HomeMy WebLinkAboutDoc 174 - Fed Transit Admin Funds CertDeschutes 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 March 25, 2015
DATE: March 18,2015
FROM: Judith Ure Administrative Services 541-330-4627
TITLE OF AGENDA ITEM:
Consideration and approval of Board Chair's signature on document #2015-174, 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. In order for Deschutes County to receive these
FTA funds as a subrecipient ofODOT, 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 2015.
FISCAL IMPLICATIONS:
None directly. However, continued payment of grant awards are dependent on submittal of the
Certifications and Assurances document.
RECOMMENDATION & ACTION REQUESTED:
Authorize Chair's signature on 2015 FTA Certifications and Assurances document.
ATTENDANCE: Judith Ure, Management Analyst
DISTRIBUTION OF DOCUMENTS:
Please return one signed original document to Judith Ure.
DESCHUTES COLINTY DOCUMENT SUMMARY
(NOTE: This form 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. If the document is to be on a Board
agenda, the Agenda Request Form is also required. If this form is not included with the document, the document will be returned 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 form with your documents, please submit this form
electronically to the Board Secretary.)
Please complete all sections above the Official Review line.
Date: IMarch 18, 201~ Department: !Administrative Service!
Contractor/Supplier/Consultant Name: Ore
Contractor Contact: Qoni Bramleij
on De artment of Trans ortation
Contractor Phone #: 541-388-6185
Type of Document: Federal Certifications and Assurances (document #2015-174)
Goods and/or Services: Signed document is required for the County to receive
Federal Transit Administration (FTA) funding through the Section 5310 and other state
managed transportation grant programs.
Background & History: Each year, Deschutes County receives funds through the
Oregon Department of Transportation (ODOT) 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 2015. Once the
document is signed, 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
o Insurance Certificate Received (check box)
Insurance Expiration Date: INiAl
Check all that apply: o RFP, Solicitation or Bid Process o Informal quotes «$150K)o Exempt from RFP, Solicitation or Bid Process (specify -see DCC §2.37)
Funding Source: (Included in current budget? 0 Yes o No
If No, has budget amendment been submitted? 0 Yes o No
Is this a Grant Agreement providing revenue to the County? 0 Yes L8l No
3/18/2015
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: 0 Yes 0 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: ___________
Signature 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 (CheCkOne~BOCC 0 Department Director (if <$25K)
o Administrator (if >$25 )
Legal Review Date 3f1.1~?
Document Number 2015-174
<$150K; if >$150K, BOCC Ord! No.
3/18/2015
REVIEWED
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
PREFACE
Except as the Federal Transit Administration (FTA or We) determines otherwise in
writing, before FTA may award Federal transit assistance (funding or funds) in the form
ofa Federal Grant, Cooperative Agreement, Loan, Line ofcredit, or Loan Guarantee to
support a public transportation Project, an Authorized Representative (You) ofthe
Project Sponsor (Applicant) must s elect certain Certifications and Assurances required
by Federal law or regulation . Among other things, the Authorized Representative must be
duly authorized by the Applicant to sign these Certifications and Assurances and bind its
compliance. You, as your Applicant's Authorized Representative, must select all
Certifications and Assurances that your Applicant must provide to support its
application(s) for FTA fUnding during Federal fiscal year (FY) 2015.
We request that you read each Certification and Assurance and select those that will
apply to all Projects for which your Applicant might seek FTAfunding. As required by
Federal law and regulation, only ifyou select adequate Certifications and Assurances on
your Applicant's behalf, may FTA award Federal fUnding for its Project.
We have consolidated our Certifications and Assurances into twenty-four (24) Groups. At
a minimum, you must select the Assurances in Group 01 on your Applicant's behalf. If
your Applicant requests more than $100,000 in Federalfunding, you must also select the
"Lobbying" Certification in Group 02, unless your Applicant is an Indian tribe, Indian
organization, or a tribal organization . Depending on the nature ofyour Applicant and its
Project, you may also need to select some Certifications and Assurances in Groups 03
through 24. Instead ofselecting individual Groups of Certifications and Assurances,
however, you may make a single selection that will encompass all twenty-four (24)
Groups of Certifications and Assurances that apply to all our programs.
FTA , your Applicant, and you, as your Applicant's A uthorized Representative,
understand and agree that not every provision ofthese twenty-four (24) Groups of
Certifications and Assurances will apply to every Applicant or every Project FTAfunds,
even ifyou make a single selection encompassing all twenty-four (24) Groups. Nor will
every provision ofall Certifications and Assurances within a single Group apply if that
provision does not apply to your Applicant or its Project. The typ e ofProject and
Applicant will determine which Certifications and Assurances apply.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to its Project, itself, any Subrecipient, or any
other Third Party Participant in its Project, except as FTA determines otherwise in
writing. For this reason, we strongly encourage your Applicant to take appropriate
measures, inc/uding, but not limited to, obtaining sufficient documentation from each
Subrecipient and each Third Party Participant to assure the validity ofthe applicable
Certifications and Assurances selected on behalfofyour Applicant.
DC -2015-: 7
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
Except as FTA determines otherwise in writing, ifyour Applicant is a team, consortium,
joint venture, or partnership, it understands and agrees that you must identify the
activities each member will perform and the extent to which each will be responsible for
compliance with the Certifications and Assurances that you select on its behalf, and
whether the member will serve as a Recipient, Sub recipient, or Third Party Contractor.
It is important that your Applicant and you also understand that these Certifications and
Assurances are pre-award requirements, generally imposed by Federal law or
regulation, and do not include all Federal requirements that may apply to it or its
Project. Our FTA Master Agreementfor Federal FY 2015, MA(21}, is available at
http://www.fia.dot.gov, and contains a list ofmost ofthose requirements.
We expect you to submit your Applicant's FY 2015 Certifications and Assurances and its
applications for fUnding in TEAM-Web. You must be registered in TEAM-Web to submit
the FTA FY 2015 Certifications and Assurances on its behalf 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 ofCertifications
and Assurances and a designated field for selecting all twenty-four (24) Groups of
Certifications and Assurances. IfFTA agrees that you cannot submit your Applicant's
FY 2015 Certifications and Assurances electronically, you must submit the Signature
Pages at the end ofthis document, as FTA directs, marked to show the Groups of
Certifications and Assurances that it is submitting.
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-21), Pub. L. 112-141, June 6, 2012,
• FTA's authorizing legislation in effect in FY 2012 or a previous fiscal year, except as
superseded by MAP-21 cross-cutting requirements that apply,
• The Highway and Transportation Funding Act of2014, Pub. L. 113-159, August 8,
2014, and
• Continuing Appropriations Resolution, 2015, Pub. L. 113-164, September 19,2014
and other Appropriations Acts or Continuing Resolutions funding the Department of
Transportation during Fiscal Year 2015.
With certain exceptions, Projectsfinanced in FY 2015 withfUnds appropriated or made
available for FY 2012 or a previous fiscal year must be in compliance with the
requirements for that type ofProject in effect during the fiscal year for which the funding
was derived, except as superseded by MAP-21 cross-cutting requirements that apply.
GROUP 01. REQUIRED CERTIFICATIONS AND ASSURANCES
FOR EACH APPLICANT.
Before FTA may provide funding for your Applicant's Project, in addition to any other
Certifications and Assurances that you must select on your Applicant's behalf, you must
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
also select the Certifications and Assurances in Group 01, 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 its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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
Sub recipient and any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Certifications and Assurances in Group 01 that does not apply will
not be enforced.
01.A. Certification and Assurance of Authority of the Applicant and Its Authorized
Representative.
You certify and affmn that both you, as your Applicant's Authorized Representative, and
your Applicant's attorney, who is authorized to represent your Applicant in legal matters,
who sign these Certifications, Assurances, and Agreements, may undertake the following
activities on its behalf, in compliance with applicable State, local, or Indian tribal laws
and regulations, and its by-laws or internal rules:
I. Execute and file its application for Federal funds,
2. Execute and file its Certifications, Assurances, Charter Service Agreement, and
School Bus Agreement, as applicable, binding its compliance,
3. Execute the Grant Agreement, Cooperative agreement, Loan, Loan Guarantee, or
Line of Credit, for which the Applicant is seeking FT A funding,
4. Comply with applicable Federal laws and regulations, and
5. Follow applicable Federal guidance.
01.B. Standard Assurances.
On behalf of your Applicant, you assure that it understands and agrees to the following:
1. It will comply with all applicable Federal statutes and regulations to carry out any
FTA-funded Project,
2. It is under a continuing obligation to comply with the terms and conditions of its
Grant Agreement or Cooperative Agreement with FT A for its Project, including the
FT A Master Agreement incorporated by reference and made part of the latest
amendment to that Grant Agreement or Cooperative Agreement,
3. It recognizes that Federal laws and regulations may be amended from time to time
and those amendments may affect Project implementation,
4. It understands that Presidential executive orders and Federal guidance, including
Federal policies and program guidance, may be issued concerning matters affecting it
or its Project,
I
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
5. It agrees that the most recent Federal laws, regulations, and guidance will apply to its
Project, except as FT A determines otherwise in writing,
6. Except as FT A determines otherwise in writing, it agrees that requirements for FTA
programs may vary depending on the fiscal year for which the funding for those
programs was appropriated:
a. In some instances, FTA has determined that Federal statutory or regulatory
program and eligibility requirements for FY 2012 or a specific previous fiscal
year, except as superseded by applicable MAP-21 cross-cutting requirements,
apply to:
(1) New Grants and Cooperative Agreements, and
(2) New Amendments to Grants and Cooperative Agreements that:
(a) Have been awarded Federal funds appropriated or made available for
FY 2012 or the previous fiscal year, or
(b) May be awarded Federal funds appropriated or made available for
FY 2012 or the previous fiscal year, but
b. In other instances, FTA has determined that MAP-21 requirements will apply to
Federal funds appropriated or made available for FY 2012 or a previous fiscal
year, and
c. For all FTA-funded Projects, the following MAP-21 cross-cutting requirements
supersede and apply in lieu of conflicting provisions of previous Federal law and
regulations:
(1) Metropolitan and Statewide and Nonmetropolitan Transportation Planning,
(2) Environmental Review Process,
(3) Public Transportation 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 PreferencelEmployment,
(15) Alcohol and Controlled Substance Testing, and
(16) Other provisions as FT A may determine. 1
1 More information about these matters appears in the Federal Transit Administration, "Notice ofFTA
Transit Program Changes, Authorized Funding Levels and Implementation ofthe Moving Ahead for
Progress in the 21st Century Act (MAP-21) and FTA FY 2013 Apportionments, Allocations, Program
Information and Interim Guidance," 77 Reg. 663670, Oct. 16,2012.
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
01.C. Intergovernmental Review Assurance.
(This assurance in Group 01. C does not apply to an Indian tribe, an Indian organization
or a tribal organization that applies for funding made available for 49 u.s.c. 5311(c)(l),
which authorizes FTA's Tribal Transit Programs.)
I
1
As required by U.S. Department of Transportation (U.S. DOT) regulations,
"Intergovernmental Review of Department of Transportation Programs and Activities,"
49 CFR part 17, on behalf of your Applicant, you assure that it has submitted or will
submit each application for Federal funding to the appropriate State and local agencies
for intergovernmental review, to facilitate compliance with those regulations.
01.D. Nondiscrimination Assurance.
On behalf of your Applicant, you assure that:
1. It will comply with the following laws and regulations so that no person in the United
States will be denied the benefits of, or otherwise be SUbjected to, discrimination in
any U.S. DOT or FTA-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(prohibiting discrimination on the
basis of race, color, religion, national origin, sex, disability, age, employment, or
business opportunity),
b. Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000d,
c. The Rehabilitation Act of 1973, as amended, 29 U.S.C. 794, et seq.,
d. The Americans with Disabilities Act of 1990, as amended, 42 U.S.C. 12101
et seq.,
e. U.S. DOT regulations, "Nondiscrimination in Federally-Assisted Programs of the
Department of Transportation-Effectuation of Title VI of the Civil Rights Act of
1964," 49 CFR part 21,
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. It 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. It will comply with 49 U.S.C. 5332,42 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 all parts of its facilities, as well as its facilities operated in
connection with its Project,
b. This assurance applies to its entire Project and to all parts of its facilities, as well
as its facilities operated to implement its Project,
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
c. It will promptly take the necessary actions to carry out this assurance, including
the following:
(1) Notifying the public that discrimination complaints about transportation
related services or benefits may be filed with U.S. DOT or FTA, and
(2) Submitting information about its compliance with these provisions to
U. S. DOT or FT A upon their request,
d. If it 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 purpose that the Federal funding is
extended, or
(2) While the property is used for another purpose involving the provision of
similar services or benefits,
e. The United States has a right to seek judicial enforcement of any matter arising
under:
(1) Title VI of the Civil Rights Act, 42 U.S.C. 2000d,
(2) U.S. DOT regulations, 49 CFR part 21, or
(3) This assurance,
f. It will make any changes in its Title VI implementing procedures, as U.S. DOT or
FTA may request, to comply with:
(1) Title VI of the Civil Rights Act, 42 U.S.C. 2000d,
(2) U.S. DOT regulations, 49 CFR part 21, and
(3) Federal transit laws, 49 U.S.c. 5332,
g. It will comply with applicable Federal guidance issued to implement Federal
nondiscrimination requirements, except as FT A determines otherwise in writing,
h. It will extend the requirements of 49 U.S.C. 5332,42 U.S.C. 2000d, and 49 CFR
part 21 to each Third Party Participant, including any:
(1) Subrecipient,
(2) Transferee,
(3) Third Party Contractor or Subcontractor at any tier,
(4) Successor in Interest,
(5) Lessee, or
(6) Other participant in its Project, except FTA and the Applicant (that later
becomes the Recipient),
1. It will include adequate provisions to extend the requirements of 49 U.S.C. 5332,
42 U.S.C. 2000d, and 49 CFR part 21 to each third party agreement, including
each:
(1) Subagreement at any tier,
(2) Property transfer agreement,
(3) Third party contract or subcontract at any tier,
(4) Lease, or
(5) Participation agreement, and
J. The assurances you have made on its behalf remain in effect as long as FTA
determines appropriate, including, for example, as long as:
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
(1) Federal funding is extended to its Project,
(2) Its Project property is used for a purpose for which the Federal funding is
extended,
(3) Its Project property is used for a purpose involving the provision of similar
services or benefits,
(4) It retains ownership or possession of its Project property, or
(5) FT A may otherwise determine in writing, and
4. As required by US. 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)(l)(D)(ii), you assure that:
a. It will comply with the following prohibitions against discrimination on the basis
of disability listed below in subsection 4.b of this Group 0 I.D Assurance, of
which compliance is 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 any benefit or obtain any benefit from any FTA administered
program, and
b. In any program or activity receiving or benefiting from Federal funding that
US. DOT administers, no qualified people with a disability will, because of their
disability, be:
(I) Excluded from participation,
(2) Denied benefits, or
(3) Otherwise subjected to discrimination.
Ol.E. Suspension and Debarment Certification.
On behalf of your Applicant, you certify that:
1. It will comply and facilitate compliance with U.S. DOT regulations,
"Nonprocurement Suspension and Debarment," 2 CFR part 1200, which adopts and
supplements the US. Office of Management and Budget (U.S. OMB) "Guidelines to
Agencies on Governmentwide Debarment and Suspension (Nonprocurement),"
2 CFR part 180,
2. To the best of its knowledge and belief, that its Principals and Subrecipients at the
first tier:
a. Are eligible to participate in covered transactions of any Federal department or
agency and are not presently:
(1) Debarred,
(2) Suspended,
(3) Proposed for debarment,
(4) Declared ineligible,
FfA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
(5) Voluntarily excluded, or
(6) Disqualified,
b. Its management has not within a three-year period preceding its latest application
or proposal been convicted of or had a civil judgment rendered against any of
them for:
(1) Commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (Federal, State, or local)
transaction, or contract under a public transaction,
(2) Violation of any Federal or State antitrust statute, or
(3) Commission of embezzlement, theft, forgery, bribery, falsification or
destruction of records, making any false statement, or receiving stolen
property,
c. It is not presently indicted for, or otherwise criminally or civilly charged by a
governmental entity (Federal, State, or local) with commission of any of the
offenses listed in the preceding subsection 1.E.2.b of this Certification,
d. It has not had one or more public transactions (Federal, State, or local) terminated
for cause or default within a three-year period preceding this Certification,
e. If, at a later time, it receives any information that contradicts the preceding
statements of subsections 2.a -2.d of this Group 0 I.E Certification, it will
promptly provide that information to FT A,
f. It will treat each lower tier contract or lower tier subcontract under its Project as a
covered lower tier contract for purposes of 2 CFR part 1200 and 2 CFR part 180 if
it:
(1) Equals or exceeds $25,000,
(2) Is for audit services, or
(3) Requires the consent of a Federal official, and
g. It will require that each covered lower tier contractor and subcontractor:
(1) Comply and facilitate compliance with the Federal requirements of2 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 its federally-funded Project,
(b) Suspended from participation in its federally-funded Project,
(c) Proposed for debarment from participation in its federally-funded
Project,
(d) Declared ineligible to participate in its federally-funded Project,
(e) Voluntarily excluded from participation in its federally-funded Project,
or
(t) Disqualified from participation in its federally-funded Project, and
5. It will provide a written explanation as indicated on a page attached in FTA's TEAM
Web or the Signature Page if it or any of its principals, including any of its first tier
Subrecipients or its Third Party Participants at a lower tier, is unable to certify
compliance with the preceding statements in this Group 0 I.E Certification.
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
01.F. U.S. OMB Assurances in SF-424B and SF-424D.
The assurances in Group 01.F are consistent with the Us. OMB assurances required in
the US. OMB SF-424B and SF-424D, and 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 it submits for Federal funding, it
has adequate resources to properly plan, manage, and complete its Project,
including the:
(1) Legal authority to apply for Federal funding,
(2) Institutional capability,
(3) Managerial capability, and
(4) Financial capability (including funds sufficient to pay the non-Federal share
of Project cost),
b. As required, it will give access and the right to examine Project-related materials
to entities or individuals including, but not limited to the:
(1) FTA,
(2) The Comptroller General of the United States, and
(3) State, through an appropriate authorized representative,
c. It will establish a proper accounting system in accordance with generally accepted
accounting standards or FTA guidance, and
d. It will establish safeguards to prohibit employees from using their positions for a
purpose that results in:
(1) A personal or organizational conflict of interest, or personal gain, or
(2) The appearance of a personal or organizational conflict of interest or personal
gam,
2. Project Specifics. On behalf of your Applicant, you assure that:
a. Following receipt of an FTA award, it will begin and complete Project work
within the time periods that apply,
b. For FTA-funded construction Projects:
(1) It will comply with FTA provisions concerning the drafting, review, and
approval of construction plans and specifications,
(2) It will provide and maintain competent and adequate engineering supervision
at the construction site to assure that the completed work conforms with the
approved plans and specifications,
(3) It will include a covenant to assure nondiscrimination during the useful life
ofits Project in its title to federally-funded real property,
(4) To the extent FTA requires, it will record the Federal interest in the title to
FTA-funded real property or interests in real property, and
(5) It will not alter the site of the FTA-funded construction Project or facilities
without permission or instructions from FT A by:
(a) Disposing of the underlying real property or other interest in the site and
facilities,
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
(b) Modifying the use of the underlying real property or other interest in the
site and facilities, or
(c) Changing the terms of the underlying real property title or other interest
in the site and facilities, and
c. It will furnish progress reports and other information as FT A or the State may
require, and
3. Statutory and Regulatory requirements. On behalf of your Applicant, you assure that:
a. It 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 fmancing of
housing, as provided in Title VIII of the Civil Rights Act, 42 U.S.C. 3601
et seq.,
(7) The prohibitions against discrimination on the basis of drug abuse, as
provided in the Drug Abuse Office and Treatment Act of 1972, as amended,
21 U.S.C. 1101 et seq.,
(8) The prohibitions against discrimination on the basis of alcohol abuse, as
provided in the Comprehensive Alcohol Abuse and Alcoholism Prevention
Act of 1970, as amended, 42 U.S.C. 4541 et seq.,
(9) The confidentiality requirements for records of alcohol and drug abuse
patients, as provided in the Public Health Service Act, as amended, 42 U.s.c.
290dd -290dd-2, 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 49 U.S.c. 5323(b), regardless of whether Federal funding has been
provided for any of the real property acquired for Project purposes:
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
(1) It will provide for fair and equitable treatment of any displaced persons, or
any persons whose property is acquired as a result of federally-funded
programs,
(2) It 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
(3) It has complied with or will comply with the Uniform Relocation Act and
implementing U.S. DOT regulations because:
(a) It will adequately inform each affected person of the benefits, policies,
and procedures provided for in 49 CFR part 24,
(b) As required by 42 U.S.C. 4622, 4623, and 4624, and 49 CFR part 24, if
an FTA-funded Project results in displacement, it will provide fair and
reasonable relocation payments and assistance to:
1 Displaced families or individuals, and
2 Displaced corporations, associations, or partnerships,
(c) As provided by 42 U.S.c. 4625 and 49 CFR part 24, it will provide
relocation assistance programs offering the services described in the
U.S. DOT regulations to such:
1 Displaced families and individuals, and
2 Displaced corporations, associations, or partnerships,
(d) As required by 42 U.S.c. 4625(c)(3), within a reasonable time before
displacement, it will make available comparable replacement dwellings
to families and individuals,
(e) It will:
1 Carry out the relocation process to provide displaced persons with
uniform and consistent services, and
2 Make available replacement housing in the same range of choices
with respect to such housing to all displaced persons regardless of
race, color, religion, or national origin,
(f) It will be guided by the real property acquisition policies of 42 U.S.c.
4651 and 4652,
(g) It 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 for providing payments for
those expenses, as required by 42 U.S.C. 4631,
(h) It will execute the necessary implementing amendments to FTA-funded
third party contracts and sub agreements,
(i) It will execute, furnish, and be bound by such additional documents as
FT A may determine necessary to effectuate or implement these
assurances,
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
G) It will incorporate these assurances by reference into and make them a
part of any third party contract or sub agreement, or any amendments
thereto, relating to any FTA-funded Project involving relocation or land
acquisition, and
(k) It will provide in any affected document that these relocation and land
acquisition provisions must supersede any conflicting provisions,
c. It will comply with the Lead-Based Paint Poisoning Prevention Act, specifically
42 U.S.c. 4831(b), which prohibits the use oflead-based paint in the construction
or rehabilitation of residence structures,
d. It will, to the extent applicable, comply with the protections for human subjects
involved in research, development, and related activities supported by Federal
funding of:
(1) The National Research Act, as amended, 42 U.S.C. 289 et seq., and
(2) U.S. DOT regulations, "Protection of Human Subjects," 49 CFR part 11,
e. It will, to the extent applicable, 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 ofthe Copeland "Anti-Kickback" Act, as amended,
18 U.S.C. 874, and 40 U.S.c. 3145, respectively, and
(3) The Contract Work Hours and Safety Standards Act, as amended, 40 U.S.c.
3701 et seq.,
f. It will comply with any applicable environmental standards prescribed to
implement Federal laws and executive orders, including, but not limited to:
(1) Complying with the institution of environmental quality control measures
under the National Environmental Policy Act of 1969, as amended, 42 U.S.C.
4321 4335 and following Executive Order No. 11514, as amended,
42 U.S.C. 4321 note,
(2) Following the notification of violating facilities provisions of Executive
Order No. 11738,42 U.S.C. 7606 note,
(3) Following the protection of wetlands provisions of Executive Order
No. 11990,42 U.S.C. 4321 note,
(4) Following the evaluation of flood hazards in floodplains provisions of
Executive Order No. 11988,42 U.S.c. 4321 note,
(5) Complying with the assurance of Project consistency with the approved State
management program developed pursuant to the Coastal Zone Management
Act of 1972, as amended, 16 U.S.C. 1451-1465,
(6) Complying with the Conformity of Federal Actions to State (Clean Air)
Implementation Plans requirements under section 176(c) of the Clean Air Act
of 1955, as amended, 42 U.S.C. 740l-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,
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
(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 (also known as
"Section 4f'),
(10) Complying with the protections for national wild and scenic rivers systems,
as required under the Wild and Scenic Rivers Act of 1968, as amended,
16 U.S.c. 1271 1287, and
(11) Complying with and facilitating compliance with:
(a) Section 106 of the National Historic Preservation Act of 1966, as
amended, 16 U.S.C. 470f,
(b) The Archaeological and Historic Preservation Act of 1974, as amended,
16 U.S.C. 469 469c, and
(c) Executive Order No. 11593 (identification and protection of historic
properties), 16 U.S.C. 470 note,
g. To the extent applicable, it will comply with the following Federal requirements
for the care, handling, and treatment of warm-blooded animals held or used for
research, teaching, or other activities supported by Federal funding:
(1) The Animal Welfare Act, as amended, 7 U.S.C. 2131 et seq., and
(2) U.S. Department of Agriculture regulations, "Animal Welfare," 9 CFR
subchapter A, parts 1,2,3, and 4,
h. To the extent applicable, it will obtain a certificate of compliance with the seismic
design and construction requirements of U.S. DOT regulations, "Seismic Safety,"
49 CFR part 41, specifically 49 CFR 41.117( d), before accepting delivery of any
FTA-funded building,
1. It will comply with, and assure that its Subrecipients located in special flood
hazard areas comply with, section 102(a) of the Flood Disaster Protection Act
of1973, as amended, 42 U.S.c. 4012a(a), by:
(1) Participating in the Federal flood insurance program, and
(2) Purchasing flood insurance if the total cost of insurable construction and
acquisition is $10,000 or more,
J. It will comply with:
(1) The Hatch Act, 5 U.S.C. 1501 -1508, 7324 -7326, which limits the political
activities of State and local agencies and their officers and employees whose
primary employment activities are fmanced 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) and 23 U.S.C. 142(g), which provide an exception from
Hatch Act restrictions for a nonsupervisory employee of a public
transportation system (or of any other agency or entity performing related
functions) receiving FTA funding appropriated or made available for
49 U.S.C. chapter 53 and 23 U.S.C. 142(a)(2) to whom the Hatch Act does
not otherwise apply,
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
k. It will perfonn 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,
L It will comply with all other Federal laws or regulations that apply, and
m. It will follow Federal guidance governing it and its Project, except to the extent
that FTA has expressly approved otherwise in writing.
GROUP 02. LOBBYING.
Before FTA may providefimdingfor a Federal Grant or Cooperative Agreement
exceeding $100,000 or a Federal Loan, Line ofCredit, Loan Guarantee, or Loan
Insurance exceeding $150,000, in addition to other Certifications and Assurances you
must select on your Applicant's behalf, you must also select the Lobbying Certifications
in Group 02, unless your Applicant is an Indian Tribe exempt from the requirements of
31 US.C 1352 or FTA determines otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Certifications in Group 02 that does not apply will not be enforced.
On behalf of your Applicant, you certify that:
1. As required by 31 U.S.c. 1352 and U.S. DOT regulations, "New Restrictions on
Lobbying," specifically 49 CFR 20.110:
a. The lobbying restrictions of this Certification apply to its requests:
(1) For $100,000 or more in Federal funding for a Grant or Cooperative
Agreement, and
(2) For $150,000 or more in Federal funding for a Loan, Line of Credit, Loan
Guarantee, or Loan Insurance, and
b. Your Certification on its behalf applies to the lobbying activities of:
(1) It,
(2) Its Principals, and
(3) Its Subrecipients at the first tier,
2. To the best of your knowledge and belief:
a. No Federal appropriated funds have been or will be paid by your Applicant or on
its behalf to any person to influence or attempt to influence:
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
(1) An officer or employee of any Federal agency regarding the award of a:
(a) Federal Grant or Cooperative Agreement, or
(b) Federal Loan, Line of Credit, Loan Guarantee, or Loan Insurance, or
(2) A Member of Congress, an employee of a member of Congress, or an officer
or employee of Congress regarding the award of a:
(a) Federal Grant or Cooperative Agreement, or
(b) Federal Loan, Line of Credit, Loan Guarantee, or Loan Insurance,
b. It will submit a complete OMB Standard Form LLL (Rev. 7-97), "Disclosure of
Lobbying Activities," consistent with 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:
(I) An officer or employee of any Federal agency regarding the award of a:
(a) Federal Grant or Cooperative Agreement, or
(b) Federal Loan, Line of Credit, Loan Guarantee, or Loan Insurance, or
(2) A Member of Congress, an employee of a member of Congress, or an officer
or employee of Congress regarding the award of a:
(a) Federal Grant or Cooperative Agreement, or
(b) Federal Loan, Line of Credit, Loan Guarantee, or Loan Insurance, and
c. It will include the language of this Certification in the award documents for all
subawards at all tiers, including, but not limited to:
(1) Third party contracts,
(2) Subcontracts,
(3) Subagreements, and
(4) Other third party agreements under a:
(a) Federal Grant or Cooperative Agreement, or
(b) Federal Loan, Line of Credit, Loan Guarantee, or Loan Insurance,
3. It understands that:
a. This Certification is a material representation of fact that the Federal Government
relies on, and
b. It must submit this Certification before the Federal Government may award
funding for a transaction covered by 31 V.S.c. 1352, including a:
(a) Federal Grant or Cooperative Agreement, or
(b) Federal Loan, Line of Credit, Loan Guarantee, or Loan Insurance, and
4. It also understands that any person who does not file a required Certification will
incur a civil penalty of not less than $10,000 and not more than $100,000 for each
such failure.
GROUP 03. PROCUREMENT AND PROCUREMENT SYSTEMS.
We request that you select the Procurement and Procurement Systems Certification in
Group 03 on behalfofyour Applicant. 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).
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Certification in Group 03 that does not apply will not be enforced.
On behalf of your Applicant, you certify that its procurements and its procurement
system will comply with all Federal laws and regulations in accordance with applicable
Federal guidance, except to the extent FTA has approved otherwise in writing.
GROUP 04. PRIVATE SECTOR PROTECTIONS.
Before FTA may provide funding for a Project that involves the acquisition ofpublic
transportation property or operation ofpublic transportation facilities or equipment, in
addition to other Certifications you must select on your Applicant's behalf, you must also
select the Private Property Protections Assurances in Group 04.A and enter into the
Agreements in Group 04.B and Group 04. C on behalfofyour Applicant, 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 its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Assurances and Agreements in Group 04 that does not apply will not
be enforced.
04.A. Private Property Protections.
Ifyour Applicant is a State, local government, or Indian tribal government and seeks
FTAfunding to acquire the property ofa private transit operator or operate public
transportation in competition with or in addition to a public transportation operator, the
Private Property Protections Assurances in Group 04.A apply to your Applicant, except
as FTA determines otherwise in writing.
To facilitate FTA's ability to make the findings required by 49 U.S.C. 5323(a)(1), on
behalf of your Applicant, you assure that:
¥fA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
I. It has or will have:
a. Determined that the funding is essential to carrying out a Program of Projects as
required by 49 U.S.c. 5303, 5304, and 5306,
b. Provided for the participation of private companies engaged in public
transportation to the maximum extent feasible, and
c. Paid just compensation under State or local laws to the company for any franchise
or property acquired, and
2. It has completed the actions described in the preceding section 1 of this Group 04.A
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.
04.B. Charter Service Agreement.
Ifyour Applicant seeks FTA funding to acquire or operate transit facilities or equipment,
the Charter Service Agreement in Group 04.B applies to your Applicant, except as FTA
determines otherwise in writing.
To comply with 49 U.S.C. 5323(d) and (g) and FTA regulations, "Charter Service,"
49 CFR part 604, specifically 49 CFR 604.4, on behalf of your Applicant, you are
entering into the following Charter Service Agreement:
1. FTA's "Charter Service" regulations apply as follows:
a. FTA's Charter Service regulations restrict transportation by charter service using
facilities and equipment acquired by Recipients of FT A funding for transportation
Projects with Federal funding derived from:
(1) Federal transit laws, 49 U.S.c. chapter 53,
(2) 23 U.S.c. 133 or 142, or
(3) Any other Act that provides Federal public transportation assistance, unless
otherwise excepted,
b. FTA's charter service restrictions extend to:
(1) Your Applicant, when it becomes a Recipient of Federal funding
appropriated or made available for:
(a) Federal transit laws, 49 U.S.C. chapter 53,
(b) 23 U.S.c. 133 or 142, or
(c) Any other Act that provides Federal public transportation assistance,
unless otherwise excepted, and
(2) Any Third Party Participant that receives Federal funding derived from:
(a) Federal transit laws, 49 U.S.C. chapter 53,
(b) 23 U.S.c. 133 or 142, or
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FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
(c) Any other Act that provides Federal public transportation assistance,
unless otherwise excepted,
c. A Third Party Participant includes any:
(1) Subrecipient at any tier,
(2) Lessee,
(3) Third Party Contractor or Subcontractor at any Tier, and
(4) Other Third Party Participant in its Project,
d. You and your Applicant agree that neither it nor any governmental authority or
publicly owned operator that receives Federal public transportation assistance
appropriated or made available for its 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 FT A 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 appropriated or made available for its Project that has engaged in a
pattern of violations ofFTA's Charter Service regulations by:
(a) Conducting charter operations prohibited by Federal transit laws and
FTA's Charter Service regulations, or
(b) Otherwise violating its Charter Service Agreement it has elected in its
latest arulUal Certifications and Assurances, and
(2) These corrective measures and remedies may include:
(a) Barring it or any Third Party Participant operating public transportation
under the Project that has provided prohibited charter service from
receiving FT A 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. In addition to the exceptions to the restrictions in FTA's Charter Service Regulations,
FTA has established the following additional exceptions to those restrictions:
a. FTA' s Charter Service restrictions do not apply to your Applicant if it seeks
funding appropriated or made available for 49 U.S.C. 5307 and 5311, 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 it uses that FT A funding for those program
purposes only,
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
b. FTA's Charter Service restrictions do not apply to your Applicant ifit seeks
funding appropriated or made available for 49 V.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 it uses that
FTA funding for those program purposes only, and
c. An Applicant for assistance under 49 V.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 provided in 49 V.S.c.
5323(r).
04.C. School Bus Agreement.
Ifyour Applicant seeks FTAfunding to acquire or operate transit facilities or equipment,
the School Bus Agreement in Group 04.C applies to your Applicant, except as FTA
determines otherwise in writing.
To comply with 49 V.S.C. 5323(f) and (g) and FTA regulations, "School Bus
Operations," 49 CFR part 605, to the extent consistent with 49 V.S.C. 5323(f) and (g), on
behalf of your Applicant, you are entering into the following School Bus Agreement:
1. FTA's "School Bus Operations" regulations restrict school bus operations using
facilities and equipment acquired with Federal funding derived from:
a. Federal transit laws, 49 V.S.c. chapter 53,
b. 23 V.S.c. 133 or 142, or
c. Any other Act that provides Federal public transportation assistance, unless
otherwise excepted,
2. FTA's school bus operations restrictions extend to:
a. Your Applicant, when it becomes a Recipient of Federal funding appropriated or
made available for:
(1) Federal transit laws, 49 U.S.C. chapter 53,
(2) 23 V.S.C. 133 or 142, or
(3) Any other Act that provides Federal public transportation assistance, unless
otherwise excepted, and
b. Any Third Party Participant that receives Federal funding derived from:
(1) Federal transit laws, 49 V.S.C. chapter 53,
(2) 23 V.S.C. 133 or 142, or
(3) Any other Act that provides Federal public transportation assistance, unless
otherwise excepted,
3. A Third Party Participant includes any:
a. Subrecipient at any tier,
b. Lessee,
c. Third Party Contractor or Subcontractor at any tier, and
d. Other Third Party Participant in the Project,
FT A FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
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),
b. FT A regulations, "School Bus Operations," 49 CFR part 605, to the extent
consistent with 49 U.S.C. 5323(f) and (g),
c. Any other Federal School Bus regulations, or
d. Federal guidance, except as FTA determines otherwise in writing,
5. You and your Applicant agree that the latest School Bus Agreement you have
selected on its behalf in FT A's latest annual Certifications and Assurances is
incorporated by reference in and made part of the underlying Agreement
accompanying an award of FT A funding, and
6. You and your Applicant agree that after it is a Recipient, if it or any Third Party
Participant has violated this School Bus Agreement, FTA may:
a. Bar your Applicant or Third Party Participant from receiving further Federal
transit funds, or
b. Require the Applicant or Third Party Participant to take such remedial measures
as FT A considers appropriate.
GROUP 05. ROLLING STOCK REVIEWS AND BUS TESTING.
Before FTA may provide fundingfor a Project to acquire rolling stock for use in revenue
service or to acquire a new bus model, in addition to other Certifications and Assurances
you must select on your Applicant's behalf, you must also select the Rolling Stock
Reviews and Bus Testing Certifications in Group 05, 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 its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Certifications in Group 05 that does not apply will not be enforced.
OS.A. Rolling Stock Reviews.
Ifyour Applicant seeks FTAfunding to acquire rolling stockfor use in revenue service,
the Rolling Stock Reviews Certifications in Group 05.A apply to your Applicant, except
as FTA determines otherwise in writing.
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
On behalf of your Applicant, you certify that when procuring rolling stock for use in
revenue service:
1. It will comply with:
a. Federal transit laws, specifically 49 U.S.c. 5323(m), and
b. FTA regulations, "Pre-Award and Post-Delivery Audits of Rolling Stock
Purchases," 49 CFR part 663, and
2. As provided in 49 CFR 663.7:
a. It will conduct or cause to be conducted the required pre-award and post-delivery
reviews, and
b. It will maintain on file the Certifications required by 49 CFR part 663, subparts B,
C, andD.
OS.B. Bus Testing.
Jfyour Applicant seeks FTAfunding to acquire a new bus model, the Bus Testing
Certifications in Group 05.B apply to your Applicant, except as FTA determines
otherwise in writing.
On behalf of your Applicant, you certify that:
1. Bus Testing requirements apply to all acquisitions of new buses and new bus models
that require bus testing as defined in FTA's Bus Testing regulations, and it will
comply with:
a. 49 U.S.C. 5318, and
b. FTA regulations, "Bus Testing," 49 CFR part 665, to the extent these regulations
are consistent with 49 U. S.C. 5318,
2. As required by 49 CFR 665.7, when acquiring the first bus of any new bus model or a
bus model with a major change in components or configuration:
a. It will not spend any Federal funds appropriated under 49 U.S.c. chapter 53 to
acquire that new bus or new bus model until:
(1) That new bus or new bus model has been tested at FT A's bus testing facility,
and
(2) It has received a copy of the test report prepared on that new bus or new bus
model, and
b. It will not authorize [mal acceptance of that new bus or new bus model until:
(1) That new bus or new bus model has been tested at FTA's bus testing facility,
and
(2) It has received a copy of the test report prepared on that new bus or new bus
model,
3. It will ensure that the new bus or new bus model that is tested has met the
performance standards consistent with those regulations, including: I a. Performance standards for:
(1) Maintainability,
(2) Reliability,
I
(3) Performance (including braking performance),
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ITA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
(4) Structural integrity,
(5) Fuel economy,
(6) Emissions, and
(7) Noise, and
b. Minimum safety performance standards established under 49 U.S.C. 5329, and
4. After FTA regulations authorized by 49 U.s.c. 5318(e)(2) are in effect, it will ensure
that the new bus or new bus model that is tested has received a passing aggregate test
score under the "PasslFail" standard established by regulation.
GROUP 06. DEMAND RESPONSIVE SERVICE.
Ifyour Applicant is a public entity, operates demand responsive service, and seeks FTA
.fUnding to acquire a non-rail vehicle that is not accessible, before FTA may provide
.fUndingfor that Project, in addition to other Certifications and Assurances you must
select on your Applicant's behalf, you must also select the Demand Responsive Service
Certifications in Group 06, 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 its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Certifications 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, its service for individuals with disabilities is:
a. Provided in the most integrated setting feasible, and
b. Equivalent to the service it offers individuals without disabilities with respect to:
(1) Response time,
(2) Fares,
(3) Geographic service area,
(4) Hours and days of service,
(5) Restrictions on priorities based on trip purpose,
(6) Availability of information and reservation capability, and
(7) Constraints on capacity or service availability.
¥fA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
GROUP 07. INTELLIGENT TRANSPORTATION SYSTEMS.
Before FTA may providefundingfor an Intelligent Transportation Systems (ITS) Project
or a Project in support ofan ITS Project, in addition to other Certifications and
Assurances you must select on your Applicant's behalf, you must also select the
Intelligent Transportation Systems Assurances in Group 07, 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 its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Assurances in Group 07 that does not apply will not be enforced.
On behalf of your Applicant, you and your Applicant:
1. Understand that, as used in this Assurance, the term mtelligent Transportation
Systems (ITS) Project is dermed 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. Assure that, as provided in 23 U.S.C. 517(d), any ITS Project it undertakes funded
with appropriations made available from the Highway Trust Fund, including amounts
made available to deploy ITS facilities or equipment, will conform to the appropriate
regional ITS architecture, applicable standards, and protocols developed under
23 U.S.C. 517(a) or (c), unless it obtains a waiver as provided in 23 U.S.C. 517(d)(2).
GROUP 08. INTEREST AND FINANCING COSTS AND ACQUISITION OF
CAPITAL ASSETS BY LEASE.
Before FTA may providefonding appropriated or made availablefor 49 Us.c.
chapter 53 to support interest, or financing, or leasing costs ofany Project financed under
the Urbanized Area Formula Grants Program, Fixed GUideway Capital Investment
Grants Program, or another program as FTA may specify, in addition to other
Certifications and Assurances you must select on your Applicant's behalf, you must also
select the Certifications in Group 08, except as FTA may determine otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to its Project, itself, any Subrecipient, or any
other Third Party Participant in its Project, except as FTA determines otherwise in
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Certifications and Assurances in Group OB that does not apply will
not be enforced.
08.A. Interest and Financing Costs.
Ifyour Applicant intends to use FTAfunding to support interest or any other financing
costs for Projects funded by the Urbanized Area Formula Grants Program, Fixed
GUideway Capital Investment Grants Program, or another program as FTA may specify,
the Interest and Financing Costs Certifications in Group OB.A apply to your Applicant,
except as FTA determines otherwise in writing.
On behalf of your Applicant, you certify that:
1. It will not seek reimbursement for interest or any other fmancing 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 FTA may require, and
2. It will comply with the same favorable financing cost provisions for:
a. Urbanized Area Formula Grants Projects,
b. Projects under Full Funding Grant Agreements,
c. Projects with Early Systems Work Agreements,
d. Fixed Guideway Capital Investment Projects funded by previous FTA enabling
legislation,
e. State of Good Repair Projects,
f. Bus and Bus Facilities Projects, and
g. Low or No Emission Vehicle Development Projects.
OS.B. Acquisition of Capital Assets by Lease.
Ifyour Applicant seeks FTAfunding to acquire capital assets through a lease, the
Acquisition ofCapital Assets by Lease Certifications and Assurances in Group OB.B
applies to your Applicant, except as FTA determines otherwise in writing.
I
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 appropriated or made available for 49 U.S.C. chapter 53:
t 1. It will not use Federal funding appropriated or made available for public
I
~ transportation Projects eligible under 49 U.S.C. chapter 53 or any other applicable
law to fmance the cost of leasing any capital asset until:
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
a. It perfonns calculations demonstrating that leasing the capital asset would be
more cost-effective than purchasing or constructing a similar asset, and
b. It completes these calculations before the later of:
(1) Entering into the lease, or
(2) Receiving a capital grant for the asset, and
2. It will not enter into a capital lease for which FT A can provide only incremental
Federal funding unless it has adequate fmandal resources to meet its future lease
obligations if Federal funding is not available.
GROUP 09. TRANSIT ASSET MANAGEMENT PLAN AND
PUBLIC TRANSPORTATION AGENCY SAFETY PLAN.
Before FTA may provide fUnding appropriated or made available for 49 u.s.C
chapter 53 to support your Applicant's Project, in addition to other Certifications and
Assurances you must select on your Applicant's behalf, you must also select the
Certifications in Group 09, 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 its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Certifications in Group 09 that does not apply will not be enforced.
09.A. Transit Asset Management Plan.
Ifyour Applicant applies for funding appropriated or made available for 49 u.s.C
chapter 53, the Transit Asset Management Certifications in Group 09.A apply to your
Applicant, except as FTA determines otherwise in writing.
On behalf of your Applicant, you certify that it and each Subrecipient will:
1. Follow Federal guidance when issued that implements transit asset management
system provisions of 49 U.S.c. 5326, except as FTA detennines otherwise in writing,
and
2. Comply with the final Federal regulations when issued that implement the transit
asset management provisions of 49 U.S.C. 5326.
09.B. Public Transportation Agency Safety Plan.
Ifyour Applicant applies for fUnding under 49 U.S.C chapter 53 and it is a State
government, local government, or any other operator ofa public transportation system.
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
the Public Transportation Safety Plan Certifications in Group 09.B apply to your
Applicant, except as FTA determines otherwise in writing.
On behalf of your Applicant, you certify that it will:
1. Follow the Federal guidance, when issued, that will implement the safety plan
provisions of 49 U.S.C. 5329( d), except as FTA determines otherwise in writing, and
2. Comply with the [mal Federal regulations, when issued, that implement the safety
plan requirements of 49 U.S.C. 5329( d).
GROUP 10. ALCOHOL AND CONTROLLED SUBSTANCES TESTING.
Ifyour Applicant must comply with the alcohol and controlled substance testing
requirements of49 u.s.c. 5331 and its implementing regulations, before FTA may
provide funding for your Applicant's Project, in addition to other Certifications and
Assurances you must select on your Applicant's behalf, you must also select the
Certifications in Group 10, except as FTA may determine otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Certifications in Group 10 that does not apply will not be enforced.
As required by 49 U.S.C. 5331, and FTA regulations, "Prevention of Alcohol Misuse and
Prohibited Drug Use in Transit Operations," 49 CFR part 655, subpart I, specifically
49 CFR 655.83, on behalf of your Applicant, including a State Applicant, and on behalf
of its Subrecipients and Third Party Contractors, you certify that:
1. Your Applicant, its Subrecipients, and Third Party Contractors to which these testing
requirements apply have established and implemented:
a. An alcohol misuse testing program, and
b. A controlled substance testing program,
2. Your Applicant, its Subrecipients, and Third Party Contractors to which these testing
requirements apply have complied or will comply with all applicable requirements of
49 CFR part 655 to the extent those regulations are consistent with 49 U.S.c. 5331,
and
3. Consistent with U.s. DOT Office of Drug and Alcohol Policy and Compliance
Notice, issued October 22,2009, if your Applicant, its Subrecipients, or Third Party
Contractors to which these testing requirements apply reside in a State that permits
marijuana use for medical or recreational purposes, your Applicant, its Subrecipients,
and Third Party Contractors to which these testing requirements apply have complied
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
or will comply with the Federal controlled substance testing requirements of 49 CFR
part 655.
GROUP 11. FIXED GUIDEWAY CAPIT AL INVESTMENT GRANTS PROGRAM
(NEW STARTS, SMALL STARTS, AND CORE CAPACITy), AND
CAPITAL INVESTMENT PROGRAM IN EFFECT BEFORE MAP-21 BECAME
EFFECTIVE.
The Certifications in Group 11 apply to the New Starts, Small Starts, or Core Capacity
Programs, 49 U.S. C. 5309.
Before FTA may providefundingfor your Applicant's New Starts, Small Starts, or Core
Capacity Project in addition to other Certifications and Assurances you must select on
your Applicant's behalf, you must also select the Certifications in Group 11, except as
FTA may determine otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Certifications 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. It has or will have the following capabilities to carry out its proposed Project(s),
including the safety and security aspects of the Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately, and
4. It will comply with:
a. The Metropolitan Transportation Planning requirements of 49 U.S.c. 5303, and
b. The Statewide and Nonmetropolitan Transportation Planning requirements of
49 U.S.C. 5304.
GROUP 12. STATE OF GOOD REPAm PROGRAM.
Certain Certifications and Assurances listed previously are required for the State of
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
Good Repair Programfunding under 49 USc. 5337.
Before FTA may providefundingfor your Applicant's Project under the State ofGood
Repair Program, 49 USc. 5337, for your Applicant's Project, in addition to other
Certifications and Assurances you must select on your Applicant's behalf, you must also
select the Certifications in Group 12, 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 its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Assurance in Group 12 that does not apply will not be enforced.
On behalf of your Applicant, you certify that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of the Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately, and
4. It will comply with:
a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and
b. The Statewide and Nonmetropolitan Transportation Planning requirements of
49 U.S.C. 5304.
GROUP 13. FIXED GUIDEWAY MODERNIZATION GRANT PROGRAM.
Before FTA may providefundingfor your Applicant's Project under the Fixed Guideway
Modernization Grant Program, former 49 USc. 5309 in effect in FY 2012 or a previous
fiscal year, in addition to other Certifications and Assurances you must select on your
Applicant's behalf, you must also select the Certifications in Group 13, 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 its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
Subrecipient and any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Certification in Group 13 that does not apply will not be enforced.
Fonner 49 U.S.C. 5309(b)(2) and fonner 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, require the following Certifications for Fixed Guideway Modernization Grant
Program funding; therefore, except as FTA detennines otherwise in writing, on behalf of
your Applicant, you certify that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of the proposed Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately, and
4. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U.S.C. 5303 and 5304.
GROUP 14. BUS AND BUS FACILITIES FORMULA GRANTS PROGRAM AND
BUS AND BUS-RELATED EQUIPMENT AND FACILITIES GRANT PROGRAM
(DISCRETIONARy).
The Certifications in Group 14 are required for fUnding under:
14.A. The Bus and Bus Facilities Formula Grants Program, 49 Us.c. 5339, as
amended by MAP-21, and
14.B. The Bus and Bus-Related Equipment and Facilities Grant Program
(Discretionary), former 49 Us.c. 5309(b)(3) in effect in FY 2012 or a previous
fiscal year, except as superseded by MAP-21 cross cutting requirements that
apply.
Before FTA may provide funding for your Applicant's Project under either Program
listed above, in addition to other Certifications and Assurances you must select on your
Applicant's behalf, you must also select the Certifications in Group 14, 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 its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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 any other Third Party Participant to assure the validity ofthe
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Certifications in Group 14 that does not apply will not be enforced.
14.A. Bus and Bus Facilities Formula Grants Program
Ifyour Applicant seeks FTAfundingfor its Project under the Bus and Bus Facilities
Formula Grants Program, 49 Us.c. 5339, the Certifications in Group 14.A below apply
to your Applicant, except as FTA determines otherwise in writing.
The following Certifications for Bus and Bus Facilities Fonnula Grants Program funding
are required by 49 U.S.C. 5339(b), which states that "[t]he requirements of section 5307
apply to recipients of grants made under this section [5339]"; therefore, except as FTA
detennines otherwise in writing, on behalf of your Applicant, you certify that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its proposed Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately,
4. It will ensure that, during non-peak hours for transportation using or involving a
facility or equipment fmanced under 49 U.s.C. 5339, the following individuals will
be charged a fare not exceeding fifty (50) percent of the peak hour fare:
a. Any senior,
b. Any individual who, because of illness, injury, age, congenital malfunction, or
any other incapacity or temporary or pennanent 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 that individual under title II
of the Social Security Act (42 U.S.C. 401 et seq.), and
d. Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. l395 et seq.),
5. When carrying out a procurement under 49 U.S.c. 5339, it will comply with the:
a. General Provisions of 49 U.S.C. 5323, and
b. Third Party Contract Provisions of 49 U.S.c. 5325,
6. It has complied with or will comply with 49 U.S.c. 5307(b) because it:
a. Has made or will make available to the public infonnation on amounts of its
funding available to it under 49 U.S.C. 5339,
b. Has developed or will develop, in consultation with interested parties, including
private transportation providers, a proposed Program of Projects for activities to
be funded,
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
c. Has published or will publish a Program of Projects in a way that affected
individuals, private transportation providers, and local elected officials will have
an opportunity to examine and submit comments on the proposed Program of
Projects and its performance as an Applicant or Recipient,
d. Has provided or will provide an opportunity for a public hearing to obtain the
views of individuals on the proposed Program of Projects,
e. Has ensured or will ensure that the proposed Program of Projects provide for
coordination of transportation services funded by FTA under 49 U.S.C. 5336 with
transportation services supported by other Federal Government sources,
f. Has considered or will consider the comments and views received, especially
those of private transportation providers, in preparing its final Program of
Projects, and
g. Has made or will make the [mal Program of Projects available to the public,
7. As required by 49 U.S.C. 5307(d), it:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from sources approved by FT A, and
c. Will provide the local share funds when needed,
8. It will comply with:
a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and
b. The Statewide and Nonmetropolitan Transportation Planning requirements of
49 U.S.C. 5304,
9. It has a locally developed process to solicit and consider public comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation, and
10. It will comply with the final Federal regulations, when issued, that implement the
safety plan requirements of 49 U.S.C. 5329(d).
14.B. Bus and Bus-Related Equipment and Facilities Grant Program
(Discretionary).
Jfyour Applicant seeks FTAfundingfor its Project under the Bus and Bus-Related
Equipment and Facilities Grant Program (Discretionary), former 49 USc. 5309 in
effect in FY 2012 or a previous fiscal year, the Certifications in Group 14.B below apply
to your Applicant, except as FTA determines otherwise in writing.
The following Certifications for the Bus and Bus-Related Equipment and Facilities Grant
Program (Discretionary) funding are required by former 49 U.S.c. 5309(c)(2), which
applies the requirements of former 49 U.S.C. 5307( d)(1 )(A), (B), (C), and (H), in effect
in FY 2012 or a previous fiscal year to this Program, except as superseded by MAP-21
cross-cutting requirements that apply; therefore, except as FT A determines otherwise in
writing, on behalf of your Applicant, you certify that:
1. It has or will have the following to carry out its proposed Project( s), including the
safety and security aspects of those Project(s):
a. Legal capacity,
FfA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
h. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately, and
4. It has complied or will comply with, and will require each Suhrecipient to comply
with, 49 U.S.C. 5303 and 5304.
GROUP 15. URBANIZED AREA FORMULA GRANTS PROGRAMS,
PASSENGER FERRY GRANT PROGRAM, AND
JOB ACCESS AND REVERSE COMMUTE (JARC)
FORMULA GRANT PROGRAM.
The Certifications in Group 15 are required for fUnding under:
15.A. The Urbanized Area Formula Grants Program financed with fUnds appropriated
or made available for 49 Us.c. 5307, as amended by MAP-21, which among
other things, authorizes fUnding for Job Access and Reverse Commute (JARC)
Projects and Project Activities,
15.B. The Urbanized Area Formula Grants Program financed with funds appropriated
or made available for former 49 Us.c. 5307 in effect in FY 2012 or a previous
fiscal year, except as superseded by MAP-21 cross-cutting requirements that
apply,
15.C. The Passenger Ferry Grant Program financed with funds appropriated or made
available for 49 U.s.c. 5307(h), as amended by MAP-21, and
15.D. The Job Access and Reverse Commute (JARC) Formula Grant Program financed
with fUnds appropriated or made available for former 49 Us.c. 5316 in effect in
FY 2012 or a previous fiscal year, except as superseded by MAP -21 cross-cutting
requirements that apply.
Before FTA may provide fUnding for your Applicant's Project under any ofthe Programs
listed above, in addition to other Certifications and Assurances you must select on your
Applicant's behalf, you must also select the Certifications in Group 15, 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 its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Certifications in Group 15 that does not apply will not be enforced.
FfA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
15.A. Urbanized Area Formula Grants Program under MAP-21.
lfyour Applicant seeks FTAfondingfor its Project under the Urbanized Area Formula
Grants Program, 49 US.c. 5307, as amended by MAP-21, the Certifications in
Group 15.A apply to your Applicant, except as FTA determines otherwise in writing.
The following Certifications for the Urbanized Area Formula Grants Program funding
appropriated or made available in FYs 2013, 2014, and 2015 are required by 49 US.C.
5307(c)(l); therefore, except as FTA determines otherwise in writing, on behalf of your
Applicant, you certify that:
1. It has or will have the following to carry out its proposed Project( s), including the
safety and security aspects of the proposed Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately,
4. It will ensure that, during non-peak hours for transportation using or involving a
facility or equipment fmanced under 49 US.C. 5339, the following individuals will
be charged a fare not exceeding fifty (50) percent ofthe peak hour fare:
a. Any senior,
b. Any individual who, because of illness, injury, age, congenital malfunction, or
any other incapacity or temporary or permanent disability (including an individual
who is a wheelchair user or has semi-ambulatory capability), 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 that individual under title II
of the Social Security Act (42 US.C. 401 et seq.), and
d. Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 US.C. 1395 et seq.),
5. When carrying out a procurement under 49 US.C. 5307, it will comply with the:
a. General Provisions of 49 US.c. 5323, and
b. Third Party Contract Provisions of 49 U.S.C. 5325,
6. It has complied with or will comply with 49 U.S.c. 5307(b) because it:
a. Has made or will make available to the public information on amounts of its
funding available to it under 49 US.C. 5307,
b. Has developed or will develop, in consultation with interested parties, including
private transportation providers, a proposed Program of Projects for activities to
be funded,
c. Has published or will publish a Program of Projects in a way that affected
individuals, private transportation providers, and local elected officials will have
an opportunity to examine and submit comments on the proposed Program of
Projects and its performance as an Applicant or Recipient,
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
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 FTA under 49 U.S.c. 5336 with
transportation services supported by other Federal Government sources,
f. Has considered or will consider the comments and views received, especially
those of private transportation providers, in preparing its final Program of
Projects, and
g. Has made or will make the fmal Program of Projects available to the public,
7. As required by 49 U.S.c. 5307(d), it:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from sources approved by FT A, and
c. Will provide the local share funds when needed,
8. As required by 49 U.S.C. 5307(c)(1)(H), it will comply with:
a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and
b. The Statewide and Nonmetropolitan Transportation Planning requirements of
49 U.S.C. 5304,
9. As required by 49 U.S.C. 5307(c)(1)(1), it has a locally developed process to solicit
and consider public comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation,
10. Each fiscal year:
a. It will assure that at least one (1) percent of the amount of the 49 U.S.c. 5307
funding apportioned to its urbanized area must be expended for public
transportation security Projects as described in 49 U.S.C. 5307(c)(I)(J)(i)
including:
(1) Increased lighting in or adjacent to a public transportation system (including
bus stops, subway stations, parking lots, and garages),
(2) Increased camera surveillance of an area in or adjacent to that system,
(3) Providing 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 system, or
b. The Designated Recipients in its urbanized area certifY that such expenditures for
transportation security Projects are not necessary (Information about the
intentions of your Designated Recipients in your 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 Grants Program application
in TEAM-Web),
11. If it serves an urbanized area with a population of at least 200,000 individuals, as
determined by the Bureau of the Census:
a. Each fiscal year, it will ensure that at least one (1) percent of the amount
apportioned to its urbanized area is spent for Associated Transit Improvements,
as defmed in 49 U.S.C. 5302(1),
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b. It will include in its quarterly report for the fourth quarter of the preceding Federal
fiscal year:
(l) A list of its Associated Transit Improvement Projects or Project Activities
during that Federal fiscal year using those 49 U.S.C. 5307 funds, or
(2) Sufficient information to demonstrate that the Designated Recipients in its
urbanized area together have spent one (1) percent of the funding apportioned
to the area 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 its Associated Transit Improvement Projects or Project Activities is
or will be incorporated by reference and made part of its Certifications and
Assurances, and
12. It will comply with the final Federal regulations, when issued, that implement the
safety requirements of 49 U.S.C. 5329( d).
B. Urbanized Area Formula Grants Program before MAP-21 Became Effective.
You must select the Certification in Group 15.B ifyour Applicant seeks funding under the
Urbanized Area Formula Grants Program financed with funds appropriated or made
available for former 49 US. 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 Certifications 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 FT A determines otherwise in writing, on behalf of your Applicant, you certify
that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects ofProject(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately,
4. It will ensure that for transportation using or involving a facility or equipment of a
Project financed under former 49 U.S.C. 5307 in effect in FY 2012 or a previous
fiscal year, the following individuals will be charged a fare not exceeding fifty
(50) percent of the peak hour fare:
a. Any elderly individual,
b. Any handicapped individual, as described in 49 CFR part 27,
c. Any individual presenting a Medicare card issued to that individual under title II
of the Social Security Act (42 U.S.c. 401 et seq.), and
ITA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
d. Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
5. When carrying out a procurement under former 49 U.S.C. 5307 in effect in FY 2012
or a previous fiscal year, it will comply with the following provisions as amended by
MAP-21:
a. Competitive procurement (as defined or approved by FTA), as required by
49 U.S.C. 5325(a),
b. The prohibition against exclusionary or discriminatory specifications in its
procurements under 49 U.S.C. 5323(h),
c. "Buy America" under 49 U.S.c. 5323(j),
d. Applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m),
e. Applicable railcar option restrictions of 49 U.S.c. 5325(e), and
f. "Veterans Preference/Employment" under 49 U.S.C. 5325(k),
6. It will comply with other applicable requirements under 49 U.S.c. 5323 and 5325,
7. It:
a. Has or will make available to the public information on amounts available to it
under 49 U.S.C. 5307 and the Program of Projects it proposes to undertake,
b. Will develop or has developed, in consultation with interested parties, including
private transportation providers, a proposed Program of Projects for activities to
be financed,
c. W ill publish or has published a proposed Program of Projects in a way that
affected citizens, private transportation providers, and local elected officials have
the opportunity to examine the proposed program and submit comments on the
proposed program and the Applicant or Recipient's performance,
d. Will provide or has provided an opportunity for a public hearing in which to
obtain the views of citizens on the proposed Program of Projects,
e. Will ensure or has ensured that the proposed Program of Projects provides for the
coordination of public transportation services assisted under 49 U.S.C. 5336 with
transportation services assisted from other Federal Government sources,
f. Will consider or has considered comments and views received, especially those of
private transportation providers, in preparing the final Program of Projects, and
g. Will make or has made the final Program of Projects available to the public,
8. It:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from sources approved by FTA, and
c. Will provide the local share funds when needed,
9. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U.S.C. 5303, and 5304,
10. It has a locally developed process to solicit and consider public comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation,
11. Each fiscal year:
a. It will assure that at least one (1) percent of the 49 U.S.C. 5307 funding
apportioned to its urbanized area must be spent for public transportation security
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
Projects (limited to capital Projects if it 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. It will certify that such expenditures for transportation security Projects are not
necessary (Information about its intentions must be recorded in the "Security" tab
page of the TEAM-Web "Project Information" window when it submits its
Urbanized Area Formula Grants Program application in TEAM-Web),
12. If it serves an urbanized area with a population of at least 200,000 individuals:
a. Each fiscal year, it will ensure that at least one (1) percent of the amount
apportioned to its urbanized area is spent for Transit Enhancements, as defmed in
former 49 U.S.C. 5302(a)(l5),
b. It 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 its
urbanized area together have spent one (1) percent of the amount of funding
that must be made available to them for Transit Enhancements or have
included the same information in a separate report attached in TEAM -Web,
and
c. The report of its 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
l3. It will comply with the final Federal regulations, when issued, that implement the
safety plan requirements of 49 U.S.C. 5329(d).
C. Passenger Ferry Grant Program.
Ifyour Applicant seeks FTAfundingfor its Project under the Passenger Ferry Grant
Program, 49 US.c. 5307(h), the Certifications in Group J5.C apply to your Applicant,
except as FTA determines otherwise in writing.
The following Certifications for the Passenger Ferry Grant Program funding are required
by 49 U.S.C. 5307(h) and (c)(I); therefore, except as FTA determines otherwise in
writing, on behalf of your Applicant, you certify that:
1. It has or will have the following to carry out its proposed Project( s), including the
safety and security aspects of the proposed Project(s):
a. Legal capacity,
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately,
4. It will ensure that, during non-peak hours for transportation using or involving a
facility or equipment of a Project financed under 49 U.S.C. 5307(h), the following
individuals will be charged a fare not exceeding fifty (50) percent of the peak hour
fare:
a. Any senior,
b. Any individual who, because of illness, injury, age, congenital malfunction, or
any other incapacity or temporary or permanent disability (including an individual
who is a wheelchair user or has semi-ambulatory capability), 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 that individual under title II
of the Social Security Act (42 U.S.C. 401 et seq.), and
d. Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
5. When carrying out a procurement under 49 U.S.C. 5307(h), it will comply with the:
a. General Provisions of 49 U.S.C. 5323, and
b. Third Party Contract Provisions of 49 U.S.C. 5325,
6. As required by 49 U.S.C. 5307(d), it:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from sources approved by FTA, and
c. Will provide the local share funds when needed,
7. As required by 49 U.S.c. 5307(c)(1)(H), it will comply with:
a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and
b. The Statewide and Nonmetropolitan Transportation Planning requirements of
49 U.S.C. 5304,
8. As required by 49 U.S.C. 5307( c)(1 )(1), it has a locally developed process to solicit
and consider public comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation, and
9. It will comply with the final Federal regulations, when issued, that implement the
safety plan requirements of 49 U.S.C. 5329(d).
D. Job Access and Reverse Commute (JARC) Formula Grant Program.
Jfyour Applicant seeks FTAfundingfor its Project under the Job Access and Reverse
Commute (JARC) Formula Grant Program,former 49 u.s.c. 5316 in effect in FY 2012
or a previous fiscal year, the Certifications in Group 15.D apply to your Applicant,
except as FTA determines otherwise in writing.
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
1. The following Certifications for the Job Access and Reverse Commute (JARC)
Fonnula Grant Program are required by fonner 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; therefore, except as FTA detennines otherwise in writing, on behalf of
your Applicant, you certify that:
a. It will make awards of JARC funding on a competitive basis following:
(1) An areawide solicitation in cooperation with the appropriate metropolitan
planning organization for applications for funding in compliance with fonner
49 U.S.C. 5316 if your Applicant receives funding under fonner 49 U.S.C.
5316(c)(1)(A), and
(2) A statewide solicitation for applications for JARC funding in compliance
with fonner 49 U.S.C. 5316 if your Applicant receives funding under fonner
49 U.S.C. 5316(c)(1)(B) or (C),
b. Any allocations to Subrecipients of JARC funding authorized by fonner
49 U.S.C. 5316 will be distributed on a fair and equitable basis,
c. As required by fonner 49 U.S.C. 5316:
(1) The Projects it has selected or will select for fonner 49 U.S.c. 5316 funding
must be derived from a public transit-human services transportation plan that
has been:
(a) Locally developed, and
(b) Coordinated, and
(2) That locally developed and coordinated plan was produced through a process
that included:
(a) Representatives of public, private, and nonprofit transportation
providers,
(b) Human service providers, and
(c) Participation by the public,
d. Before it transfers funds to a Project funded by fonner 49 U.S.C. 5336, that
Project has been or will have been coordinated with private nonprofit providers of
services as required under fonner 49 U.S.C. 5316(g)(2),
e. Before using funds apportioned for Projects serving an area other than that for
which funding was apportioned under fonner 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 fonner 49 U.S.C. 5316 are being met
in the area from which the funding would be derived, and
(2) If the State has a statewide program for meeting the JARC program
objectives offonner 49 U.S.C. 5316, the funds can be used for Projects
anywhere in the State, and
f. The requirements offonner 49 U.S.C. 5307 will apply to the JARC Program,
authorized by fonner 49 U.S.c. 5316, and
2. The following Certifications for the JARC Program are 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; therefore, except as FTA determines
otherwise in writing, on its behalf, you certify that:
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
a. It has or will have, and will require each Subrecipient to have, the following to
carry out its proposed Project(s), including the safety and security aspects of its
proposed Project(s):
(l) The legal capacity,
(2) The financial capacity, and
(3) The technical capacity,
b. It has or will have, and will require each Subrecipient to have satisfactory
continuing control over the use of Project equipment and facilities,
c. It will maintain, and will require each Subrecipient to maintain, its Project
equipment and facilities adequately,
d. To the extent applicable, it will ensure, and will require each Subrecipient to
ensure, that for transportation using or involving a facility or equipment of a
Project fmanced under former 49 U.S.C. 5316 the following individuals will be
charged a fare not exceeding fifty (50) percent of the peak hour fare:
(I) Any elderly individual,
(2) Any handicapped individual, as described in 49 CFR part 27,
(3) Any individual presenting a Medicare card issued to that individual under
title II of the Social Security Act (42 U.S.C. 401 et seq.), and
(4) Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.s.C. 1395 et seq.),
e. When carrying out a procurement under former 49 U.S.c. 5316, it will comply
with the following provisions as amended by MAP-21:
(1) Competitive procurement (as defined or approved by FTA), as required by
49 U.S.c. 5325(a),
(2) The prohibition against exclusionary or discriminatory specifications in its
procurements, as required by 49 U.S.C. 5323(h),
(3) "Buy America" under 49 U.S.C. 5323(j),
(4) Applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m),
and
(5) "Veterans PreferencelEmployment" under 49 U.S.C. 5325(k),
f. It will comply with other applicable requirements under 49 U.s.C. 5323 and 5325,
g. It:
(l) 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. 5316,
(2) Will provide, and as necessary, will require each Subrecipient to provide, the
local share funds from sources approved by FTA, and
(3) Will provide, and as necessary, will require each Subrecipient to provide, the
local share funds when needed,
h. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U.S.C. 5303, and 5304,
1. It has or will have, and will require each Subrecipient to have, a locally developed
process to solicit and consider public comment before:
(1 ) Raising a fare, or
(2) Implementing a major reduction of public transportation, and
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
J. To the extent applicable, it will comply with, and as necessary, will require each
Subrecipient to comply with the final Federal regulations, when issued, that
implement the safety plan requirements of 49 U.S.c. 5329( d).
GROUP 16. SENIORSIELDERL YIINDIVIDUALS WITH DISABILITIESI
NEW FREEDOM PROGRAMS.
The Certifications in Group 16 are reqUired for funding under:
16.A. The Formula Grants for the Enhanced Mobility ofSeniors and Individuals with
Disabilities Program, financed or to be financed with fonds appropriated or made
available for 49 USc. 5310, as amended by MAP-21, which among other things
authorizes fUnding for New Freedom Projects and Project Activities,
16.B. The Formula Grantsfor the Special Needs ofElderly Individuals and Individuals
with Disabilities Program financed or to be financed with funds appropriated or
made availablefor former 49 USc. 5310 in effect in FY 2012 or a previous
fiscal year, except as superseded by MAP-21 cross-cutting requirements that
apply, and
16. C. The New Freedom Program financed or to be financed with fonds appropriated
or made availablefor former 49 USc. 5317 in effict in FY 2012 or a previous
fiscal year, except as superseded by MAP-21 cross-cutting requirements that
apply.
Before FTA may provide funding for your Applicant's Project under any ofthe Programs
listed above, in addition to other Certifications and Assurances you must select on your
Applicant's behalf, you must also select the Certifications in Group 16, 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 its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Certifications in Group 16 that does not apply will not be enforced.
16.A. Formula Grants for the Enhanced Mobility of Seniors and Individuals with
Disabilities Program.
Ifyour Applicant seeks FTAfundingfor its Project under the Formula Grants for the
Enhanced Mobility ofSeniors and Individuals with Disabilities Program, 49 US C. 5310,
as amended by MAP-21, the Certifications in Group 16.A apply to your Applicant, except
as FTA determines otherwise in writing.
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
1. The following Certifications for the Formula Grants for the Enhanced Mobility of
Seniors and Individuals with Disabilities Program are required by 49 U.S.C. 5310;
therefore, except as FTA determines otherwise in writing, on behalf of your
Applicant, you certify that:
a. Each of its 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 the services authorized for support under
the Formula Grants for the Enhanced Mobility of Seniors and
Individuals with Disabilities Program,
b. It will comply with the following Project selection and planning requirements:
(1) The Projects it has selected or will select for funding appropriated or made
available for 49 U.S.C. 5310 are included in a public transit-human services
transportation plan that has been:
(a) Locally developed, and
(b) Coordinated,
(2) The public transit-human services transportation plan was developed and
approved through a process that included participation by:
(a) Seniors,
(b) Individuals with disabilities,
(c) Representatives of public, private, and nonprofittransportation
providers,
(d) Representatives of public, private, and nonprofit human services
providers, and
(e) Other members of the public,
(3) The transportation Projects to assist in providing transportation services for
seniors and individuals with disabilities are included in a Program of
Projects,
(4) A Program of Projects in the preceding subsection l.b(3) of this Group 16.A
Certification is or will be submitted annually to FT A, and
(5) To the maximum extent feasible, the services funded by 49 U.S.c. 5310 will
be coordinated with transportation services funded by other Federal
departments and agencies, including any transportation activities carried out
by a recipient ofa grant from the Department of Health and Human Services,
c. As required by 49 U.S.C. 531 O(e )(2)(B), it certifies that if it allocates funds
received under 49 U.S.c. 5310, to Subrecipients, it will have allocated those
funds on a fair and equitable basis,
d. It will transfer a facility or equipment financed with funding appropriated or made
available for a grant under 49 U.S.C. 5310, to any other recipient eligible to
receive assistance under 49 U.S.C. chapter 53, only if:
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
(1) The recipient possessing the facility or equipment consents to the transfer,
and
(2) The facility or equipment will continue to be used as required under
49 U.S.C. 5310,
e. As required by 49 U.S.C. 531O(b)(2), it will use at least fifty-five (55) percent of
the funds on capital Projects to meet the special needs of seniors and disabled, and
f. The requirements of 49 U.S.c. 5307, as determined by FTA, will apply to the
Formula Grants for the Enhanced Mobility of Seniors and Individuals with
Disabilities, authorized by 49 U.S.c. 5310, and
2. FTA has determined certain requirements of 49 U.S.c. 5307, to be appropriate for
which some require Certifications; therefore, as specified under 49 U.S.c. 5307(c)(I),
it certifies that:
a. It has or will have, and will require each Subrecipient to have, the following to
carry out its proposed Project(s), including the safety and security aspects of its
proposed Project(s):
(1) Legal capacity,
(2) Financial capacity, and
(3) Technical capacity,
b. It has or will have, and will require each Subrecipient to have, satisfactory
continuing control over the use of Project equipment and facilities,
c. It 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, it will, and will
require each Subrecipient to comply with the:
(1) General Provisions of 49 U.S.C. 5323, and
(2) Third Party Contract Provisions of 49 U.S.c. 5325,
e. It has complied or will comply with, and will require each Subrecipient to comply
with:
(1) The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303,
and
(2) The Statewide and Nonmetropolitan Transportation Planning requirements of
49 U.S.c. 5304, and
f. To the extent applicable, it will comply with, and require its Subrecipients to
comply with the final Federal regulations, when issued, that implement the safety
plan requirements of 49 U.S.c. 5329(d).
16.B. Formula Grants for the Special Needs of Elderly Individuals and Individuals
with Disabilities Program.
Ifyour Applicant seeks FTAfundingfor its Project under the Formula Grantsfor the
Special Needs ofElderly Individuals and Individuals with Disabilities Program, former
49 u.s. C. 5310 in effect in FY 2012 or a previous fiscal year, except as superseded by
MAP-21 cross-cutting requirements that apply, the Certifications in Group 16.B apply to
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
your Applicant, except as FTA determines otherwise in writing.
1. The following Certifications for the Fonnula Grants for the Special Needs of Elderly
Individuals and Individuals with Disabilities Program are required by fonner
49 U.s.C. 5310 in effect in FY 2012 or a previous fiscal year, except as superseded
by MAP-21 cross-cutting requirements that apply; therefore, except as FTA
detennines otherwise 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 Project(s) 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, 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 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,
b. The Projects your State Applicant has selected or will select for funding
appropriated or made available for fonner 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:
(I) 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. If your State Applicant allocates funds received under fonner 49 U.S.c. 5310 to
Subrecipients, your State Applicant will have allocated those funds on a fair and
equitable basis,
e. The Program of Projects your State Applicant has submitted or will submit
contains or will contain an assurance that the Program provides for the maximum
feasible coordination of transportation services funded by fonner 49 U.S.c. 5310
with transportation services funded by other Government sources,
f. If your State Applicant transfers fonner 49 U.S.c. 5310 funds to another Project
funded under 49 U.S.C. 5336 in accordance with fonner 49 U.S.c. 5310(b)(2),
FfA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
the Project for which the funds are requested has been coordinated with private
nonprofit providers of service under fonner 49 U.S.c. 5310, and
g. It will comply with the requirements of fonner 49 U.S.c. 5307 that FTA
detennined will apply to the fonner Fonnula Grants for the Special Needs of
Elderly Individuals and Individuals with Disabilities Program,
2. The following Certifications for the Special Needs of Elderly Individuals and
Individuals with Disabilities Program are required by fonner 49 U.S.c. 5307( d)(l);
therefore, except as FTA detennines otherwise in writing, on behalf of your State
Applicant, you certify that:
a. Your State Applicant and each of its Subrecipients have or will have the
following to carry out its proposed Project(s), including the safety and security
aspects of the proposed Project(s):
(1) Legal capacity,
(2) Financial capacity, and
(3) Technical capacity,
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 fonner 49 U.S.C. 5310, it will, and will
require each Subrecipient, to comply with the following provisions as amended by
MAP-21:
(1) Competitive procurement (as defmed or approved by FTA), as required by
49 U.S.c. 5325(a),
(2) The prohibition against exclusionary or discriminatory specifications in its
procurements under 49 U.S.C. 5323(h),
(3) "Buy America" under 49 U.s.C. 5323(j),
(4) Applicable pre-award and post-delivery requirements of 49 U.S.c. 5323(m),
(5) Applicable railcar option restrictions of 49 U.S.C. 5325(e), and
(6) "Veterans PreferencelEmployment" under 49 U.S.C. 5325(k),
e. It will comply with other applicable requirements under 49 U.S.c. 5323 and 5325,
f. Your State Applicant:
(I) Has or will have, and as necessary, will require each Subrecipient to have,
the amount of funds required for the local share by fonner 49 U.S.C.
531O(c)(2),
(2) Will provide, and as necessary will require each Subrecipient to provide, the
local share funds from sources approved by FT A, and
(3) Will provide, and as necessary, will require each Subrecipient to provide, the
local share funds when needed,
g. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U.S.C. 5303, and 5304, and
h. To the extent applicable, your State Applicant will comply with, and as necessary,
will require each Subrecipient to comply with the final Federal regulations, when
issued, that implement the safety plan requirements of 49 U.s.c. 5329(d).
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
16.C. New Freedom Program.
Jfyour Applicant seeks FTAfundingfor its Project under the New Freedom Program,
former 49 Us.c. 5317, in effect in FY 2012 or a previous fiscal year, except as
superseded by MAP-21 cross-cutting requirements that apply, the Certifications in
Group 16.C apply to your Applicant, except as FTA determines otherwise in writing.
1. Former 49 U.S.C. 5317 in effect in FY 2012 or a previous fiscal year requires the
following Certification for the New Freedom Program; therefore, except as FTA
determines otherwise in writing, on behalf of your Applicant, you certify that:
a. It will make awards of New Freedom funding on a competitive basis after
conducting:
(I) An areawide solicitation in cooperation with the appropriate metropolitan
planning organization for applications for funding in compliance with former
49 U.s.C. 5317(d)(1), or
(2) A statewide solicitation for applications for New Freedom funding in
compliance with former 49 U.S.C. 5317( d)(2),
b. Any allocations to Sub recipients of New Freedom funding authorized by former
49 U.S.C. 5317 will be distributed on a fair and equitable basis,
c. It will comply with the following Project selection and planning requirements:
(1) The Projects it has selected or will select for funding appropriated or made
available for that program were derived from a public transit-human services
transportation plan that has been:
(a) Locally developed, and
(b) Coordinated,
(2) That locally developed and coordinated plan was produced through a process
that included:
(a) Representatives of public, private, and nonprofit transportation providers,
(b) Representatives of public, private, and nonprofit human services
providers, and
(c) Participation by the public,
d. Before it transfers funds to a Project funded by former 49 U.S.C. 5311(c), former
49 U.S.C. 5336, or both:
(1) The funding to be transferred may be made available only to Projects eligible
for funding appropriated or made available for former 49 U.S.C. 5317, and
(2) It 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, and
e. The requirements of former 49 U.S.C. 5307 and 5310, as determined by FTA, will
apply to the New Freedom Program, authorized by former 49 U.S.C. 5317, and
2. The following Certifications for the New Freedom Program are required by former
49 U.S.C. 5307(d)(l) and 5310; therefore, except as FTA determines otherwise in
writing, on its behalf, you certify that:
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
a. It has or will have, and will require each Subrecipient to have, the following to
carry out its proposed Project( s), including the safety and security aspects of its
proposed Project(s):
(1) Legal capacity,
(2) Financial capacity, and
(3) Technical capacity,
b. It has or will have, and will require each Subrecipient to have, satisfactory
continuing control over the use of Project equipment and facilities,
c. It will maintain, and will require each Subrecipient to maintain, its Project
equipment and facilities adequately,
d. When carrying out a procurement under former 49 U.S.C. 5317, it will, and will
require each Subrecipient, to comply with the following provisions as amended by
MAP-21:
(1) Competitive procurement (as defmed or approved by FTA), as required by
49 U.S.C. 5325(a),
(2) The prohibition against exclusionary or discriminatory specifications in its
procurements under 49 U.S.C. 5323(h),
(3) "Buy America" under 49 U.S.C. 5323(j),
(4) Applicable pre-award and post-delivery requirements of 49 U.S.C. 5323(m),
(5) Applicable railcar option restrictions of 49 U.S.c. 5325(e), and
(6) "Veterans PreferencelEmployment" under 49 U.S.C. 5325(k),
e. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325,
f. It:
(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),
(2) Will provide, and as necessary will require each Subrecipient to provide, the
local share funds from sources approved by FT A, and
(3) Will provide, and as necessary will require each Subrecipient to provide, the
local share funds when needed,
g. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U.S.C. 5303, and 5304, and
h. To the extent applicable, it will comply with, and as necessary, will require each
Subrecipient to comply with the final Federal regulations, when issued, that
implement the safety plan requirements of 49 U.S.C. 5329(d).
GROUP 17. RURAL/OTHER THAN URBANIZED AREAS/APPALACHIAN
DEVELOPMENT/OVER-THE-ROAD BUS ACCESSIBILITY PROGRAMS.
The Certifications in Group 17 are required for fonding under:
17.A. The Formula Grants for Rural Areas Program financed with funding
appropriated or made available for 49 us.c. 5311(b), as amended by MAP-21 ,
(separate Certifications and Assurances have been established in Group 18 for an
Indian tribe that is an Applicant for a Public Transportation on Indian
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
Reservations Project jinanced with funding made available for 49 US C.
5311 (c))(l), as amended by MAP-21),
17.B. The Formula Grants for Other Than Urbanized Areas Program jinanced with
funding appropriated or made available for former 49 USc. 5311 (b) in effect in
FY 2012 or a previousjiscal year, except as superseded by MAP-21 cross-cutting
requirements that apply, (separate Certifications and Assurances have been
established in Group 18 for an Indian tribe that is an Applicant for a "Tribal
Transit" Project jinanced with funding made available for former 49 US C.
5311(c)(1) in effect in FY 2012 orapreviousjiscal year),
17. C. The Appalachian Development Public Transportation Assistance Program
jinanced with funding appropriated or made available for 49 US C. 5311 (c)(2),
as amended by MAP-21, and
17.D. The Over-the-Road Bus Accessibility Program jinanced with funding
appropriated or made available for section 3038 ofTEA-21, as amended by
section 3039 ofSAFETEA-LU, 49 USc. 5310 note, except as superseded by
MAP-21 cross-cutting requirements that apply.
Before FTA may providefundingfor your Applicant's Project under any ofthe Programs
listed above, in addition to other Certifications and Assurances you must select on your
Applicant's behalf, you must also select the Certifications in Group 17, 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 its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Certifications and Assurances in Group 17 that does not apply will
not be enforced.
17.A. Formula Grants for Rural Areas Program.
Ifyour Applicant seeks FTAfundingfor its Project under the Formula Grants for Rural
Areas Program, 49 USc. 5311, as amended by MAP-21, the Certifications in
Group 17.A apply to your Applicant, except as FTA determines otherwise in writing.
The following Certifications apply to each State or State organization serving as your
Applicant for funding appropriated or made available for the Rural Areas Formula
Project authorized by 49 U.S.C. 5311 (b). On its behalf, you certify and assure that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its Project(s):
FfA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. Its Project equipment and facilities will be adequately maintained,
4. Its State program has provided for a fair distribution of Federal funding appropriated
or made available for 49 U.S.C. 5311(b) within the State, including Indian
reservations,
5. Its program provides or will provide the maximum feasible coordination of public
transportation service funded by 49 U.S.C. 5311(b) with transportation service funded
by other Federal sources,
6. Its Projects in its Formula Grants for Rural Areas Program are included in:
a. The Statewide Transportation Improvement Program, and
b. To the extent applicable, a Metropolitan Transportation Improvement Program,
7. It:
a. Has or will have the amount of funds required for the local share, as required by
49 U.S.C. 5311(g),
b. Will provide the local share funds from sources approved by FTA, and
c. Will provide the local share funds when needed,
8. It may transfer a facility or equipment acquired using a grant under 49 U.S.C. 5311 (b)
to any other Recipient eligible to receive assistance under 49 U.S.C. chapter 53, if:
a. The Recipient possessing the facility or equipment consents to the transfer, and
b. The facility or equipment will continue to be used as required under 49 U.S.C.
5311, and
9. Each fiscal year:
a. It 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:
(I) Planning and marketing for intercity bus transportation,
(2) Capital grants for intercity bus facilities,
(3) Joint-use facilities,
(4) Operating grants through purchase-of-service agreements, user-side
subsidies, and demonstration Projects, and
(5) Coordinating rural connections between small public transportation
operations and intercity bus carriers, or
b. It will provide to FTA a Certification from the Governor of the State that:
(1) It has consulted with the affected intercity bus service providers about the
intercity bus needs of the State, and
(2) The State's intercity bus service needs are being met adequately.
17.B. Formula Grants for Other Than Urbanized Areas Program.
Ifyour Applicant seeks FTAfundingfor its Project under the Formula Grantsfor Other
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
Than Urbanized Areas Program, former 49 u.s. C. 5311 in effect in FY 2012 or a
previous fiscal year, the Certifications in Group 17.B apply to your Applicant, except as
FTA determines otherwise in writing.
The following Certifications apply to each State or State organization serving as your
Applicant for funding appropriated or made available for the Formula Grants for Other
Than Urbanized Areas Project authorized by former 49 U.S.C. 531 I (b)(1) in effect in
FY 2012 or a previous fiscal year, except as superseded by MAP-21 cross-cutting
requirements that apply. On its behalf, you certify and assure that:
1. It has or will have the following to carry out its proposed Project( s), including the
safety and security aspects of its Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. Its Project equipment and facilities will be adequately maintained,
4. Its State program required under former 49 U.S.c. 5311(b)(2) has provided for a fair
distribution of Federal funding appropriated or made available for former 49 U.S.c.
5311 (b) within the State, including Indian reservations,
5. Its State program required under former 49 U.S.C. 5311 (b)(2) provides or will
provide the maximum feasible coordination of public transportation service funded by
former 49 U.S.c. 5311(b) with transportation service funded by other Federal sources,
6. Its Projects in its Formula Grants for Other than Urbanized Areas Program are
included in:
a. The Statewide Transportation Improvement Program, and
b. To the extent applicable, a Metropolitan Transportation Improvement Program,
7. It:
a. Has or will have the amount of funds required for the local share, as required by
former 49 U.S.c. 531l(g),
b. Will provide the local share funds sources approved by FTA, and
c. Will provide the local share funds when needed,
8. It may transfer a facility or equipment acquired using a grant under former 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 possessing the facility or equipment consents to the transfer, and
b. The facility or equipment will continue to be used as required under former
49 U.S.C. 5311, and
9. Each fiscal year:
a. It will spend at least fifteen (15) percent of its former 49 U.S.C. 5311 funding
available for that fiscal year to develop and support intercity bus transportation
within the State with eligible activities, including:
(1) Planning and marketing for intercity bus transportation,
(2) Capital grants for intercity bus shelters,
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
(3) Joint-use stops and depots,
(4) Operating grants through purchase-of-service agreements, user-side
subsidies, and demonstration Projects, and
(5) Coordinating rural connections between small public transportation
operations and intercity bus carriers, or
b. It will provide to FTA a Certification from the Chief Executive Officer of the
State that:
(1) It has consulted with the affected intercity bus service providers about the
intercity bus needs of the State, and
(2) The State's intercity bus service needs are being met adequately.
17.C. Appalachian Development Public Transportation Assistance Program.
Ifyour Applicant seeks FTAfundingfor its Project under the Appalachian Development
Public Transportation Assistance Program, 49 Us. C. 5311 (c)(2), the Certification in
Group 17. C applies to your Applicant, except as FTA determines otherwise in writing.
On behalf of your Applicant, you certify and assure that, in addition to other
Certifications and Assurances it must provide, if it is unable to use its funding made
available or appropriated for public transportation operating assistance, in accordance
with 49 U.S.C. 5311(c)(2)(D), it may use the funding for a highway Project only after:
1. It provides notice and an opportunity for comment and appeal to affected public
transportation providers,
2. It approves for such use in writing, and
3. In approving the use, it determines that local transit needs are being addressed.
17.D. Over-the-Road Bus Accessibility Program.
Ifyour Applicant seeks FTAfundingfor its Project under the Over-the-Road Bus
Accessibility Program, section 3038 ofTEA-21, as amended by section 3039 of
SAFETEA-LU, 49 Us.c. 5310 note, the Assurances in Group 17.D apply to your
Applicant, except as FTA determines otherwise in writing.
Your 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 its Grant Agreement with FTA. It
acknowledges that it is under a continuing obligation to comply with the terms and
conditions of the Grant Agreement with FTA for its Project. It understands that Federal
laws, regulations, policies, and administrative practices might be modified from time to
time and affect the implementation of the Project.
It assures that the Federal requirements for the Over-the-Road Bus Accessibility Program
during FY 2012 will apply to the Project, except as FTA determines otherwise in writing.
Certifications and Assurances for funding to be awarded under this program in FY 2015
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
are included in these FTA Certifications and Assurances for FY 2015. 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").
GROUP 18. TRIBAL TRANSIT PROGRAMS
(pUBLIC TRANSPORTATION ON INDIAN RESERVATIONS PROGRAMS).
The Certifications in Group 18 are required for fUnding under:
• The Public Transportation on Indian Reservations Formula Program, 49 Us.c.
5311(c)(1), as amended by MAP-21, and
• The Public Transportation on Indian Reservations Discretionary Program,
49 US.C. 5311(c)(1).
Before FTA may providefundingfor your Applicant's Project under either Program
listed above, in addition to other Certifications and Assurances you must select on your
Applicant's behalf, you must also select the Certifications in Group 18, 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 its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Certifications in Group 18 that does not apply will not be enforced.
FTA has established terms and conditions for Tribal Transit Program grants financed
with funding appropriated or made available for 49 U.S.C. 5311 (c)(1). On behalf of your
Applicant, you certify and assure that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. Its Project equipment and facilities will be adequately maintained,
4. Its Project will achieve maximum feasible coordination with transportation service
funded by other Federal sources,
5. It will:
a. Have a procurement system that complies with U.S. DOT regulations, "Unifonn
Administrative Requirements for Grants and Cooperative Agreements to State
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
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,
6. It will comply with Buy America under 49 U.S.C. 53230), and
7. It 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 PROGRAMS
The Certifications in Group 19 are required for fonding under:
19.A. The Low or No Emission Vehicle Deployment Program, 49 US.c. 5312(d)(5), as
amended by MAP-21, and
19.B. The Clean Fuels Grant Program, former 49 US.c. 5308, in effect in FY 2012 or a
previous fiscal year, except as superseded by MAP-21 cross-cutting requirements
that apply.
Before FTA may providefondingfor your Applicant's Project under either Program
listed above, in addition to other Certifications and Assurances you must select on your
Applicant's behalf, you must also select the Certifications in Group 19, 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 its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Certifications in Group 19 that does not apply will not be enforced.
19.A. Low or No Emission Vehicle Deployment.
Ifyour Applicant seeks FTAfondingfor its Project under the Low or No Emission
Vehicle Development Program, 49 US.c. 5312(d)(5), as amended by MAP-21, the
Certifications and Assurances in Group J9.A apply to your Applicant, except as FTA
determines otherwise in writing.
Section 5312(d)(5)(C)(i) oftitle 49, United States Code requires the following
Certifications for Low or No Emission Vehicle Deployment Program funding
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
appropriated or made available for MAP-21; therefore, except as FTA determines
otherwise in writing, on behalf of your Applicant, you certify and assure that:
1. It has or will have the following to carry out its proposed Project( s), including the
safety and security aspects of its proposed Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately,
4. It will ensure that, 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 that individual under title II
of the Social Security Act (42 U.S.C. 401 et seq.), and
d. Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 US.C. 1395 et seq.),
5. When carrying out a procurement under this Program, it will comply with the:
a. General Provisions of 49 US.C. 5323, and
b. Third Party Contract Provisions of 49 US.c. 5325,
6. It has:
I a. Informed or will inform the public of the amounts of its funding available under
this Program,
I
b. Developed or will develop, in consultation with interested parties, including
private transportation providers, a proposed Program of Projects for activities to
be funded,
c. Published or will publish a Program of Projects in a way that affected individuals,
J 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. Provided or will provide an opportunity for a public hearing to obtain the views of
individuals on the proposed Program of Projects,
e. Assured or will assure that the proposed Program of Projects provides for
coordination of public transportation services assisted under 49 U.S.c. 5336 with
federally-funded transportation services supported by other Federal Government 1 sources,I
j f. Considered or will consider the comments and views received, especially those of
private transportation providers, in preparing its final list of Projects, and
I
I
J
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
g. Made or will make the fmallist of Projects available to the public,
7. It:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from sources approved by FTA, and
c. Will provide the local share funds when needed,
8. It will comply with:
a. The Metropolitan Transportation Planning requirements of 49 U.S.C. 5303, and
b. The Statewide and Nonmetropolitan Planning requirements of 49 U.S.C. 5304,
9. It has a locally developed process to solicit and consider public comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation, and
10. It will comply with the final Federal regulations, when issued, that implement the
safety plan requirements of 49 U.S.C. 5329(d).
19.B. Clean Fuels Grant Program.
Jfyour Applicant seeks FTAfondingfor its Project under the Clean Fuels Grant
Program,former 49 u.s.c. 5308, in effect in FY 2012 or a previous fiscal year, except as
superseded by MAP-21 crosscutting requirements that apply, the Certifications and
Assurances in Group 19.B apply to your Applicant, except as FTA determines otherwise
in writing.
Former 49 U.S.c. 5307(d)(l), except as superseded by MAP-21 cross-cutting
requirements that apply, requires the following Certifications for Clean Fuels Grant
Program funding appropriated or made available for former 49 U.S.c. 5308 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 and assure that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects ofits Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain the Project equipment and facilities adequately,
4. It will ensure that the following individuals will be charged not more than fifty (50)
percent of the peak hour fare for transportation during non-peak hours using or
involving Project facilities or equipment supported under former 49 U.S.C. 5308:
a. Elderly individuals,
b. Individuals with disabilities,
c. Any individual presenting a Medicare card issued to that individual under title II
of the Social Security Act (42 U.S.C. 401 et seq.), and
d. Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
5. When carrying out a procurement under former 49 U.S.c. 5308, it will, and will
require each Subrecipient, to comply with the following provisions as amended by
MAP-21:
a. Competitive procurement (as defined or approved by FTA), as required by
49 U.S.c. 5325(a),
b. The prohibition against exclusionary or discriminatory specifications in its
procurements under 49 U.S.c. 5323(h),
c. "Buy America" under 49 U.S.c. 5323(j),
d. Applicable pre-award and post-delivery requirements of 49 U.S.c. 5323(m),
e. Applicable railcar option restrictions of 49 U.S.C. 5325(e), and
f. "Veterans PreferencelEmployment" under 49 U.S.c. 5325(k),
6. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325,
7. It:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds from sources approved by FT A, and
c. Will provide the local share funds when needed,
8. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 U.S.C. 5303 and 5304,
9. It has a locally developed process to solicit and consider public comment before:
a. Raising a fare, or
b. Implementing a major reduction of public transportation, and
10. It will comply with the final Federal regulations, when issued, that implement the
safety plan requirements of 49 U.S.C. 5329(d).
GROUP 20. PAUL S. SARBANES TRANSIT IN PARKS PROGRAM
Before FTA may providefundingfor your Applicant's Project under the Paul S. Sarbanes
Transit in Parks Program,former 49 Us.c. 5320, in effect in FY 2012 or a previous
fiscal year for your Applicant's Project, except as superseded by MAP-21 requirements
that apply, in addition to other Certifications and Assurances you must select on your
Applicant's behalf, you must also select the Certifications in Group 20, except as FTA
may determine othenvise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to its Project, itself, any Subrecipient, or any
other Third Party Participant in its Project, except as FTA determines othenvise 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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Certifications and Assurances in Group 20 that does not apply will
not be enforced.
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
1. The following Certifications and Assurances for the Paul S. Sarbanes Transit in Parks
Program (Parks Program) are required by former 49 US.c. 5320 in effect in FY 2012
or a previous fiscal year, except as superseded by MAP-21 cross-cutting requirements
that apply; therefore, except as FTA determines otherwise in writing, on behalf of
your Applicant, you certify that:
a. It will consult with the appropriate F ederalland 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. FTA has determined certain requirements of former 49 US.c. 5307 to be appropriate
for the Parks Program, of which some require Certifications; therefore, as specified
under former 49 U.S.C. 5307(d)(1), except as superseded by MAP-21 cross-cutting
requirements that apply, you certify that:
a. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its Project(s):
(I) Legal capacity,
(2) Financial capacity, and
(3) Technical capacity,
b. It has or will have satisfactory continuing control over the use of Project
equipment and facilities,
c. It will maintain the Project equipment and facilities adequately,
d. When carrying out a procurement under former 49 US.C. 5320, it will, and will
require each Subrecipient, to comply with the following provisions as amended by
MAP-21:
(1) Competitive procurement (as defmed or approved by FTA), as required by
49 U.S.C. 5325(a),
(2) The prohibition against exclusionary or discriminatory specifications in its
procurements under 49 US.C. 5323(h),
(3) "Buy America" under 49 U.S.C. 5323(j),
(4) Applicable pre-award and post-delivery requirements of 49 US.C. 5323(m),
(5) Applicable railcar option restrictions of 49 U.S.c. 5325(e), and
(6) "Veterans PreferencelEmployment" under 49 U.S.C. 5325(k),
e. It will comply with other applicable requirements under 49 U.S.C. 5323 and 5325,
f. It has complied or will comply with the requirements of former 49 US.C.
5307(c), and specifically, it:
(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 fmanced,
(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 its performance,
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
(4) Has provided or will provide an opportunity for a public hearing to obtain the
views of citizens on the proposed Projects,
(5) Has considered or will consider the comments and views received, especially
those of private transportation providers, in preparing its fmallist of Projects,
and
(6) Has made or will make the fmallist of Projects available to the public,
g. It:
(1) Has or will have the amount of funds required for the local share,
(2) Will provide the local share funds from sources approved by FT A, and
(3) Will provide the local share funds when needed,
h. It has complied or will comply with, and will require each Subrecipient to comply
with, 49 V.S.c. 5303 and 5304, and
1. It has a locally developed process to solicit and consider public comment before:
(1) Raising a fare, or
(2) Implementing a major reduction of public transportation.
GROUP 21. STATE SAFETY OVERSIGHT GRANT PROGRAM.
Before FTA may provide fondingfor your Applicant's Project under the State Safety
Oversight Grant Program, 49 Us.c. 5329(e), as amended by MAP-21, in addition to
other Certifications and Assurances you must select on your Applicant's behalf you must
also select the Certifications in Group 21, except as FTA may determine otherwise in
writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Certifications in Group 21 that does not apply will not be enforced.
On behalf of your Applicant, you certify that:
1. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its proposed Project(s):
a. Legal capacity,
b. Financial capacity, and
c. Technical capacity,
2. It has or will have satisfactory continuing control over the use of Project equipment
and facilities,
3. It will maintain its Project equipment and facilities adequately,
4. When carrying out a procurement for its Project, it will comply with the:
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
a. Unifonn Administrative Requirements for Grants and Cooperative Agreements to
States and Local Governments, 49 CFR part 18,
b. General Provisions of 49 U.S.C. 5323, and
c. Third Party Contract Requirements of 49 U.S.C. 5325,
5. As required by 49 U.S.C. 5329(e)(6)(C), it:
a. Has or will have the amount of funds required for the local share,
b. Will provide the local share funds only from sources approved by FTA, and will
not be met by:
(1) Any Federal funds,
(2) Any funds received from a public transportation agency, or
(3) Any revenues earned by a public transportation agency, and
c. Will provide the local share funds when needed,
6. It meets the applicable requirements of 49 CFR part 659, Rail Fixed Guideway
Systems: State Safety Oversight, and
7. It has received or will receive an FTA certification upon a detennination that its State
Safety Oversight Program meets the requirements of 49 U.S.C. 5329(e) and is
adequate to promote the purposes of 49 U.S.C. 5329.
GROUP 22. PUBLIC TRANSPORTATION EMERGENCY RELIEF PROGRAM.
Before FTA may providefundingfor your Applicant's Project under the Public
Transportation Emergency ReliefProgram, 49 u.s.c. 5324, as amended by MAP-21, in
addition to other Certifications and Assurances you must select on your Applicant's
behalf, you must also select the Assurance in Group 22, except as FTA may determine
otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Assurance in Group 22 that does not apply will not be enforced.
As required by 49 U.S.C. 5324(d), on behalf of your Applicant, you assure that it will
comply with the requirements of the Certifications and Assurances as FTA determines
will apply to an Applicant for funding appropriated or made available for the Public
Transportation Emergency Relief Program.
GROUP 23. EXPEDITED PROJECT DELIVERY PILOT PROGRAM.
Before FTA may provide fundingfor your Applicant's Project under the Expedited
I
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
Project Delivery Pilot Program, section 20008(b)(5)(D) ofMAP-21, in addition to any
other Certifications and Assurances you must select on your Applicant's behalf, you must
also select the Certification in Group 23, except as FTA may determine otherwise in
writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
To the extent that the Certification in Group 23 does not apply, it will not be enforced.
On behalf of your Applicant, you certify that its existing public transportation system or
the public transportation system that is the subject of the Project is in a state of good
repair, as required by section 20008(b)(5)(D) ofMAP-21.
GROUP 24. INFRASTRUCTURE FINANCE PROGRAMS.
The Certifications in Group 24 apply to the following programs:
24.A. The Transportation Infrastructure Finance and Innovation Act (TIFIA) Program,
23 Us.c. 601-609, except as superseded by MAP-21 cross-cutting requirements
that apply, and
24.B. The State Infrastructure Banks (SIB) Program, 23 Us. C. 610, except as
superseded by MAP-21 cross-cutting requirements that apply.
Before FTA may provide credit assistance under TIFIAfor your Applicant's Project or
fundingfor your Applicant to deposit in a SIB, in addition to other Certifications and
Assurances you must select on your Applicant's behalf, you must also select the
Certifications in Group 24, except as FTA may determine otherwise in writing.
Your Applicant is ultimately responsible for compliance with the Certifications and
Assurances selected on its behalfthat apply to its Project, itself, any Subrecipient, or any
other Third Party Participant in its 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 any other Third Party Participant to assure the validity ofthe
applicable Certifications and Assurances selected on behalfofyour Applicant.
Any provision ofthe Certifications and Assurances in Group 24 that does not apply will
not be enforced.
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
24.A. Transportation Infrastructure Finance and Innovation Act (TIFIA)
Program.
Ifyour Applicant seeks FTA funding for its Project under the TIFIA Program, the
Certifications and Assurances in Group 24.A applies to your Applicant, except as FTA
determines otherwise in writing.
On behalf of your Applicant, you certify and assure, as required by 49 U.S.c. 5323(0),
that Federal transit laws, specifically 49 U.S.C. 5307,49 U.S.C. 5309, and 49 U.S.C.
5337, apply to any Project under 49 U.S.c. chapter 53 that receives TIFIA credit
assistance under 23 U.S.C. 601 609.
1. To comply with 49 U.S.C. 5307, specifically 49 U.S.C. 5307(d)(1), on its behalf, you
certify that:
a. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of its proposed Project(s):
(1) Legal capacity,
(2) Financial capacity, and
(3) Technical capacity,
b. It has or will have satisfactory continuing control over the use of Project
equipment and facilities,
c. It will maintain its Project equipment and facilities adequately,
d. It will ensure that when, during non-peak hours for transportation using or
involving a facility or equipment of a TIFIA-fmanced 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 has semi-ambulatory capability),
cannot use a public transportation service or a public transportation facility
effectively without special facilities, planning, or design,
(3) Any individual presenting a Medicare card issued to that individual under
title II of the Social Security Act (42 U.S.c. 401 et seq.), and
(4) Any individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
e. When carrying out a TIFIA-funded procurement, it will comply with:
(1) 49 U.S.C. 5323, and
(2) 49 U.S.C. 5325,
f. It has complied with or will comply with 49 U.S.C. 5307(b) because it:
(1) 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,
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
(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 provides
for coordination of public transportation services funded by FTA under
49 U.S.C. 5336 and u.s. DOT under TIFIA with federally-funded
transportation services supported by other Federal Government sources,
(6) Has considered or will consider the comments and views received, especially
those of private transportation providers, in preparing its fmal Program of
Projects, and
(7) Has made or will make the final Program of Projects available to the public,
g. It:
(1) 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 sources approved by FT A, and
(3) Will provide the local share funds when needed,
h. It will comply with:
(1) The Metropolitan Transportation Planning requirements of 49 U.S.c. 5303,
and
(2) The Statewide and Nonmetropolitan Planning requirements of 49 U.S.C.
5304,
1. It has a locally developed process to solicit and consider public comment before:
(1) Raising a fare, or
(2) Implementing a major reduction of public transportation, and
j. It will comply with the fmal Federal regulations, when issued, that implement the
safety plan requirements of 49 U.S.C. 5329( d),
2. To comply with the interest and fmancing costs restrictions of 49 U.S.C. chapter 53, it
agrees that it will not seek reimbursement for interest and any other financing costs
incurred in connection with its Project that must be in compliance with those
requirements 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 fmancing terms underlying those costs, to the extent FTA may require.
3. It will comply with Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.),
4. The National Environmental Policy Act of 1969 (NEPA), 42 U.S.C. 5321 et seq., and
will receive an environmental categorical exclusion, a fmding of no significant
impact, or a record of decision under NEP A for its Project prior to obligation of
funds,and
5. It agrees that it will adopt a transit asset management plan that complies with
regulations implementing 49 U.S.C. 5326(d), when required.
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
24.B. State Infrastructure Banks (SIB) Program.
Ifyour Applicant is a State and seeks FTAfunding under the SIB Program to deposit in
its SIB, the Certifications and Assurances in Group 24.B applies to your State and its
Project, except as FTA determines otherwise in writing.
On behalf of the State organization serving as your Applicant for funding for its sm
Pro gram, you certify and assure that:
1. It 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 of TEA-21 , 23 U.S.C. 181 note, or
d. Section 350 of the National Highway System Designation Act of 1995, as
amended, 23 U.S.C. 181,
2. It will comply with or follow the Cooperative Agreement establishing the State's sm
program between:
a. It and FHWA, FRA, and FTA, or
b. It and FHWA and FT A,
3. It will comply with or follow the Grant Agreement that provides FTA funding for the
SIB and is between it and FT A, including the FT A Master Agreement, which is
incorporated by reference into the Grant Agreement, except that any provision of the
FTA Master Agreement incorporated by reference into that Grant Agreement will not
apply if it conflicts with any provision of:
a. 23 U.S.C. 610, as amended by MAP-21,
b. 23 U.S.C. 610 or its predecessor before MAP-21 was signed into law,
c. Section 1511 of TEA-21, 23 U.S.C. 181 note, or section 350 of the National
Highway System Designation Act of 1995, as amended, 23 U.S.C. 181 note,
d. Federal guidance pertaining to the SIB Program,
e. The Cooperative Agreement establishing the State's sm Program, or
f. The Grant Agreement with FT A,
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.CO 5337, as amended by MAP-21 , apply to any Project
under 49 U.S.C. chapter 53 that receives SIB support or fmancing 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.CO 5307(d)(1):
a. It has or will have the following to carry out its proposed Project(s), including the
safety and security aspects of those proposed Project(s):
(1) Legal capacity,
(2) Financial capacity, and
(3) Technical capacity,
b. It has or will have satisfactory continuing control over the use of Project
equipment and facilities,
c. It will maintain its Project equipment and facilities adequately,
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
d. It will ensure that when, during non-peak hours for transportation using or
involving a facility or equipment of a SIB-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
any other incapacity or temporary or permanent disability (including an
individual who is a wheelchair user or has semi-ambulatory capability),
cannot use a public transportation service or a public transportation facility
effectively without special facilities, planning, or design,
(3) An individual presenting a Medicare card issued to that individual under
title II of the Social Security Act (42 U.S.C. 401 et seq.), and
(4) An individual presenting a Medicare card issued to that individual under
title XVIII of the Social Security Act (42 U.S.C. 1395 et seq.),
e. When carrying out a procurement under a SIB-financed Project, it will comply
with the:
(1) General Provisions of 49 U.S.C. 5323, and
(2) Third Party Contract Provisions of 49 U.S.c. 5325,
f. It has complied with or will comply with 49 U.S.C. 5307(b) because it:
(1) Has made or will make available to the public information on amounts of its
funding requested under the SIB 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 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 public transportation services funded by FTA under
49 U.S.C. 5336 and the SIB Program with federally-funded transportation
services supported by other Federal Government sources,
(6) Has considered or will consider the comments and views received, especially
those of private transportation providers, in preparing its fmal Program of
Projects, and
(7) Has made or will make the fmal Program of Projects available to the public,
g. It:
(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 sources approved by FTA, and
(3) Will provide the local share funds when needed,
FTA FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES
h. It will comply with the:
(I) The Metropolitan Transportation Planning requirements of 49 US.C. 5303,
and
(2) The Statewide and Nonmetropolitan Planning requirements of 49 US.C.
5304,
i. It has a locally developed process to solicit and consider public comment before:
(1) Raising a fare, or
(2) Implementing a major reduction of public transportation, and
j. It will comply with the final Federal regulations, when issued, that implement the
safety plan requirements of 49 US.c. 5329(d},
2. As required by 49 U.S.C. chapter 53, it certifies that it will not seek reimbursement
for interest and any 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 fmancing terms underlying those costs, to the extent FTA may require,
and
3. It agrees that it will adopt a transit asset management plan that complies with
regulations implementing 49 U.S.C. 5326(d).
Selection and Signature Page(s} follow.
I
I
I
I FEDERAL FISCAL YEAR 2015 CERTIFICATIONS AND ASSURANCES FOR
FEDERAL TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS
(Signature pages alternative to providing Certifications and Assurances in TEAM-Web)
I Name of Applicant: Deschutes County, Oregon
The Applicant agrees to comply with applicable provisions of Groups 01-24. ___
I OR
The Applicant agrees to comply with applicable provisions of the Groups it has selected:
~ j Group Description
01. Required Certifications and Assurances for Each Applicant. _x_I
f 02. Lobbying.
I 03. Procurement and Procurement Systems.
j 04. Private Sector Protections.
05. Rolling Stock Reviews and Bus Testing.
06. Demand Responsive Service. _x_1
07. Intelligent Transportation Systems.
t 08. Interest and Financing Costs and Acquisition of Capital Assets by Lease.
I
-l
09. Transit Asset Management Plan and Public Transportation Agency Safety Plan.
10. Alcohol and Controlled Substances Testing. I II. Fixed Guideway Capital Investment Grants Program (New Start&, Small Starts, and
I Core Capacity) and Capital Investment Program in Effect before MAP-21 Became
Effective.J
t 12. State of Good Repair Program.
13. Fixed Guideway Modernization Grant Program.
I 14. Bus and Bus Facilities Formula Grants Program and Bus and Bus-Related Equipment
and Facilities Grant Program (Discretionary).
1
15. Urbanized Area Formula Grants Programs! Passenger Ferry Grants Program/Job
Access and Reverse Commute (JARC) Formula Grant Program.
16. SeniorsIElderlylIndividuals with Disabilities ProgramslNew Freedom Program. _x_
17. Rural/Other Than Urbanized Areas! Appalachian Deve!opmentlOver-the-Road Bus
Accessibility Programs.
18. Tribal Transit Programs (Public Transportation on Indian Reservations Programs).
i 19. Low or No Emission/Clean Fuels Grant Programs.
20. Paul S. Sarbanes Transit in Parks Program.
1 21. State Safety Oversight Grant Program.
22. Public Transportation Emergency Relief Program. i
I
l 23. Expedited Project Delivery Pilot Program.
J
I
1 24. Infrastructure Finance Programs.
I
I
FEDERAL FISCAL YEAR 2015 FfA CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE
(Required of all Applicants for FT A funding and all FT A Grantees with an active Capital or Formula Project)
AFFIRMATION OF APPLICANT
Name of the Applicant: Deschutes County, Oregon
Name and Relationship of the Authorized Representative: Anthony DeBone, Chair, Deschutes County Board of Commissioners
BY SIGNING BELOW, on behalf ofthe Applicant, I declare that it has duly authorized me to make these Certifications
and Assurances and bind its compliance. Thus, it agrees to comply with all Federal 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 (FT A) in
Federal Fiscal Year 2015, irrespective of whether the individual that acted on his or her Applicant's behalf continues to
represent it.
FT A intends that the Certifications and Assurances the Applicant selects on the other side of this document should
apply to each Project for which it seeks now, or may later seek FTA funding during Federal Fiscal Year 2015.
The Applicant affirms the truthfulness and accuracy of the Certifications and Assurances it has selected in the
statements submitted with this document and any other submission made to FTA, and acknowledges that the Program
Fraud Civil Remedies Act of 1986,31 U.S.C. 3801 et seq., and implementing U.S. DOT regulations, "Program Fraud
Civil Remedies," 49 CFR part 31, apply to any certification, assurance or submission made to 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 of perjury that the foregoing Certifications and Assurances, and any
other statements made by me on behalf ofthe Applicant are true and accurate.
Signature__________________________ Date:
Name Anthony DeBone, Chair, Deschutes County Board of Commissioners
Authorized Representative of Applicant
AFFIRMATION OF APPLICANT'S ATTORNEY
For (Name ofApplicant): Deschutes County, Oregon
As the undersigned Attorney for the above named Applicant, I hereby affirm to the Applicant that it has authority under
State, local, or tribal government law, as applicable, to make and comply with the Certifications and Assurances as
indicated on the foregoing pages. I further affirm that, in my opinion, the Certifications and Assurances have been
legally made and constitute legal and binding obligations on it.
I further affirm that, to the best of my knowledge, there is no legislation or litigation pending or imminent that might
;:;:'j:::""""th~ty o;~:r",,"o", ond A"""",,,,,. 0< of the pono""",,, ofi" PTA "'lOjeCjor
Signature lQ..lL!L Date: 311 {tS'
Name David Doyle, Deschutes County Legal Counsel
Attorney for Applicant
Each Applicant for FTA funding and each FTA 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.