HomeMy WebLinkAboutAgenda 04-16-24; 8-e - Approval of Transit Certifications & Assurances 1
ORANGE COUNTY
BOARD OF COMMISSIONERS
ACTION AGENDA ITEM ABSTRACT
Meeting Date: April 16, 2024
Action Agenda
Item No. 8-e
SUBJECT: Approval of Transit Certifications & Assurances
DEPARTMENT: Orange County Transportation Services (OCTS)
ATTACHMENT(S): INFORMATION CONTACT:
1. FY 2024 Federal Certifications & Jamael Wiley, Transit Operations
Assurances Planning Manager, (919) 245-2006
2. FY 2025 Certifications & Restrictions
on Lobbying
3. FY 2025 Equivalent Service
Certification
4. FY 2025 Special Section 5333(b)
Warranty
PURPOSE: To approve the Federal Certifications & Assurances and other documents required
by the Federal Transit Administration (FTA) for Orange County transit.
BACKGROUND: Each year, the Federal Transit Administration (FTA) is authorized to consolidate
the Certifications and Assurances required by federal law or regulations. The Fiscal Year (FY)
2024 Federal Certifications & Assurances (Attachment 1) were recently released for local
approval. The Federal FY is from October to September, while the State FY is from July to June.
Orange County Transportation Services last updated the County's transit Federal Certification and
Assurances in March 2022 for FY 2023. Staff will update these on an annual basis going forward,
along with the following Fiscal Year (Attachments 2 — 4) documents as required by FTA
Orange County Public Transit, as an applicant for Federal Transit program grant assistance, must
submit to FTA annually a list of all Certifications and Assurances that must be made by applicants
to its financial assistance programs (49 U.S.C. 5323(n)). The attachments contain the
Certifications and Assurances that apply.
Funding applicants must certify every category that applies to both the applicant and the
applications submitted in the fiscal year or certify all activities at once. FTA will not enforce
provisions of a certification that do not apply to the applicant or award.
In addition to the Federal Certifications and Assurances, the FY 2025 application package also
requires State certifications. Included in the State package are the Certifications and Restrictions
on Lobbying, Special Section 5333(b) Warranty, and the Certification of Equivalent Service
applicable when 1) purchasing a non-lift equipped vehicle, or 2) a fleet includes non-lift equipped
vehicles. The Certification of Equivalent Service does not apply to applicants who do not have a
fleet of vehicles.
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The documents provide Applicants for Federal Transit Grant Funds with the details for the Forms,
Assurances, and Certifications associcated with preparing and submitting Federal Transit
Program Grant Applications. Federal Transit Grant Program Applicants complete and attest to
these Forms, Assurances, and Certications for submission into the North Carolina Enterprise
Business Services (EBS) system.
FINANCIAL IMPACT: There is no financial impact associated with this item.
SOCIAL JUSTICE IMPACT: The following Orange County Social Justice Goals are applicable
to this item:
• GOAL: FOSTER A COMMUNITY CULTURE THAT REJECTS OPPRESSION AND
INEQUITY
The fair treatment and meaningful involvement of all people regardless of race or color;
religious or philosophical beliefs; sex, gender, or sexual orientation; national origin or ethnic
background; age; military service; disability; and familial, residential, or economic status.
• GOAL: ENSURE ECONOMIC SELF-SUFFICIENCY
The creation and preservation of infrastructure, policies, programs, and funding necessary
for residents to provide shelter, food, clothing and medical care for themselves and their
dependents.
ENVIRONMENTAL IMPACT: The following Orange County Environmental Goal impact is
applicable to this item:
• CLEAN OR AVOIDED TRANSPORTATION
Implement programs that monitor and improve local and regional air quality by 1) promoting
public transportation options; 2) decreasing dependence on single-occupancy vehicles,
and 3) otherwise minimizing the need for travel.
RECOMMENDATION(S): The Manager recommends the Board approve and authorize the Chair
and staff as necessary to sign the Federal Certifications & Assurances and other documents
required by the FTA for Orange County transit (Attachments 1 — 4).
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Certifications and Assurances Fiscal Year 2024
Not every provision of every certification will apply to every applicant or award. If a provision
of a certification does not apply to the applicant or its award, FTA will not enforce that
provision.
Text in italic is guidance to the public. It does not have the force and effect of law, and is not
meant to bind the public in any way. It is intended only to provide clarity to the public regarding
existing requirements under the law or agency policies.
CATEGORY 1. CERTIFICATIONS AND ASSURANCES REQUIRED OF EVERY
APPLICANT.
All applicants must make the certifications in this category.
1.1. Standard Assurances.
The certifications in this subcategory appear as part of the applicant's registration or annual
registration renewal in the System for Award Management(SAM.gov) and on the Office of
Management and Budget's standard form 424B "Assurances—Non-Construction Programs".
This certification has been modified in places to include analogous certifications required by
U.S. DOT statutes or regulations.
As the duly authorized representative of the applicant, you certify that the applicant:
(a) Has the legal authority to apply for Federal assistance and the institutional, managerial
and financial capability(including funds sufficient to pay the non-Federal share of project
cost)to ensure proper planning, management and completion of the project described in
this application.
(b) Will give the awarding agency, the Comptroller General of the United States and, if
appropriate, the State, through any authorized representative, access to and the right to
examine all records,books,papers, or documents related to the award; and will establish
a proper accounting system in accordance with generally accepted accounting standards
or agency directives.
(c) Will establish safeguards to prohibit employees from using their positions for a purpose
that constitutes or presents the appearance of personal or organizational conflict of
interest, or personal gain.
(d) Will initiate and complete the work within the applicable time frame after receipt of
approval of the awarding agency.
(e) Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. §§ 4728-
4763) relating to prescribed standards for merit systems for programs funded under one
of the 19 statutes or regulations specified in Appendix A of OPM's Standards for a Merit
System of Personnel Administration(5 CFR 900, Subpart F).
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Certifications and Assurances Fiscal Year 2024
(f) Will comply with all Federal statutes relating to nondiscrimination. These include but are
not limited to:
(1) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin, as effectuated by U.S.
DOT regulation 49 CFR Part 21;
(2) Title IX of the Education Amendments of 1972, as amended(20 U.S.C. §§ 1681-
1683, and 1685-1686), which prohibits discrimination on the basis of sex, as
effectuated by U.S. DOT regulation 49 CFR Part 25;
(3) Section 5332 of the Federal Transit Law (49 U.S.C. § 5332), which prohibits any
person being excluded from participating in, denied a benefit of, or discriminated
against under, a project, program, or activity receiving financial assistance from
FTA because of race, color, religion, national origin, sex, disability, or age.
(4) Section 504 of the Rehabilitation Act of 1973, as amended(29 U.S.C. § 794),
which prohibits discrimination on the basis of handicaps, as effectuated by U.S.
DOT regulation 49 CFR Part 27;
(5) The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101-6107),
which prohibits discrimination on the basis of age;
(6) The Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended,
relating to nondiscrimination on the basis of drug abuse;
(7) The comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or alcoholism;
(8) Sections 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§ 290
dd-3 and 290 ee-3), as amended, relating to confidentiality of alcohol and drug
abuse patient records;
(9) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§ 3601 et seq.), as
amended, relating to nondiscrimination in the sale, rental, or financing of housing;
(10) Any other nondiscrimination provisions in the specific statute(s)under which
application for Federal assistance is being made; and,
(11) the requirements of any other nondiscrimination statute(s) which may apply to the
application.
(g) Will comply, or has already complied, with the requirements of Titles II and III of the
Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970
("Uniform Act") (P.L. 91-646) which provide for fair and equitable treatment of persons
displaced or whose property is acquired as a result of Federal or federally-assisted
programs. These requirements apply to all interests in real property acquired for project
purposes regardless of Federal participation in purchases. The requirements of the
Uniform Act are effectuated by U.S. DOT regulation 49 CFR Part 24.
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(h) Will comply, as applicable,with provisions of the Hatch Act(5 U.S.C. §§ 1501-1508
and 73247328)which limit the political activities of employees whose principal
employment activities are funded in whole or in part with Federal funds.
(i) Will comply, as applicable, with the provisions of the Davis—Bacon Act(40 U.S.C.
§§ 276a to 276a-7), the Copeland Act(40 U.S.C. § 276c and 18 U.S.C. § 874), and the
Contract Work Hours and Safety Standards Act(40 U.S.C. §§ 327-333), regarding labor
standards for federally assisted construction subagreements.
(j) Will comply, if applicable, with flood insurance purchase requirements of Section 102(a)
of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in a
special flood hazard area to participate in the program and to purchase flood insurance if
the total cost of insurable construction and acquisition is $10,000 or more.
(k) Will comply with environmental standards which may be prescribed pursuant to the
following:
(1) Institution of environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order(EO)
11514;
(2) Notification of violating facilities pursuant to EO 11738;
(3) Protection of wetlands pursuant to EO 11990;
(4) Evaluation of flood hazards in floodplains in accordance with EO 11988;
(5) Assurance of project consistency with the approved State management program
developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451
et seq.);
(6) Conformity of Federal actions to State (Clean Air) Implementation Plans under
Section 176(c) of the Clean Air Act of 1955, as amended(42 U.S.C. §§ 7401 et
seq.);
(7) Protection of underground sources of drinking water under the Safe Drinking
Water Act of 1974, as amended(P.L. 93-523); and
(8) Protection of endangered species under the Endangered Species Act of 1973, as
amended(P.L. 93-205).
(1) Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§ 1271 et seq.)
related to protecting components or potential components of the national wild and scenic
rivers system.
(m) Will assist the awarding agency in assuring compliance with Section 106 of the National
Historic Preservation Act of 1966, as amended (16 U.S.C. § 470), EO 11593
(identification and protection of historic properties), and the Archaeological and Historic
Preservation Act of 1974 (16 U.S.C. §§ 469a-1 et seq.).
(n) Will comply with P.L. 93-348 regarding the protection of human subjects involved in
research, development, and related activities supported by this award of assistance.
(o) Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended,
7 U.S.C. §§ 2131 et seq.)pertaining to the care, handling, and treatment of warm blooded
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animals held for research, teaching, or other activities supported by this award of
assistance.
(p) Will comply with the Lead-Based Paint Poisoning Prevention Act(42 U.S.C. §§ 4801 et
seq.) which prohibits the use of lead-based paint in construction or rehabilitation of
residence structures.
(q) Will cause to be performed the required financial and compliance audits in accordance
with the Single Audit Act Amendments of 1996 and 2 CFR Part 200, Subpart F, "Audit
Requirements", as adopted and implemented by U.S. DOT at 2 CFR Part 1201.
(r) Will comply with all applicable requirements of all other Federal laws, executive orders,
regulations, and policies governing the program under which it is applying for assistance.
(s) Will comply with the requirements of Section 106(g) of the Trafficking Victims
Protection Act (TVPA) of 2000, as amended(22 U.S.C. § 7104)which prohibits grant
award recipients or a subrecipient from:
(1) Engaging in severe forms of trafficking in persons during the period of time that
the award is in effect;
(2) Procuring a commercial sex act during the period of time that the award is in
effect; or
(3) Using forced labor in the performance of the award or subawards under the
award.
1.2. Standard Assurances: Additional Assurances for Construction Projects.
This certification appears on the Office of Management and Budget's standard form 424D
"Assurances—Construction Programs"and applies specifically to federally assisted projects for
construction. This certification has been modified in places to include analogous certifications
required by U.S. DOT statutes or regulations.
As the duly authorized representative of the applicant, you certify that the applicant:
(a) Will not dispose of, modify the use of, or change the terms of the real property title or
other interest in the site and facilities without permission and instructions from the
awarding agency; will record the Federal awarding agency directives; and will include a
covenant in the title of real property acquired in whole or in part with Federal assistance
funds to assure nondiscrimination during the useful life of the project.
(b) Will comply with the requirements of the assistance awarding agency with regard to the
drafting, review, and approval of construction plans and specifications.
(c) Will provide and maintain competent and adequate engineering supervision at the
construction site to ensure that the complete work confirms with the approved plans and
specifications, and will furnish progressive reports and such other information as may be
required by the assistance awarding agency or State.
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1.3. Procurement.
The Uniform Administrative Requirements, 2 CFR§200.325, allow a recipient to self-certify
that its procurement system complies with Federal requirements, in lieu of submitting to certain
pre procurement reviews.
The applicant certifies that its procurement system complies with:
(a) 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,particularly 2
CFR §§ 200.317-200.327 "Procurement Standards;
(b) Federal laws, regulations, and requirements applicable to FTA procurements; and
(c) The latest edition of FTA Circular 4220.1 and other applicable Federal guidance.
1.4. Suspension and Debarment.
Pursuant to Executive Order 12549, as implemented at 2 CFR Parts 180 and 1200,prior to
entering into a covered transaction with an applicant, FTA must determine whether the applicant
is excluded from participating in covered non procurement transactions. For this purpose, FTA
is authorized to collect a certification from each applicant regarding the applicant's exclusion
status. 2 CFR§180.300. Additionally, each applicant must disclose any information required by
2 CFR§180.335 about the applicant and the applicant's principals prior to entering into an
award agreement with FTA. This certification serves both purposes.
The applicant certifies, to the best of its knowledge and belief, that the applicant and each of its
principals:
(a) Is not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily or involuntarily excluded from covered transactions by any Federal
department or agency;
(b) Has not, within the preceding three years, been convicted of or had a civil judgment
rendered against him or her for commission of fraud or a criminal offense in connection
with obtaining, attempting to obtain, or performing a public or private agreement or
transaction; violation of Federal or State antitrust statutes, including those proscribing
price fixing between competitors, allocation of customers between competitors, and bid
rigging; commission of embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements, tax evasion, receiving stolen property, making false
claims, or obstruction of justice; or commission of any other offense indicating a lack of
business integrity or business honesty;
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(c) Is not presently indicted for or otherwise criminally or civilly charged by a governmental
entity(Federal, State, or local)with commission of any offense described in paragraph
(b) of this certification;
(d) Has not, within the preceding three years, had one or more public transactions (Federal,
State, or local) terminated for cause or default.
1.5. Coronavirus Response and Relief Supplemental Appropriations Act, 2021, and
CARES Act Funding.
The applicant certifies:
(a) To the maximum extent possible, funds made available under title IV of division M of the
Consolidated Appropriations Act, 2021 (Public Law 116-260), and in title XII of division
B of the CARES Act(Public Law 116-136; 134 Stat. 599) shall be directed to payroll
and operations of public transit (including payroll and expenses of private providers of
public transportation); or
(b) The applicant certifies that the applicant has not furloughed any employees.
1.6. American Rescue Plan Act Funding.
The applicant certifies:
(a) Funds made available by Section 3401(a)(2)(A) of the American Rescue Plan Act of
2021 (Public Law 117-2) shall be directed to payroll and operations of public
transportation(including payroll and expenses of private providers of public
transportation); or
(b) The applicant certifies that the applicant has not furloughed any employees.
CATEGORY 2. PUBLIC TRANSPORTATION AGENCY SAFETY PLANS
This certification is required of each applicant under the Urbanized Area Formula Grants
Program (49 U.S.C. §5307), each rail operator that is subject to FTA's state safety oversight
programs, and each State that is required to draft and certify a Public Transportation Agency
Safety Plan on behalf of a Small Public Transportation Provider (as that term is defined at 49
CFR§ 673.5)pursuant to 49 CFR§ 673.11(d).
This certification is required by 49 U.S.C. §5307(c)(1)(L), 49 U.S.C. §5329(d)(1), and 49 CFR
§ 673.13. This certification is a condition of receipt of Urbanized Area Formula Grants Program
(49 U.S.G. §5307)funding.
This certification does not apply to any applicant that only receives financial assistance from
FTA under the Formula Grants for the Enhanced Mobility of Seniors Program (49 U.S.C.
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Certifications and Assurances Fiscal Year 2024
§5310), the Formula Grants for Rural Areas Program (49 U.S.C. §5311), or combination of
these two programs, unless it operates a rail fixed guideway public transportation system.
If the applicant is an operator, the applicant certifies that it has established a Public
Transportation Agency Safety Plan meeting the requirements of 49 U.S.C. § 5329(d)(1) and
49 CFR Part 673; including, specifically, that the board of directors (or equivalent entity) of the
applicant has approved, or, in the case of an applicant that will apply for assistance under 49
U.S.C. § 5307 that is serving an urbanized area with a population of 200,000 or more, the safety
committee of the entity established under 49 U.S.C. § 5329(d)(5), followed by the board of
directors (or equivalent entity) of the applicant has approved, the Public Transportation Agency
Safety Plan or any updates thereto; and, for each recipient serving an urbanized area with a
population of fewer than 200,000, that the Public Transportation Agency Safety Plan has been
developed in cooperation with frontline employee representatives.
If the applicant is a State that drafts and certifies a Public Transportation Agency Safety Plan on
behalf of a public transportation operator, the applicant certifies that:
(a) It has drafted and certified a Public Transportation Agency Safety Plan meeting the
requirements of 49 U.S.C. § 5329(d)(1) and 49 CFR Part 673 for each Small Public
Transportation Provider(as that term is defined at 49 CFR § 673.5) in the State,unless
the Small Public Transportation Provider provided notification to the State that it was
opting out of the State-drafted plan and drafting its own Public Transportation Agency
Safety Plan; and
(b) Each Small Public Transportation Provider within the State that opts to use a State-
drafted Public Transportation Agency Safety Plan has a plan that has been approved by
the provider's Accountable Executive (as that term is defined at 49 CFR § 673.5), Board
of Directors or Equivalent Authority(as that term is defined at 49 CFR § 673.5), and, if
the Small Public Transportation Provider serves an urbanized area with a population of
200,000 or more, the safety committee of the Small Public Transportation Provider
established under 49 U.S.C. § 5329(d)(5).
CATEGORY 3. TAX LIABILITY AND FELONY CONVICTIONS.
If the applicant is a business association (regardless of for profit, not for profit, or tax exempt
status), it must make this certification. Federal appropriations acts since at least 2014 have
prohibited FTA from using funds to enter into an agreement with any corporation that has
unpaid Federal tax liabilities or recent felony convictions without first considering the
corporation for debarment. E.g., Consolidated Appropriations Act, 2023, Pub. L. 117-328,
div. E, tit. VII, §§ 744-745. U.S. DOT Order 4200.6 defines a "corporation"as "any private
corporation,partnership, trust,joint-stock company, sole proprietorship, or other business
association", and applies the restriction to all tiers of subawards. As prescribed by U.S. DOT
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Order 4200.6, FTA requires each business association applicant to certify as to its tax and
felony status.
If the applicant is a private corporation,partnership, trust,joint-stock company, sole
proprietorship, or other business association, the applicant certifies that:
(a) It has no unpaid Federal tax liability that has been assessed, for which all judicial and
administrative remedies have been exhausted or have lapsed, and that is not being paid in
a timely manner pursuant to an agreement with the authority responsible for collecting
the tax liability; and
(b) It has not been convicted of a felony criminal violation under any Federal law within the
preceding 24 months.
CATEGORY 4. LOBBYING.
If the applicant will apply for a grant or cooperative agreement exceeding$100,000, or a loan,
line of credit, loan guarantee, or loan insurance exceeding$150,000, it must make the following
certification and, if applicable, make a disclosure regarding the applicant's lobbying activities.
This certification is required by 49 CFR§20.110 and app. A to that part.
This certification does not apply to an applicant that is an Indian Tribe, Indian organization, or
an Indian tribal organization exempt from the requirements of 49 CFR Part 20.
4.1. Certification for Contracts, Grants,Loans, and Cooperative Agreements.
The undersigned certifies, to the best of his or her knowledge and belief, that:
(a) No Federal 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 an agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any Federal loan, the entering
into of any cooperative agreement, and the extension, continuation, renewal, amendment,
or modification of any Federal contract, grant, loan, or cooperative agreement.
(b) If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member
of Congress in connection with this Federal 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.
(c) The undersigned shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants, and
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contracts under grants, loans, and cooperative agreements) and that all subrecipients shall
certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by section 1352, title 31, U.S. Code. 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.
4.2. Statement for Loan Guarantees and Loan Insurance.
The undersigned states, to the best of his or her knowledge and belief, that:
If any funds have been paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress, an officer or employee
of Congress, or an employee of a Member of Congress in connection with this commitment
providing for the United States to insure or guarantee a loan, the undersigned shall complete and
submit Standard Form-LLL, "Disclosure Form to Report Lobbying,"in accordance with its
instructions.
Submission of this statement is a prerequisite for making or entering into this transaction
imposed by section 1352, title 31,U.S. Code. Any person who fails to file the required statement
shall be subject to a civil penalty of not less than $10,000 and not more than$100,000 for each
such failure.
CATEGORY 5. PRIVATE SECTOR PROTECTIONS.
If the applicant will apply for funds that it will use to acquire or operate public transportation
facilities or equipment, the applicant must make the following certification regarding protections
for the private sector.
5.1. Charter Service Agreement.
To enforce the provisions of 49 U.S.C. §5323(d), FTA's charter service regulation requires each
applicant seeking assistance from FTA for the purpose of acquiring or operating any public
transportation equipment or facilities to make the following Charter Service Agreement. 49 CFR
§ 604.4.
The applicant agrees that it, and each of its subrecipients, and third party contractors at any level
who use FTA-funded vehicles, may provide charter service using equipment or facilities
acquired with Federal assistance authorized under the Federal Transit Laws only in compliance
with the regulations set out in 49 CFR Part 604, the terms and conditions of which are
incorporated herein by reference.
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5.2. School Bus Agreement.
To enforce the provisions of 49 U.S.C. §53230, FTA's school bus regulation requires each
applicant seeking assistance from FTA for the purpose of acquiring or operating any public
transportation equipment or facilities to make the following agreement regarding the provision
of school bus services. 49 CFR§ 605.15.
(a) If the applicant is not authorized by the FTA Administrator under 49 CFR § 605.11 to
engage in school bus operations, the applicant agrees and certifies as follows:
(1) The applicant and any operator of project equipment agrees that it will not engage
in school bus operations in competition with private school bus operators.
(2) The applicant agrees that it will not engage in any practice which constitutes a
means of avoiding the requirements of this agreement, part 605 of the Federal
Mass Transit Regulations, or section 164(b) of the Federal-Aid Highway Act of
1973 (49 U.S.C. 1602a(b)).
(b) If the applicant is authorized or obtains authorization from the FTA Administrator to
engage in school bus operations under 49 CFR § 605.11, the applicant agrees as follows:
(1) The applicant agrees that neither it nor any operator of project equipment will
engage in school bus operations in competition with private school bus operators
except as provided herein.
(2) The applicant, or any operator of project equipment, agrees to promptly notify the
FTA Administrator of any changes in its operations which might jeopardize the
continuation of an exemption under § 605.11.
(3) The applicant agrees that it will not engage in any practice which constitutes a
means of avoiding the requirements of this agreement, part 605 of the Federal
Transit Administration regulations or section 164(b) of the Federal-Aid Highway
Act of 1973 (49 U.S.C. 1602a(b)).
(4) The applicant agrees that the project facilities and equipment shall be used for the
provision of mass transportation services within its urban area and that any other
use of project facilities and equipment will be incidental to and shall not interfere
with the use of such facilities and equipment in mass transportation service to the
public.
CATEGORY 6. TRANSIT ASSET MANAGEMENT PLAN.
If the applicant owns, operates, or manages capital assets used to provide public transportation,
the following certification is required by 49 U.S.C. §5326(a).
The applicant certifies that it is in compliance with 49 CFR Part 625.
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CATEGORY 7. ROLLING STOCK BUY AMERICA REVIEWS AND BUS TESTING.
7.1. Rolling Stock Buy America Reviews.
If the applicant will apply for an award to acquire rolling stock for use in revenue service, it
must make this certification. This certification is required by 49 CFR§ 663.7.
The applicant certifies that it will conduct or cause to be conducted the pre-award and post-
delivery audits prescribed by 49 CFR Part 663 and will maintain on file the certifications
required by Subparts B, C, and D of 49 CFR Part 663.
7.2. Bus Testing.
If the applicant will apply for funds for the purchase or lease of any new bus model, or any bus
model with a major change in configuration or components, the applicant must make this
certification. This certification is required by 49 CFR§665.7.
The applicant certifies that the bus was tested at the Bus Testing Facility and that the bus
received a passing test score as required by 49 CFR Part 665. The applicant has received or will
receive the appropriate full Bus Testing Report and any applicable partial testing reports before
final acceptance of the first vehicle.
CATEGORY 8. URBANIZED AREA FORMULA GRANTS PROGRAM.
If the applicant will apply for an award under the Urbanized Area Formula Grants Program
(49 U.S.C. §5307), or any other program or award that is subject to the requirements of
49 U.S.C. §5307, including the Formula Grants for the Enhanced Mobility of Seniors Program
(49 U.S.C. §5310); `flex funds"from infrastructure programs administered by the Federal
Highways Administration (see 49 U.S.C. §5334(i));projects that will receive an award
authorized by the Transportation Infrastructure Finance and Innovation Act("TIFIA')
(23 U.S.C. §§601-609) or State Infrastructure Bank Program (23 U.S.C. § 610) (see 49 U.S.C.
§5323(0));formula awards or competitive awards to urbanized areas under the Grants for
Buses and Bus Facilities Program (49 U.S.C. §5339(a) and(b)); or low or no emission awards
to any area under the Grants for Buses and Bus Facilities Program (49 U.S.C. §5339(c)), the
applicant must make the following certification. This certification is required by 49 U.S.C.
§5307(c)(1).
The applicant certifies that it:
(a) Has or will have the legal, financial, and technical capacity to carry out the program of
projects (developed pursuant 49 U.S.C. § 5307(b)), including safety and security aspects
of the program;
(b) Has or will have satisfactory continuing control over the use of equipment and facilities;
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Certifications and Assurances Fiscal Year 2024
(c) Will maintain equipment and facilities in accordance with the applicant's transit asset
management plan;
(d) Will ensure that, during non-peak hours for transportation using or involving a facility or
equipment of a project financed under this section, a fare that is not more than 50 percent
of the peak hour fare will be charged for any—
(1) Senior;
(2) 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), cannot use a public
transportation service or a public transportation facility effectively without special
facilities,planning, or design; and
(3) Individual presenting a Medicare card issued to that individual under title II or
XVIII of the Social Security Act(42 U.S.C. §§ 401 et seq., and 1395 et seq.);
(e) In carrying out a procurement under 49 U.S.C. § 5307, will comply with 49 U.S.G.
§§ 5323 (general provisions) and 5325 (contract requirements);
(f) Has complied with 49 U.S.C. § 5307(b) (program of projects requirements);
(g) Has available and will provide the required amounts as provided by 49 U.S.C. § 5307(d)
(cost sharing);
(h) Will comply with 49 U.S.C. §§ 5303 (metropolitan transportation planning) and 5304
(statewide and nonmetropolitan transportation planning);
(i) Has a locally developed process to solicit and consider public comment before raising a
fare or carrying out a major reduction of transportation;
(j) Either—
(1) Will expend for each fiscal year for public transportation security projects,
including increased lighting in or adjacent to a public transportation system
(including bus stops, subway stations,parking lots, and garages), increased
camera surveillance of an area in or adjacent to that system, providing an
emergency telephone line to contact law enforcement or security personnel in an
area in or adjacent to that system, and any other project intended to increase the
security and safety of an existing or planned public transportation system, at least
1 percent of the amount the recipient receives for each fiscal year under 49 U.S.C.
§ 5336; or
(2) Has decided that the expenditure for security projects is not necessary;
(k) In the case of an applicant for an urbanized area with a population of not fewer than
200,000 individuals, as determined by the Bureau of the Census,will submit an annual
report listing projects carried out in the preceding fiscal year under 49 U.S.C. § 5307 for
associated transit improvements as defined in 49 U.S.C. § 5302; and
(1) Will comply with 49 U.S.C. § 5329(d) (public transportation agency safety plan).
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Certifications and Assurances Fiscal Year 2024
CATEGORY 9. FORMULA GRANTS FOR RURAL AREAS.
If the applicant will apply for funds made available to it under the Formula Grants for Rural
Areas Program (49 U.S.C. §5311), it must make this certification. Paragraph (a) of this
certification helps FTA make the determinations required by 49 U.S.C. §5310(b)(2)(C).
Paragraph (b) of this certification is required by 49 U.S.C. §53110(2). Paragraph (c) of this
certification, which applies to funds apportioned for the Appalachian Development Public
Transportation Assistance Program, is necessary to enforce the conditions of 49 U.S.C.
§5311(c)(2)(D).
(a) The applicant certifies that its State program for public transportation service projects,
including agreements with private providers for public transportation service
(1) Provides a fair distribution of amounts in the State, including Indian reservations;
and
(2) Provides the maximum feasible coordination of public transportation service
assisted under 49 U.S.C. § 5311 with transportation service assisted by other
Federal sources; and
(b) If the applicant will in any fiscal year expend less than 15% of the total amount made
available to it under 49 U.S.C. § 5311 to carry out a program to develop and support
intercity bus transportation, the applicant certifies that it has consulted with affected
intercity bus service providers, and the intercity bus service needs of the State are being
met adequately.
(c) If the applicant will use for a highway project amounts that cannot be used for operating
expenses authorized under 49 U.S.C. § 5311(c)(2) (Appalachian Development Public
Transportation Assistance Program), the applicant certifies that—
(1) It has approved the use in writing only after providing appropriate notice and an
opportunity for comment and appeal to affected public transportation providers;
and
(2) It has determined that otherwise eligible local transit needs are being addressed.
CATEGORY 10. FIXED GUIDEWAY CAPITAL INVESTMENT GRANTS AND THE
EXPEDITED PROJECT DELIVERY FOR CAPITAL INVESTMENT GRANTS
PILOT PROGRAM.
If the applicant will apply for an award under any subsection of the Fixed Guideway Capital
Investment Program (49 U.S.C. §5309), including an award made pursuant to the FAST Act's
Expedited Project Delivery for Capital Investment Grants Pilot Program (Pub. L. 114-94, div. A,
title III, §3005(b)), the applicant must make the following certification. This certification is
required by 49 U.S.C. §5309(c)(2) and Pub. L. 114-94, div. A, title III, §3005(b)(3)(B).
The applicant certifies that it:
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Certifications and Assurances Fiscal Year 2024
(a) 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) Has or will have satisfactory continuing control over the use of equipment and facilities
acquired or improved under its Award.
(c) Will maintain equipment and facilities acquired or improved under its Award in
accordance with its transit asset management plan; and
(d) Will comply with 49 U.S.C. §§ 5303 (metropolitan transportation planning) and 5304
(statewide and nonmetropolitan transportation planning).
CATEGORY 11. GRANTS FOR BUSES AND BUS FACILITIES AND LOW OR NO
EMISSION VEHICLE DEPLOYMENT GRANT PROGRAMS.
If the applicant is in an urbanized area and will apply for an award under subsection (a)
(formula grants), subsection (b) (buses and bus facilities competitive grants), or subsection (c)
(low or no emissions grants) of the Grants for Buses and Bus Facilities Program (49 U.S.C.
§5339), the applicant must make the certification in Category 8 for Urbanized Area Formula
Grants (49 U.S.C. §5307). This certification is required by 49 U.S.C. §5339(a)(3), (b)(6), and
(c)(3), respectively.
If the applicant is in a rural area and will apply for an award under subsection (a) (formula
grants), subsection (b) (bus and bus facilities competitive grants), or subsection (c) (low or no
emissions grants) of the Grants for Buses and Bus Facilities Program (49 U.S.C. §5339), the
applicant must make the certification in Category 9 for Formula Grants for Rural Areas
(49 U.S.C. §5311). This certification is required by 49 U.S.C. §5339(a)(3), (b)(6), and(c)(3),
respectively.
Making this certification will incorporate by reference the applicable certifications in
Category 8 or Category 9.
If the applicant will receive a competitive award under subsection (b) (buses and bus facilities
competitive grants), or subsection (c) (low or no emissions grants) of the Grants for Buses and
Bus Facilities Program (49 U.S.C. §5339) related to zero emissions vehicles or related
infrastructure, it must make the following certification. This certification is required by 49
U.S.C. §5339(d).
The applicant will use 5 percent of grants related to zero emissions vehicles (as defined in
subsection (c)(1)) or related infrastructure under subsection(b) or(c)to fund workforce
development training as described in section 49 U.S.C. § 5314(b)(2) (including registered
apprenticeships and other labor-management training programs)under the recipient's plan to
address the impact of the transition to zero emission vehicles on the applicant's current
workforce; or the applicant certifies a smaller percentage is necessary to carry out that plan.
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Certifications and Assurances Fiscal Year 2024
CATEGORY 12. ENHANCED MOBILITY OF SENIORS AND INDIVIDUALS WITH
DISABILITIES PROGRAMS.
If the applicant will apply for an award under the Formula Grants for the Enhanced Mobility of
Seniors and Individuals with Disabilities Program (49 U.S.C. §5310), it must make the
certification in Category 8 for Urbanized Area Formula Grants (49 U.S.C. §5307). This
certification is required by 49 U.S.C. §5310(e)(1). Making this certification will incorporate by
reference the certification in Category 8, except that FTA has determined that(d), 69, (i), 6), and
(k) of Category 8 do not apply to awards made under 49 U.S.C. §5310 and will not be enforced.
In addition to the certification in Category 8, the applicant must make the following certification
that is specific to the Formula Grants for the Enhanced Mobility of Seniors and Individuals with
Disabilities Program. This certification is required by 49 U.S.C. §5310(e)(2).
The applicant certifies that:
(a) The projects selected by the applicant are included in a locally developed, coordinated
public transit-human services transportation plan;
(b) The plan described in clause (a) was developed and approved through a process that
included participation by seniors, individuals with disabilities, representatives of public,
private, and nonprofit transportation and human services providers, and other members of
the public;
(c) To the maximum extent feasible, the services funded under 49 U.S.C. § 5310 will be
coordinated with transportation services assisted by other Federal departments and
agencies, including any transportation activities carried out by a recipient of a grant from
the Department of Health and Human Services; and
(d) If the applicant will allocate funds received under 49 U.S.C. § 5310 to subrecipients, it
will do so on a fair and equitable basis.
CATEGORY 13. STATE OF GOOD REPAIR GRANTS.
If the applicant will apply for an award under FTA's State of Good Repair Grants Program
(49 U.S.C. §5337), it must make the following certification. Because FTA generally does not
review the transit asset management plans of public transportation providers, the asset
management certification is necessary to enforce the provisions of 49 U.S.C. §5337(a)(4). The
certification with regard to acquiring restricted rail rolling stock is required by 49 U.S.C.
§5323(u)(4). Note that this certification is not limited to the use of Federal funds.
The applicant certifies that the projects it will carry out using assistance authorized by the State
of Good Repair Grants Program, 49 U.S.C. § 5337, are aligned with the applicant's most recent
transit asset management plan and are identified in the investment and prioritization section of
such plan, consistent with the requirements of 49 CFR Part 625.
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Certifications and Assurances Fiscal Year 2024
If the applicant operates a rail fixed guideway service, the applicant certifies that, in the fiscal
year for which an award is available to the applicant under the State of Good Repair Grants
Program, 49 U.S.C. § 5337, the applicant will not award any contract or subcontract for the
procurement of rail rolling stock for use in public transportation with a rail rolling stock
manufacturer described in 49 U.S.C. § 5323(u)(1).
CATEGORY 14. INFRASTRUCTURE FINANCE PROGRAMS.
If the applicant will apply for an award for a project that will include assistance under the
Transportation Infrastructure Finance and Innovation Act("T/FIA') Program (23 U.S.C.
§§ 601-609) or the State Infrastructure Banks ("SIB')Program (23 U.S.C. §610), it must make
the certifications in Category 8 for the Urbanized Area Formula Grants Program, Category 10
for the Fixed Guideway Capital Investment Grants program, and Category 13 for the State of
Good Repair Grants program. These certifications are required by 49 U.S.C. §5323(o).
Making this certification will incorporate the certifications in Categories 8, 10, and 13 by
reference.
CATEGORY 15. ALCOHOL AND CONTROLLED SUBSTANCES TESTING.
If the applicant will apply for an award under FTA's Urbanized Area Formula Grants Program
(49 U.S.C. §5307), Fixed Guideway Capital Investment Program (49 U.S.C. §5309), Formula
Grants for Rural Areas Program (49 U.S.C. §5311), or Grants for Buses and Bus Facilities
Program (49 U.S.C. §5339)programs, the applicant must make the following certification. The
applicant must make this certification on its own behalf and on behalf of its subrecipients and
contractors. This certification is required by 49 CFR§ 655.83.
The applicant certifies that it, its subrecipients, and its contractors are compliant with FTA's
regulation for the Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations,
49 CFR Part 655.
CATEGORY 16. RAIL SAFETY TRAINING AND OVERSIGHT.
If the applicant is a State with at least one rail fixed guideway system, or is a State Safety
Oversight Agency, or operates a rail fixed guideway system, it must make the following
certification. The elements of this certification are required by 49 CFR§§ 672.31 and 674.39.
The applicant certifies that the rail fixed guideway public transportation system and the State
Safety Oversight Agency for the State are:
(a) Compliant with the requirements of 49 CFR Part 672, "Public Transportation Safety
Certification Training Program"; and
(b) Compliant with the requirements of 49 CFR Part 674, "Sate Safety Oversight".
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Certifications and Assurances Fiscal Year 2024
CATEGORY 17. DEMAND RESPONSIVE SERVICE.
If the applicant operates demand responsive service and will apply for an award to purchase a
non-rail vehicle that is not accessible within the meaning of 49 CFR Part 37, it must make the
following certification. This certification is required by 49 CFR§37.77.
The applicant certifies that the service it provides to individuals with disabilities is equivalent to
that provided to other persons. A demand responsive system, when viewed in its entirety, is
deemed to provide equivalent service if the service available to individuals with disabilities,
including individuals who use wheelchairs, is provided in the most integrated setting appropriate
to the needs of the individual and is equivalent to the service provided other individuals with
respect to the following service characteristics:
(a) Response time;
(b) Fares;
(c) Geographic area of service;
(d) Hours and days of service;
(e) Restrictions or priorities based on trip purpose;
(f) Availability of information and reservation capability; and
(g) Any constraints on capacity or service availability.
CATEGORY 18. INTEREST AND FINANCING COSTS.
If the applicant will pay for interest or other financing costs of a project using assistance
awarded under the Urbanized Area Formula Grants Program (49 U.S.C. §5307), the Fixed
Guideway Capital Investment Grants Program (49 U.S.C. §5309), or any program that must
comply with the requirements of 49 U.S.C. §5307, including the Formula Grants for the
Enhanced Mobility of Seniors Program (49 U.S.C. §5310), "flex funds"from infrastructure
programs administered by the Federal Highways Administration (see 49 U.S.C. §5334(i)), or
awards to urbanized areas under the Grants for Buses and Bus Facilities Program (49 U.S.C.
§5339), the applicant must make the following certification. This certification is required by
49 U.S.C. §§5307(e)(3) and 53 09(k)(2)(D).
The applicant certifies that:
(a) Its application includes the cost of interest earned and payable on bonds issued by the
applicant only to the extent proceeds of the bonds were or will be expended in carrying
out the project identified in its application; and
(b) The applicant has shown or will show reasonable diligence in seeking the most favorable
financing terms available to the project at the time of borrowing.
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Certifications and Assurances Fiscal Year 2024
CATEGORY 19. CYBERSECURITY CERTIFICATION FOR RAIL ROLLING STOCK
AND OPERATIONS.
If the applicant operates a rail fixed guideway public transportation system, it must make this
certification. This certification is required by 49 U.S.C. §5323(x). For information about
standards or practices that may apply to a rail fixed guideway public transportation system, visit
https://www.nist.gov/cyberframework and https://www.cisa.gov/.
The applicant certifies that it has established a process to develop, maintain, and execute a
written plan for identifying and reducing cybersecurity risks that complies with the requirements
of 49 U.S.C. § 5323(v)(2).
CATEGORY 20. PUBLIC TRANSPORTATION ON INDIAN RESERVATIONS
FORMULA AND DISCRETIONARY PROGRAM(TRIBAL TRANSIT
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 FAST Act, (Tribal Transit Programs), the applicant
must select the Certifications in Category 21, except as FTA determines otherwise in writing.
Tribal Transit Program applicants may certify to this Category and Category I (Certifications
and Assurances Required of Every Applicant) and need not make any other certification, to meet
Tribal Transit Program certification requirements. If an applicant will apply for any program in
addition to the Tribal Transit Program, additional certifications may be required.
FTA has established terms and conditions for Tribal Transit Program grants financed with
Federal assistance appropriated or made available under 49 U.S.C. § 531l(c)(1). The applicant
certifies 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 its transit asset management plan and consistent with FTA regulations,
"Transit Asset Management,"49 CFR Part 625. Its Award will achieve maximum
feasible coordination with transportation service financed by other federal sources.
(d) With respect to its procurement system:
(1) 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
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Certifications and Assurances Fiscal Year 2024
Principles, and Audit Requirements for Federal Awards,"2 CFR Part 200, for
Awards made on or after December 26, 2014,
(2) 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
(3) It will inform FTA promptly if its procurement system does not comply with
either of those U.S. DOT regulations.
(e) It will comply with the Certifications, Assurances, and Agreements in:
(1) Category 05.1 and 05.2 (Charter Service Agreement and School Bus Agreement),
(2) Category 06 (Transit Asset Management Plan),
(3) Category 07.1 and 07.2 (Rolling Stock Buy America Reviews and Bus Testing),
(4) Category 09 (Formula Grants for Rural Areas),
(5) Category 15 (Alcohol and Controlled Substances Testing), and
(6) Category 17 (Demand Responsive Service).
CATEGORY 21. EMERGENCY RELIEF PROGRAM.
An applicant to the Public Transportation Emergency Relief Program, 49 U.S.C. §5324, must
make the following certification. The certification is required by 49 U.S.C. §53240 and must be
made before the applicant can receive a grant under the Emergency Relief program.
The applicant certifies that the applicant has insurance required under State law for all structures
related to the emergency relief program grant application.
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Certifications and Assurances Fiscal Year 2024
FEDERAL FISCAL YEAR 2024 CERTIFICATIONS AND ASSURANCES FOR FTA
ASSISTANCE PROGRAMS
(Signature pages alternate to providing Certifications and Assurances in TrAMS.)
Name of Applicant:
The Applicant certifies to the applicable provisions of all categories: (check here)
Or,
The Applicant certifies to the applicable provisions of the categories it has selected:
Category Certification
01 Certifications and Assurances Required of Every Applicant
02 Public Transportation Agency Safety Plans
03 Tax Liability and Felony Convictions
04 Lobbying
05 Private Sector Protections
06 Transit Asset Management Plan
07 Rolling Stock Buy America Reviews and Bus Testing
08 Urbanized Area Formula Grants Program
09 Formula Grants for Rural Areas
10 Fixed Guideway Capital Investment Grants and the Expedited
Project Delivery for Capital Investment Grants Pilot Program
11 Grants for Buses and Bus Facilities and Low or No Emission
Vehicle Deployment Grant Programs
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Certifications and Assurances Fiscal Year 2024
12 Enhanced Mobility of Seniors and Individuals with Disabilities
Programs
13 State of Good Repair Grants
14 Infrastructure Finance Programs
15 Alcohol and Controlled Substances Testing
16 Rail Safety Training and Oversight
17 Demand Responsive Service
18 Interest and Financing Costs
19 Cybersecurity Certification for Rail Rolling Stock and
Operations
20 Tribal Transit Programs
21 Emergency Relief Program
CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE
AFFIRMATION OF APPLICANT
Name of the Applicant:
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 the federal fiscal year,irrespective of whether the individual that acted on his or
her Applicant's behalf continues to represent it.
The Certifications and Assurances the Applicant selects apply to each Award for which it now seeks,or may
later seek federal assistance to be awarded by FTA during the federal fiscal year.
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
2
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Certifications and Assurances Fiscal Year 2024
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.
Signature Date:
Name Authorized Representative of Applicant
AFFIRMATION OF APPLICANT'S ATTORNEY
For(Name of Applicant):
As the undersigned Attorney for the above-named Applicant,I hereby affirm to the Applicant that it has authority
under state,local,or tribal government law,as applicable,to make and comply with the Certifications and
Assurances as indicated on the foregoing pages.I further affirm that,in my opinion,the Certifications and
Assurances have been legally made and constitute legal and binding obligations on 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 validity of these Certifications and Assurances,or of the performance of its FTA
assisted Award.
Signature Date:
Name Attorney for Applicant
Each Applicant for federal assistance to be awarded by FTA must provide 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 TrAMS,provided the Applicant has on file and uploaded to TrAMS this hard-copy
Affirmation,signed by the attorney and dated this federal fiscal year.
3
25
Attachment 2
(Required of all Applicants)
CERTIFICATION AND RESTRICTIONS ON LOBBYING
I, Jamezetta Bedford, Chair,Orange County Board of County Commissioners , 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 of fact upon which reliance was placed when this transaction was made or
entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31
U.S.C. .§ 1352 (as amended by the Lobbying Disclosure Act of 1995).Any person who fails to file the required certification
shall be subject to a civil penalty of not less than$10,000 and not more than$100,000 for each such failure.
The undersigned certifies or affirms the truthfulness and accuracy of the contents of the statements submitted on or with
this certification and understands that the provisions of 31 U.S.C. Section 3801, et seq., are applicable thereto.
.......................................................................................
Signature of Authorized Official Affix Notary Seal Here
Seal Subscribed and sworn to me
(date)
Notary Public
Printed Name and Address ................................................................................................
My commission expires
(date)
26
Attachment 3
(Required of all Applicants that plan to procure inaccessible vehicles or have them in their fleet)
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
respectto:
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.
..................................................................................................
Signature of Authorized Official
Affix Notary Seal Here
Seal Subscribed and sworn to me
(date)
Notary Public
Printed Name and Address ...............................................................................................
My commission expires
(date)
27
Measuring and Monitoring Equivalency for a
General Public Demand Responsive Transportation Service
Criteria/Requirement Data and Analysis to Ensure Equivalency
Service provided within the geographical boundaries of Orange
Service Area County. Out-of-county service is provided to medical facilities with
a 10-mile radius of the geographical boundaries.
Next day service
Response Time
$3.00/per one way trip
Fares
Monday thru Friday 7:00 AM—5:00 PM
Days and Hours
General and Non-Emergency Medical Transportation
Trip Purposes
Capacity Constraints: None
Not Applicable
Trip Denials
None
Trip Caps
None
Waiting Lists
None
Missed Trips
87.3%
On-Time Performance
No more than 1-hour
Travel Time
28
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 Services
Transportation Services (Equivalency) (Comparable to Fixed Route)
Whatever policy you set. Same for everyone. Origin-to-destination
Type of Service (DTD v CTC)
Same as everyone else % of a mile of all non-commuter fixed routes
Service Area
Same as everyone else Next-day service
Response Time
Same for all 2 times base fixed route fare
Fares
Same for all All the fixed route hours
Days and Hours
Can set policy; same for all All trip purposes; no priorities
Trip Purpose
Same for all No capacity constraints
Capacity Constraints
Provide accessible information and Provide accessible information and
Information and Communication Access communications communications
FY 2025 Special Section 5333 (b) Warranty 29
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
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any 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.
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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
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
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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 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
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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 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.
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(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 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.
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(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.
(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
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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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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
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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 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.
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(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:
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
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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.
(15)(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 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.
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(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).
(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.
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(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 (21) 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
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
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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
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
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FY 2025 Special Section 5333 (b) Warranty 44
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
I, (Name and Title) Jamezetta Bedford, Chair, Orange County Board of County
Commissioners
(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.
Signature of Authorized Official Date
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