HomeMy WebLinkAboutDoc 235 - Fed Transit Admin Fund DocumentsDeschutes County Board of Commissioners
1300 NW Wall St., Suite 200, Bend, OR 97701-1960
(541) 388-6570 -Fax (541) 385-3202 -www.deschutes.org
AGENDA REQUEST & STAFF REPORT
For Board Business Meeting of May 29, 2013
DATE: May 7,2013
FROM: Judith Ure Administrative Services 541-330-4627
TITLE OF AGENDA ITEM:
Consideration and approval of Board Chair's signature on document #2013-235, certifications and
assurances required to receive Federal Transit Administration funds.
PUBLIC HEARING ON THIS DATE? No.
BACKGROUND AND POLICY IMPLICATIONS:
Each year, Deschutes County receives funds through the Oregon Department of Transportation
(ODOT) which are then distributed to local agencies primarily for the purpose of supporting
transportation services for the elderly and disabled. One source of this funding is the Federal Transit
Administration (FTA). In order for Deschutes County to receive FT A funds as a subrecipient of
ODOT, the Board of Commissioners must first sign and submit certain certifications and assurances
related to federal laws and regulations. Attached is a copy of the Certifications and Assurances
document required for FY 2013-14.
Signing and returning the Certifications and Assurances is the first of a multi-step contracting process.
Once this document is signed, staffwill forward it to ODOT which will then generate an
intergovernmental agreement with the County outlining the conditions necessary to receive and
distribute FT A funding. As soon as the ODOT agreement is approved and signed, the County will
initiate and execute sub-recipient agreements with the local agencies that will ultimately receive the
funds via a pass-through arrangement with the County in order to provide transportation services to
Deschutes County residents. Each of these subsequent steps will be subject to legal review and
administrative or Board approval as appropriate.
FISCAL IMPLICATIONS:
None at this time. However, pending and future grant awards are dependent on submittal of the
Certifications and Assurances document.
RECOMMENDATION & ACTION REQUESTED:
Authorize Chair's signature on 2013 FT A Certifications and Assurances document.
ATTENDANCE: Judith Ure, Management Analyst
DISTRIBUTION OF DOCUMENTS:
Please return one original signed document to Judith Ure.
DESCHUTES COUNTY DOCUMENT SUMMARY
(NOTE: This fonn is required to be submitted with ALL contracts and other agreements, regardless of whether the document is to be
on a Board agenda or can be signed by the County Administrator or Department Director. It the document is to be on a Board
agenda, the Agenda Request Fonn is also required. If this fonn is not included with the document, the document will be retumed to
the Department. Please submit documents to the Board Secretary for tracking purposes, and not directly to Legal Counsel, the
County Administrator or the Commissioners. In addition to submitting this fonn with your documents, please submit this tonn
electronically to the Board Secretary.)
Please complete all sections above the Official Review line.
Date: May 7,20131 Department: !Administrative Servicel
Type of Document: Federal Certifications and Assurances (document #2013-235)
Goods and/or Services: Signed document is required for the County to receive
Federal Transit Administration (FTA) funding through the Special Transportation Fund,
Special Transportation Discretionary, and other state-managed trasnportation grant
programs.
Background & History: Each year, Deschutes County receives funds through the
Oregon Department of Transportation (ODOn which are then distributed to local
agencies, primarily to support transportation services for the elderly and disabled. One
source of this funding is the Federal Transit Administration (FTA). In order for
Deschutes County to receive FTA funds as a subrecipient of ODOT, the Board of
Commissioners must sign and submit certain certifications and assurances. Attached is
a copy of the Certifications and Assurances document required for 2013. Once the
document is singed, staff will send it to ODOT which will maintain a record in
compliance with FTA guidelines and regulations.
Agreement Starting Date: IUpon Signingl Ending Date: 112/31/201~
Annual Value or Total Payment: INIAl
D Insurance Certificate Received (check box)
Insurance Expiration Date: INIAl
Check all that apply:
D RFP, Solicitation or Bid Process
D Informal quotes «$150K)
D Exempt from RFP, Solicitation or Bid Process (specify -see DCC §2.37)
Funding Source: (Included in current budget? DYes D No
If No, has budget amendment been submitted? DYes D No
Is this a Grant Agreement providing revenue to the County? D Yes ~ No
51712013
Special conditions attached to this grant: N/A
Deadlines for reporting to the grantor: N/A
If a new FTE will be hired with grant funds, confirm that Personnel has been notified that
it is a grant-funded position so that this will be noted in the offer letter: DYes D No
Contact information for the person responsible for grant compliance:
Name: Joni Bramlett
Phone #: 1541-388-61851
Departmental Contact and Title: Judith Ure, Management Analyst
Phone #: 541-330-4627
Department Director Approval: __W~=--=:..__\..:...t/1-""L-wI 4v'--
Signature ="')y Date
Distribution of Document: Who gets the original document and/or copies after it has
been signed? Include complete information if the document is to be mailed.
Official Review:
County Signature Required (check one): ~ BOCC 0 Department Director (if <$25K)
~ Administrator (if >$25K but <$150K; if >$150K, BOCC Order No. ____--1)
Legal Review ~&aJ Date 'S -17 15
Document Number
5/7/2013
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES ~E~UJhQ
PREFACELEGAL COUNSEL
Except as the Federal Transit Administration (FTA or we) determines otherwise in
writing, before FTA may award Federal transit assistance (funding or fUnds) to support a
public transportation Project, an authorized representative (you) ofthe Project sponsor
(Applicant) must select certain Certifications and Assurances required by Federal law or
regulation. You must select all Certifications and Assurances required ofyour Applicant
to support its applications for FTA fUnding during Federal fiscal year (FY) 2013.
We request that you read each Certification and Assurance and select those that will
apply to all Projects for which your Applicant might seek FTA fUnding. Only ifyou select
adequate Certifications and Assurances on your Applicant's behalf, as required by
Federal law or regulation, may FTA award Federal fUnding for your Applicant's Project.
We have consolidated our Certifications and Assurances into twenty-four (24) Groups. At
a minimum, you must select the assurances in Group 01 . Jfyour Applicant requests more
than $100,000, you must also select the "Lobbying" Certification in Group 02, unless
your Applicant is an Indian tribe or organization or a tribal organization. Depending on
the nature ofyour Applicant and its Project, your Applicant may need to select some of
the Certifications and Assurances in Groups 03 through 24. However, instead of
selecting individual Groups ofCertifications and Assurances, you may make a single
selection that will encompass all Groups ofCertifications and Assurances applicable to
all our programs. FTA and your Applicant understand and agree that not every provision
ofthese twenty-four (24) Certifications and Assurances will apply to every Applicant or
every Project FTA fUnds. The type ofProject and Applicant will determine which
Certifications and Assurances apply.
Your Applicant also understands and agrees that these Certifications and Assurances are
pre-award requirements, generally required by Federal law or regulation, and do not
include all Federal requirements that may apply to your Applicant or its Project. Our
FTA Master Agreement MA(l9)for Federal FY 2013,
http://wwwfta.dot.gov/documents/19-Master.pdf, contains a list ofmost ofthose
requirements.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take the appropriate measures, including, but not limited to, obtaining
suffiCient documentation from each Subrecipient and other Third Party Participant to
assure the validity ofapplicable Certifications and Assurances selected on behalfofyour
Applicant.
Your Applicant understands and agrees that when you apply for fUnding on behalfofa
DC -2013-23,5
¥fA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
consortium, joint venture, partnership, or team, you must identifY the activities each
member will peifonn and the extent to which each member ofthat consortium, joint
venture, partnership, or team will be responsible for compliance with the Certifications
and Assurances you select on behalfofyour Applicant, except as FTA detennines
otherwise in writing.
We expect you to submit your Applicant's FY 2013 Certifications and Assurances and its
applications for funding in TEAM-Web. You must be registered in TEAM-Web to submit
the FTA FY 2013 Certifications and Assurances on behalfofyour Applicant. The TEAM
Web "Recipients " option at the "Cert's & Assurances" tab ofthe "View/ModifY
Recipients" page contains fields for selecting among the twenty-four (24) Groups of
Certifications and Assurances and a designated field for selecting all twenty-four (24)
Groups. IfFTA agrees that you cannot submit your Applicant's FY 201 3 Certifications
and Assurances electronically, you must submit the Signature Page(s) in Appendix A of
this Notice marked to show the Groups ofCertifications and Assurances your Applicant
is providing.
Be aware that these Certifications and Assurances have been prepared in light of
• FTA 's latest authorization legislation, Moving Aheadfor Progress in the 21st
Century Act (MAP-2l), Pub. L. 112-141, June 6,2012,
• The Continuing Appropriations Resolution, 2013 (CR), Pub. L. 112-175,
September 28, 2012.
• The FTA "Notice ofFTA Transit Program Changes, Authorized Funding Levels and
Implementation ofthe Moving Aheadfor Progress in the 21st Century Act (MAP-21)
and the FTA FY 2013 Apportionments, Allocations, Program Information and Interim
Guidance, " 77 Fed. Reg. 663670, October 16, 2012 (FTA FY 2013 Apportionments
Notice), and
• FTA 's authorizing legislation in effect in FY 2012 or a previous fiscal year.
With certain exceptions, projects financed in FY 2013 with funds made available or
appropriated for FY 2012 or a previous fiscal year must be in compliance with the
requirements for that type ofproject in effect for the fiscal year for which the funding was
derived, except as superseded by MAP-21 cross-cutting requirements that apply instead.
GROUP 01. REQUIRED CERTIFICATIONS AND ASSURANCES
FOR EACH APPLICANT.
You must select the Certifications and Assurances in Group 01 on behalfofyour
Applicantfor FTAfunding except as FTA detennines otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalf that apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
FTA FlSCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party Participants to assure the
validity ofapplicable Certifications and Assurances selected on behalfofyour Applicant.
Except as FTA determines otherwise in writing, before FTA may provide fundingfor your
Applicant's Project, you must select the Certifications and Assurances in Group 01 on
behalfofyour Applicant. Any provision ofthe Certifications and Assurances in Group 01
that does not apply will not be enforced.
A. Assurance of Authority of the Applicant and Its Representative.
On behalf of your Applicant, you certify that both you and your Applicant's attorney
who sign these Certifications, Assurances, and Agreements affirm that both your
Applicant and you, as its authorized representative, may undertake the following
activities on behalf of your Applicant, in compliance with applicable State, local, or
Indian tribal laws and regulations, and your Applicant's by-laws or internal rules:
1. Execute and file its application for Federal funds,
2. Execute and file its Certifications, Assurances, and Agreements binding its
compliance,
3. Execute Grant Agreements or Cooperative Agreements, or both, with FTA,
4. Comply with applicable Federal laws and regulations, and
S. Follow applicable Federal guidance.
B. Standard Assurances.
On behalf of your Applicant, you assure that your Applicant understands and agrees
to the following:
1. Your Applicant will comply with all applicable Federal statutes and regulations to
carry out any FT A funded Project,
2. Your Applicant is under a continuing obligation to comply with the terms and
conditions of the FT A Grant Agreement or Cooperative Agreement for its Project,
including the FT A Master Agreement incorporated by reference and made part of
the latest amendment to the Grant Agreement or Cooperative Agreement,
3. Your Applicant recognizes that Federal laws and regulations may be modified
from time to time and those modifications may affect Project implementation,
4. Your Applicant understands that Presidential executive orders and Federal
guidance, including Federal policies and program guidance, may be issued
concerning matters affecting your Applicant or its Project,
S . Your Applicant agrees that the most recent F ederallaws, regulations, and
guidance will apply to its Project, unless FTA determines otherwise in writing,
6. In light of recent FTA legislation applicable to FTA and except as FTA
determines otherwise in writing, your Applicant agrees that requirements for FTA
programs may vary depending on the fiscal year for which the funding for those
programs was appropriated:
!
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\
I
FTA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
a. In some instances, FTA has determined that Federal statutory or regulatory
program and eligibility requirements for FY 2012 or a specific previous fiscal
year will apply to:
(1) New grants and cooperative agreements, and
(2) New amendments to grants and cooperative agreements that:
(a) Have been awarded Federal funds made available or appropriated for
FY 2012 or the previous fiscal year, or
(b) May be awarded Federal funds appropriated for FY 2012 or the
previous fiscal year, but
b. In other instances, FTA has determined that MAP-21 will apply to the Federal
funds made available or appropriated for FY 2012 or a previous fiscal year,
and
c. For all FTA funded Projects, the following MAP-21 cross-cutting
requirements supersede conflicting provisions of previous Federa1law and
regulations:
(1) Metropolitan and Statewide Planning,
(2) Environmental Review Process,
(3) Agency Safety Plans,
(4) Transit Asset Management Provisions (and Asset Inventory and
Condition Reporting),
(5) Costs Incurred by Providers of Public Transportation by Vanpool,
(6) Revenue Bonds as Local Match,
(7) Debt Service Reserve,
(8) Government's Share of Cost of Vehicles, Vehicle-Equipment, and
Facilities for ADA and Clean Air Act Compliance,
(9) Private Sector Participation,
(10) Bus Testing,
(11) Buy America,
(12) Corridor Preservation,
(13) Rail Car Procurements,
(14) Veterans Preference/Employment,
(15) Alcohol and Controlled Substance Testing, and
(16) Other provisions as FTA may determine.
(See the Federal Transit Administration, "Notice ofFTA Transit Program Changes,
Authorized Funding Levels and Implementation ofthe Moving Aheadfor Progress in
the 21st Century Act (MAP-21) and FTA FY 2013 Apportionments, Allocations,
Program Information and Interim Guidance, JJ 77 Fed. Reg. 663670, October 16,
2012.)
C. Intergovernmental Review Assuranee.
(The assurance in Group 01.C does not apply to an Indian tribe, an Indian
organization or a tribal organization that applies for fonding made available or
¥fA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
appropriatedfor FTA 's Public Transportation on Indian Reservations Program
authorized by 49 U.S.C. 5311(c)(1), as amended byMAP-21 or to FTA 's Tribal
Transit Program authorized by former 49 U.S.c. 5311(c)(1) in effect in FY 2012 or a
previous fiscal year.)
To facilitate compliance with U.S. Department of Transportation (U.S. DOT)
regulations, "Intergovernmental Review of Department of Transportation Programs
and Activities," 49 CFR part 17, on behalf of your Applicant, you assure that it has
submitted or will submit each application for Federal funding to the appropriate State
and local agencies for intergovernmental review, as required by those regulations.
D. Nondiscrimination Assurance.
On behalfof your Applicant, you assure that:
1. Your Applicant will comply with the following laws and regulations so that no
person in the United States will be denied the benefits of, or otherwise be
subjected to discrimination in any U.S. DOT or FTA funded program or activity
(particularly in the level and quality of transportation services and transportation
related benefits on the basis of race, color, national origin. religion, sex, disability,
or age:
a. Federal transit laws, specifically 49 U.S.C. 5332, as amended by MAP-21
(prohibiting discrimination on the basis ofrace, color, religion, national
origin, sex, disability, or age, and in employment or business opportunity),
b. Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000d,
c. The Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, et seq.,
d. The Americans with Disabilities Act of 1990, as amended, 42 U.S.C. 12101
et seq.,
e. U.S. DOT regulations, "Nondiscrimination in Federally-Assisted Programs of
the Department of Transportation-Effectuation of Title VI of the Civil Rights
Act of 1964," 49 CFR part 21,
f. U.S. DOT regulations, specifically 49 CFR parts 27, 37, 38, and 39, and
g. Any other applicable Federal statutes that may be signed into law or Federal
regulations that may be promulgated,
2. Your Applicant will comply with Federal guidance implementing Federal
nondiscrimination laws and regulations, except to the extent FT A determines
otherwise in writing,
3. As required by 49 CFR 21.7:
a. Your Applicant will comply with 49 U.S.C. 5332, as amended by MAP-21,
42 U.S.C. 2000d, and 49 CFR part 21 in the manner:
(1) It conducts each Project,
(2) It undertakes property acquisitions, and
(3) It operates its Project facilities, including:
(a) Its entire facilities, and
(b) Its facilities operated in connection with its Project,
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
b. This assurance applies to your Applicant's entire Project and to all parts of its
facilities, including the facilities it operates to implement its Project,
c. Your Applicant will promptly take the necessary actions to carry out this
assurance, including:
(1) Notifying the public that discrimination complaints about transportation
related services or benefits may be filed with U.S. DOT or FTA, and
(2) Submitting information about its compliance with these provisions to
U.S. DOT or FTA upon their request,
d. If your Applicant transfers FTA funded real property, structures, or
improvements to another party. any deeds and instruments recording that
transfer will contain a covenant running with the land assuring
nondiscrimination:
(1) While the property is used for the pwpose that the Federal funding is
extended, and
(2) While the property is used for another pwpose involving the provision of
similar services or benefits.
e. The United States has a right to seek judicial enforcement of any matter
arising under:
(1) Title VI ofthe Civil Rights Act, 42 U.S.C. 2000d,
(2) U.S. DOT regulations. 49 CFR part 21, and
(3) This assurance,
f. Your Applicant will make any changes in its Title VI implementing
procedures as U.S. DOT or FTA may request to comply with:
(1) Title VI ofthe Civil Rights Act, 42 U.S.C. 2000d,
(2) U.S. DOT regulations, 49 CFR part 21, and
(3) Federal transit laws. 49 U.S.C. 5332. as amended by MAP-21.
g. Your Applicant will comply with Federal guidance issued to implement
Federal nondiscrimination requirements. except as FTA determines otherwise
in writing.
h. Your Applicant will extend the requirements of 49 U.S.C. 5332, as amended
by MAP-21, 42 U.S.C. 2000d, and 49 CFR part 21 to each Third Party
Participant, including:
(1) Any Subrecipient,
(2) Any Transferee,
(3) Any Third Party Contractor or Subcontractor at any tier,
(4) Any Successor in Interest,
(5) Any Lessee, or
(6) Any other Third Party Participant in its Project,
1. Your Applicant will include adequate provisions to extend the requirements of
49 U.S.C. 5332, as amended by MAP-21 , 42 U.S.C. 2000d, and 49 CFR
part 21 to each third party agreement, including:
(1) Each subagreement,
(2) Each property transfer agreement,
(3) Each third party contract or subcontract at any tier,
FTA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
(4) Each lease, or
(5) Each participation agreement, and
j. The assurances you have made on behalf of your Applicant will remain in
effect as long as:
(1) Federal funding is extended to your Applicant's Project,
(2) Your Applicant's Project property is used for a purpose for which the
Federal funding is extended,
(3) Your Applicant's Project property is used for a purpose involving the
provision of similar services or benefits, or
(4) Your Applicant retains ownership or possession of its Project property,
and
4. As required by U.S. DOT regulations, "Nondiscrimination on the Basis of
Handicap in Programs and Activities Receiving or Benefiting from Federal
Financial Assistance," 49 CFR part 27, specifically 49 CFR 27.9, and consistent
with 49 U.S.C. 5307(c)(1)(D)(iii), as amended by MAP-21 , your assure that:
a. Your Applicant will comply with the following prohibitions against
discrimination on the basis of disability, which are a condition of approval or
extension of any FT A funding awarded to:
(1) Construct any facility,
(2) Obtain any rolling stock or other equipment,
(3) Undertake studies,
(4) Conduct research, or
(5) Participate in or obtain any benefit from any FTA administered program,
and
b. In any program or activity receiving or benefiting from Federal funding that
U.S. DOT administers, no otherwise qualified people with a disability will,
because of their disability, be:
(1) Excluded from participation,
(2) Denied benefits, or
(3) Otherwise subjected to discrimination.
E. Suspension and Debarment Certification.
On behalf of your Applicant, you certify that:
1. Your Applicant will comply and facilitate compliance with U.S. DOT regulations,
"Nonprocurement Suspension and Debarment," 2 CFR part 1200, which adopts
and supplements the provisions of U.S. Office ofManagement and Budget
(U.S. OMB) "Guidelines to Agencies on Govemmentwide Debarment and
Suspension (Nonprocurement)," 2 CFR part 180,
2. To the best of your knowledge and belief, and your Applicant's knowledge and
belief, that your Applicant's Principals and Subrecipients at the first tier:
a. Are eligible to participate in covered tnmsactions of any Federal department
or agency and are not presently:
(1) Debarred,
FfA FISCAL YEAR 1013 CERTIFICATIONS AND ASSURANCES
(2) Suspended,
(3) Proposed for debarment,
(4) Declared ineligible,
(5) Voluntarily excluded, or
(6) Disqualified,
b. Your Applicant's management has not within a three-year period preceding its
latest application or proposal been convicted ofor had a civil judgment
rendered against any of them for:
(1) Commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain, or perfonning a public (Federal, State, or local)
transaction, or contract under a public transaction,
(2 Violation of any Federal or State antitrust statute, or
(3) Commission of embezzlement, theft, forgery, bribery, falsification or
destruction ofrecords, making any false statement, or receiving stolen
property,
c. Your Applicant is not presently indicted for, or otherwise criminally or civilly
charged by a governmental entity (Federal, State, or local) with commission
of any of the offenses listed in the preceding Section l.b of this Certification,
d. Your Applicant has not had one or more public transactions (Federal, State, or
local) terminated for cause or default within a three-year period preceding this
Certification,
e. If, at a later time, your Applicant receives any information that contradicts the
statements of subparagraphs 2.a -2.d above, your Applicant will promptly
provide that information to FTA,
f. Your Applicant will treat each lower tier contract or lower tier subcontract
under its Project as a covered lower tier contract for purposes of2 CFR
part 1200 and 2 CFR part 180 if it:
(1) Equals or exceeds $25,000,
(2) Is for audit services, or
(3) Requires the consent of a Federal official, and
g. Your Applicant will require that each covered lower tier contractor and
subcontractor:
(1) Comply and facilitate compliance with the Federal requirements of
2 CFR parts 180 and 1200, and
(2) Assure that each lower tier participant in its Project is not presently
declared by any Federal department or agency to be:
(a) Debarred from participation in your Applicant's federally funded
Project,
(b) Suspended from participation in your Applicant's federally funded
Project,
(c) Proposed for debarment from participation in your Applicant's
federally funded Project,
(d) Declared ineligible to participate in your Applicant's federally
funded Project,
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
(e) Voluntarily excluded from participation in your Applicant's federally
funded Project, or
(f) Disqualified from participation in your Applicant's federally funded
Project, and
3. Your Applicant will provide a written explanation as indicated on its Signature
Page or a page attached in FTA's TEAM-Web if it or any of its principals,
including any of its first tier Subrecipients or any of its Third Party Participants at
a lower tier, is unable to certify compliance with to the preceding statements in
this Certification 0 I.E.
F. U.S. OMB Assurances in SF-424B and SF-424D.
The assurances in Group Ol.F are consistent with the U.S. OMB assurances required
in the u.s. OMB SF-424B and SF-424D, updated as necessary to reflect changes in
Federal laws and regulations.
1. Administrative Activities. On behalf of your Applicant, you assure that:
a. For every project described in any application your Applicant submits, your
Applicant has adequate resources to properly plan, manage, and complete its
Project, including:
(1) The legal authority to apply for Federal funding,
(2) The institutional capability,
(3) The managerial capability, and
(4) The financial capability (including funds sufficient to pay the non-Federal
share of Project cost),
b. Your Applicant will give limited access and the right to examine Project
related materials, including, but not limited to:
(1) FTA,
(2) The Comptroller General of the United States, and
(3) If appropriate, the State, through any authorized representative,
c. Your Applicant will establish a proper accounting system in accordance with
generally accepted accounting standards or FTA guidance, and
d. Your Applicant will establish safeguards to prohibit employees from using
their positions for a purpose that results in:
(1) A personal or organizational conflict of interest, or personal gain, or
(2) The appearance of a personal or organizational conflict of interest or
personal gain.
2. Project Specifics. On behalf of your Applicant, you assure that:
a. Following receipt of an FTA award, your Applicant will begin and complete
Project work within the time periods that apply,
b. For FT A funded construction Projects:
(1) Your Applicant will comply with FTA provisions concerning the
drafting, review, and approval of construction plans and specifications,
(2) Your Applicant will, to the extent practicable, provide and maintain
FTA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
competent and adequate engineering supeIVision at the construction site
to assure that the completed work conforms with the approved plans and
specifications,
(3) Your Applicant will include a covenant to assure nondiscrimination
during the useful life of its Project in its title to federally funded real
property,
(4) To the extent FTA requires, your Applicant will record the Federal
interest in the title to FT A funded real property or interests in real
property, and
(5) To the extent practicable, absent permission and instructions from FTA,
your Applicant will not alter the site of the FTA funded construction
Project or facilities by:
(a) Disposing of the underlying real property or other interest in the site
and facilities,
(b) Modifying the use of the underlying real property or other interest in
the site and facilities, or
(c) Changing the terms of the underlying real property title or other
interest in the site and facilities, and
c. Your Applicant will furnish progress reports and other information as FT A or
the State may require.
3. Statutory and Regulatory requirements. On behalf of your Applicant, you assure
that:
a. Your Applicant will comply with all Federal statutes relating to
nondiscrimination that apply, including, but not limited to:
(1) The prohibitions against discrimination on the basis of race, color, or
national origin, as provided in Title VI of the Civil Rights Act,
42 U.S.C. 2000d,
(2) The prohibitions against discrimination on the basis of sex, as provided
in:
(a) Title IX of the Education Amendments of 1972, as amended,
20 U.S.C. 1681 -1683, and 1685 -1687, and
(b) U.S. DOT regulations, "Nondiscrimination on the Basis of Sex in
Education Programs or Activities Receiving Federal Financial
Assistance," 49 CFR part 25,
(3) The prohibitions against discrimination on the basis of age in federally
funded programs, as provided in the Age Discrimination Act of 1975, as
amended, 42 U.S.C. 6101-6107,
(4) The prohibitions against discrimination on the basis of disability in
federally funded programs, as provided in section 504 of the
Rehabilitation Act of 1973, as amended, 29 U.S.C. 794,
(5) The prohibitions against discrimination on the basis of disability, as
provided in the Americans with Disabilities Act of 1990, as amended,
42 U.S.C. 12101 et seq.
(6) The prohibitions against discrimination in the sale, rental, or financing of
FrA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
housing, as provided in Title VITI of the Civil Rights Act, 42 U.S.C. 3601
et seq.,
(7) The prohibitions against discrimination on the basis of drug abuse, as
provided in the Drug Abuse Office and Treatment Act of 1972, as
amended, 21 U.S.C. 1101 et seq.,
(8) The prohibitions against discrimination on the basis ofalcohol abuse, as
provided in the Comprehensive Alcohol Abuse and Alcoholism
Prevention Act of 1970, as amended, 42 U.S.C. 4541 et seq.,
(9) The confidentiality requirements for the records of alcohol and drug
abuse patients, as provided in the Public Health Service Act, as amended,
42 U.S.C. 290dd -29Odd-2, and
(10) The nondiscrimination provisions of any other statute(s) that may apply
to its Project,
b. As provided by the Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970, as amended (Uniform Relocation Act),
42 U.S.C. 4601 et seq., and the MAP-21 amendment to 49 U.S.C. 5323(b),
regardless of whether F edera1 funding has been provided for any of the real
property acquired for Project purposes, your Applicant will provide for fair
and equitable treatment of displaced persons or persons whose property is
acquired as a result of federally funded programs, and:
(1) Your Applicant has the necessary legal authority under State and local
laws and regulations to comply with:
(a) The Uniform Relocation Act. 42 U.S.C. 4601 et seq., as specified by
42 U.S.C. 4630 and 4655, and
(b) U.S. DOT regulations, "Uniform Relocation Assistance and Real
Property Acquisition for Federal and Federally Assisted Programs,"
49 CFR part 24, specifically 49 CFR 24.4, and
(2) Your Applicant has complied with or will comply with the Uniform
Relocation Act and implementing U.S. DOT regulations, because:
(a) Your Applicant will adequately inform each affected person of the
benefits, policies, and procedures provided for in 49 CFR part 24,
(b) As required by 42 U.S.C. 4622, 4623, and 4624, and 49 CFR part 24,
your Applicant will provide fair and reasonable relocation payments
and assistance for displacement, resulting from any FTA funded
Project, of:
1 Families and individuals, and
~ Partnerships, corporations, or associations,
(c) As provided by 42 U.S.C. 4625 and 49 CFR part 24, your Applicant
will provide relocation assistance programs offering the services
described in the U.S. DOT regulations to such displaced:
1 Families and individuals, and
~ Partnerships, corporations, or associations,
(d) As required by 42 U.S.C. 4625(c)(3), within a reasonable time before
displacement, your Applicant will make available comparable
I
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FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
replacement dwellings to families and individuals,
(e) Your Applicant will:
1 Carry out the relocation process to provide displaced persons
with uniform and consistent services, and
~ Make available replacement housing in the same range of
choices with respect to such housing to all displaced persons
regardless of race, color, religion, or national origin,
(f) Your Applicant will be guided by the real property acquisition
policies of 42 U.S.C. 4651 and 4652 to the greatest extent practicable
under State law,
(g) Your Applicant will payor reimburse property owners for their
necessary expenses as specified in 42 U.S.C. 4653 and 4654,
understanding that FTA will provide Federal funding for its eligible
costs of providing payments for those expenses, as required by
42 U.S.C. 4631,
(h) Your Applicant will execute the necessary implementing
amendments to third party contracts and subagreements financed
with FTA funding,
(i) Your Applicant will execute, :furnish, and be bound by such
additional documents as FT A may determine necessary to effectuate
or implement these assurances,
(j) Your Applicant will incorporate these assurances by reference into
and make them a part of any third party contract or subagreement, or
any amendments thereto, relating to any FT A funded Project
involving relocation or land acquisition, and
(k) Your Applicant will provide in any affected document that these
relocation and land acquisition provisions must supersede any
conflicting provisions,
c. To the extent practicable, your Applicant will comply with the Lead-Based
Paint Poisoning Prevention Act, specifically 42 U.S.C. 4831 (b), which
prohibits the use of lead-based paint in the construction or rehabilitation of
residence structures,
d. Your Applicant will, to the extent practicable, comply with the protections for
human subjects involved in research, development, and related activities
supported by Federal funding of:
(1) The National Research Act, as amended, 42 U.S.C. 289 et seq., and
(2) U.S. DOT regulations, "Protection of Human Subjects," 49 CFR part 11,
e. Your Applicant will, to the extent practicable, comply with the labor standards
and protections for federally funded Projects of:
(1) The Davis-Bacon Act, as amended, 40 U.S.C. 3141-3144,3146, and
3147,
(2) Sections 1 and 2 of the Copeland "Anti-Kickback" Act, as amended,
18 U.S.C. 874, and 40 U.S.C. 3145, respectively, and
(3) The Contract Work Hours and Safety Standards Act, as amended,
FrA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
40 U.S.C. 3701 et seq.,
f. Your Applicant will, to the extent practicable, comply with any applicable
environmental standards that may be prescribed to implement Federal laws
and executive orders, including, but not limited to:
(1) Following the institution ofenvironmental quality control measures under
the National Environmental Policy Act of 1969, as amended, 42 U.S.C.
4321-4335 and Executive Order No. 11514, as amended, 42 U.S.C.
4321 note,
(2) Following the notification of violating facilities provisions of Executive
Order No. 11738, 42 U.S.C. 7606 note,
(3) Following the protection of wetlands provisions of Executive Order
No. 11990,42 U.S.C. 4321 note,
(4) Following the evaluation of flood hazards in floodplains provisions of
Executive Order No. 11988, 42 US.C. 4321 note,
(5) Complying with the assurance of Project consistency with the approved
State management program developed pursuant to the Coastal Zone
Management Act of1972, as amended, 16 U.S.C. 1451-1465,
(6) Complying with the Conformity of Federal Actions to State (Clean Air)
Implementation Plans requirements under section I 76(c) of the Clean Air
Act of 1955, as amended, 42 US.C. 7401 -7671q,
(7) Complying with the protections for underground sources of drinking
water under the Safe Drinking Water Act of 1974, as amended, 42 U.S.C.
300f-300j-6,
(8) Complying with the protections for endangered species under the
Endangered Species Act of 1973, as amended, 16 U.S.C. 1531 -1544,
(9) Complying with the environmental protections for Federal transportation
programs, including, but not limited to, protections for parks, recreation
areas, or wildlife or waterfowl refuges of national, State, or local
significance or any land from a historic site of national, State, or local
significance to be used in a transportation Project as required by
49 U.S.C. 303(b) and 303(c),
(10) Complying with the protection of the components of the national wild
and scenic rivers systems, as required under the Wild and Scenic Rivers
Act of 1968, as amended, 16 US.C. 1271-1287, and
(II) Complying with and facilitating compliance with:
(a) Section 106 of the National Historic Preservation Act of 1966, as
amended, 16 U.S.C. 470f,
(b) The Archaeological and Historic Preservation Act of 1974, as
amended, 16 U.S.C. 469 -469c, and
(c) Executive Order No. 11593 (identification and protection of historic
properties), 16 U.S.C. 470 note,
g. To the extent practicable, complying with the following Federal requirements
for the care, handling, and treatment of warm blooded animals held or used
for research, teaching, or other activities supported by Federal funding:
FTA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
(1) The Animal Welfare Act, as amended, 7 U.S.C. 2131 et seq., and
(2) U.S. Department of Agriculture regulations, "Animal Welfare," 9 CFR
subchapter A, parts 1,2,3, and 4,
h. To the extent practicable, obtaining a certificate of compliance with the
seismic design and construction requirements of U.S. DOT regulations,
"Seismic Safety," 49 CFR part 41, specifically 49 CFR 4LI17(d), before
accepting delivery of any FTA funded building,
1. To the extent practicable, complying with, and assuring its Subrecipients
located in special flood hazard areas comply with, section 102(a) of the Flood
Disaster Protection Act of 1973, as amended, 42 U.S.C. 4012a(a), by:
(1) Participating in the Federal flood insurance program, and
(2) Purchasing flood insurance ifthe total cost of insurable construction and
acquisition is $10,000 or more,
j. To the extent practicable, complying with:
(1) The Hatch Act, 5 U.S.C. 1501 -1508, 7324 -7326, which limits the
political activities of State and local agencies and their officers and
employees whose primary employment activities are financed in whole or
part with Federal funds, including a Federal loan, grant agreement, or
cooperative agreement, and
(2) 49 U.S.C. 5323(1)(2), as amended by MAP-21, and 23 U.S.C. 142(g),
which provide an exception from Hatch Act restrictions for a
nonsupervisory employee of a public transportation system (or of any
other agency or entity performing related functions) receiving FT A
funding made available or authorized for 49 U.S.C. chapter 53 and
23 U.S.C. 142(a)(2) to whom the Hatch Act does not otherwise apply,
k. Performing the financial and compliance audits as required by the:
(1) Single Audit Act Amendments of 1996,31 U.S.C. 7501 et seq.,
(2) U.S. OMB Circular A-133, "Audits of States, Local Governments, and
Non-Profit Organizations," Revised, and •
(3) Most recent applicable U.S. OMB A-133 Compliance Supplement
provisions for the U.S. DOT, and
1. To the extent practicable, complying with all the provisions of all other
Federal laws or regulations that apply, and follow Federal guidance governing
your Applicant and its Project, except to the extent that FT A has expressly
approved otherwise in writing.
GROUP 02. LOBBYING.
Except ifyour Applicant is an Indian Tribe exempted from these requirements by
31 U.S.c. 1352, you must select the Certification in Group 02 ifyour Applicant seeks:
• A Federal grant or cooperative agreement exceeding $100,000, or
• A Federal loan (including a line ofcredit), loan guarantee. or loan insurance
exceeding $150,000.
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
Your Applicant is ultimately responsible for compliance with the Certification and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party PartiCipant to assure the
validity ofapplicable Certifications and Assurances selected on behalfofyour Applicant.
Except as PTA determines otherwise in writing, PTA may not providefimdingfor your
Applicant's Project for which Group 02 applies unless you select the Certification in
Group 02 on behalfofyour Applicant. Any provision ofthe Certification in Group 02 that
does not apply will not be enforced.
On behalf of your Applicant, you certify that:
I. As required by 31 U.S.C. 1352 and u.s. DOT regulations, "New Restrictions on
Lobbying," specificalJy 49 CFR 20.110:
a. The lobbying restrictions of this Certification apply to your Applicant's requests:
(I) For $100,000 or more in Federal funding for a grant or cooperative agreement,
and
(2) For $150,000 or more in Federal funding for a loan, line of credit, or loan
guarantee, and
b. Your Certification on behalf of your Applicant applies to the lobbying activities
of:
(1) Your Applicant,
(2) Your Applicant's Principals, and
(3) Your Applicant's Subrecipients at the first tier,
2. To the best of your knowledge and belief:
a. No Federal appropriated funds have been or will be paid by or on its behalf to any
person to influence or attempt to influence:
(1) An officer or employee of any Federal agency regarding the award of a:
(a) Federal grant or cooperative agreement, or
(b) Federal loan, line of credit, loan guarantee, or loan insurance, and
(2) A Member of Congress, an employee of a member of Congress, or an officer
or employee of Congress regarding the award of a:
(a) Federal grant or cooperative agreement, or
(b) Federal loan, line of credit, loan guarantee, or loan insurance,
b. Your Applicant will submit a complete OMB Standard Form-LLL, "Disclosure of
Lobbying Activities (Rev. 7-97)," consistent with its instructions, if any funds
other than Federal appropriated funds have been or will be paid to any person to
influence or attempt to influence:
(1) An officer or employee of any Federal agency regarding the award of a:
(a) Federal grant or cooperative agreement, or
(b) Federal loan, line of credit, loan guarantee, or loan insurance, and
(2) A Member of Congress, an employee of a member of Congress, or an officer
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FTA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
or employee of Congress regarding the award of a:
(a) Federal grant or cooperative agreement, or
(b) Federal loan, line of credit, loan guarantee, or loan insurance, and
c. Your Applicant will include the language of this Certification in the award
documents for all subawards at all tiers, including, but not limited to:
(1) Subcontracts,
(2) Subgrants,
(3) Subagreements, and
(4) Third party contracts under a:
(a) Federal grant or cooperative agreement, or
(b) Federal loan, line of credit, loan guarantee, or loan insurance,
3. Your Applicant understands that:
a. This Certification is a material representation of fact that the Federal government
relies on, and
b. Your Applicant must submit this Certification before the Federal government may
award funding for a transaction covered by 31 U.S.C. 1352, including a:
(1) Federal grant or cooperative agreement, or
(2) Federal loan, line of credit, loan guarantee, or loan insurance, and
4. Your Applicant also understands that any person who does not file a required
Certification will be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
GROUP 03. PRIVATE SECTOR PROTECTIONS.
You must select the Assurance and enter into the Agreements in Group 03 on behalfof
your Applicant ifyour Applicant intends to acquire public transportation property or
operate public transportation supported with FTA capital or operatingfUnds, except as
FTA determines otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofapplicable Certifications and Assurances selected on behalfofyour Applicant.
Except as FTA determines otherwise in writing, before FTA may provide fUndingfor your
Applicant's Project that involves the acquisition ofpublic transportation property or
operations ofpublic transportation that affoct your Applicant's acquisitions or
operations, you must select the Assurance in Group 03.A and enter into the Agreements
in Group 03.B and Group 03. C on behalfofyour Applicant. Any provision ofthe
Assurance and Agreements in Group 03 that does not apply will not be enforced.
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
A. Private Sector Property Protections.
For FTA to make the findings necessary to protect private transportation providers,
as required by 49 U.S.c. 5323(a)(1), you must select the Assurances in Group 03.A
on behalfofyour Applicant:
1. Ifyour Applicant is a:
a. State,
b. Local government, or
c. Indian tribal government, and
2. Ifyou are applying for or will apply on your Applicant's behalffor 49 U.S. C.
chapter 53.fUnding to:
a. Acquire the property ofa private transit operator, or
b. Operate public transportation in competition with or in addition to a public
transportation operator.
To facilitate FTA's ability to make the findings required by 49 U.S.C. 5323(a)(1), on
behalf of your Applicant, you assure that:
1. Your Applicant has or will have:
a. Determined that the funding is essential to carrying out a Program of Projects
as required by 49 U.S.C. 5303, 5304, and 5306,
b. Provided for the participation of private companies engaged in public
transportation to the maximum extent feasible, and
c. Paid just compensation under State or local laws to the company for any
franchise or property acquired, and
2. Your Applicant has completed the actions described in subsection 1 of this
Certification before it:
a. Acquires the property or an interest in the property of a private provider of
public transportation, or
b. Operates public transportation equipment or facilities:
(1) In competition with transportation service provided by an existing public
transportation operator, or
(2) In addition to transportation service provided by an existing public
transportation operator.
B. Charter Service Agreement.
You must enter into the Charter Service Agreement in Group 03.B on behalfofyour
Applicant ifyou apply for .fUnding to acquire or operate transit facilities and
equipment, unless your Applicant qualifies for an exception under Federal law and
regulations.
As required by 49 U.S.C. 5323(d) and (g) and FTA regulations, "Charter Service,"
49 CFR part 604, specifically 49 CFR 604.4, on behalf of your Applicant, you are
entering into the following Charter Service Agreement:
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
1. General Requirements. FTA's "Charter Service" regulations apply as follows:
a. FTA's Charter Service regulations restrict transportation by charter service
using facilities and equipment acquired by FTA recipients for transportation
Projects with Federal funding derived from:
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. 133 or 142,
b. FTA's charter service restrictions extend to:
(1) Your Applicant, when it becomes a recipient of Federal funding
authorized for or made available for:
(a) Federal transit laws, 49 U.S.C. chapter 53, or
(b) 23 U.S.C. 133 or 142,
(2) Any Third Party Participant that receives Federal funding derived from:
(a) Federal transit laws, 49 U.S.C. chapter 53, or
(b) 23 U.S.C. 133 or 142,
c. A Third Party Participant includes any:
(1) Subrecipient at any tier,
(2) Lessee,
(3) Third Party Contractor or Subcontractor at any Tier, and
(4) Other Third Party Participant in your Applicant's Project,
d. You and your Applicant agree that neither it nor any governmental authority
or publicly owned operator that receives FTA funding made available or
authorized for your Applicant's Project will engage in charter service
operations, except as permitted under:
(1) Federal transit laws, specifically 49 U.S.C. 5323(d) and (g),
(2) FTA regulations, "Charter Service," 49 CFR part 604, to the extent
consistent with 49 U.S.C. 5323(d) and (g),
(3) Any other Federal Charter Service regulations, or
(4) Federal guidance, except as FTA determines otherwise in writing,
e. You and your Applicant agree that the latest Charter Service Agreement it has
selected in its latest annual Certifications and Assurances is incorporated by
reference in and made part of the underlying Agreement accompanying an
award of FrA funding, and
f. You and your Applicant agree that:
(1) FTA may require corrective measures or impose remedies on it or any
governmental authority or publicly owned operator that receives FTA
funding made available or authorized for its Project that has engaged in a
pattern ofviolations ofFrA's Charter Service regulations by:
(a) Conducting charter operations prohibited by Federal transit laws and
FTA's Charter Service regulations, or
(b) Otherwise violating your Applicant's Charter Service Agreement it
has elected in its latest annual Certifications and Assurances, and
(2) These corrective measures and remedies may include:
(a) Barring Your Applicant or any Third Party Participant operating
public transportation under the Project that has provided prohibited
¥fA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
charter service from receiving FfA funds,
(b) Withholding an amount of Federal funds as provided by Appendix D
to FTA's Charter Service regulations, or
(c) Any other appropriate remedy that may apply, and
2. Excmtions. Apart from exceptions to the charter service restrictions in FTA's
Charter Service Regulations, FfA has established the following additional
exceptions to those restrictions:
a. FTA's Charter Service restrictions do not apply to your Applicant seeking
funding made available or appropriated for 49 U.S.C. 5307 to be used for Job
Access and Reverse Commute {JARC) activities that would have been eligible
for assistance under repealed 49 U.S.C. 5316 in effect in FY 2012 or a
previous fiscal year, provided that your Applicant uses that FTA funding for
program purposes only,
b. FTA's Charter Service restrictions do not apply to your Applicant seeking
funding made available or appropriated for 49 U.S.C. 5310 to be used for New
Freedom activities that would have been eligible for assistance under repealed
49 U.S.C. 5317 in effect in FY 2012 or a previous fiscal year, provided your
Applicant uses that FTA funding for program purposes only, and
c. An Applicant for assistance under 49 U.S.C. chapter 53 will not be
determined to have violated the FT A Charter Service regulations if that
recipient provides a private intercity or charter transportation operator
reasonable access to that recipient's federally funded public transportation
facilities, including intermodal facilities, park and ride lots, and bus-only
highway lanes as specified in 49 U.S.C. 5323{r), as amended by MAP-21.
C. School Bus Agreement.
You must enter into the School Bus Agreement in Group 03. C on behalfofyour
Applicant ifyou applyfor fUnding to acquire or operate transit facilities and
equipment, unless your Applicant qualifies for an exception under F ederallaw and
regulations.
As required by 49 U.S.C. 5323(f) and (g), as amended by MAP-21 , and FTA
regulations, "School Bus Operations," 49 CFR part 605, to the extent consistent with
49 U.S.C. 5323(f) and (g), as amended by MAP-21 , on behalf of your Applicant, you
are entering into the following School Bus Agreement:
1. FTA's "School Bus Operations" regulations restrict school bus operations (as
defmed in the FTA regulations) using facilities and equipment acquired with
Federal funding derived from:
a. Federal transit laws, 49 U.S.C. chapter 53, or
b. 23 U.S.C. 133 or 142,
2. FTA's school bus operations restrictions extend to:
a. Your Applicant, when it becomes a recipient of Federal funding made
available or authorized for:
FfA FISCAL YEAR 1013 CERTIFICATIONS AND ASSURANCES
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. 133 or 142,
b. Any Third Party Participant that receives Federal funding derived from:
(1) Federal transit laws, 49 U.S.C. chapter 53, or
(2) 23 U.S.C. 133 or 142,
3. A Third Party Participant includes any:
a. Subrecipient at any tier,
b. Lessee,
c. Third Party Contractor or Subcontractor at any tier, and
d. Other Third Party Participant in the Project,
4. You and your Applicant agree, and will obtain the agreement of any Third Party
Participant involved in your Applicant's Project, that it will not engage in school
bus operations in competition with private operators of school buses, except as
permitted under:
a. Federal transit laws, specifically 49 U.S.C. 5323(f) and (g), as amended by
MAP-21 ,
b. FTA regulations, "School Bus Operations," 49 CFR Part 60S, to the extent
consistent with 49 U.S.C. 5323(f) and (g), as amended by MAP-21 ,
c. Any other Federal School Bus regulations, or
d. Federal guidance, except as FT A determines otherwise in writing,
5. You and your Applicant agree that the latest School Bus Agreement you have
selected on its behalf in FTA's latest annual Certifications and Assurances is
incorporated by reference in and made part of the underlying Agreement
accompanying an award of FfA funding, and
6. You and your Applicant agree that FTA will bar your Applicant or any Third
Party Participant that has violated this School Bus Agreement from receiving
Federal transit funding in an amount FTA considers appropriate.
GROUP 04. PROCUREMENT AND PROCUREMENT SYSTEM.
We request that you select the Procurement and Procurement System Certification, on
behalfofyour Applicant, by selecting the Certification in Group 04, especially ifyour
Applicant is a State, local, or Indian tribal government with a certified procurement
system, as provided in 49 CFR 18.36(g)(3)(ii}.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofapplicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Certification in Group 04 that does not apply will not be enforced.
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
On behalf of your Applicant, you certify that your Applicant's procurements and
procurement system will comply with all Federal laws and regulations in accordance with
applicable Federal guidance, except to the extent FTA has approved otherwise in writing.
GROUP OS. ROLLING STOCK REVIEWS AND BUS TESTING.
You must select the Certifications in Group 05 on behalfofyour Applicant ifyour
Applicant, using FTAfonds, intends to acquire:
• Rolling stock for use in revenue service. or
• A new bus model.
The Certifications in Group 05 are required for such acquisitions listed above regardless
ofwhether the FTA fonds used were made available or appropriated for:
• 49 U.S.c. chapter 53, as amended by MAP-21, or
• Former 49 U.s.c. chapter 53 in effict in FY 2012 or a previous fiscal year, except as
superseded by MAP-21 cross-cutting requirements that apply instead.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofapplicable Certifications and Assurances selected on behalfofyour Applicant.
Except as FTA determines otherwise in writing, before FTA may provide fondingfor your
Applicant's Project to acquire rolling stock or a new bus model, you must select the
Certifications in Group 05 on behalfofyour Applicant. Any provision ofthe
Certifications in Group 05 that does not apply will not be enforced.
A. Rolling Stock Reviews.
(If your Applicant seeks FTA funding for rolling stock for use in revenue service.)
On behalf of your Applicant, you certify that in procuring revenue service rolling
stock for use in revenue service:
1. Your Applicant will comply with:
a. Federal transit laws, specifically 49 U.S.C. 5323(m), and
b. FTA regulations, "Pre-Award and Post-Delivery Audits of Rolling Stock
Purchases," 49 CFR part 663, and
2 As provided in 49 CFR 663.7:
a. Your Applicant will conduct or cause to be conducted the required pre-award
and post-delivery reviews, and I
,
\
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
b. Your Applicant will maintain on ftle the Certifications required by 49 CFR
part 663, subparts B, C, and D.
B. Bus Testing.
(If your AWlicant seeks FTA funding to acquire a new bus model.)
On behalf of your Applicant, you certify that:
1. Because the MAP-21 cross-cutting requirement "Bus Testing" applies to all
acquisitions of new buses and new bus models that require bus testing, your
Applicant will comply with:
a. 49 U.S.C. 5318, as amended by MAP-21, and
b. FTA regulations, "Bus Testing," 49 CFR part 665, to the extent these
regulations are consistent with 49 U.S.C. 5318, as amended by MAP-21,
2. As required by 49 CFR 665.7, when acquiring the first bus ofany new bus model
or a bus model with a major change in components or configuration:
a. Your Applicant will not spend any Federal funds appropriated under
49 U.S.C. chapter 53 to acquire that bus until:
(I) The bus has been tested at FTA's bus testing facility, and
(2) It has received a copy of the test report prepared on that new bus model,
and
b. Your Applicant will not authorize final acceptance of the bus until:
(I) The bus has been tested at ITA's bus testing facility,
(2) It has received a copy of the test report prepared on that new bus model,
3. Your Applicant will ensure that the bus that is tested has met the performance
standards consistent with those regulations, including:
a. Performance standards for:
(1) Maintainability,
(2) Reliability,
(3) Performance (including braking performance),
(4) Structural integrity,
(5) Fuel economy,
(6) Emissions, and
(7) Noise, and
b. Minimum safety performance standards established under 49 U.S.C. 5329, as
amended by MAP-21, and
4. After FTA has issued regulations authorized by 49 U.S.C. 5318(e)(2), as amended
by MAP-21, your Applicant will ensure that the bus that is tested has received a
passing aggregate test score under the "PasslFail" standard established under
49 U.S.C. 53 1 8 (e) (2) , as amended by MAP-21.
GROUP 06. DEMAND RESPONSIVE SERVICE.
You must select the Certification in Group 06 on behalfofyour Applicant ifyour
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FTA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
Applicant is a public entity, operates demand responsive service and intends to use PTA
funding to acquire a non-rail vehicle that is not accessible, but financed with FTA funds
made available or appropriated for:
• 49 u.s.c. chapter 53, as amended by MAP-2l, or
• Former 49 U.S.c. chapter 53 in effect in FY 2012 or a previous fiscal year, except as
superseded by MAP-21 cross-cutting requirements that apply instead.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofapplicable Certifications and Assurances selected on behalfofyour Applicant.
Except as FTA determines otherwise in writing, before FTA may provide fundingfor your
Applicant's Project to acquire a non-rail transit vehicle that is not accessible, you must
select the Certification in Group 06 on behalfofyour Applicant. Any provision ofthe
Certification in Group 06 that does not apply will not be enforced.
As required by U.S. DOT regulations, "Transportation Services for Individuals with
Disabilities (ADA)," 49 CFR part 37, specifically 49 CFR 37.77(d), on behalf of your
Applicant, you certify that:
1. Your Applicant offers public transportation services equivalent in level and quality of
service to:
a. Individuals with disabilities, including individuals who use wheelchairs, and
b. Individuals without disabilities, and
2. Viewed in its entirety, your Applicant's service for individuals with disabilities is:
a. Provided in the most integrated setting feasible, and
b. Equivalent to the service it offers individuals without disabilities with respect to:
(1) Response time,
(2) Fares,
(3) Geographic service area,
(4) Hours and days of service,
(5) Restrictions on priorities based on trip purpose,
(6) Availability of information and reservation capability, and
(7) Constraints on capacity or service availability.
GROUP 07. INTELLIGENT TRANSPORTATION SYSTEMS.
You must select the Assurance in Group 07 on behalfofyour Applicant ifyour Applicant
applies for Federal funding to support:
• An Intelligent Transportation Systems (ITS) Project, or
• A Project in support ofan ITS Project.
ITA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofapplicable Certifications and Assurances selected on behalfofyour Applicant.
Except as FTA determines otherwise in writing, before FTA may provide .fUnding for your
Applicant's Project to support an ITS Project or a Project that supports an ITS project,
you must select the Assurances in Group 07 on behalfofyour Applicant. Any provision of
the Assurance in Group 07 that does not apply will not be enforced.
On behalf of your Applicant, you assure that:
1. As used in this assurance, the term Intelligent Transportation Systems (ITS) Project is
defined to include any Project that in whole or in part finances the acquisition of
technologies or systems of technologies that provide or significantly contribute to the
provision of one or more ITS user services as defined in the "National ITS
Architecture," and
2. As provided in 23 U.S.C. 517( d), any ITS Project your Applicant undertakes that is
funded with appropriations made available from the Highway Trust Fund, including
amounts made available to deploy intelligent transportation systems, will conform to
the appropriate regional ITS architecture, applicable standards, and protocols
developed under 23 U.S.C. 517(a) or (c), unless your Applicant obtains a waiver as
provided in 23 U.S.C. 517(d)(2).
GROUP 08. INTEREST AND FINANCING COSTS AND LEASING COSTS.
You must select the Certifications in Group 08 on behalfofyour Applicant ifyour
Applicant's Project involves interest, financing or leasing costs supported with FTA
.fUnds made available or appropriated for:
• 49 U.S.C. chapter 53, as amended by MAP-21, or
• Former 49 US.c. chapter 53 in effect in FY 2012 or a previous fiscal year, except as
superseded by MAP-21 cross-cutting requirements that apply instead.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofapplicable Certifications and Assurances selected on behalfofyour Applicant.
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
Except as FTA determines otherwise in writing, before FTA may provide fonding for the
interest, financing or leasing costs that are a part ofor connected with your Applicant's
Project, you must select the Certifications in Group OB on behalfofyour Applicant. Any
provision ofthe Certifications in Group OB that does not apply will not be enforced.
A. Interest and Financing Costs.
You must select the Certification in Group OB.A ifyour Applicant intends to
reimburse interest or other financing costs for Projects fonded by the Urbanized Area
Formula Program, Fixed Guideway Capital Investment Program, or the New Starts
or Small Starts Program within the Capital Investment Program.
On behalf of your Applicant, you certify that:
1. Your Applicant will not seek reimbursement for interest or other financing costs
unless:
a. It is eligible to receive Federal funding for those costs, and
b. Its records demonstrate that it has shown reasonable diligence in seeking the
most favorable financing terms, to the extent FfA may require, and
2. Your Applicant will comply with the same favorable financing cost provisions
for:
a. Urbanized Area Formula Projects funded by MAP-21 or previous FTA
enabling legislation,
b. Projects under Full Funding Grant Agreements funded by MAP-21 or
previous FTA enabling legislation,
c. Projects with Early Systems Work Agreements funded by MAP-21 or
previous FTA enabling legislation,
d. Fixed Guideway Capital Investment Projects funded by previous FTA
enabling legislation,
e. State of Good Repair Projects funded by MAP-21 ,
f. Bus and Bus Facilities Projects funded by MAP-21 , and
g. Low or No Emission Vehicle Development Projects funded by MAP-21.
B. Acquisition of Capital Assets by Lease.
You must select the Certification in Group OB.B ifyour Applicant intends to use FTA
fonding to acquire capital assets through a lease.
On behalf of your Applicant, you certify and assure that, as required by FTA
regulations, "Capital Leases," 49 CFR part 639, specifically 49 CFR 639.15(b)(1) and
49 CFR 639.21, if your Applicant acquires any capital asset through a lease fmanced
with Federal funding authorized under 49 U.S.C. chapter 53:
1. Your Applicant will not use Federal funding authorized under 49 U.S.C.
chapter 53 to fmance the cost of leasing any capital asset until:
a. It performs calculations demonstrating that leasing the capital asset would be
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FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
more cost-effective than purchasing or constructing a similar asset, and
b. It completes these calculations before the later of:
(1) Entering into the lease, or
(2) Receiving a capital grant for the asset, and
2. Your Applicant will not enter into a capital lease for which FT A can provide only
incremental Federal funding unless your Applicant has adequate fInancial
resources to meet its future lease obligations if Federal funding is not available.
GROUP 09. TRANSIT ASSET MANAGEMENT AND AGENCY SAFETY PLANS.
Except as FTA determines otherwise in writing, you must select the Certifications in
Group 09 on behalfofyour Applicant ifyour Applicant seeks FTAfUnds made available
or appropriated for:
• 49 U.S.C. chapter 53, as amended by MAP-21, or
• Former 49 U.S.c. chapter 53 in effict in FY 2012 or a previous fiscal year, except as
superseded by MAP-21 cross-cutting requirements that apply instead, including:
• Transit Asset Management Provisions (and Asset Inventory and Condition
Reporting), and
• Agency Safety Plans.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofapplicable Certifications and Assurances selected on behalfofyour Applicant.
Except as FTA determines otherwise in writing, before FTA may provide fUnding made
available or appropriatedfor 49 U.S.C. chapter 53, you must select the Certifications in
Group 09 on behalfofyour Applicant. Any provision ofthe Certifications in Group 09
that does not apply will not be enforced.
A. Transit Asset Management Plan.
You must select the Certification in Group 09.A on behalfofyour Applicant ifyour
Applicant applies, as a direct Recipient, offUnding made available or appropriated
for 49 U.S.c. chapter 53, as amended by MAP-21 orfor former 49 U.S.C. chapter 53
in effict in FY 2012 or a previous fiscal year, except as superseded MAP-21 cross
cutting requirement, "Transit Asset Management Provisions (and Asset Inventory and
Condition Reporting)" instead.
On behalf of your Applicant, you certify that your Applicant will comply, and each
Subrecipient will:
¥fA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
1. Follow Federal guidance issued that implements transit asset management system
provisions of 49 U.S.C. 5326, as amended by MAP-21, except as FTA determines
otherwise in writing, and
2. Comply with the final Federal regulations that implement the transit asset
management system required by 49 U.S.C. 5326, as amended by MAP-21, after
those regulations have been issued as required by 49 U.S.C. 5326(e), as amended
byMAP-21.
B. Public Transportation Agency Safety Plan.
You must select the Certification in Group 09.B on behalfofyour Applicant ifyour
Applicant is a State government, local government, or any other operator ofa public
transportation system and seeks funding made available or appropriated for
49 U.S.c. chapter 53, as amended by MAP-21, or for former 49 U.S.c. chapter 53 in
effect in FY 2012 or a previous fiscal year, except as superseded by the MAP-21
cross-cutting requirement, "Agency Safety Plans. "
On behalf of your Applicant, you certify that your Applicant will:
I. Follow Federal guidance issued that implements the safety plan provisions of 49
U.S.C. § 5329(a) -(d), as amended by MAP-21, except as FTA determines
otherwise in writing, and
2. Comply with the final Federal regulations that implement the safety plan
requirements of 49 U.S.C. § 5329(a) -(d), as amended by MAP-21, after within
one year after FTA has issued that plan as required by 49 U.S.C. 5329(b), as
amended byMAP-21.
GROUP 10. ALCOHOL AND CONTROLLED SUBSTANCES TESTING.
Except as FTA determines otherwise in writing, you must select the Certification in
Group lOon behalfofyour Applicant ifyour Applicant is required to comply with the
alcohol and controlled substance testing requirements of"
• 49 U.s.c. 5331, as amended by MAP-21, or
• Former 49 U.S.c. 5331 in effect in FY 2012 or a previous fiscal year, except as
superseded instead by the MAP-21 cross-cutting requirement, "Alcohol and
Controlled Substance Testing. "
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofapplicable Certifications and Assurances selected on behalfofyour Applicant.
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
Except as FTA determines otherwise in writing, before FTA may provide fondingfor your
Applicant's Project, you must select the Certification in Group lOon behalfofyour
Applicant. Any provision ofthe Certification that does not apply will not be enforced.
As required by 49 U.S.C. 5331, as amended by MAP-21 , and FTA regulations,
"Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations,"
specifically 49 CFR part 655, subpart I, on behalf of your Applicant, you certify that
1. Your Applicant has established and implemented:
a. An alcohol misuse testing program, and
b. A controlled substance testing program,
2. Your Applicant has complied with or will comply with all applicable requirements of
49 CFR part 655 to the extent those regulations are consistent with 49 U.S.C. 5331, as
amended by MAP-21, and
3. Further, should your Applicant reside in a State that permits marijuana use for
medical or recreational purposes, your Applicant has complied or will comply with
the Federal controlled substance testing requirements of 49 CFR part 655.
GROUP 11. FIXED GUIDEWAY CAPITAL INVESTMENT PROGRAM
(NEW STARTS, SMALL STARTS, AND CORE CAPACITY) AND
CAPITAL INVESTMENT PROGRAM IN EFFECT BEFORE MAP-21.
The Certification in Group 11 is in addition to other Certifications and Assurances listed
previously that are required for the New Starts, Small Starts, or Core Capacity Programs
within the MAP-21 Fixed Guideway Capital Investment Program and also for the Capital
Investment Program financed with fonds made available or appropriatedfor former
49 U.S.c. 5309 in effict in FY 2012 or a previous fiscal year.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining suffiCient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofapplicable Certifications and Assurances selected on behalfofyour Applicant.
Except as FTA determines otherwise in writing, you must select the Certification in
Group lIon behalfofyour Applicant ifyour Applicant seeks financingfor its:
• Fixed Guideway Capital Investment Program Project financed with fonds made
available or appropriatedfor 49 U.S.c. 5309, as amended by MAP-21, or
• Capital Investment Project financed with fonds made available or appropriatedfor
former 49 U.S.c. 5309 in effict in FY 2012 or a previous fiscal year, except as
superseded by MAP-21 cross-cutting requirements that apply instead.
FTA has determined that MAP-21 requirements will apply to al/fundingfor New Starts,
ITA FISCAL YEAR 1013 CERTIFICAnONS AND ASSURANCES
Small Starts, or Core Capacity projects irrespective ofwhether they are financed with
MAP-21 funds orfunds made available or appropriatedfor FY 2012 or a previous fiscal
year. Except as FTA determines otherwise in writing, before FTA may provide funding
for your Applicant's New Starts, Small Starts, or Core Capacity Project, you must select
the Certification in Group 11 on behalfofyour Applicant. Any provision ofthe
Certification in Group 11 that does not apply will not be enforced.
Except as FTA determines otherwise in writing, on behalf of your Applicant, you certify
that:
1. Your Applicant has or will have the:
a. Legal capacity to cany out its proposed Projects,
b. Financial capacity to cany out its proposed Projects,
c. Technical capacity to cany out its proposed Projects,
d. Necessary capacity to cany out the safety aspects of its proposed Projects, and
e. Necessary capacity to carry out the security aspects of its proposed Projects,
2. Your Applicant has or will have satisfactory continuing control over the use of
Project equipment and facilities,
3. Your Applicant will maintain its Project equipment and facilities adequately, and
4. Your Applicant will comply with:
a. The Metropolitan Planning requirements of 49 U.S.C. 5303, as amended by
MAP-2I, and
b. The State Planning requirements of 49 U.S.C. 5304, as amended by MAP-2I.
GROUP 12. STATE OF GOOD REPAIR PROGRAM.
Although 49 U.S.c. 5337, as amended by MAP-21, did not require special Certifications
and Assurances for the State ofGood Repair Program, other Certifications and
Assurances within Appendix A to this Notice are requiredfor State ofGood Repair
Program funding.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take the appropriate measures, including, but not limited to, obtaining
sufficient documentation from each Subrecipient and other Third Party Participant to
assure the validity ofapplicable Certifications and Assurances selected on behalfofyour
Applicant.
Therefore, we encourage you to select the Certification in Group 12 ifyour Applicant
seeks State ofGood Repair Program funding authorized by 49 U.S.c. 5337, as amended
byMAP-21.
On behalf of your Applicant, you certify that:
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
1. Your Applicant has or will have the:
a. Legal capacity to carry out its proposed Projects,
b. Financial capacity to carry out its proposed Projects,
c. Technical capacity to carry out its proposed Projects,
d. Necessary capacity to carry out the safety aspects of its proposed Projects, and
e. Necessary capacity to carry out the security aspects of its proposed Projects,
2. Your Applicant has or will have satisfactory continuing control over the use of
Project equipment and facilities,
3. Your Applicant will maintain its Project equipment and facilities adequately, and
4. Your Applicant will comply with:
a. The Metropolitan Planning requirements of 49 U.S.C. 5303, as amended by
MAP-21, and
b. The State Planning requirements of 49 U.S.C. 5304, as amended by MAP-21.
GROUP 13. FIXED GUIDEWAY MODERNIZATION GRANT PROGRAM.
The Certification in Group 13 is in addition to other Certifications and Assurances listed
previously that are required for Fixed Guideway Modernization Grant Program funding.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofthe applicable Certifications and Assurances selected on behalfofyour
Applicant.
Except as FTA determines otherwise in writing, you must select the Certifications in
Group 13 on behalfofyour Applicant ifyour Applicant seeks funding for its Fixed
Guideway Modernization Project under 49 U.s.c. 5309(b)(2) in effect in FY 2012 or a
previous fiscal year. In administering this program, MAP-21 cross-cutting requirements
supersede inconsistent former requirements.
Before FTA may provide funding made available or appropriated for any ofthese
Projects, on behalfofyour Applicant, you must have selected the Certification in
Group 13 and other Certifications and Assurances listed previously that are required for
the funding your Applicant seeks. Any provision ofthe Certification in Group 13 that
does not apply will not be enforced.
The following Certifications for Fixed Guideway Modernization Grant Program funding
are required by former 49 U.S.C. 5309(c)(2) and former 49 U.S.C. 5307(d)(1) in effect in
FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross-cutting
requirements that apply instead. Therefore, except as FTA determines otherwise in
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
writing, on behalf of your Applicant, you certify that:
1. Your Applicant bas or will have the:
a. Legal capacity to carry out its proposed Projects,
b. Financial capacity to carry out its proposed Projects,
c. Technical capacity to carry out its proposed Projects,
d. Necessary capacity to carry out the safety aspects of its proposed Projects, and
e. Necessary capacity to carry out the security aspects of its proposed Projects,
2. Your Applicant bas or will have satisfactory continuing control over the use of
Project equipment and facilities,
3. Your Applicant will maintain its Project equipment and facilities adequately, and
4. Your Applicant bas complied or will comply with, and will require each Subrecipient
to comply with, 49 U.S.C. 5301, 5303, and 5304, as amended by MAP-2L
GROUP 14. BUS AND BUS FACILITIES PROGRAMS.
The Certifications in Group 14A are in addition to other Certifications and Assurances
listed previously that are requiredfor Bus and Bus Facilities Programfonding.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofapplicable Certifications and Assurances selected on behalfofyour Applicant.
Except as FTA determines otherwise in writing, you must select the Certifications in
Group 14, on behalfofyour Applicant, ifyour Applicant seeks financingfor its:
• Bus and Bus Facilities Formula Grant Program financed with fonds made available
or appropriatedfor 49 U.S.G. 5339, as amended by MAP-21, or
• Bus and Bus Related Equipment and Facilities Project financed with fonds made
available or appropriatedfor former 49 U.S. G. 5 309(b)(3) in effect in FY 2012 or a
previous fiscal year.
In administering these programs, MAP-21 cross-cutting requirements supersede
inconsistent former requirements.
These two programs have or will have fonding available during FY 2013. Accordingly, if
your Applicant seeks fonding made available or authorized by 49 U.S. G. 5339, as
amended by MAP-21, orformer 49 U.S.G. 5309 in effect in FY 2012 or a previous fiscal
year, you should provide the two subgroups ofCertifications in Group 14, on behalfof
your Applicant, to assure that FTA can select the type offunding it considers most
suitable.
ITA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
Before FTA may provide funding made available or appropriated for your Applicant's
Project, on behalfofyour Applicant, you must have selected the Certifications in
Group 14 and other Certifications and Assurances listed previously that are required for
the funding your Applicant seeks. Any provision ofthe Certifications in Group 14 that
does not apply will not be enforced.
A. Bus and Bus Facilities Formula Grants Program
You must select the Certification in Group 14.A ifyour Applicant seeksfundingfor its
Bus or Bus Facilities Formula Project financed with funds made available or
appropriatedfor 49 U.S.c. 5339, as amended by MAP-21.
The following Certification for Bus and Bus Facilities Formula Grants Program
funding are required by 49 U.S.C. 5339(b), as amended by MAP-21, which states that
"The requirements of section 5307 apply to recipients of grants made under this
section." Therefore, except as FTA determines otherwise in writing, on behalf of
your Applicant, you certify that:
1. Your Applicant has or will have the:
a. Legal capacity to carry out its proposed Projects,
b. Financial capacity to carry out its proposed Projects,
c. Technical capacity to carry out its proposed Projects,
d. Necessary capacity to carry out the safety aspects of its proposed Projects, and
e. Necessary capacity to carry out the security aspects of its proposed Projects,
2. Your Applicant has or will have satisfactory continuing control over the use of
Project equipment and facilities,
3. Your Applicant will maintain its Project equipment and facilities adequately,
4. Your Applicant will ensure that when, during non-peak hours for transportation
using or involving a facility or equipment of a Project financed under
49 U.s.C.5339, as amended by MAP-21 , the following individuals will be
charged a fare not exceeding fifty (50) percent of the peak hour fare:
a. Any senior,
b. Any individual who, because of illness, injury, age, congenital malfunction, or
other incapacity or temporary or permanent disability (including an individual
who is a wheelchair user or has semi-ambulatory capability), cannot use a
public transportation service or a public transportation facility effectively
without special facilities, planning, or design,
c. Any individual presenting a Medicare card issued to himself or herself
pursuant to title II of the Social Security Act (42 U.S.C. 401 et seq.), or
d. Any individual presenting a Medicare card issued to himself or herself
pursuant to title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
5. When carrying out a procurement under 49 U.S.C.5339, as amended by MAP-21 ,
your Applicant will comply with the:
a. General provisions for FTA programs of49 U.S.C. 5323, as amended by
MAP-21 , and
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
b. Third party procurement requirements of49 U.S.C. 5325, as amended by
MAP-21,
6. Your Applicant has complied with or will comply with 49 U.S.C. 5307{b), as
amended by MAP-21 , because it:
a. Has made or will make available to the public information on amounts of its
funding available to it under 49 U.S.C. 5339,
b. Has developed or will develop, in consultation with interested parties,
including private transportation providers, a proposed Program ofProjects for
activities to be funded,
c. Has published or will publish a Program of Projects in a way that affected
individuals, private transportation providers, and local elected officials will
have an opportunity to examine and submit comments on the proposed
Program ofProjects and its performance as an Applicant or Recipient,
d. Has provided or will provide an opportunity for a public hearing to obtain the
views of individuals on the proposed Program of Projects,
e. Has ensured or will ensure that the proposed Program ofProjects provide for
coordination of transportation services funded by U.S. DOT under 49 U.S.C.
5336 with federally funded transportation services supported by United States
Government sources other than U.S. DOT,
f. Has considered or will consider the comments and views received, especially
those ofprivate transportation providers, in preparing its final Program of
Projects, and
g. Has made or will make the final Program of Projects available to the public,
7. As required by 49 U.S.C. 5307(d), as amended by MAP-21 , your Applicant:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from approved non-Federal sources except
if otherwise authorized by law, and
c. Will provide the local share funds when needed,
8. Your Applicant will comply with:
a. The Metropolitan Planning requirements of 49 U.S.C. 5303, as amended by
MAP-21,and
b. The State Planning requirements of 49 U.S.C. 5304, as amended by MAP-21 ,
9. Your Applicant has a locally developed process to solicit and consider public
comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation, and
10. Your Applicant will comply with requirements for Public Transportation Agency
Safety Plan requirements of 49 U.S.C. 5329, as amended by MAP-21.
B. Bus and Bus Related. Equipment and Facilities Grant Program (Discretionary).
You must select the Certification in Group 14.B ifyour Applicant seeks fUnding for its
Bus or Bus Related Equipment and Facilities Project financed with fUnds made
available or appropriated for former 49 U.S.c. 5309(b)(3) in effect in FY 2012 or a
ITA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
previous fiscal year. In administering these programs, MAP-21 cross-cutting
requirements supersede inconsistent former requirements.
Except as FTA determines otherwise in writing, you must select the Certification in
Group 14.B on behalfofyour Applicant ifyour Applicant seeks fonding for its
discretionary Bus and Bus Related Equipment and Facilities Project. Before FTA
may provide fonding made available or appropriated for the discretionary Bus and
Bus Related Equipment and Facilities Program, on behalfofyour Applicant:
• In FY 2013, you must have selected the Certifications and Assurances required by
former 49 U.S.c. 5307(d)(l)(A) -(C) and (H) in effect in FY 2012 ora previous
fiscal year, except as superseded by MAP-21 cross-cutting requirements that
apply instead, or
• You must have selected the Certification in Group 14.B.
Any provision ofthe Certification in Group 14.B that does not apply will not be
enforced.
The following Certification for discretionary Bus and Bus Related Equipment and
Facilities Grant Program funding are required by former 49 US.C. 5309( c )(2), which
applies the requirements of former 49 US.C. 5307( d)( 1 )(A), (B), (C), and (H) in
effect in FY 2012 or a previous fiscal year to this Program, except as superseded by
MAP-21 cross-cutting requirements that apply instead. Therefore, except as FTA
determines otherwise in writing, on behalfof your Applicant, you certify that:
I. Your Applicant has or will have the:
a Legal capacity to carry out its proposed Projects,
b. Financial capacity to carry out its proposed Projects,
c. Technical capacity to carry out its proposed Projects,
d. Necessary capacity to carry out the safety aspects of its proposed Projects, and
e. Necessary capacity to carry out the security aspects of its proposed Projects,
2. Your Applicant has or will have satisfactory continuing control over the use of
Project equipment and facilities,
3. Your Applicant will maintain its Project equipment and facilities adequately, and
4. Your Applicant has complied or will comply with, and will require each
Subrecipient to comply with, 49 US.C. 5301,5303, and 5304, as amended by
MAP-21.
GROUP 15. URBANIZED AREA FORMULA GRANT PROGRAMS AND
JOB ACCESS AND REVERSE COMMUTE (JARC)
FORMULA GRANT PROGRAM.
The Certifications in Group 15 are in addition to other Certifications and Assurances
listed previously that are required for the Urbanized Area Formula Grants Programs or
Job Access and Reverse Commute (JARC) Formula Grant Program fonding.
Your Applicant is ultimately responsible for compliance with the Certifications and
FTA FISCAL YEAR 2013 CERTIFICAnONS AND ASSURANCES
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofapplicable Certifications and Assurances selected on behalfofyour Applicant.
Except as FTA determines otherwise in writing, you must select the Certifications in
Group 15, on behalfofyour Applicant, ifyour Applicant seeksfinancingfor its:
• Urbanized Area Formula Project financed with fonds made available or appropriated
for 49 US.c. 5307, as amended by MAP-21, which among other things, authorizes
fondingfor JARC Projects and Project Activities,
• Urbanized Area Formula Project financed with fonds made available or appropriated
for former 49 US.c. 5307 in effect in FY 2012 or a previous fiscal year, or
• Job Access and Reverse Commute Project financed with fonds made available or
appropriatedfor former 49 US.c. 5316 in effect in FY 2012 ora previous fiscal year.
In administering these programs, MAP-21 cross-cutting requirements supersede
inconsistent former requirements.
These three programs have or will havefondingavailable during FY 2013. Accordingly,
ifyour Applicant seeks fonding made available or authorized by 49 US. C. 5307 or
former 49 Us.c. 5316, you should provide the three subgroups ofCertifications in
Group 15, on behalfofyour Applicant, to assure that FTA can select the type offonding
it considers most suitable.
Before FTA may provide fonding made available or appropriatedfor any ofthese
Projects, on behalfofyour Applicant, you must have selected the Certifications in
Group 15 and other Certifications and Assurances listed previously that are required for
the fonding your Applicant seeks. Any provision ofthe Certifications in Group 15 that
does not apply will not be enforced.
A. Urbanized Area Formula Program under MAP-21.
You must select the Certification in Group 15.A ifyour Applicant seeksfondingfor its
Urbanized Area Formula Project financed with fonds made available or appropriated
for 49 US.c. 5307, as amended by MAP-21.
The following Certification for the Urbanized Area Formula Program funding made
available or appropriated for MAP-21 are required by 49 U.S.C. 5307(c)(I), as
amended by MAP-21. Therefore, except as FTA determines otherwise in writing, on
behalf of your Applicant, you certify that:
I. Your Applicant has or will have the:
a. Legal capacity to cany out its proposed Projects,
FTA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
b. Financial capacity to carry out its proposed Projects,
c. Technical capacity to carry out its proposed Projects,
d. Necessary capacity to carry out the safety aspects of its proposed Projects, and
e. Necessary capacity to carry out the security aspects of its proposed Projects,
2. Your Applicant has or will have satisfactory continuing control over the use of
Project equipment and facilities,
3. Your Applicant will maintain its Project equipment and facilities adequately,
4. Your Applicant will ensure that when, during non-peak hours for transportation
using or involving a facility or equipment of a Project financed under 49 U.S.C.
5307, as amended by MAP-21, the following individuals will be charged a fare
not exceeding fifty (50) percent of the peak hour fare:
a. Any senior,
b. Any individual who, because of illness, injury, age, congenital malfunction, or
other incapacity or temporary or permanent disability (including an individual
who is a wheelchair user or has semi-ambulatory capability), cannot use a
public transportation service or a public transportation facility effectively
without special facilities, planning, or design,
c. Any individual presenting a Medicare card issued to himself or herself
pursuant to title IT of the Social Security Act (42 U.S.C. 401 et seq.), or
d. Any individual presenting a Medicare card issued to himself or herself
pursuant to title XVIIT of the Social Security Act (42 U.S.C. 1395 et seq.),
5. When carrying out a procurement under 49 U.S.C. 5307, as amended by MAP-21,
your Applicant will comply with the:
a. General provisions for FTA prognuns of 49 U.S.C. 5323, and
b. Third party procurement requirements of49 U.S.C. 5325,
6. Your Applicant has complied with or will comply with 49 U.S.C. 5307(b), as
amended by MAP-21, because it:
a. Has made or will make available to the public information on amounts of its
funding available to it under 49 U.S.C. 5307,
b. Has developed or will develop, in consultation with interested parties,
including private transportation providers, a proposed Program of Projects for
activities to be funded,
c. Has published or will publish a Program ofProjects in a way that affected
individuals, private transportation providers, and local elected officials will
have an opportunity to examine and submit comments on the proposed
Program of Projects and its performance as an Applicant or Recipient,
d. Has provided or will provide an opportunity for a public hearing to obtain the
views of individuals on the proposed Program of Projects,
e. Has ensured or will ensure that the proposed Program of Projects provide for
coordination of transportation services funded by U.S. DOT under 49 U.S.C.
5336 with federally funded transportation services supported by United States
Government sources other than U.S. DOT,
f. Has considered or will consider the comments and views received, especially
those ofprivate transportation providers, in preparing its final Program of
FTA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
Projects, and
g. Has made or will make the final Program of Projects available to the public,
7. As required by 49 U.S.C. 5307(d), as amended by MAP-21, your Applicant:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from approved non-Federal sources except
if otherwise authorized by law, and
c. Will provide the local share funds when needed,
8. As required by 49 U.S.C. 5307(c)(l)(H) and 49 U.S.C. 5309(c)(2), as amended by
MAP-21, your Applicant will comply with:
a. The Metropolitan Planning requirements of 49 U.S.C. 5303, as amended by
MAP-21, and
b. The State Planning requirements of 49 U.S.C. 5304, as amended by MAP-21 ,
9. As required by 49 U.S.C. 5307(c)(l)(I), as amended by MAP-21 , your Applicant
has a locally developed process to solicit and consider public comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation,
10. Each fiscal year:
a. Your Applicant will ensure that at least one (I) percent of the amount of the
49 U.S.C. 5307 funding apportioned to the urbanized area is spent for public
transportation security Projects as described in 49 U.S.C. 5307{c){I)(J)(i)
including:
(I) Increased lighting in or adjacent to a public transportation system
(including bus stops, subway stations, parking lots, and garages),
(2) Increased camera surveillance of an area in or adjacent to that system,
(3) Emergency telephone line or lines to contact law enforcement or security
personnel in an area in or adjacent to that system, and
(4) Any other Project intended to increase the security and safety of an
existing or planned public transportation, or
b. The Designated Recipients in your Applicant's urbanized area will certify that
such expenditures for transportation security Projects are not necessary,
(Information about the intentions of your Designated Recipients in the
Applicant's urbanized area must be recorded in the "Security" tab page of the
TEAM-Web "Project Information" window when it submits its Urbanized
Area Formula Program application in TEAM-Web),
11. If your Applicant serves an urbanized area with a population of at least 200,000
individuals, as determined by the Bureau of the Census:
a. Each fiscal year, your Applicant will ensure that at least one (I) percent of
the amount apportioned to the urbanized area is spent for Associated Transit
Improvements, as defined in 49 U.S.C. 5302(1), as amended by MAP-21,
b. Your Applicant will include in its quarterly report for the fourth quarter of
the preceding Federal fiscal year:
(I) A list of its Associated Transit Improvement Projects or Project activities
during that Federal fiscal year using those 49 U.S.C. 5307 funds, or
(2) Sufficient information to demonstrate that the Designated Recipients in
FI'A FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
its area together have spent one (1) percent of the amount of funding that
must be made available to them for Associated Transit Improvement
Projects or Project activities, or have included the same information in a
separate report attached in TEAM-Web, and
c. The report of your Applicant's Associated Transit Improvement Projects or
Project activities is or will be incOIporated by reference and made part of its
Certifications and Assurances, and
12. Your Applicant will comply with its Public Transportation Agency Safety Plan as
required by 49 U.S.C. 5329, as amended by MAP-21.
B. Urbanized Area Formula Program Before MAP-21 Became Effective.
You must select the Certification in Group 15.B ifyour Applicant seeksfundingfor its
Urbanized Area Formula Project financed with funds made available or appropriated
for former 49 U.S.c. 5307 in effect in FY 2012 or a previous fiscal year. In
administering this program, MAP-21 cross-cutting requirements supersede
inconsistent former requirements.
The following Certification for the Urbanized Area Formula Grants Program are
required by former 49 U.S.C. 5307(d)(1) in effect in FY 2012 or a previous fiscal
year, except as superseded by MAP-21 cross-cutting requirements that apply instead.
Therefore, except as FTA determines otherwise in writing, on behalf of your
Applicant, you certify that:
1. Your Applicant has or will have the:
a. Legal capacity to carry out its proposed Projects,
b. Financial capacity to carry out its proposed Projects,
c. Technical capacity to carry out its proposed Projects,
d. Necessary capacity to carry out the safety aspects of its proposed Projects, and
e. Necessary capacity to carry out the security aspects of its proposed Projects,
2. Your Applicant has or will have satisfactory continuing control over the use of
Project equipment and facilities,
3. Your Applicant will maintain its Project equipment and facilities adequately,
4. Your Applicant will ensure that for transportation using or involving a facility or
equipment of a Project financed under former 49 U.S.C. 5307 in effect in
FY 2012 or a previous fiscal year, the following individuals will be charged a fare
not exceeding fifty (50) percent of the peak hour fare:
a. Any elderly individual,
b. Any handicapped individual, as described in 49 CFR part 27,
c. Any individual presenting a Medicare card issued to himself or herself
pursuant to title IT of the Social Security Act (42 U.S.C. 401 et seq.), or
d. Any individual presenting a Medicare card issued to himself or herself
pursuant to title xvm of the Social Security Act (42 U.S.C. 1395 et seq.),
5. When carrying out a procurement under former 49 U.S.C. 5307 in effect in
FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross cutting
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
requirements that apply instead:
a. Your Applicant will use competitive procurement (as defined or approved by
FTA), as required by 49 U.S.C. 5325(a),
b. Your Applicant will not use exclusionary or discriminatory specifications in
its procurements, as required by 49 U.S.C. 5323(h),
c. As provided by the MAP-21 cross-cutting requirement, "Buy America," your
Applicant will comply with 49 U.S.C. 53230), as amended by MAP-21,
d. Your Applicant will comply with applicable pre-award and post-delivery
requirements of 49 U.S.C. 5323(m),
e. As provided by MAP-21 cross-cutting requirements, your Applicant will
comply with applicable railcar option restrictions of 49 U.S.C. 5325(e), as
amended by MAP-21, and
f. As required by the MAP cross-cutting requirement, "Veterans
PreferencelEmployment," your Applicant will comply with 49 U.S.C.
5325(k), as amended by MAP-21,
6. Your Applicant has complied or will comply with, and will require each
Subrecipient to comply with, former 49 U.S.C. 5307(b) in effect in FY 2012 or a
previous fiscal year, except as superseded by MAP-21 requirements that apply
instead:
a. For a capital project that will substantially affect a community or the public
transportation service of a community, your Applicant:
(1) Has provided an adequate opportunity for public review and comment on
its Project,
(2) After providing notice, has held a public hearing on the project if the
project affects significant economic, social, or environmental interests,
(3) Has considered the economic, social, and environmental effects of the
project, and
(4) Has found that the project is consistent with official plans for developing
the community,
b. The notice of a hearing your Applicant published:
(1) Included a concise description of the proposed project, and
(2) Was published in a newspaper of general circulation in the geographic
area the project will serve, and
c. Your Applicant's application for a capital grant that will substantially affect a
community, or the public transportation service of a community under former
49 U.S.C. chapter 53 in effect in FY 2012 or a previous fiscal year for a
capital project described in paragraph (1) will include the following:
(1) A Certification that the applicant has complied with the requirements of
49 U.S.C. 5323(b)(1)(C), and
(2) In the environmental record for the project, evidence that your Applicant
fhas complied with the requirements of 49 U.S.C. 5323(b)(1)(C).
7. Your Applicant: it
a. Has or will have the amount of funds required for the local share by former
49 U.S.C. 5307(e) in effect in FY 2012 or a previous fiscal year, except as
I
I
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
superseded by MAP-21 cross cutting requirements that apply instead,
b. Will provide the local share funds from approved non-Federal sources except
as permitted by former 49 U.S.C. 5307(e) in effect in FY 2012 or a previous
fiscal year, except as superseded by MAP-21 cross-cutting requirements that
apply instead, and
c. Will provide the local share funds when needed,
8. Your Applicant has complied or will comply with, and will require each
Subrecipient to comply with, 49 U.S.C. 5301,5303, and 5304, as amended by
MAP-21,
9. Your Applicant has a locally developed process to solicit and consider public
comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation,
10. Each fiscal year:
a. Your Applicant will spend at least one (1) percent of its 49 U.S.C. 5307
funding for public transportation security Projects (limited to capital Projects
if your Applicant serves an urbanized area with a population of 200,000 or
more), including:
(1) Increased lighting in or adjacent to a public transportation system
(including bus stops, subway stations, parking lots, and garages),
(2) Increased camera surveillance of an area in or adjacent to that system,
(3) Emergency telephone line or lines to contact law enforcement or security
personnel in an area in or adjacent to that system, and
(4) Any other Project intended to increase the security and safety of an
existing or planned public transportation, or
b. Your Applicant will certify that such expenditures for transportation security
Projects are not necessary,
(Information about your Applicant's intentions must be recorded in the
"Security" tab page of the TEAM-Web "Project Information" window when it
submits its Urbanized Area Formula Program application in TEAM-Web),
11. Ifyour Applicant serves an urbanized area with a population of at least 200,000
individuals:
a. Each fiscal year, your Applicant will ensure that at least one (I) percent of
the amount apportioned to the urbanized area is spent for Transit
Enhancements, as defined in former 49 U.S.C. 5302(a)(15),
b. Your Applicant will include in its quarterly report for the fourth quarter of
the preceding Federal fiscal year
(1) A list of its Transit Enhancement Project activities during that Federal
fiscal year using those former 49 U.S.C. 5307 funds, or
(2) Sufficient information to demonstrate that the Designated Recipients in
your Applicant's urbanized area together have spent one (1) percent of
the amount of funding that must be made available to them for Transit
Enhancements or have included the same information in a separate report
attached in TEAM-Web, and
¥fA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
c. The report of your Applicant or the Designated Recipients' Transit
Enhancement Projects or Project activities is or will be incorporated by
reference and made part of its Certifications and Assurances, and
12. As required by the MAP-21 cross-cutting requirement, "Agency Safety Plans,"
your Applicant will comply with its Public Transportation Agency Safety Plan, as
required by 49 U.S.C. 5329, as amended by MAP-21.
C. Job Access and Reverse Commute (JARC) Formula Grant Program.
You must select the Certification in Group 15.C if your Applicant seeks funding for
its JARC Project financed with funds made available or appropriated for former
49 U.s.C. 5316 in effect in FY 2012 or a previous fiscal year. In administering
program, MAP-21 cross-cutting reguirements supersede inconsistent former
reguirements.
1. The following Certification for the Urbanized Area Formula Grants Program are
required by former 49 U.S.C. 5316 in effect in FY 2012 or a previous fiscal year,
except as superseded by MAP-21 cross-cutting requirements that apply instead.
Therefore, except as FTA determines otherwise in writing, on behalf of your
Applicant, you certify that:
a. Your Applicant will make awards of JARC funding on a competitive basis
following:
(I) An areawide solicitation in cooperation with the appropriate metropolitan
planning organization for applications for funding in compliance with
former 49 U.S.C. 5316, and
(2) A statewide solicitation for applications for JARC funding in compliance
with former 49 U.S.C. 5316,
b. Any allocations to Subrecipients of JARC funding authorized by former
49 U.S.C. 5316 will be distributed on a fair and equitable basis,
c. As required by former 49 U.S.C. 5316:
(l) The projects your Applicant has selected or will select for funding made
available or appropriated for that program were derived from a public
transit-human services transportation plan that has been:
(a) Locally developed, and
(b) Coordinated,
(2) That locally developed, coordinated plan was produced through a process
that included:
(a) Representatives of public, private, and nonprofit transportation
providers,
(b) Representatives of public, private, and nonprofit human services
providers, and
(c) Participation by the public,
d. Before your Applicant transfers funds to a project funded by former 49 U.S.C.
5336, that project has been or will have been coordinated with private
ITA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
nonprofit providers of services,
e. Before using funds apportioned for projects serving an area other than that for
which funding was apportioned under former 49 U.S.C. 5316:
(1) The State's chief executive officer, or his or her designee, will have
certified that all the JARC program objectives of former 49 U.S.C.
5316 are being met in the area from which the funding would be derived,
and
(2) lfthe State has a statewide program for meeting the JARC program
objectives of former 49 U.S.C. 5316, the funds can be used for projects
anywhere in the State, and
f. The requirements of former 49 U .S.C. 5307 will apply to the JARC Program,
authorized by former 49 U.S.C. 5316, and
2. The following Certifications for the JARC Program are required by former
49 U.S.C. 5307( d)(I) in effect in FY 2012 or a previous fiscal year, except as
superseded by MAP-2l cross-cutting requirements that apply instead. Therefore,
except as FTA determines otherwise in writing, on behalf of your Applicant, you
certify that:
a. Your Applicant has or will have, and will require each Subrecipient to have:
(1) The legal capacity to carry out its proposed Projects,
(2) The financial capacity to carry out its proposed Projects,
(3) The technical capacity to carry out its proposed Projects,
(4) The necessary capacity to carry out the safety aspects of its proposed
Projects, and
(5) The necessary capacity to carry out the security aspects of its proposed
Projects,
b. Your Applicant has or will have, and will require each Subrecipient to have
satisfactory continuing control over the use of Project equipment and
facilities,
c. Your Applicant will maintain, and will require each Subrecipient to maintain,
its Project equipment and facilities adequately,
d. Your Applicant will ensure, and will require each Subrecipient to ensure, that
for transportation using or involving a facility or equipment ofa Project
financed under former 49 U.S.C. 5307 in effect in FY 2012 or a previous
fiscal year, the following individuals will be charged a fare not exceeding fifty
(50) percent of the peak hour fare:
(1) Any elderly individual,
(2) Any handicapped individual, as described in 49 CFR part 27,
(3) Any individual presenting a Medicare card issued to himself or herself
pursuant to title IT of the Social Security Act (42 U.S.C. 401 et seq.), or
(4) Any individual presenting a Medicare card issued to himself or herself
pursuant to title XVIIT of the Social Security Act (42 U.S.C. 1395
et seq.),
e. When carrying out a procurement under former 49 U.S.C. 5307 in effect in
FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross
ITA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
cutting requirements that apply instead, your Applicant will, and will require
each Subrecipient to:
(1) Use competitive procurement (as defined or approved by FT A), as
required by 49 U.S.C. 5325(a), and
(2) Not use exclusionary or discriminatory specifications in its procurements,
as required by 49 U.S.C. 5323(h),
f. Your Applicant has complied or will comply with, and will require each
Subrecipient to comply with, former 49 U.S.C. 5307(c) in effect in FY 2012
or a previous fiscal year, except as superseded by MAP-21 requirements that
apply instead:
(1) For a capital project that will substantially affect a community or the
public transportation service of a community, your Applicant:
(a) Has provided an adequate opportunity for public review and
comment on its Project,
(b) After providing notice, has held a public hearing on the project if the
project affects significant economic, social, or environmental
interests,
(c) Has considered the economic, social, and environmental effects of
the project, and
(d) Has found that the project is consistent with official plans for
developing the community,
(2) The notice of a hearing your Applicant published:
(a) Included a concise description of the proposed project, and
(b) Was published in a newspaper ofgeneral circulation in the
geographic area the project will serve, and
(3) Your Applicant's application for a capital grant that will substantially
affect a community, or the public transportation service of a community
under former 49 U.S.C. chapter 53 in effect in FY 2012 or a previous
fiscal year for a capital project described in paragraph (1) will include the
following:
(a) A Certification that the applicant has complied with the requirements
of49 U.S.C. 5323(b)(1 )(C), as amended by MAP-21, and
(b) In the environmental record for the project, evidence that your
Applicant has complied with the requirements of 49 U.S.C.
5323(b)(1)(C).
g. Your Applicant:
(1) Has or will have and, as necessary, will require each Subrecipient to have
the amount of funds required for the local share by former 49 U.S.C.
5307(e) in effect in FY 2012 or a previous fiscal year, except as
superseded by MAP-21 cross cutting requirements that apply instead,
(2) Will provide and, as necessary, will require each Subrecipient to provide,
the local share funds from approved non-Federal sources except as
permitted by former 49 U.S.C. 5307( e) in effect in FY 2012 or a previous
fiscal year, except as superseded by MAP-21 cross-cutting requirements
f
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
that apply instead, and
(3) Will provide and, as necessary, will provide the local share funds when
needed,
h. Your Applicant bas complied or will comply with, and will require each
Subrecipient to comply with, 49 U.S.C. 5301, 5303, and 5304, as amended by
MAP-21 ,
1. Your Applicant bas or will have, and will require each Subrecipient to have a
locally developed process to solicit and consider public comment before:
(1) Raising a fare, or
(2) Implementing a major reduction ofpublic transportation, and
j. To the extent applicable, as required by the MAP-21 cross-cutting
requirement, "Agency Safety Plans," your Applicant will comply with and, as
necessary, will require each Subrecipient to comply with its Public
Transportation Agency Safety Plan, as required by 49 U.S.C. 5329, as
amended byMAP-21.
GROUP 16. SENIORSIELDERLYIINDIVIDUALS WITH DISABILITIES
AND NEW FREEDOM PROGRAMS.
The Certifications in Group 16 are in addition to other Certifications and Assurances
listed previously that are required for Seniors/Elderly/Individuals with Disabilities or
New Freedom Program funding.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party PartiCipant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofthe applicable Certifications and Assurances selected on behalfofyour
Applicant.
Except as FTA determines otherwise in writing, you must select the Certifications in
Group 16, on behalfofyour Applicant, ifyour Applicant seeks financingfor its:
• Formula Grants for the Enhanced Mobility ofSeniors and Individuals with
Disabilities Project, financed or to befinanced with fUnds made available or
appropriatedfor 49 u.s.c. 5310, as amended by MAP-21, which among other things
authorizes fUndingfor New Freedom Projects and Project Activities,
• Formula Grants for the Special Needs ofElderly Individuals and Individuals with
Disabilities Project financed or to befinanced with fUnds made available or
appropriatedfor former 49 U.S.c. 5310 in effect in FY 2012 or a previous fiscal year,
or
• New Freedom Project financed or to be financed with fUnds made available or
appropriatedfor former 49 U.S.c. 5317 in effect in FY 2012 or a previous fiscal year.
FI'A FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
In administering these programs, MAP-21 cross-cutting requirements supersede
inconsistent former requirements.
These three programs have or will havefonding available during FY 2013. Accordingly,
ifyour Applicant seeks fonding made available or authorized by 49 U.S. C. 5310 or
former 49 U.S.c. 5317 in effect in FY 2012 or a previous fiscal year, you should provide
the three subgroups ofCertifications in Group 16, on behalfofyour Applicant, to assure
that FTA can select the type offonding it considers most suitable. Before FTA may
provide fonding made available or appropriated for any ofthese Projects, on behalfof
your Applicant, you must have selected the Certifications in Group 16 and other
Certifications and Assurances listed previously that are required for the fonding your
Applicant seeks. Any provision ofthe Certifications in Group 16 that does not apply will
not be enforced.
A. Formula Grants for the Enhanced Mobility of Seniors and Individuals with
Disabilities Program.
You must select the Certification in Group J6.A ifyour Applicant seeks fonding for its
Formula Grants for the Enhanced Mobility ofSeniors and Individuals with
Disabilities Project financed with fonds made available or appropriated for 49 U.S.C.
5310, as amended by MAP-21.
1. The following Certification for the Formula Grants for the Enhanced Mobility of
Seniors and Individuals with Disabilities Program are required by 49 U.S.C. 5310,
as amended by MAP-21. Therefore, except as FTA determines otherwise in
writing, on behalf of your Applicant, you certify that:
a. Each of your Applicant's Subrecipients is:
(1) A private nonprofit organization, or
(2) A State or local governmental authority that:
(a) Is approved by a State to coordinate services for seniors and
individuals with disabilities; or
(b) Certifies that there are no private nonprofit organizations readily
available in the area to provide services authorized under the
Formula Grants for the Enhanced Mobility of Seniors and
Individuals with Disabilities Program,
b. Your Applicant will comply with the following Project selection and
planning requirements:
(1) The Projects your Applicant has selected or will select for funding made
available or appropriated for 49 U.S.C. 5310, as amended by MAP-21,
are included in a public transit-human services transportation plan that
has been:
(a) Locally developed, and
(b) Coordinated,
FrA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
(2) That public transit-human services transportation plan was developed and
approved through a process that included participation by:
(a) Seniors,
(b) Individuals with disabilities,
(c) Representatives of public, private, and nonprofit transportation
providers,
(d) Representatives of public, private, and nonprofit human services
providers, and
(e) Other members of the public; and
(3) To the maximum extent feasible, the services funded by 49 U.S.C. 5310,
as amended by MAP-21, will be coordinated with transportation services
funded by other Federal departments and agencies, including any
transportation activities carried out by a recipient of a grant from the
Department of Health and Human Services,
c. As required by 49 U.S.C. 531O(e)(2)(B), as amended byMAP-21, your
Applicant certifies that if it allocates funds received under 49 U.S.C. 5310, as
amended by MAP-21 , to Subrecipients, it will have allocated those funds on a
fair and equitable basis,
d. Your Applicant will transfer a facility or equipment financed with funding
made available or appropriated for a grant under 49 U.S.C. 5310, as amended
by MAP-21 , to any other recipient eligible to receive assistance under
49 U.S.C. chapter 53, as amended by MAP-21 , only if:
(1) The recipient in possession of the facility or equipment consents to the
transfer, and
(2) The facility or equipment will continue to be used as required under
49 U.S.C. 5310, as amended by MAP-21 , and
e. The requirements of 49 U.S.C. 5307, as amended by MAP-21, as determined
by FT A, will apply to the Formula Grants for the Enhanced Mobility of
Seniors and Individuals with Disabilities, authorized by 49 U.S.C. 5310, as
amended byMAP-21, and
2. FTA has determined certain requirements of 49 U.S.C. 5307, as amended by
MAP-21, to be appropriate for which some require Certifications. Therefore, as
specified under 49 U.S.C. 5307(c)(I), as amended by MAP-21 , your Applicant
certifies that:
a. Your Applicant has or will have, and will require each Subrecipient to have,
the:
(1) Legal capacity to carry out its proposed Projects,
(2) Financial capacity to carry out its proposed Projects,
(3) Technical capacity to carry out its proposed Projects,
(4) Necessary capacity to carry out the safety aspects of its proposed
Projects, and
(5) Necessary capacity to carry out the security aspects of its proposed
Projects,
b. Your Applicant has or will have, and will require each Subrecipient to have,
FTA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
satisfactory continuing control over the use of Project equipment and
facilities,
c. Your Applicant will maintain, and will require each Subrecipient to maintain
its Project equipment and facilities adequately,
d. When carrying out a procurement under the Formula Grants for the Enhanced
Mobility of Seniors and Individuals with Disabilities Program, your Applicant
will, and will require each Subrecipient to:
(1) Comply with the general provisions for FTA programs of 49 U.S.C.
5323, as amended by MAP-21, and
(2) Comply with the third party procurement requirements of 49 U.S.C.
5325, as amended by MAP-21,
e. Your Applicant:
(1) Has or will have and, as necessary, will require each Subrecipient to have
the amount of funds required for the local share by 49 U.S.C. 5307(d), as
amended by MAP-21,
(2) Will provide and, as necessary, will require each Subrecipient to provide
the local share funds from approved non-Federal sources, except as
permitted by 49 US.C. 5307(d), as amended by MAP-21, and
(3) Will provide and, as necessary, will require each Subrecipient to provide
the local share funds when needed,
f. Your Applicant has complied or will comply with, and will require each
Subrecipient to comply with:
(1) The Metropolitan Planning requirements of 49 US.C. 5303, as amended
by MAP-21, and
(2) The State Planning requirements of49 US.C. 5304, as amended by
MAP-21, and
g. To the extent applicable, your Applicant will comply with, and require its
Subrecipients to comply with the requirements for a Public Transportation
Agency Safety Plan provided by 49 U.S.C. 5329( d), as amended by MAP-21,
to the extent FTA so requires.
B. Formula Grants for the Speeial Needs of Elderly Individuals and Individuals
with Disabilities Program.
You must select the Certification in Group J 6.B ifyour State Applicant seeks funding
for its Formula Grants for the Special Needs ofElderly Individuals and Individuals
with Disabilities Project financed with funds made available or appropriated for
former 49 U.S. C. 53 JOin effect in FY 20J2 or a previous fiscal year. In administering
this program, MAP-21 cross-cutting requirements supersede inconsistent former
requirements.
1. The following Certification for the Formula Grants for the Special Needs of
Elderly Individuals and Individuals with Disabilities Program are required by
former 49 U.S.C. 5310 in effect in FY 2012 or a previous fiscal year, except as
FrA FISCAL YEAR 2013 CERTIFICAnONS AND ASSURANCES
superseded by MAP-21 cross-cutting requirements that apply instead. Therefore,
except as FT A determines otheIWise in writing, on behalf of your State Applicant,
you certify that:
a. Each of your State Applicant's Subrecipients is:
(1) A private nonprofit organization, if the public transportation service that
would undertake public transportation capital projects planned, designed,
and carried out to meet the special needs of elderly individuals and
individuals with disabilities is:
(a) Unavailable,
(b) Insufficient, or
(c) Inappropriate,
(2) A State or local governmental authority that:
(a) Is approved by a State to coordinate services for seniors and
individuals with disabilities, or
(b) Certifies that:
1 There are not any nonprofit organizations readily available in the
area to provide public transportation capital projects planned,
designed, and carried out to meet the special needs of seniors and
individuals with disabilities, and
l When public transportation is:
A Insufficient,
Q Inappropriate, or
£ Unavailable,
b. The Projects your State Applicant has selected or will select for funding made
available or appropriated for former 49 U.S.C. 5310 are included in a public
transit-human services transportation plan that has been:
(1) Locally developed, and
(2) Coordinated,
c. That public transit-human services transportation plan was developed and
approved through a process that included participation by:
(1) Elderly Individuals,
(2) Individuals with disabilities,
(3) Representatives of public, private, and nonprofit transportation providers,
(4) Representatives of human services providers, and
(5) Other members of the public,
d. To the maximum extent feasible, the services funded will be coordinated with
transportation services funded by other Federal departments and agencies,
including any transportation activities carried out by a recipient of a grant
from the Department of Health and Human Services,
e. If your State Applicant allocates funds received under former 49 U.S.C. 5310
to Subrecipients, your State Applicant will have allocated those funds on a fair
and equitable basis,
f. The Program of Projects your State Applicant has submitted or will submit
contains or will contain an assurance that the Program provides for the
ITA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
maximum feasible coordination of transportation services funded by former
49 U.S.C. 5310 with transportation services funded by other Government
sources, and
g. Your Applicant will comply with the requirements of former 49 U.S.C. 5307
that FTA determined will apply to the former Formula Grants for the Special
Needs of Elderly Individuals and Individuals with Disabilities Program,
2. The following Certification for the Special Needs ofElderly Individuals and
Individuals with Disabilities Program are required by former 49 U.S.C.
5307( d)( 1) in effect in FY 2012 or a previous fiscal year, except as superseded by
MAP-21 cross-cutting requirements that apply instead. Therefore, except as FT A
determines otherwise in writing, on behalfof your State Applicant, you certify
that:
a Your State Applicant and each of its Subrecipients have or will have the:
(1) Legal capacity to carry out its proposed Projects,
(2) Financial capacity to carry out its proposed Projects,
(3) Technical capacity to carry out its proposed Projects,
(4) Necessary capacity to carry out the safety aspects of its proposed
Projects, and
(5) Necessary capacity to carry out the security aspects of its proposed
Projects,
b. Your State Applicant and each Subrecipient has or will have satisfactory
continuing control over the use of Project equipment and facilities,
c. Your State Applicant and each of its Subrecipients will maintain its Project
equipment and facilities adequately,
d. When carrying out a procurement under former 49 U.S.C. 5307 in effect in
FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross
cutting requirements that apply instead, your Applicant will, and will require
each Subrecipient to, do the following:
(1) Use competitive procurement (as defined or approved by FTA), as
required by 49 U.S.C. 5325(a),
(2) Not use exclusionary or discriminatory specifications in its procurements,
as required by 49 U.S.C. 5323(h),
(3) As provided by the MAP-2I cross-cutting requirement, "Buy America,"
comply with 49 U.S.C. 5323(j), as amended by MAP-2I,
(4) Comply with applicable pre-award and post-delivery requirements of
49 U.S.C. 5323(m),
(5) As provided by MAP-21 cross cutting requirement, "Rail Car
Procurement," comply with the railcar option restrictions of 49 U.S.C.
5325(e), as amended by MAP-2I, and
(6) As required by the MAP-2I cross-cutting requirement, "Veterans
PreferenceJEmployment," comply with 49 U.S.C. 5325(k), as amended
by MAP-21 ,
e. Your State Applicant:
(1) Has or will have and, as necessary, will require each Subrecipient to have
I
1
i
j
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
the amount of funds required for the local share by former 49 U.S.C.
5307(e) in effect in FY 2012 or a previous fiscal year, except as
superseded by MAP-21 cross cutting requirements that apply instead,
(2) Will provide and, as necessary, will require each Subrecipient to provide
the local share funds from approved non-Federal sources except as
permitted by former 49 U.S.C. 5307(e) in effect in FY 2012 or a previous
fiscal year, except as superseded by MAP-21 cross-cutting requirements
that apply instead, and
(3) Will provide and, as necessary, will require each Subrecipient to provide
the local share funds when needed,
f. Your Applicant has complied or will comply with, and will require each
Subrecipient to comply with, 49 U.s.C. 5301, 5303, and 5304, as amended by
MAP-21,and
g. To the extent applicable, as required by the MAP-21 cross-cutting
requirement, "Agency Safety Plans," your State Applicant will comply with
and, as necessary, will require each Subrecipient to comply with, its Public
Transportation Agency Safety Plan, as required by 49 U.S.C. 5329, as
amended by MAP-21.
C. New Freedom Program.
You must select the Certification in Group 16.C ifyour Applicant seeksfondingfor its
New Freedom Project financed with fonds made available or appropriated for former
49 U.S.c. 53/7 in effect in FY 2012 ora previous fiscal year. In administering this
program, MAP-21 cross-cutting requirements supersede inconsistent former
requirements.
1. The following Certification for the New Freedom Program is required by former
49 U.S.C. 5317 in effect in FY 2012 or a previous fiscal year. Therefore, except
as FTA determines otherwise in writing, on behalf of your Applicant, you certify
that:
a. Your Applicant will make awards of New Freedom funding on a competitive
basis after conducting:
(1) An areawide solicitation in cooperation with the appropriate metropolitan
planning organization for applications for funding in compliance with
former 49 U .s.C. 5317, or
(2) A statewide solicitation for applications for New Freedom funding in
compliance with former 49 U.S.C. 5317,
b. Any allocations to Subrecipients of New Freedom funding authorized by
former 49 U.S.C. 5317 will be distributed on a fair ~d equitable basis,
c. Your Applicant will comply with the following Project selection and planning
requirements:
(1) The projects your Applicant has selected or will select for funding made
available or appropriated for that program were derived from a public
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
transit-human services transportation plan that has been:
(a) Locally developed, and
(b) Coordinated,
(2) That locally developed and coordinated plan was produced through a
process that included:
(a) Representatives ofpublic, private, and nonprofit transportation
providers,
(b) Representatives of public, private, and nonprofit human services
providers, and
(c) Participation by the public,
d. Before your Applicant transfers funds to a project funded by fonner 49 U.S.C.
531 I (c), fonner49 U.S.C. 5336, or both:
(I) The funding to be transferred may be made available only to projects
eligible for funding made available or appropriated for fonner 49 U.S.C.
5317,and
(2) The Applicant will have consulted with responsible local officials and
publicly owned operators of public transportation in each area for which
the amount to be transferred was originally awarded,
e. Your Applicant may transfer funds to another Subrecipient only if it has
consulted with responsible local officials and publicly owned opemtors of
public transportation in each area for which the amount originally was
awarded, as provided by fonner 49 U.S.C. 5317, and
f The requirements offonner 49 U.S.C. 5307, as determined by FTA, will
apply to the New Freedom Progmm, authorized by fonner49 U.S.C. 5317,
and
2. The following Certification for the New Freedom Program is required by fonner
49 U.S.C. 5307{d){I) in effect in FY 2012 or a previous fiscal year, except as
superseded by MAP-21 cross-cutting requirements that apply instead. Therefore,
except as FTA determines otherwise in writing, on behalf of your Applicant, you
certify that:
a. Your Applicant has or will have, and will require each Subrecipient to have,
the:
(I) Legal capacity to carry out its proposed Projects,
(2) Financial capacity to carry out its proposed Projects,
(3) Technical capacity to carry out its proposed Projects,
(4) Necessary capacity to carry out the safety aspects of its proposed
Projects, and
(5) Necessary capacity to carry out the security aspects of its proposed
Projects,
b. Your Applicant has or will have, and will require each Subrecipient to have,
satisfactory continuing control over the use of Project equipment and
facilities,
c. Your Applicant will maintain, and will require each Subrecipient to maintain,
its Project equipment and facilities adequately,
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
d. When carrying out a procurement under former 49 U.S.C. 5317 in effect in
FY 2012 or a previous fiscal year superseded by MAP-21 cross cutting
requirements that apply, your Applicant will, and will require each
Subrecipient to do the following:
(1) Use competitive procurement (as defined or approved by FTA), as
required by 49 U.s.C. 5325(a),
(2) Not use exclusionary or discriminatory specifications in its procurements,
as required by 49 U.S.C. 5323(h),
(3) As provided by the MAP-21 cross-cutting requirement, "Buy America,"
your Applicant will comply with 49 U.S.C. 5323(j), as amended by
MAP-21,
(4) Comply with applicable pre-award and post-delivery requirements of
49 U.S.C. 5323(m),
(5) As provided by MAP-21 cross cutting requirement, "Rail Car
Procurement," comply with the railcar option restrictions of 49 U.S.C.
5325(e), as amended by MAP-21 , and
(6) As required by the MAP-21 cross-cutting requirement, "Veterans
PreferencelEmployment," comply with 49 U.S.C. 5325(k), as amended
byMAP-21,
e. Your Applicant:
(1) Has or will have and, as necessary, will require each Subrecipient to have
the amount of funds required for the local share required by former
49 U.S.C. 5317(g) in effect in FY 2012 or a previous fiscal year, except
as superseded by MAP-21 cross cutting requirements that may apply
instead,
(2) Will provide and, as necessary, will require each Subrecipient to provide,
the local share funds from approved non-Federal sources except as
permitted by former 49 U.S.c. 5317(g) in effect in FY 2012 or a previous
fiscal year, except as superseded by MAP-21 cross-cutting requirements
that apply instead, and
(3) Will provide and, as necessary, will require each Subrecipient to provide,
the local share funds when needed,
f. Your Applicant has complied or will comply with, and will require each
Subrecipient to comply with, 49 U.S.C. 5301, 5303, and 5304, as amended by
MAP-21, and
g. To the extent applicable, as required by the MAP-21 cross-cutting
requirement, "Agency Safety Plans," your Applicant will comply with and, as
necessary, will require each Subrecipient to comply with, its Public
Transportation Agency Safety Plan, as required by 49 U.S.C. 5329, as
amended by MAP-21.
GROUP 17. RURAUOTHER TBANURBANIZED AREAS/APPALACHIAN
DEVELOPMENT/OVER-THE-ROAD BUS ACCESSmILITY PROGRAMS.
1
FTA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
The Certifications and Assurances in Group 17 are in addition to other Certifications
and Assurances listed previously that are requiredfor Rural/Other Than Urbanized
Areas/Appalachian Development/or Over-the-Road Bus Accessibility Program funding.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofthe applicable Certifications and Assurances selected on behalfofyour
Applicant.
Except as FTA determines otherwise in writing, you must select the CertificatiOns and
Assurances in Group 17, on behalfofyour Applicant, ifyour Applicant seeks financing
for its:
• Formula Grants for Rural Areas Project financed with funding made available or
appropriatedfor 49 US.C. 5311(b), as amended by MAP-21,
(Separate Certifications and Assurances have been established in Group 18for an
Indian tribe that is an Applicant for a Public Transportation on Indian Reservations
Project financed with funding made available or appropriated for 49 US. C.
5311(c))(1), as amended by MAP-21.)
• Formula Grants for Other Than Urbanized Areas Project financed with funding made
available or appropriated for former 49 US.c. 5311(b) in eJfoct in FY 2012 ora
previous fiscal year,
• Separate Certifications and Assurances have been established in Group 18for an
Indian tribe that is an Applicant/or "Tribal Transit" Projectfinancedwith
funding made available or appropriatedfor former 49 US.c. 5311(c)(1) in eJfoct
in FY 2012 or a previous fiscal year.
j
• Appalachian Development Public Transportation Assistance Project financed with
funding made available or appropriated/or 49 US.c. 5311(c)(2), as amended by
MAP-21, or
• Over-the-Road Bus Accessibility Project financed with funding made available or
appropriatedfor section 3038 ofTEA-21, as amended by section 3039 ofSAFE TEA
LU, 49 US.C. 5310 note.
In administering these programs, MAP-21 cross-cutting requirements supersede
inconsistent former requirements.
These four programs have or are likely to have funding available during FY 2013.
Accordingly, ifyour Applicant seeks funding made available or authorized by 49 US. C.
5311 orformer section 3038 ofTEA-21, you should provide these Certifications in Group
17, on behalfofyour Applicant, to assure that FTA can select the type offunding it
considers most suitable.
FTA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
Before FTA may provide funding made available or appropriated for any ofthese
Projects, on behalfofyour Applicant, you must have selected the Certifications in
Group 17 and other Certifications and Assurances listed previously that are required for
the funding your Applicant seeks. Any provision ofthe Certifications and Assurances in
Group 17 that does not apply will not be enforced.
A. Formula Grants for Rural Areas Program.
You must select the Certification in Group 17.A ifyour Applicant seeks funding for its
Formula Grants for Rural Areas Project financed with fonds made available or
appropriatedfor 49 U.S.c. 5311(b), as amended by MAP-21.
The following Certification applies to each State or State organization serving as your
Applicant for funding made available or appropriated for the Rural Areas Formula
Project authorized by 49 U.s.C. 53 11 (b). as amended by MAP-21. On behalf of your
Applicant. you certify and assure that:
I. Your Applicant has or will have the:
a. Legal capacity to carry out its proposed Projects,
b. Financial capacity to carry out its proposed Projects,
c. Technical capacity to carry out its proposed Projects,
d. Necessary capacity to carry out the safety aspects of its proposed Projects,
and
e. Necessary capacity to carry out the security aspects of its proposed Projects,
2. Your Applicant has or will have satisfactory continuing control over the use of
Project equipment and facilities.
3 . Your Applicant's Project equipment and facilities will be adequately maintained,
4. Your Applicant's program has provided for a fair distribution of Federal funding
made available or appropriated for 49 U.S.C. 531 I (b), as amended byMAP-21
within the State, including Indian reservations,
5. Your Applicant's program provides or will provide the maximum feasible
coordination of public transportation service funded by 49 U.S.C. 531 1 (b), as
amended by MAP-21, with transportation service funded by other Federal
sources,
6. Your Applicant's Projects in its Formula Grants for Rural Areas Program are
included in:
a. The Statewide Transportation Improvement Program, and
b. To the extent applicable, a Metropolitan Transportation Improvement
Program,
7. Your Applicant has or will have the amount of funds required for the local share,
as required by 49 U.S.C. 5311(g), as amended by MAP-21 , and
a. Will provide the local share funds from approved non-Federal sources except
as permitted by Federal law, and
b. Will provide the local share funds when needed,
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
8. Your Applicant may transfer a facility or equipment acquired using a grant under
49 U.S.C. 5311(b) to any other recipient eligible to receive assistance under
49 U.S.C. chapter 53, if:
a. The recipient in possession of the facility or equipment consents to the
transfer, and
b. The facility or equipment will continue to be used as required under 49 U.S.C.
5311, as amended by MAP-21, and
9. Each fiscal year:
a. Your Applicant will spend at least fifteen (15) percent of its 49 U.S.C. 5311
funding available that fiscal year to develop and support intercity bus
transportation within the State, with eligible activities, including:
(1) Planning and marketing for intercity bus transportation,
(2) Capital grants for intercity bus facilities,
(3) Joint-use facilities,
(4) Operating grants through purchase-of-service agreements, user-side
subsidies, and demonstration Projects, and
(5) Coordinating rural connections between small public transportation
operations and intercity bus carriers, or
b. Your Applicant will provide to the Federal Transit Administrator a
Certification of the Governor of the State that:
(1) It has consulted with the affected intercity bus service providers about the
intercity bus needs of the State, and
(2) The State's intercity bus service needs are being met adequately.
B. Formula Grants for Other Than Urbanized Areas Program.
You must select the Certification in Group 17.B ifyour Applicant seeksfundingfor its
Formula Grant for Other Than Urbanized Areas Project financed with funds made
available orappropriatedfor former 49 U.S.c. 5311(b). in effect in FY 2012 ora
previous fiscal year. In administering this program. MAP-21 cross-cutting
requirements supersede inconsistent former requirements.
The following Certification applies to each State or State organization serving as your
Applicant for funding made available or appropriated for the Formula Grants for
Other Than Urbanized Areas Project authorized by 49 U.S.C. 5311(b)(2) in effect in
FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross-cutting
requirements that apply instead. On behalf of your Applicant, you certify and assure
that:
1. Your Applicant has or will have the:
a. Legal capacity to carry out its proposed Projects,
b. Financial capacity to carry out its proposed Projects,
c. Technical capacity to carry out its proposed Projects,
d. Necessary capacity to carry out the safety aspects ofits proposed Projects,
and
ITA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
e. Necessary capacity to carry out the security aspects of its proposed Projects,
2. Your Applicant has or will have satisfactory continuing control over the use of
Project equipment and facilities,
3. Your Applicant's Project equipment and facilities will be adequately maintained,
4. Your Applicant's program has provided for a fair distribution of Federal funding
made available or appropriated for 49 U.S.C. 5311 (b) in effect in FY 2012 or a
previous fiscal year, within the State, including Indian reservations,
5. Your Applicant's program provides or will provide the maximum feasible
coordination ofpublic transportation service funded by former 49 U.S.C. 5311 (b)
in effect in FY 2012 or a previous fiscal year, with transportation service funded
by other Federal sources,
6. Your Applicant's Projects in its Formula Grants for Rural Areas Program are
included in:
a. The Statewide Transportation Improvement Program, and
b. To the extent applicable, a Metropolitan Transportation Improvement
Program,
7 . Your Applicant has or will have the amount of funds required for the local share,
as required by 49 U.S.C. 5311(g) in effect in FY 2012 or a previous fiscal year,
and:
a. Will provide the local share funds from approved non-Federal sources except
as permitted by Federal law,
b. Will provide the local share funds when needed,
8. Your Applicant may transfer a facility or equipment acquired using a grant under
49 U.S.C. 5311(b) in effect in FY 2012 or a previous fiscal year to any other
recipient eligible to receive assistance under 49 U.S.C. chapter 53, if:
a The Recipient in possession of the facility or equipment consents to the
transfer, and
b. The facility or equipment will continue to be used as required under 49 U.S.C.
5311 in effect in FY 2012, and
9. Each fiscal year.
a. Your Applicant will spend at least fifteen (IS) percent ofits 49 U.S.C. 5311
funding available that fiscal year to develop and support intercity bus
transportation within the State with eligible activities, including:
(I) Planning and marketing for intercity bus transportation,
(2) Capital grants for intercity bus shelters,
(3) Joint-use stops and depots,
(4) Operating grants through purchase-of-service agreements, user-side
subsidies, and demonstration Projects, and
(5) Coordinating rural connections between small public transportation
operations and intercity bus carriers, or
b. Your Applicant will provide to the Federal Transit Administrator a
Certification of the Chief Executive Officer of the State that:
(1) It has consulted with the affected intercity bus service providers about the
intercity bus needs of the State, and
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
(2) The State's intercity bus service needs are being met adequately.
C. Appalachian Development Public Transportation Assistance Program.
You must select the Certification in Group 17.C ifyour Applicant seeksfondingfor
Appalachian Development Public Transportation Assistance Project financed with
funds made available or appropriatedfor former 49 U.S. C. 5311 (c)(2), as amended
byMAP-21.
On behalf of your Applicant, you certify and assure that, in addition to other
Certifications and Assurances your Applicant must provide, if your Applicant is
unable to use its funding made available or appropriated for this program for public
transportation purposes, your Applicant may use the funding for a highway provided
that it provides notice and an opportunity for comment and appeal to affected public
transportation providers and the Applicant in approving the use determines that local
transit needs are being addressed, as required by 49 U.S.C. 5311(c)(2)(D), as
amended by MAP-21.
D. Over-the-Road Bus Accessibility Program.
You must select the Assurance in Group 17.D ifyour Applicant seeks funding for its
Over-the-Road Bus Accessibility Project financed with funds made available or
appropriated for repealed section 3038 ofTEA-21, as amended by section 3039 of
SAFETEA-LU in effect in FY 2012 or a previous fiscal year. In administering this
program, MAP-21 cross-cutting requirements supersede inconsistentformer
requirements.
The Applicant assures that it will comply with all applicable Federal statutes and
regulations, and follow applicable Federal guidance in carrying out any Over-the
Road Bus Accessibility Project supported by the FTA grant. The Applicant
acknowledges that it is under a continuing obligation to comply with the terms and
conditions of the grant agreement issued for its project with FTA. The Applicant
understands that Federal laws, regulations, policies, and administrative practices
might be modified from time to time and affect the implementation ofthe project.
The Applicant assures that the Federal requirements for the Over-the-Road Bus
Accessibility Program during FY 2012 will apply to the project, unless FTA issues a
written determination otherwise. Certifications and Assurances for funding to be
awarded under this program in FY 2013 are included in these FTA Certifications and
Assurances for FY 2013. Each Applicant must submit Group 01 ("Required
Certifications and Assurances for Each Applicant"). Each Applicant seeking more
than $100,000 in Federal funding must provide both Group 01, and Group 02,
("Lobbying").
FTA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
GROUP 18. PUBLIC TRANSPORTATION ON INDIAN RESERVATIONS
AND "TRIBAL TRANSIT" PROGRAMS.
The Certifications in Group 18 are in addition to other Certifications and Assurances
listed previously that are required for Public Transportation on Indian Reservations
Program funding or "Tribal Transit" Program funding.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofthe applicable Certifications and Assurances selected on behalfofyour
Applicant.
Except as FTA determines otherwise in writing, you must select the Certifications in
Group 18, on behalfofyour Applicant, ifyour Applicant seeks financing for its:
• Formula or discretionary Public Transportation on Indian Reservations Project
financed with funding made available or appropriated for 49 U.S. C. 5311 (c)(1), as
amended by MAP-21, or
• Discretionary "Tribal Transit" Project financed with funding made available or
appropriated for former 49 U.S. C. 5311 (c)(1) in effect in FY 2012 or a previous fiscal
year.
In administering these programs, MAP-21 cross-cutting requirements supersede
inconsistent former requirements.
Before FTA may provide funding made available or appropriated for any ofthese
Projects, on behalfofyour Applicant, you must have selected the Certifications in
Group 18 and other Certifications and Assurances listed previously that are required for
the funding your Applicant seeks. Any provision ofthe Certifications in Group 18 that
does not apply will not be enforced.
A. Public Transportation on Indian Reservations Program.
You must select the Certification in Group 18.A ifyour Applicant seek fundingfor its
Public Transportation on Indian Reservations Project financed with funds made
available or appropriatedfor 49 U.S.c. 5311(c)(1), as amended by MAP-21.
FTA bas established terms and conditions for direct Public Transportation on Indian
Reservations Program grants financed with funding made available or appropriated
for 49 u.S.C. 53ll(c)(1), as amended byMAP-21. On behalf of your Applicant, you
certify and assure that:
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
1. Your Applicant has or will have the necessary legal, financial, and managerial
capability to:
a. Apply, receive and disburse 49 U.S.C. 5311(c)(I) funding, and
b. Carry out each Project, including the:
(1) Safety aspects of its proposed Projects, and
(2) Security aspects of its proposed Projects,
2. Your Applicant has or will have satisfactory continuing control over the use of
Project equipment and facilities,
3. Your Applicant's Project equipment and facilities will be adequately maintained,
4. Your Applicant's Project will achieve maximum feasible coordination with
transportation service funded by other Federal sources,
5. Your Applicant will:
a. 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
49 CFR 18.36, or
b. Inform FTA promptly that its procurement system does not comply with those
U.s. DOT regulations, and
6. Your Applicant will comply with the Certifications, Assurances, and Agreements
in:
a. Group 03.B and 03.C (Charter Service Agreement and School Bus
Agreement),
b. Group 05.B (Bus Testing),
c. Group 06 (Demand Responsive Service),
d. Group 07 (Intelligent Transportation Systems), and
e. Group 10 (Alcohol and Controlled Substances Testing).
B. "Tribal Transit" Program.
You must select the Certification in Group 18.B ifyour Applicant seeksfondingfor its
"Tribal Transit" Project financed with fonds made available or appropriated for
former 49 u.s.c. 5311(c)(1), in effect in FY 2012 or a previous fiscal year. In
administering this program, MAP-21 cross-cutting requirements supersede
inconsistent former requirements.
FTA has established terms and conditions for direct "Tribal Transit" Program grants
financed with funding made available or appropriated for former 49 U.S.C.
5311 (c)( 1) in effect in FY 2012 or a previous fiscal year, except as superseded as
MAP-21 cross-cutting requirements that apply instead. On behalf of your Applicant
you certify that:
1. Your Applicant has or will have the necessary legal, financial, and managerial
capability to:
a. Apply, receive and disburse 49 U.S.C. 5311(c){1) funding, and
b. Carry out each Project, including the:
FTA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
(1) Safety aspects of its proposed Projects, and
(2) Security aspects of its proposed Projects,
2. Your Applicant has or will have satisfactory continuing control over the use of
Project equipment and facilities,
3. Your Applicant's Project equipment and facilities will be adequately maintained,
4. Your Applicant's Project will achieve maximum feasible coordination with
transportation service funded by other Federal sources,
5. Your Applicant will:
a. 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
49 CFR 18.36, or
b. Inform FTA promptly that its procurement system does not comply with those
U.S. DOT regulations, and
6. Your Applicant will comply with the Certifications, Assurances, and Agreements
in:
a. Group 03.B and 03.C (Charter Service Agreement and School Bus
Agreement),
b. Group 05.B (Bus Testing),
c. Group 06 (Demand Responsive Service),
d. Group 07 (Intelligent Transportation Systems), and
e. Group 10 (Alcohol and Controlled Substances Testing).
GROUP 19. LOW OR NO EMISSION/CLEAN FUELS GRANT PROGRAM
The Certifications in Group 19 are in addition to other Certifications and Assurances
listed previously that are required for Low or No Emission Vehicle Deployment Program
fUnding or Clean Fuels Grant Program fUnding.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your AppUcant 's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofthe applicable Certifications and Assurances selected on behalfofyour
Applicant.
Except as FTA determines otherwise in writing, you must select the Certifications in
Group 19, on behalfofyour Applicant, ifyour AppUcant seeks financingfor its:
• Discretionary Low or No Emission Vehicle Deployment Project financed with fUnding
made available orappropriatedfor 49 U.S.c. 5312(d)(5), as amended by MAP-21, or
• Discretionary Clean Fuels Grant Program Project financed with fUnding made
available or appropriatedforformer 49 U.S.c. 5308 in effect in FY 2012 or a
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
previous fiscal year.
In administering these programs, MAP-21 cross-cutting requirements supersede
inconsistent former requirements.
Before FTA may provide fUnding made available or appropriated for any ofthese
Projects, on behalfofyour Applicant, you must have selected the Certifications in
Group 19 and other Certifications and Assurances listed previously that are required for
the fUnding your Applicant seeks. Any provision ofthe Certifications in Group 19 that
does not apply will not be enforced.
A. Low or No Emission Vehicle Deployment.
You must select the Certification in Group 19.A, ifyour Applicant seeks fUndingfor
its Low or No Emission Vehicle Development Project financed with fUnds made
available or appropriatedfor 49 U.S.C. 5312(d)(5). as amended by MAP-21.
The following Certification for Low or No Emission Vebic1e Deployment Program
funding made available or appropriated for MAP-21 is required by 49 U.S.C.
5312(d}(5}(C} and by 49 U.S.C. 5307(c}(1}, as amended by MAP-21. Therefore,
except as FfA determines otherwise in writing, on behalf of your Applicant, you
certify that:
1. Your Applicant has or will have the:
a. Legal capacity to carry out its proposed Projects,
b. Financial capacity to carry out its proposed Projects,
c. Technical capacity to carry out its proposed Projects,
d. Necessary capacity to carry out the safety aspects of its proposed Projects, and
e. Necessary capacity to carry out the security aspects ofits proposed Projects,
2. Your Applicant has or will have satisfactory continuing control over the use of
Project equipment and facilities,
3. Your Applicant will maintain its Project equipment and facilities adequately,
4. Your Applicant will ensure that, during non-peak hours, for transportation using
or involving a facility or equipment funded for its Project, the following
individuals will be charged a fare not exceeding fifty (50) percent of the peak
hour fare:
a. Any senior,
b. Any individual who, because of illness, injury, age, a congenital malfunction,
or any other incapacity or temporary or permanent disability (including an
individual who is a wheelchair user or who has semi-ambulatory capability),
and cannot use a public transportation service or a public transportation
facility effectively without special facilities, special planning, or special
design,
c. Any individual presenting a Medicare card issued to himself or herself
pursuant to title n of the Social Security Act (42 U.S.C. 401 et seq.), or
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
d. Any individual presenting a Medicare card issued to himself or herself
pursuant to title XVIll of the Social Security Act (42 U.S.C. 1395 et seq.),
5. When carrying out a procurement under this Program, your Applicant will comply
with the:
a. General provisions for FTA programs of 49 U.S.C. 5323, and
b. Third party procurement requirements of 49 U.S.C. 5325,
6. Your Applicant:
a. Has informed or will inform the public of the amounts of its funding available
under this Program,
b. Has developed or will develop, in consultation with interested parties,
including private transportation providers, a proposed Program ofProjects for
activities to be funded,
c. Has published or will publish a Program of Projects in a way that affected
individuals, private transportation providers, and local elected officials will
have an opportunity to examine and submit comments on the proposed
Projects and its performance as an Applicant,
d. Has provided or will provide an opportunity for a public hearing to obtain the
views of individuals on the proposed Program of Projects,
e. Has assured or will assure that the proposed Program of Projects provide for
coordination of transportation services with federally funded transportation
services supported by United States Government sources other than
U.S. DOT,
f. Has considered or will consider the comments and views received, especially
those of private transportation providers, in preparing its final list of Projects,
and
g. Has made or will make the final list ofProjects available to the public,
7. Your Applicant:
a. Has or will have the amount offunds required for the local share,
b. Will provide the local share funds from approved non-Federal sources, except
if otherwise authorized by law, and
c. Will provide the local share funds when needed,
8. Your Applicant will comply with:
a. The Metropolitan Planning requirements of 49 U.S.C. 5303, as amended by
MAP·21, and
b. The State Planning requirements of 49 U.S.C. 5304, as amended by MAP·21 ,
9 . Your Applicant has a locally developed process to solicit and consider public
comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation, and
1O. Your Applicant will comply with its Public Transportation Agency Safety Plan as
required by 49 U.S.C. 5329, as amended by MAP·21.
B. Clean Fuels Grant Program.
FI'A FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
You must select the Certification in Group 19.B ifyour Applicant seeksfundingfor its
Clean Fuels Grant Project financed with funds made available or appropriated for
former 49 U.S.c. 5308 in effict in FY 2012 or a previous fiscal year. In administering
this program, MAP-21 cross-cutting requirements supersede inconsistentformer
requirements.
The following Certification for Clean Fuels Grant Program funding made available or
appropriated for former 49 U.S.C. 5308 in effect in FY 2012 or a previous fiscal year
is required by former 49 U.s.C. 5308(d)(1) and former 49 U.S.C. 5307(d)(1), except
as superseded by MAP-21 cross-cutting requirements that apply instead. Therefore,
except as FTA determines otherwise in writing, on behalf of your Applicant, you
certify that:
1. Your Applicant has or will have the:
a. Legal capacity to carry out its proposed projects,
b. Financial capacity to carry out its proposed projects,
c. Technical capacity to carry out its proposed projects,
d. Safety aspects of its proposed projects, and
e. Security aspects of its proposed projects,
2. Your Applicant has or will have satisfactory continuing control over the use of
project equipment and facilities,
3. Your Applicant will maintain the project equipment and facilities adequately,
4. Your Applicant will ensure that the following individuals will be charged not
more than fifty (50) percent of the peak hour fare for transportation during non
peak hours using or involving project facilities or equipment supported under
former 49 U.S.C. 5308:
a. Elderly individuals,
b. Individuals with disabilities, or
c. Individuals presenting a Medicare card issued to himself or herself pursuant to
title n or title XVIII of the Social Security Act (42 U.S.C. 401 et seq. or
42 U.S.C. 1395 et seq.),
5. When carrying out a procurement under former 49 U.S.C. 5308 in effect in
FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross cutting
requirements that apply instead:
a. Your Applicant will use competitive procurement (as defined or approved by
FTA), as required by 49 U.S.C. 5325(a),
b. Your Applicant will not use exclusionary or discriminatory specifications in
its procurements, as required by 49 U.S.C. 5323(h),
c. As provided by the MAP-21 cross-cutting requirement, "Buy America," your
Applicant will comply with 49 U.S.C. 5323(j), as amended by MAP-21 ,
d. Your Applicant will comply with applicable pre-award and post-delivery
requirements of49 U.S.C. 5323(m),
e. As provided by MAP-21 cross cutting requirement, "Rail Car Procurement,"
your Applicant will comply with the railcar option restrictions of 49 U.S.C.
5325(e), as amended by MAP-21 , and
FTA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
f. As required by the MAP-21 cross-cutting requirement, "Veterans
PreferencelEmployment," your Applicant will comply with 49 U.S.C.
5325(k), as amended by MAP-21 ,
6. Your Applicant has complied with or will comply with fonner 49 U.S.C. 5307(c)
because it:
a. Has infonned or will infonn the public of the amounts of its Clean Fuels
Grant Program funds available under 49 U.S.C. 5308, and the projects it
proposes to undertake,
b. Has developed or will develop, in consultation with interested parties,
including private transportation providers, the projects proposed to be funded,
c. Has published or will publish a list of its projects in a way that affected
citizens, private transportation providers, and local elected officials will have
an opportunity to examine and submit comments on the proposed projects and
its perfonnance,
d. Has provided or will provide an opportunity for a public hearing to obtain the
views of citizens on the proposed projects,
e. Has assured or will assure that the proposed Program of Projects provide for
coordination of transportation services with federally funded transportation
services supported by United States Government sources other than
U.S. DOT,
f. Has considered or will consider the comments and views received, especially
those of private transportation providers, in preparing its final list of projects,
and
g. Has made or will make the final list of projects available to the public,
7 . Your Applicant:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from approved non-Federal sources except
as permitted by F ederallaw, and
c. Will provide the local share funds when needed,
8. Your Applicant has complied or will comply with, and will require each
Subrecipient to comply with, 49 U.S.C. 5301, 5303, and 5304, as amended by
MAP-21
9 . Your Applicant has a locally developed process to solicit and consider public
comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation, and
10. Consistent with the MAP-21 cross-cutting requirement, "Safety," your Applicant
will comply with its Public Transportation Agency Safety Plan requirements of
49 U.S.C. 5329, as amended by MAP-21.
GROUP 20. PAUL S. SARBANES TRANSIT IN PARKS PROGRAM
The Certification in Group 20 is in addition to other Certifications and Assurances listed
previously that are required for Paul S. Sarbanes Transit in Parks Program fUnding,
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
former 49 U.S.c. 5320 in effect in FY 2012 or a previous fiscal year. In administering
this program, MAP-21 cross-cutting requirements supersede inconsistentformer
requirements.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofthe applicable Certifications and Assurances selected on behalfofyour
Applicant.
Except as FTA determines otherwise in writing, you must select the Certification in
Group 20, on behalfofyour Applicant, ifyour Applicant seeks financing for its Paul S.
Sarbanes Transit in Parks Project financed with fUnds made available or appropriated
for former 49 U.S.c. 5320 in effect in FY 2012 or a previous fiscal year.
Before FTA may provide fUnding made available or appropriated for your Project, on
behalfofyour Applicant, you must have selected the Certification in Group 20 and other
Certifications and Assurances listed previously that are required for the fUnding your
Applicant seeks.
L The following Certification for the Paul S. Sarbanes Transit in Parks Program (Parks
Program) is required by former 49 U.S.C. 5320 in effect in FY 2012 or a previous
fiscal year, except as superseded by MAP-21 requirements that apply instead.
Therefore, except as FT A determines otherwise in writing, on behalf of your
Applicant, you certify that:
a. Your Applicant will consult with the appropriate Federal land management
agency during the planning process, and
b. The requirements of former 49 U.S.c. 5307, as determined by FTA, will apply to
the Parks Program, authorized by former 49 U.S.C. 5320, and
2. FT A has determined certain requirements of former 49 U.S.C. 5307 to be appropriate
for the Parks Program, of which some require Certifications. Therefore as specified
under former 49 U.S.C. 5307(d)(l), except as superseded by MAP-21 cross-cutting
requirements, you certify that:
a. Your Applicant has or will have the:
(1) Legal capacity to cany out its proposed projects,
(2) Financial capacity to carry out its proposed projects,
(3) Technical capacity to carry out its proposed projects,
(4) Safety aspects of its proposed projects, and
(5) Security aspects of its proposed projects,
b. Your Applicant has or will have satisfactory continuing control over the use of
project equipment and facilities,
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
c. Your Applicant will maintain the project equipment and facilities adequately,
d. When carrying out a procurement under former 49 U.S.C. 5320 in effect in
FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross cutting
requirements that apply instead:
(1) Your Applicant will use competitive procurement (as defined or approved by
FTA), as required by 49 U.S.C. 5325(a),
(2) Your Applicant will not use exclusionary or discriminatory specifications in
its procurements, as required by 49 U.S.C. 5323(h),
(3) As provided by the MAP-21 cross-cutting requirement, "Buy America,"
your Applicant will comply with 49 U.S.C. 5323(j), as amended by MAP-21 ,
(4) Your Applicant will comply with applicable pre-award and post-delivery
requirements of 49 U.S.C. 5323(m),
(5) As provided by MAP-21 cross cutting requirement, "Rail Car Procurement,"
comply with the railcar option restrictions of 49 U.S.C. 5325(e), as amended
by MAP-21 , and
(6) As required by the MAP-21 cross-cutting requirement, "Veterans
PreferencelEmployment," your Applicant will comply with 49 U.S.C.
5325(k), as amended by MAP-21 ,
e. Your Applicant has complied or will comply with the requirements of former
49 U.S.C. 5307(c). Specifically, your Applicant:
(1) Has made or will make available to the public information on the amounts
available for the Parks Program, former 49 U.S.C. 5320, and the projects it
proposes to undertake,
(2) Has developed or will develop, in consultation with interested parties,
including private transportation providers, projects to be financed,
(3) Has published or will publish a list of proposed projects in a way that
affected citizens, private transportation providers, and local elected officials
have the opportunity to examine the proposed projects and submit comments
on the proposed projects and the performance of the Applicant,
(4) Has provided or will provide an opportunity for a public hearing to obtain the
views ofcitizens on the proposed projects,
(5) Has considered or will consider the comments and views received, especially
those ofprivate transportation providers, in preparing its final list of projects,
and
(6) Has made or will make the final list ofprojects available to the public,
f. Your Applicant:
(1) Has or will have the amount of funds required for the local share,
(2) Will provide the local share funds from approved non-Federal sources except
as permitted by Federal law, and
(3) Will provide the local share funds when needed,
g. Your Applicant has complied or will comply with, and will require each
Subrecipient to comply with, 49 U.S.C. 5301, 5303, and 5304, as amended by
MAP-21, and
FTA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
h. Your Applicant has a locally developed process to solicit and consider public
comment before:
(1) Raising a fare, or
(2) Implementing a major reduction of public transportation.
GROUP 21. STATE SAFETY OVERSIGHT GRANT PROGRAM.
The Assurance in Group 21 is in addition to other Certifications and Assurances required
for State Safety Oversight Grant Program fUnding.
At the time the FY 2013 Certifications and Assurances for various FTA programs were
issued, the Certification and Assurance requirements for the State Safety Oversight Grant
Program, authorized under 49 U.S.c. 5329(e)(6), as amended by MAP-21, were not
formally established.
In the interim, however, please select the Assurance for Group 21 ifyou are applying, on
behalfofyour Applicant, for fUndingfor a State Safety Oversight Project.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofapplicable Certifications and Assurances selected on behalfofyour Applicant.
Except as FTA determines otherwise in writing, before FTA provides fUnding made
available or appropriated for a State Safety Oversight Project, on behalfofyour
Applicant you should select the Assurance in Group 21 and other Certifications and
Assurances listed previously that are required for the fUnding your Applicant seeks. Any
provision ofthe Assurance in Group 21 that does not apply will not be enforced.
On behalf of your Applicant, you assure that your Applicant will comply with the
requirements of those Certifications and Assurances FfA determines will apply to an
Applicant for funding made available or appropriated for the State Safety Oversight
Program, as required by 49 U.S.C. 5329{e){6), as amended by MAP-21.
GROUP 22. PUBLIC TRANSPORTATION EMERGENCY RELIEF PROGRAM.
The Assurance in Group 22 is in addition to other Certifications and Assurances listed
previously required for Public Transportation Emergency ReliefProgram fUnding.
At the time the FY 2013 Certifications and Assurances for various FTA programs were
issued, the Certification and Assurance requirements for the Public Transportation
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
Emergency ReliefProgram, authorized under 49 u.s.c. 5324, as amended by MAP-21,
were not formally established.
In the interim, however, please select the Assurance for Group 22 ifyou apply, on behalf
ofyour Applicant, for fUnding for a Public Transportation Emergency ReliefProject.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofapplicable Certifications and Assurances selected on behalfofyour Applicant.
Except as FTA determines otherwise in writing, before FTA provides fUnding made
available or appropriatedfor a Public Transportation Emergency ReliefProject, on
behalfofyour Applicant you should selected the Assurance in Group 22 and other
Certifications and Assurances listed previously that are required for the fUnding your
Applicant seeks. Any provision ofthe Assurance in Group 22 that does not apply will not
be enforced.
As required by 49 U.S.C. 5324{d)(l), as amended by MAP-21 , on behalf of your
Applicant, you assure that your Applicant will comply with the requirements of the
Certifications and Assurances as FTA determines will apply to an Applicant for funding
made available or appropriated for the Public Transportation Emergency Relief Program.
GROUP 23. EXPEDITED PROJECT DELIVERY PILOT PROGRAM.
The Certification in Group 23 is in addition to other Certifications and Assurances listed
previously that are required for fUnding under the Expedited Project Delivery Pilot
Program.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining sufficient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofthe applicable Certifications and Assurances selected on behalfofyour
Applicant.
Ifyou apply on behalfofyour Applicant for fUnds made available or appropriatedfor the
Expedited Project Delivery Pilot Program authorized by section 20008(b) ofMAP-21,
you must select the Certification in Group 23.
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
Before FTA may provide funding made available or appropriated for your Applicant's
Project, on behalfofyour Applicant, you must have selected the Certification in
Group 23 and other Certifications and Assurances listed previously that are required for
the funding your Applicant seeks. Any provision ofthe Certification in Group 23 that
does not apply will not be enforced.
On behalf of your Applicant, you certify that, in addition to other Certifications and
Assurances required in connection with its application for funding, your Applicant's
existing public transportation system is in a state of good repair, as required by section
20008(b)(5)(D) ofMAP-21.
GROUP 24. INFRASTRUCTURE FINANCE PROGRAMS.
The Certification in Group 24 are in addition to other Certifications and Assurances
listed previously that are required for Infrastructure Finance Program funding.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to itselfor its Project, even ifa Subrecipient
or other Third Party Participant may be involved in your Applicant's Project, except as
FTA determines otherwise in writing. For this reason, we strongly encourage your
Applicant to take appropriate measures, including, but not limited to, obtaining suffiCient
documentation from each Subrecipient and other Third Party Participant to assure the
validity ofapplicable Certifications and Assurances selected on behalfofyour Applicant.
Except as FTA determines otherwise in writing, you must select the Certifications in
Group 24, on behalfofyour Applicant, ifyour Applicant seeksfinancingfor its:
• TIFIA Project financed with funds made available or appropriatedfor 23 US.c.
601-609, as amended by MAP-21, or previous legislation authorizingfundingfor
TIFIA Projects, or
• Deposits to its State Infrastructure Bank.
In administering these programs, MAP-21 cross-cutting requirements supersede
inconsistent former requirements.
Before FTA may provide funding made available or appropriatedfor your Applicant's
Projects, on behalfofyour Applicant, you must have selected the Certifications and
Assurances in Group 24 and other Certifications and Assurances listed previously that
are required for the funding your Applicant seeks. Any provision ofthe Certifications and
Assurances in Group 24 that does not apply will not be enforced.
A. Transportation Infrastructure Finance and Innovation Act (TIFIA) Program.
The Certifications and Assurances apply to requests for Transportation Infrastructure
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
Finance and Innovation Act (TIFIA) credit assistance, whether derived from
appropriations for MAP-21 or appropriations in effect in FY 2012 or a previous
fiscal year. Ifyou apply on behalfofyour Applicant for TIFIA credit assistance
authorized by 23 U.S.c. 601-609, you must select the Certifications and Assurances
in Group 24.A.
On behalf of your Applicant, you certify and assure that as required by 49 U.S.C.
5323(0), as amended by MAP-21, your Applicant certifies that Federal transit laws,
specifically 49 U.S.C. 5307,49 U.S.C. 5309, and 49 U.S.C. 5337, apply to any
Project under 49 U.S.C. chapter 53 that receives TIFIA support or financing under
23 U.S.C. 601-609, as amended byMAP-21.
1. To comply with 49 U.S.C. 5307, specifically 49 U.S.C. 5307(d)(I), on behalf of
your Applicant, you certify that:
a. Your Applicant has or will have the:
(1) Legal capacity to cany out its proposed Projects,
(2) Financial capacity to cany out its proposed Projects,
(3) Technical capacity to carry out its proposed Projects,
(4) Necessary capacity to cany out the safety aspects of its proposed
Projects, and
(5) Necessary capacity to cany out the security aspects of its proposed
Projects,
b. Your Applicant bas or will have satisfactory continuing control over the use of
Project equipment and facilities,
c. Your Applicant will maintain its Project equipment and facilities adequately,
d. Your Applicant will ensure that when, during non-peak hours for
transportation using or involving a facility or equipment of a TIFIA.-financed
Project, a fare that is not more than fifty (50) percent of the peak hour fare
will be charged to the following individuals:
(1) A senior,
(2) An individual who, because of illness, injury, age, congenital
malfunction, or other incapacity or temporary or permanent disability
(including an individual who is a wheelchair user or bas semi-ambulatory
capability), cannot use a public transportation service or a public
transportation facility effectively without special facilities, planning, or
design,
(3) An individual presenting a Medicare card issued to himself or herself
pursuant to title II of the Social Security Act (42 U.S.C. 401 et seq.), or
(4) An individual presenting a Medicare card issued to himself or herself
pursuant to title XVIII of the Social Security Act (42 U.S.C. 1395
et seq.),
e. When carrying out a TIFIA-funded procurement, your Applicant will comply
with:
(1) 49 U.S.C. 5323, and
(2) 49 U.S.C. 5325,
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
f. Your Applicant has complied with or will comply with 49 U.S.C. 5307(b}, as
amended by MAP-21, because it:
(l) Has made or will make available to the public information on amounts of
its TIFIA funding request( s},
(2) Has developed or will develop, in consultation with interested parties,
including private transportation providers, a proposed Program of
Projects for activities to be funded,
(3) Has published or will publish a Program of Projects in a way that affected
individuals, private transportation providers, and local elected officials
will have an opportunity to examine and submit comments on the
proposed Program of Projects and its performance as an Applicant or
Recipient,
(4) Has provided or will provide an opportunity for a public hearing to obtain
the views of individuals on the proposed Program of Projects,
(5) Has ensured or will ensure that the proposed Program of Projects provide
for coordination of transportation services funded by U.S. DOT under
TIFIA with federally funded transportation services supported by United
States Government sources other than U.S. DOT,
(6) Has considered or will consider the comments and views received,
especially those ofprivate transportation providers, in preparing its final
Program of Projects, and
(7) Has made or will make the final Program of Projects available to the
public,
g. Your Applicant:
(I) Has or will have at least (twenty) 20 percent of the TIFIA net project
costs required for the local share,
(2) Will provide the local share funds from approved non-Federal sources,
and
(3) Will provide the local share funds when needed,
h. Your Applicant will comply with:
(I) The Metropolitan Planning requirements of 49 U.S.C. 5303, as amended
by MAP-21, and
(2) The State Planning requirements of49 U.S.C. 5304, as amended by
MAP-21,
i. Your Applicant has a locally developed process to solicit and consider public
comment before:
(I) Raising a fare, or
(2) Implementing a major reduction ofpublic transportation, and
J. Your Applicant will comply with the 49 U.S.C. 5329(d} requirements for a
Public Transportation Agency Safety Plan, and
2. To comply with the interest and fInancing costs restrictions of 49 U.S.C.
chapter 53, your Applicant agrees that it will not seek reimbursement for interest
and other financing costs incurred in connection with its Project that must be in
compliance with those requirements unless:
FfA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
a. It is eligible to receive Federal funding for those expenses, and
b. Its records demonstrate that it has used reasonable diligence in seeking the
most favorable financing terms underlying those costs, to the extent FTA may
require.
3. To comply with the requirements of 49 U.S.C. 5337(a)(4), your Applicant agrees
that it will adopt a transit asset management plan that complies with 49 U.S.C.
5326(d).
B. State Infrastructure Banks (Sm) Program.
The Certifications and Assurances apply to requests for State Infrastructure Bank
(SIB) fonding, whether derived from appropriations for MAP-21 or appropriations
for Fiscal Year 2012 or a previous fiscal year. Ifyou apply on behalfofyour State
Applicant for fonding to deposit in its SIB, we request that you select the
Certifications and Assurances in Group 24.B.
On behalf of the State organization serving as your Applicant for funding for its State
Infrastructure Bank: (Sm) Program, you certify and assure that:
1. Your Applicant will comply with the following applicable Federal laws
establishing the various sm programs since 1995:
a. 23 U.S.C. 610, as amended by MAP-21 ,
b. 23 U.S.C. 610 or its predecessor before MAP-21 was signed into law,
c. Section 1511 ofTEA-21, 23 U.S.C. 181 note, or
d. Section 350 of the National Highway System Designation Act of 1995, as
amended, 23 U.S.C. 181,
2. Your Applicant will comply with or follow the Cooperative Agreement
establishing the State's sm program between:
a. Your Applicant and FHW A, FRA, and FTA, or
b. Your Applicant and FHWA and FTA,
3 . Your Applicant will comply with or follow the Grant Agreement that provides
FTA funding for the sm and is between your Applicant and FTA including the
FTA Master Agreement, which is incorporated by reference into the Grant
Agreement, except that any provision of the FT A Master Agreement incorporated
by reference into that Grant Agreement will not apply if it conflicts with any
provision of:
a. 23 U.S.C. 610, as amended by MAP-21,
b. 23 U.S.C. 610 or its predecessor before MAP-21 was signed into law,
c. Section 1511 ofTEA-21 , 23 U.S.C. 181 note, or section 350 of the National
Highway System Designation Act of 1995, as amended, 23 U.S.C. 181 note,
d. Federal guidance pertaining to the sm Program,
e. The Cooperative Agreement establishing the State's sm Program, or
f. The FTA Grant Agreement,
4. As required by 49 U.S.C. 5323(0), Federal transit laws, specifically 49 U.S.C.
5307,49 U.S.C. 5309, and 49 U.S.C. 5337, as amended by MAP-21 , apply to any
¥fA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
Project under 49 U.S.C. chapter 53 that receives SIB support or financing under
23 U.S.C. 610 (or any support from 23 U.S.C. 601-609),
5. As required by 49 U.S.C. 5323(0) and 49 U.S.C. 5307(d){1):
a. Your Applicant has or will have the:
(1) Legal capacity to carry out its proposed Projects,
(2) Financial capacity to carry out its proposed Projects,
(3) Technical capacity to carry out its proposed Projects,
(4) Necessary capacity to carry out the safety aspects of its proposed
Projects, and
(5) Necessary capacity to carry out the security aspects of its proposed
Projects,
b. Your Applicant has or will have satisfactory continuing control over the use of
Project equipment and facilities,
c. Your Applicant will maintain its Project equipment and facilities adequately,
d. Your Applicant will ensure that when, during non-peak hours for
transportation using or involving a facility or equipment of a Sm-fmanced
Project, a fare that is not more than fifty (50) percent of the peak hour fare
will be charged to the following individuals:
(l) A senior,
(2) An individual who, because of illness, injury, age, congenital
malfunction, or other incapacity or temporary or permanent disability
(including an individual who is a wheelchair user or has semi-ambulatory
capability), cannot use a public transportation service or a public
transportation facility effectively without special facilities, planning, or
design,
(3) An individual presenting a Medicare card issued to himself or herself
pursuant to title IT of the Social Security Act (42 U.S.C. 401 et seq.), or
(4) An individual presenting a Medicare card issued to himself or herself
pursuant to title xvm of the Social Security Act (42 U.S.C. 1395
et seq.),
e. When carrying out a procurement under a Sm-financed Project, your
Applicant will comply with the:
(1) General provisions for FTA programs of 49 U.S.C. 5323, and
(2) Third party procurement requirements of 49 U.S.C. 5325,
f. Your Applicant has complied with or will comply with 49 U .S.C. 5307(b), as
amended by MAP-2l, because it:
(1) Has made or will make available to the public information on amounts of
its funding requested under the sm program,
(2) Has developed or will develop, in consultation with interested parties,
including private transportation providers, a proposed Program of
Projects for activities to be funded,
(3) Has published or will publish a Program of Projects in a way that affected
individuals, private transportation providers, and local elected officials
will have an opportunity to examine and submit comments on the
FrA FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
proposed Program of Projects and its performance as an Applicant or
Recipient,
(4) Has provided or will provide an opportunity for a public hearing to obtain
the views of individuals on the proposed Program ofProjects,
(5) Has ensured or will ensure that the proposed Program of Projects provide
for coordination of transportation services funded by U.S. DOT under
49 U.S.C. 5336 and the SIB Program with federally funded transportation
services supported by United States Government sources other than
U.S. DOT,
(6) Has considered or will consider the comments and views received,
especially those of private transportation providers, in preparing its final
Program of Projects, and
(7) Has made or will make the final Program of Projects available to the
public,
g. Your Applicant:
(1) Has or will have the amount of funds required for the local share by the
SIB Program, but not less than twenty-five (25) percent of each
capitalization grant,
(2) Will provide the local share funds from approved non-Federal sources,
and
(3) Will provide the local share funds when needed,
h. Your Applicant will comply with the:
(1) The Metropolitan Planning requirements of 49 U.S.C. 5303, as amended
by MAP-21, and
(2) The State Planning requirements of 49 U.S.C. 5304, as amended by
MAP-21,
i. Your Applicant has a locally developed process to solicit and consider public
comment before:
(l) Raising a fare, or
(2) Implementing a major reduction of public transportation, and
J. As required by 49 U.S.C. 5307{c)(I){L), it will comply with the 49 U.S.C.
5329{d) requirements for a Public Transportation Agency Safety Plan, and
2. As required by 49 U.S.C. chapter 53, your Applicant certifies that it will not seek
reimbursement for interest and other financing costs incurred in connection with
its Project unless:
a. It is eligible to receive Federal funding for those expenses, and
b. Its records demonstrate that it has used reasonable diligence in seeking the
most favorable financing teans underlying those costs, to the extent FT A may
require.
3. To comply with the requirements of 49 U.S.C. 5337{a){4), your Applicant agrees
that it will adopt a transit asset management plan that complies with 49 U.S.C.
5326(d).
Selection and Signature Page{s) follow.
FI'A FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES
FEDERAL FISCAL YEAR 2013 CERTIFICATIONS AND ASSURANCES FOR FEDERAL TRANSIT
ADMINISTRA TION ASSISTANCE PROGRAMS
(Signature page alternative to providing Certifications and Assurances in TEAM·Web)
Name of Applicant: _...f'D""e""sc""h...,u""te:.s""C""o"-'u..,n""tyu.,.."O<.:.re""g""o""n'--_________________
The Applicant agrees to comply with applicable provisions of Groups 01-24. __X_
OR
The Applicant agrees to comply with applicable provisions ofthe Groups it has selected:
Group Description
01. Required Certifications and Assurances for Each Applicant.
02. Lobbying.
03. Private Sector Protections.
04. Procurement and Procurement System.
05. Rolling Stock Reviews and Bus Testing.
06. Demand Responsive Service.
07. Intelligent Transportation Systems.
OS. Interest and Finance Costs and Leasing Costs.
09. Transit Asset Management and Agency Safety Plans.
10. Alcohol and Controlled Substances Testing.
II. Fixed Guideway Capital Investment Program (New Starts, Small Starts, and Core
Capacity) and Capital Investment Program in Effect before MAP-21.
12. State of Good Repair Program.
13. Fixed Guideway Modernization Grant Program.
14. Bus/Bus Facilities Programs.
15. Urbanized Area Formula Programs and Job Access and Reverse Commute (JARC)
Program.
16. SeniorsIElderlylIndividuals with Disabilities Programs and New Freedom Program.
17. RuraVOther Than Urbanized AreaslAppalachian DevelopmentiOver-the-Road Bus
Accessibility Programs.
IS. Public Transportation on Indian Reservations and "Tribal Transit Programs.
19. Low or No Emission/Clean Fuels Grant Programs.
20. Paul S Sarbanes Transit in Parks Program.
21. State Safety Oversight Program.
22. Public Transportation Emergency Relief Program.
23. Expedited Project Delivery Pilot Program.
24. Infrastructure Finance Programs.
FEDERAL FISCAL YEAR 2013 FTA CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE
(Required of all Applicants for FfA funding and all FTA Grantees with an active Capital or Formula Project)
AFFIRMATION OF APPLICANT
Name of Applicant: __....D~e""sc""h"'u""'t"'es...C""o"'-u""n""ty'""','-'O"""'-'re""g""o""-n_________________________
Name and Relationship of Authorized Representative: Alan Unger, Chair, Deschutes County Board of Commissioners
BY SIGNING BELOW, on behalf of the Applicant, I declare that the Applicant has duly authorized me to make these
Certifications and Assurances and bind the Applicant's compliance. Thus, the Applicant agrees to comply with all
Federal statutes and regulations, and follow applicable Federal guidance, and comply with the Certifications and
Assurances as indicated on the foregoing page applicable to each application its authorized representative makes to the
Federal Transit Administration (FTA) in Federal Fiscal Year 2013, irrespective of whether the individual that acted on
its Applicant's behalf continues to represent the Applicant.
FfA intends that the Certifications and Assurances the Applicant selects on the other side ofthis document should
apply, as provided, to each Project for which the Applicant seeks now, or may later seek FT A funding during Federal
Fiscal Year 2013.
The Applicant affirms the truthfulness and accuracy ofthe Certifications and Assurances it has selected in the
statements submitted with this document and any other submission made to FT A, 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 FT A. The criminal
provisions of 18 U.S.C. 1001 apply to any certification, assurance, or submission made in connection with a Federal
public transportation program authorized by 49 U.S.c. chapter 53 or any other statute
In signing this document, I declare under penalties ofpeIjury that the foregoing Certifications and Assurances, arx:I any
other statements made by me on behalf of the Applicant are true and accurate.
Date:
Name Alan Unger, Chair, Deschutes County Board of Commissioners
Authorized Representative of Applicant
AFFIRMATION OF APPLICANT'S ATTORNEY
For (Name of Applicant): _~D""'e""sc""'h:.:.:u""te""s'_'C""o""'u~n....tyu.,_"Or=eg""o,.,n'________________________
As the undersigned Attorney for the above named Applicant, I hereby affirm to the Applicant that it has authority under
State, local, or tribal government law, as applicable, to make and comply with the Certifications and Assurances as
indicated on the foregoing pages. I further affirm that, in my opinion, the Certifications and Assurances have been
legally made and constitute legal and binding obligations on the Applicant.
I further affirm to the Applicant that, to the best of my knowledge, there is no legislation or litigation pending or
imminent that might adversely affect the validity of these Certifications and Assurances, or of the performance of its
FT.A proje~ctor Pr ects. ....llLdJ
, I I f .... ,,"l--I)Signature "J-tlA. Date:
Name Mark Pilliod, Deschutes County Legal Counsel
Attorney for Applicant
Each Applicant for FT A funding and each FT A Grantee with an active Capital or Formula Project must provide an
Affirmation of Applicant's Attorney pertaining to the Applicant's legal capacity. The Applicant may enter its signature
in lieu ofthe Attorney's signature, provided the Applicant has on file this Affirmation, signed by the attorney and dated
this Federal fiscal year.
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