence.
(12)(c) Should a controversy arise in respect to the value of the home, the loss sustained in its
sale, the loss under a contract for purchase, loss and cost in securing termination of a lease, or
any other question in connection with these matters, it shall be decided through a joint
conference between the employee, or his/her union, and the Recipient. In the event they are
unable to agree, the dispute or controversy may be referred by the Recipient or the union to a
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SFY 2017 Community Transportation Program (CTP) Grant
Application - Special Section 5333 (b) Warranty
board of competent real estate appraisers selected in the following manner: one (1) to be
selected by the representatives of the employee, and one (1) by the Recipient, and these two,
if unable to agree within thirty (30) days upon the valuation, shall endeavor by agreement
with ten (10) days thereafter to select a third appraiser or to agree to a method by which a
third appraiser shall be selected, and failing such agreement, either party may request the
State and local Board of Real Estate Commissioners to designate within ten (10) days a third
appraiser, whose designation will be binding upon the parties and whose jurisdiction shall be
limited to determination of the issues raised in this paragraph only. A decision of a majority of
the appraisers shall be required and said decision shall be final, binding, and conclusive. The
compensation and expenses of the neutral appraiser including expenses of the appraisal board,
shall be borne equally by the parties to the proceedings. All other expenses shall be paid by
the party incurring them, including the compensation of the appraiser selected by such party.
(12)(d) Except as otherwise provided in paragraph (11)(b) hereof, changes in place of
residence, subsequent to the initial changes as a result of the Project, which are not a result of
the Project but grow out of the normal exercise of seniority rights, shall not be considered
within the purview of this paragraph.
(12)(e) "Change in residence" means transfer to a work location which is either (A) outside a
radius of twenty (20) miles of the employee's former work location and farther from the
employee's residence than was his/her former work location, or (B) is more than thirty (30)
normal highway route miles from the employee's residence and also farther from his/her
residence than was the employee's former work location.
(13)(a) A dismissed employee entitled to protection under this arrangement may, at the
employee's option within twenty-one (21) days of his/her dismissal, resign and (in lieu of all
other benefits and protections provided in this arrangement) accept a lump sum payment
computed in accordance with section(9) of the Washington Job Protection Agreement of May
1936:
Length of Service Separation Allowance
1 year and less than 2 years 3 months'pay
2 years and less than 3 years 6 months'pay
3 years and less than 5 years 9 months'pay
5 years and less than 10 years 12 months'pay
10 years and less than 15 years 12 months'pay
15 years and over 12 months'pay
In the case of an employee with less than one year's service, five days' pay, computed by
multiplying by 5 the normal daily earnings (including regularly scheduled overtime, but
excluding other overtime payments) received by the employee in the position last occupied,
for each month in which the employee performed service, will be paid as the lump sum.
Length of service shall be computed as provided in Section 7(b) of the Washington Job
Protection Agreement, as follows:
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Application - Special Section 5333 (b) Warranty
For the purposes of this arrangement, the length of service of the employee shall be
determined from the date the employee last acquired an employment status with the
employing carrier and the employee shall be given credit for one month's service for each
month in which the employee performed any service (in any capacity whatsoever) and twelve
(12) such months shall be credited as one year's service. The employment status of an
employee shall not be interrupted by furlough in instances where the employee has a right to
and does return to service when called. In determining length of service of an employee acting
as an officer or other official representative of an employee organization, the employee will
be given credit for performing service while so engaged on leave of absence from the service
of a carrier.
(13)(b) One month's pay shall be computed by multiplying by 30 the normal daily earnings
(including regularly scheduled overtime, but excluding other overtime payments) received by
the employee in the position last occupied prior to time of the employee's dismissal as a result
of the Project.
(14) Whenever used herein, unless the context requires otherwise, the term "protective
period" means that period of time during which a displaced or dismissed employee is to be
provided protection hereunder and extends from the date on which an employee is displaced
or dismissed to the expiration of six (6) years therefrom, provided, however, that the
protective period for any particular employee during which the employee is entitled to receive
the benefits of these provisions shall not continue for a longer period following the date the
employee was displaced or dismissed than the employee's length of service, as shown by the
records and labor agreements applicable to his/her employment prior to the date of the
employee's displacement or dismissal.
(I 5)(a) In the event that employee(s) are represented by a Union, any dispute, claim, or
grievance arising from or relating to the interpretation, application or enforcement of the
provisions of this arrangement, not otherwise governed by paragraph 12(c), the Labor-
Management Relations Act, as amended, the Railway Labor Act, as amended, or by impasse
resolution provisions in a collective bargaining or protective arrangement involving the
Recipient and the Union, which cannot be settled by the parties thereto within thirty (30) days
after the dispute or controversy arises, may be referred by any such party to any final and
binding disputes settlement procedure acceptable to the parties. In the event they cannot agree
upon such procedure, the dispute, claim, or grievance may be submitted at the written request
of the Recipient or the Union to final and binding arbitration. Should the parties be unable to
agree upon the selection of a neutral arbitrator within ten(10) days, any party may request the
American Arbitration Association to furnish, from among arbitrators who are then available to
serve, five (5) arbitrators from which a neutral arbitrator shall be selected. The parties shall,
within five (5) days after the receipt of such list, determine by lot the order of elimination and
thereafter each shall, in that order, alternately eliminate one name until only one name
remains. The remaining person on the list shall be the neutral arbitrator. Unless otherwise
provided, in the case of arbitration proceedings, under paragraph (5) of this arrangement, the
arbitration shall commence within fifteen (15) days after selection or appointment of the
neutral arbitrator, and the decision shall be rendered within forty-five (45) days after the
hearing of the dispute has been concluded and the record closed. The decision shall be final
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and binding. All the conditions of the arrangement shall continue to be effective during the
arbitration proceedings.
(15)(b) The compensation and expenses of the neutral arbitrator, and any other jointly
incurred expenses, shall be borne equally by the Union(s) and Recipient, and all other
expenses shall be paid by the party incurring them.
(15)(c) In the event that employee(s) are not represented by a Union, any dispute, claim, or
grievance arising from or relating to the interpretation, application or enforcement of the
provisions of this arrangement which cannot be settled by the Recipient and the employee(s)
within thirty (30) days after the dispute or controversy arises, may be referred by any such
party to any final and binding dispute settlement procedure acceptable to the parties, or in the
event the parties cannot agree upon such a procedure, the dispute or controversy may be
referred to the Secretary of Labor for a final and binding determination.
(15)(d) In the event of any dispute as to whether or not a particular employee was affected by
the Project, it shall be the obligation of the employee or the representative of the employee to
identify the Project and specify the pertinent facts of the Project relied upon. It shall then be
the burden of the Recipient to prove that factors other than the Project affected the employee.
The claiming employee shall prevail if it is established that the Project had an effect upon the
employee even if other factors may also have affected the employee. (See Hodgson's
Affidavit in Civil Action No. 825-71).
(16) The Recipient will be financially responsible for the application of these conditions and
will make the necessary arrangements so that any employee covered by this arrangement may
file a written claim of its violation, through the Union, or directly if the employee is outside
the bargaining unit, with the Recipient within sixty (60) days of the date the employee is
terminated or laid off as a result of the Project, or within eighteen (18) months of the date the
employee's position with respect to his/her employment is otherwise worsened as a result of
the Project. In the latter case, if the events giving rise to the claim have occurred over an
extended period, the 18-month limitation shall be measured from the last such event. No
benefits shall be payable for any period prior to six (6) months from the date of the filing of
any claim. Unless such claims are filed with the Recipient within said time limitations, the
Recipient shall thereafter be relieved of all liabilities and obligations related to the claim.
The Recipient will fully honor the claim, making appropriate payments, or will give notice to
the claimant or his/her representative of the basis for denying or modifying such claim, giving
reasons therefore. If the Recipient fails to honor such claim, the Union or non-bargaining unit
employee may invoke the following procedures for further joint investigation of the claim by
giving notice in writing. Within ten (10) days from the receipt of such notice, the parties shall
exchange such factual material as may be requested of them relevant to the disposition of the
claim and shall jointly take such steps as may be necessary or desirable to obtain from any
third party such additional factual materials as may be relevant. In the event the Recipient
rejects the claim, the claim may be processed to arbitration as hereinabove provided by
paragraph(15).
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Application - Special Section 5333 (b) Warranty
(17) Nothing in this arrangement shall be construed as depriving any employee of any rights
or benefits which such employee may have under existing employment or collective
bargaining agreements or otherwise; provided that there shall be no duplication of benefits to
any employee, and, provided further, that any benefit under this arrangement shall be
construed to include the conditions, responsibilities, and obligations accompanying such
benefit. This arrangement shall not be deemed a waiver of any rights of any Union or of any
represented employee derived from any other agreement or provision of federal, state or local
law.
(18) During the employee's protective period, a dismissed employee shall, if the employee so
requests, in writing, be granted priority of employment or reemployment to fill any vacant
position within the jurisdiction and control of the Recipient reasonably comparable to that
which the employee held when dismissed, including those in the employment of any entity
bound by this arrangement pursuant to paragraph(2 1)herein, for which the employee is, or by
training or retraining can become, qualified; not, however, in contravention of collective
bargaining agreements related thereto. In the event such employee requests such training or
re-training to fill such vacant position, the Recipient shall provide for such training or re-
training at no cost to the employee. The employee shall be paid the salary or hourly rate
provided for in the applicable collective bargaining agreement or otherwise established in
personnel policies or practices for such position, plus any displacement allowance to which
the employee may be otherwise entitled. If such dismissed employee who has made such
request fails, without good cause, within ten (10) days to accept an offer of a position
comparable to that which the employee held when dismissed for which the employee is
qualified, or for which the employee has satisfactorily completed such training, the employee
shall, effective at the expiration of such ten-day period, forfeit all rights and benefits under
this arrangement.
As between employees who request employment pursuant to this paragraph, the following
order where applicable shall prevail in hiring such employees:
(a) Employees in the craft or class of the vacancy shall be given priority over employees
without seniority in such craft or class;
(b) As between employees having seniority in the craft or class of the vacancy, the senior
employees, based upon their service in that craft or class, as shown on the appropriate
seniority roster, shall prevail over junior employees;
(c) As between employees not having seniority in the craft or class of the vacancy, the senior
employees, based upon their service in the crafts or classes in which they do have seniority as
shown on the appropriate seniority rosters, shall prevail over junior employees.
(19) The Recipient will post, in a prominent and accessible place, a notice stating that the
Recipient has received federal assistance under the Federal Transit statute and has agreed to
comply with the provisions of 49 U.S.C., Section 5333(b). This notice shall also specify the
terms and conditions set forth herein for the protection of employees. The Recipient shall
maintain and keep on file all relevant books and records in sufficient detail as to provide the
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SFY 2017 Community Transportation Program (CTP) Grant
Application - Special Section 5333 (b) Warranty
basic information necessary to the proper application, administration, and enforcement of this
arrangement and to the proper determination of any claims arising thereunder.
(20) In the event the Project is approved for assistance under the statute, the foregoing terms
and conditions shall be made part of the contract of assistance between the federal
government and the applicant for federal funds and between the applicant and any recipient of
federal funds; provided, however, that this arrangement shall not merge into the contract of
assistance, but shall be independently binding and enforceable by and upon the parties thereto,
and by any covered employee or his/her representative, in accordance with its terms, nor shall
any other employee protective agreement merge into this arrangement, but each shall be
independently binding and enforceable by and upon the parties thereto, in accordance with its
terms.
(21) This arrangement shall be binding upon the successors and assigns of the parties hereto,
and no provisions, terms, or obligations herein contained shall be affected, modified, altered,
or changed in any respect whatsoever by reason of the arrangements made by or for the
Recipient to manage and operate the system.
Any person, enterprise, body, or agency, whether publicly - or privately-owned, which shall
undertake the management, provision and/or operation of the Project services or the
Recipient's transit system, or any part or portion thereof, under contractual arrangements of
any form with the Recipient, its successors or assigns, shall agree to be bound by the terms of
this arrangement and accept the responsibility with the Recipient for full performance of these
conditions. As a condition precedent to any such contractual arrangements, the Recipient shall
require such person, enterprise, body or agency to so agree.
(22) In the event of the acquisition, assisted with Federal funds, of any transportation system
or services, or any part or portion thereof, the employees of the acquired entity shall be
assured employment, in comparable positions, within the jurisdiction and control of the
acquiring entity, including positions in the employment of any entity bound by this
arrangement pursuant to paragraph (21). All persons employed under the provisions of this
paragraph shall be appointed to such comparable positions without examination, other than
that required by applicable federal, state or federal law or collective bargaining agreement,
and shall be credited with their years of service for purposes of seniority, vacations, and
pensions in accordance with the records of their former employer and/or any applicable
collective bargaining agreements.
(23) The employees covered by this arrangement shall continue to receive any applicable
coverage under Social Security, Railroad Retirement, Workmen's Compensation,
unemployment compensation, and the like. In no event shall these benefits be worsened as a
result of the Project.
(24) In the event any provision of this arrangement is held to be invalid, or otherwise
unenforceable under the federal, state, or local law, in the context of a particular Project, the
remaining provisions of this arrangement shall not be affected and the invalid or
unenforceable provision shall be renegotiated by the Recipient and the interested Union
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Application - Special Section 5333 (b) Warranty
representatives, if any, of the employees involved for purpose of adequate replacement under
Section 5333(b). If such negotiation shall not result in mutually satisfactory agreement any
party may invoke the jurisdiction of the Secretary of Labor to determine substitute fair and
equitable employee protective arrangements for application only to the particular Project,
which shall be incorporated in this arrangement only as applied to that Project, and any other
appropriate action, remedy, or relief.
(25) If any employer of the employees covered by this arrangement shall have rearranged or
adjusted its forces in anticipation of the Project, with the effect of depriving an employee of
benefits to which the employee should be entitled under this arrangement, the provisions of
this arrangement shall apply to such employee as of the date when the employee was so
affected.
C. Acceptance of Special Section 5333(b)Warranty
1, (Name and Title) Earl McKee Board of Commissioners, Chair
(Name and Title)
do hereby certify that
Orange County
(Legal Name of Applicant/Recipient)
has agreed to the terms and conditions of this Warranty; will accept this agreement as part of
the contract of assistance with the North Carolina Department of Transportation; and will
post, in a prominent and accessible place,the terms and conditions of the Warranty with
a notice stating that the Recipient has received federal assistance under the Federal
Transit statute and has agreed to comply with these terms.
4e
Signature of Authorized Official Date
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SFY 2017
(Required of all Applicants that plan to procure inaccessible vehicles)
CERTIFICATION OF EQUIVALENT SERVICE
Orange County (Legal Name of applicant)certifies that its demand responsive service offered to
individuals with disabilities
(as defined in 49 CFR 37.3), including individuals who use wheelchairs, is equivalent to the level
and quality of service offered to individuals without disabilities. Such service, when viewed in its
entirety, is provided in the most integrated setting feasible and is equivalent with respect to:
1) Response time;
2) Fares;
3) Geographic service area;
4)Hours and days of service;
5) Restrictions or priorities based on trip purpose;
6)Availability of information and reservation capability; and
7) Constraints on capacity or service availability.
In accordance with 49 CFR 37.77,public funded entities operating demand responsive systems
for the general public which receive financial assistance under section 18 of the Federal Transit
Act must file this certification with the appropriate state program office before procuring any
inaccessible vehicle.NCDOT also requires state funded entities that do not receive Federal
Transit Administration(FTA) funds to file this certification as well. This certification is valid
for no longer than one year from its date of filing.
The NCDOT Public Transportation Division requires all participants to certify equivalent service
when requesting to purchase non-ADA accessible vehicles. By signing this certification,the
above-named agency is certifying that it has a mechanism in place to provide rides to individuals
with disabilities. The ride must be provided in a manner equivalent to the service provided by the
above-named agency to individuals without disabilities. Verification must include the attached
form entitled Measuring and Monitoring Equivalency for a General Public Demand Responsive
Transportation Service.
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Signature of Authorized Official
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Seal Subscribed and sworn to me(date)
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Printed Name and Address
My commission expires(date)
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Measuring and Monitoring Equivalency for a
General Public Demand Responsive Transportation Service
Criteria/Requirement Data and Analysis to Ensure Equivalency
Full service area picking up in Orange County except for
Service Area Chapel Hill Transit service area (Chapel Hill-Carrboro).
Destinations include Orange, Durham and a portion of
Alamance County.
Passengers schedule rural pickups two working days in
Response Time advance and one day in advance for ADA complimentary
service.
Same fares charged.
Fares EDTAP is $3.00
Fixed route and complimentary ADA $2.00
7:00am — 5:00pm Monday— Friday
Days and Hours 8:00am — 5:00pm Saturday
Same
Trip Purposes
Buses are assigned after trips are scheduled to ensure
Capacity Constraints: sufficient capacity. One non-lift van is only assigned
when applicable based on pre-scheduled trips,
None
Trip Denials
None
Trip Caps
None
Waiting Lists
None
Missed Trips
Same 97% for all
On-Time Performance
Same for all based on distance from destination
Travel Time
Comparison of ADA Regulatory Requirements for General Public Demand Responsive Services
Versus ADA Complementary Paratransit Services
Criteria/Requirement General Public Demand Responsive ADA Complementary Paratransit
Transportation Services (Equivalency) Services (Comparable to Fixed Route
Whatever policy you set. Same for Origin-to-destination. Yes
Type of Service (DTD v CTC) everyone. Yes
Same as everyone else. Yes 3/ of a mile of all non-commuter fixed
Service Area routes. Yes
Same as everyone else. Yes Next-day service. Yes
Response Time
Same for all. Yes 2 times base fixed route fare — No. OPT
Fares charges same as base fare.
Same for all. Yes All the fixed route hours. Yes
Days and Hours
Can set policy ; same for all. Yes All trip purposes; no priorities. Yes
Trip Purpose
Same for all. Yes No capacity constraints. Yes
Capacity Constraints
Provide accessible information and Provide accessible information and
Information and Communication communications. Yes communications. Yes
Access